Santa Ana City Council
May 5, 2026

AGREEMENT WITH MARK THOMAS & COMPANY TO PROVIDE DESIGN
SERVICES FOR SANTA ANA BLVD. GRADE SEPARATION
THIS AGREEMENT is made and entered into on this 5th day of May, 2026 by and between Mark Thomas & Company, Inc., (“Consultant”), and the City o f Santa Ana, a charter city and municipal co rporation organized and existing under the Constitution and laws of the State of California (“City”).

RECITALS
A. On November 14, 2025, the City issued Request for Proposal (“RFP”) No. 25-131A, by which it sought qualified consultants to provide environmental, right-of-way, and engineering design services for grade separation projects with existing rail crossings.

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 that was included in RFP No. 25-131A.

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 Exhibits A and B, 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 Exhibit B. The total amount to be expended during the term of this Agreement shall not exceed $6,859,918, 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.

EXHIBIT 3
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 the date first written above for a three (3) year term with the option for the City to grant up to two, one-year extension(s), exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 17, below.

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, offi cers, employees and agents fr ee and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.

5. INDEPENDENT CONTRACTOR

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

6. OWNERSHIP OF MATERIALS

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

Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to EXHIBIT 3
Documents & Data which were provided to Consulta nt 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

Insurance requirements attached hereto as Exhibit C.

8. INDEMNIFICATION

Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subconsultants, 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 th is Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant.

9. INTELLECTUAL PROPERTY INDEMNIFICATION

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

10. RECORDS

Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to EXHIBIT 3
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. CERTIFICATIONS

The funds used to pay for this Agreement will be partly comprised of federal grant funds.

Consultant agrees and understands that it will comply with the terms of the Certifications attached hereto as Exhibit D, incorporated by reference into this Agreement. Consultant is referenced as Consultant in Exhibit D. Consultant shall keep its elf informed of all City, State and Federal laws and regulations which may, in any manner, affect the performance of it services pursuant to this Agreement. Consultant shall at all times, observe and comply with all such laws and regulations.

City and its officers and employees shall not be liable at law or in equity by reason of the failure of the Consultant to comply with this paragraph.

13. CONFLICT OF INTEREST CLAUSE

a. The Consultant or subrecipient must maintain written standards of conduct covering conflicts of interest and governing the actions of its employees engaged in the selection, award, and administration of contracts. No employee, officer, agent, or board member with a real or apparent conflict of interest may participate in the selection, award, or administration of a contract supported by the Federal award. A conflict of interest includes when the employee, officer, agen t, or board member, any member of their immediate family, their partner, or an organization that employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from an entity considered for a contract. An employee, officer, agent, and board member of the Consultant or subrecipient may neither solicit nor accept gratuities, favors, or anything of monetary value from consultants. However, the EXHIBIT 3
Consultant or subrecipient may set standards for situations where the financial interest is not substantial or a gift is an unsolicite d item of nominal value. The Consultant's or subrecipient's standards of conduct must also provide for disciplinary actions to be applied for violations by its employees, officers, agents, or board members.

b. If the Consultant or subrecipient has a parent, a ffiliate, or subsidiary organization that is not a State, local government, or Indian Tribe, the Consultant or subrecipient must also maintain written standards of conduct covering organizational conflicts of interest.

Organizational conflicts of interest mean th at because of relationships with a parent company, affiliate, or subsidiary organization, the Consultant or subrecipient is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization.

c. 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.

d. 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.

e. 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

f. The Consultant must comply with all conf lict 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 th e 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.

g. 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 (d) and (e) above.

EXHIBIT 3

14. 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.

15. EXCLUSIVITY AND AMENDMENT

This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreem ents, 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 represen tative 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.

16. 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.

17. 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.

EXHIBIT 3

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

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.

21. FEDERAL REGULATIONS

Consultant shall comply with all applicable contractual provisions required by the United States Office of Management and Budget (OMB), as set for the in 2 CRF Part 200, whether or not expressly set forth in this document, including but not limited to those provisions set forth below.

Notwithstanding, anything to the contrary herein, including without limitation , the language in this Agreement, the actual language contained in federal statutes, federal regulations, federally promulgated materials and state statutes, shall control in determining any obligations under federal law in the event of a conflict with any terms, language or provisions contained in this Agreement.

Consultant shall not perform any act, fail to perform any act, or refuse to comply with any requests, which would cause City to be in violation of the federal terms and conditions.

a. Federal Regulations – Consultant must comply with the government cost principles, uniform administrative requirements and audit requirements for federal grant program housed within Title 2, Part 180 of the Code of Federal Regulations.

b. Debarment and Suspension – As required by Executive Orders 12549 and 12689, and 2 CFR §200.214 and codified in 2 CFR Part 200, Consultant must provide protection against waste, fraud, and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the Federal government.

EXHIBIT 3

c. Audit Records – With respect to all matters covered by this agreement all records shall be made available for audit and in spection by CITY, the grant agency and/or their duly authorized representatives for a period of three (3) years from the date of submission of the final expenditure report by the City of Santa Ana. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, pape rs and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records availa ble to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours.

d. Reports – Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies.

e. Section 504 of the Rehabilitation Act of 1973 (Handicapped) – All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Consultant agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its consultants, subconsultants, assignees or successors.

f. Americans with Disabilities Act of 1990 – (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable.

g. Political Activity – None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act".

h. No Lobbying – Consultant will comply with all applicable lobbying prohibitions and laws, including those found in the Byrd Anti-Lobbying Amendment (31 U.S.C. 1352, et seq.), and agrees that none of the funds provided under this award may be expended by the Consultant to pay any person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any federal action concerning the award or renewal of any federal contract, grant, loan, or cooperative agreement.

i. Non-Discrimination and Equal Opportunity – Consultant will comply, and all its consultants (or subrecipients) will comply, with Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title II of the EXHIBIT 3
Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975, as amended; Drug Abuse Office and Treatment Act of 1972, as amended; Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, as amended; Section 523 and 527 of the Public Health Service Act of 1912, as amended; Title VIII of the Civil Rights Act of 1968, as amended; Department of Justice Non-Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to CITY which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Depa rtment of Justice. If applicable, Consultant will comply with the equal opportunity clause in 41 C.F.R. 60-1.4(b) in accordance with Executive Order 11246 as amended by Executive Order No. 11375.

j. Equal Employment Opportunity – Consultant will comply, and all its consultants (or subrecipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled “Equal Employment Opportunity,” as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable.

k. Public Contracts Code – Consultant will comply, and all its consultants (or subrecipients) will comply, with all requirements of the California Public Contract Code Section 10295.3, as applicable.

l. Copeland “Anti-Kickback” Ac t – Consultant will comply, and all its consultants (or subrecipients) will comply, with all requirements of the Copeland “Anti-Kickback” Act (40 U.S.C. 3145) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable.

m. David-Bacon Act – Consultant will comply, a nd all its consultants (or subrecipients) will comply, with all requirements of the Davis-Bacon Act (40 U.S.C. 3141-3144 and 3146-3148) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable.

n. Work Hours and Safety – Consultant will comp ly, and all its consultants (or subrecipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 3702 and 3704) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable.

o. Clean Air Act –

1. The Consultant agrees to comply with a ll applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. § 7401 et seq.

2. The Consultant agrees to report each violation to CITY and understands and agrees that the CITY will, in turn, report each viola tion as required to ass ure notification to the Federal Emergency Management Agency, and the appropriate Environmental Protection Agency Regional Office.

EXHIBIT 3

3. The consultant agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FEMA.

p. Energy and Conservation – Consultant w ill comply, and all its consultants (or subrecipients) will comply, with all requirements of the Energy Policy and Conservation Act (42 U.S.C. 6201), as applicable.

q. Waste Disposal – Consultant will comply, a nd all its consultants (or subrecipients) will comply, with all requirements of Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, as applicable.

r. Patent Rights – Consultant agrees that the Department of Homeland Security shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement based on the requirements of 37 CFR§ 401 and any other implementing regulations, as applicable.

s. Copyright – Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under th is Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty-free, non-exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and/or City purpose:

(1) the copyright in any work developed through this Agreement; and

(2) any rights of copyright to which the subconsultant purchases ownership with support through this grant. The Federal government’s, SAA’s and City’s rights identified above must be conveyed to the publisher and the language of the publisher’s release form must ensure the preservation of these rights.

t. Equal Employment in Construction Contracts – Pursuant to Equal Employment Opportunity requirements of 41 C.F.R. 60-1.4(b) in accordance with Executive Order 11246 as amended by Executive Order No. 11375, as to any construction contract thereunder, if applicable, during the performance of this contract, the consultant agrees as follows:

(1) The consultant will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The consultant will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, 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 app licants for employment, notices to be EXHIBIT 3
provided setting forth the provisions of this nondiscrimination clause.

(2) The consultant will, in all solicitations or advertisements for employees placed by or on behalf of the consultant, state that all qualified applic ants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin.

(3) The consultant will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the consultant's legal duty to furnish information.

(4) The consultant will send to each labor union or representative of workers with which he 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.

(5) The consultant will 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.

(6) The consultant will furnish all inform ation 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 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.

(7) In the event of the consultant's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the consultant may be declared ineligible for further Go vernment contracts or federally assisted construction contracts in accordance with procedures authorized in Executive 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, regulation, or order of the Secretary of Labor, or as otherwise provided by law.

(8) The consultant will include the porti on of the sentence immediately preceding EXHIBIT 3
paragraph (1) and the provisions of paragraphs (1) through (8) 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 subconsultant or vendor. The consultant will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance.

u. Prohibition on Certain Telecommunicati ons and Video Surveillance Services or Equipment – Consultant will comply, and all its c onsultants (or subrecipients) will comply, with all requirements under Uniform Guidance 2 CFR §200.216. Consultant will comply with FEMA Policy 405-143-1, Prohibitions on Expending FEMA Award Funds on Covered Telecommunications Equipment or Services (Interim), which prohibits grant recipients and subrecipients from obligating or expending loan or grant funds to procure or obtain, extend or renew a contract to procure or obtain, or to enter into a contract (or extend or renew a contract) to procure or obtain equipment, services, or systems that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.

As described in Public Law 115-232, section 889, covered telecommunications equipment:

(1) Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities).

(2) For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities).

(3) Telecommunications or video surveillance services produced by such entities or using such equipment.

(4) Telecommunications or video surveilla nce equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or th e Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country.

v. Domestic Preferences for Procurements/Subc ontracts – Consultant will comply, and all its consultants (or subrecipients) will comply, with all requirements under Uniform Guidance 2 CFR §200.322.

Consultant shall comply with the federal and recipient standards in the award of any subcontracts.

For purposes of this Agreement, subcontract s shall include but not be limited to purchase agreements, rental or lease agreements, third pa rty agreements, consultant service contracts and EXHIBIT 3
construction subcontracts.

Consultant shall ensure that the terms of this Ag reement with the CITY are incorporated into all Subconsultant Agreements. The Consultant shall submit all Subconsultant Agreements to the CITY for review prior to the release of any funds to the subconsultant. The Consultant shall withhold funds to any subconsultant agency that fails to comply with the terms and conditions of this Agreement and their respective Subconsultant Agreement.

(1) Recovered Materials

Consultant shall make maximum use of products containing recovered materials that are EPA-designated items unless the product cannot be acquired competitively within a timeframe providing for compliance with the contract performance schedule; Meeting contract performance requirements; or at a reasonable price.

Information about this requirement, along with the list of EPA-designated items, is available at EPA’s Comprehensive Procurement Guidelines webpage:
https://www.epa.gov/smm/comprehensive-procurement-guideline-cpg-program.

The Consultant also agrees to comply with all other applicable requirements of Section 6002 of the Solid Waste Disposal Act.

(2) Domestic Preference for Procurements

Consultant should, to the greatest extent practicable, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States. This includes, but is not limited to iron, aluminum, steel, cement, and other manufactured products.

For purposes of this clause:

Produced in the United States means, for iron and steel products, that all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States.

Manufactured products mean items and construction materials composed in whole or in part of non-ferrous metals such as aluminum; plastics and polymer-based products such as polyvinyl chloride pipe; aggregates such as concrete; glass, including optical fiber; and lumber.

w. Termination for Cause and Convenience – Should Consultant fail for any reason to comply with the contractual obligations of this agreement within the time specified by this Agreement, the CITY reserves the right to terminate the Agreement, reserving all rights under state and federal law.

x. Contractual/Legal Remedies for Breach of Contract – Should Consultant fail for any reason EXHIBIT 3
to comply with the contractual obligations of this Agreement and/or willfully, knowingly or negligently breach any term, condition or require ment of the agreement, City may impose sanctions including but not limited to damages (li quidated damages and or penalties) and /or any other remedy available pursuant to the Agreement of the laws then in effect.

22. NOTICE

Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be pr operly 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 Consultant:

Mark Thomas & Company, Inc.

Attn: Pat Sommerville, Associate Principal
3200 El Camino Real, Suite 290
Irvine, CA 92602

A party may change its address by giving noti ce in writing to the other party. Thereafter, any communication shall be addre ssed and transmitted to the new a ddress. 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.

23. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the EXHIBIT 3
power, authority and right to bind their resp ective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement.

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

ATTEST: CITY OF SANTA ANA
JENNIFER L. HALL
City Clerk
APPROVED AS TO FORM:

ALVARO NUÑEZ City Manager
MARK THOMAS & COMPANY INC.
(CONSULTANT):

SONIA R. CARVALHO
City Attorney
By:

Kyle Nellesen By:

Assistant City Attorney Title:

RECOMMENDED FOR APPROVAL:

Rodolfo Rosas, P.E.

Acting Executive Director
Public Works Agency

leeee NNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNNellesen

i t t Cit Att
David A. Moritz
Executive Vice President
EXHIBIT 3
Rodolfo Rosas
Digitally signed by Rodolfo Rosas
DN: cn=Rodolfo Rosas,
[email protected], c=US
Date: 2026.04.06 14:14:25 -07'00'

EXHIBIT A

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EXHIBIT B

EXHIBIT 3
March 13, 2026
Jason Gabriel, PE
CIP Engineering Manager
City of Santa Ana – Public Works Agency
20 Civic Center Plaza, M-36
Santa Ana, CA 92701
RE: Santa Ana Boulevard Grade Separation – Cost Proposal Revision 1 (Final Design) Dear Mr. Gabriel:

Thank you again for selecting us as the top-rated firm for the grade separation. Based on your email communication and discussions, we are resubmitting our Cost Proposal specific to the final design elements of the contract. We will follow up with you separately on the details related to right-of-way acquisition efforts.

For the final design efforts, we revisited our assumptions and reviewed project elements in more detail in order to refine the levels of effort. Additionally, we refined our approach to certain items which account for the larger reductions in efforts, as described below.

1. Metrolink Rail Bridge – Our approach with Metrolink is to conduct a workshop(s) soon after the notice-to-proceed is received in order to gain concurrence on the approach to the bridge staging concepts. This decision will be driven by Metrolink’s approval of a Limited Work Window (30 day track closure) or only allowing Absolute Work Windows (full weekend closures). That decision will dictate the bridge type, therefore the Bridge Type Selection document will only focus on a single structure type that works for the staging concept.

2. Pedestrian Bridge – We have determined that the most cost-effective approach is a two- span prefabricated structure. The aesthetics for the abutment and bents will be consistent with the rail bridge aesthetics. Similarly, the railing on the rail bridge can also designed to mimic the pedestrian bridge.

3. Canopy Design – The submitted effort included an entry structure, similar to the existing condition adjacent to Santa Ana Boulevard. With the proximity of the pedestrian bridge, we believe a cut and reface of the canopy structure will be appropriate without the entry structure. The plans for this will be prepared for building department plan check.

4. Caltrans – In evaluating the extent of work, we are confident that we will not have any design exceptions within their right of way and will avoid the need to modify their traffic signal. These two tasks have been shifted to the Optional Tasks in case conditions change in the future.

EXHIBIT 3
PAGE 2 OF 2

5. Utility Agreements – From our analysis, it appears that all utilities are City owned (sewer and water) or in franchise. As such, utility agreements will not be required as there is not cost sharing required. This effort has been moved to Optional Tasks.

6. Potholing – In reviewing the existing and potential relocation needs of the utilities, we are confident that 30 potholes will suffice for the project, a reduction from the submitted 40 potholes. Please note this effort was shifted from Task 3 to Task 2, coupling it with the utility coordination and subsurface utility investigation tasks.

A summary of our revised cost proposal includes:

Final Design $6,053,463 TIRCP Grant Funding
Right of Way Services $964,247 Unchanged
Construction Support $891,333 Unchanged
Optional Tasks $417,855 Contingency Items
The detailed cost proposal is attached. If the proposed changes as noted hereon are acceptable to the City, we will submit a revised scope of services which align with these changes.

We thank you for your consideration and look forward to further discussing our scope and cost proposal in detail with you. If you have any questions about our proposal, please contact me at [email protected] or (714) 815-5222.

Sincerely,
MARK THOMAS & COMPANY, INC.

Pat Somerville, PE
Associate Principal + Division Manager/Project Manager
EXHIBIT 3

SCOPE OF SERVICES
Revision 1 – 04/02/2026

CITY OF SANTA ANA

SANTA ANA BOULEVARD GRADE SEPARATION
1 Task 1 Project Administration

1.1 Project Management & Administration
Mark Thomas will be responsible for the daily
management and administration of the project,
including subconsultants.

1.2 Project Management Plan (PMP)/Quality
Management Plan (QMP)
This task will include the preparation of a Project-
specific Project Management Plan (PMP) to the
City for review and concurrence within one month
of receiving Notice to Proceed and will be reviewed
at the first PDT meeting. At a minimum, the PMP
will include:
 The final scope of services
 Communication plan between Mark
Thomas, City and other third-party
stakeholders.
 Deliverables List consistent with the scope
of services including dates submitted by
Mark Thomas and approved by the City (or
approving agency).
 Baseline Schedule using Microsoft Project
and in a Critical Path Method (CPM)
format.
 CADD Procedures consistent with the City
CADD Users Manual
 Approved Invoicing Instructions.
 List of Applicable Design Standards and
Guidelines to be utilized in the project.
 General Prevailing Wage Determinations
for applicable classifications and services.

Mark Thomas will prepare, implement and
maintain a Project-specific Quality Management
System (QMS) Manual throughout the services for
this scope of work. The QMS Manual will be
updated as necessary to include additional
measures and processes throughout the life of the
project to minimize or eliminate errors and
omissions. Mark Thomas will submit the Project-
specific QMS Manual for review and concurrence
within one month of receiving Notice to Proceed.

Training will be provided, as necessary, with Mark
Thomas staff and sub-consultants staff responsible
for implementing the QMS Manual.

1.3 Project Meetings
Mark Thomas will lead Project Development Team
(PDT) meetings throughout the Environmental,
Right of Way, and Plans/Specifications/Estimate
(PSE) phases of the Project. PDT meetings will
include representatives from the City and other
stakeholders as appropriate and as requested by
the City. This task includes preparation of
agendas, meeting minutes within seven (7) days of
the meeting date, log of action items, data request
log, and design decision log. Current copies of the
Baseline Schedule, Deliverables List and Risk
Register will be distributed and reviewed during
PDT meetings. Assumed number of meetings is
twenty-four (24).

1.4 Progress Reporting
Mark Thomas will prepare monthly invoices for the
Project by task number and milestone. This will
include direct labor, other direct costs, and sub-
consultant costs. These will include progress
reports in accordance with the City guidelines
corresponding to task number and milestones.

Updated schedule will be included with the monthly
progress reports.

1.5 Schedule
A detailed baseline schedule will be prepared in
MS Project for the design phase of the project for
City review and approval. The schedule will be
updated on a monthly basis.

1.6 Risk Assessment

Risk Register identifying risk, quantifying time and
cost impacts, risk owner, risk mitigation plan, due
and completion dates for risk mitigation
Task 1 Deliverables:
 Draft and Final PMP & QMP
 Meeting Agendas, Minutes & Exhibits
 Progress Reports
 Baseline Schedule and Monthly Updates
 Risk Matrix
Task 1 Assumptions:
 The basis for the scope of services is a 24
month period for the final design, excluding
bid and construction support.

EXHIBIT 3

SCOPE OF SERVICES
Revision 1 – 04/02/2026

CITY OF SANTA ANA

SANTA ANA BOULEVARD GRADE SEPARATION
2 Task 2 Data Collection
Provide the necessary research and field activity to
establish the project baseline conditions. Our in-
house SUE services will benefit the utility locating
on-site, supplemented by potholing.

2.1 Records Research
Mark Thomas will field walk site and inventory
visible utility, topography, drainage, and other
notable features. Research will include City
roadway, drainage, utility record maps and as-built
improvement plans as well as information found
from the County of Orange, OCTA and Metrolink.

This information will be organized and compiled
into a Records Research Package.

Additionally, Mark Thomas will generate field
notes, a 360-Degree Photograph Log with GIS
mapping link, and project control report.

Deliverables
 Field notes
 Listing of found record documents and as-
builts
 Photo log and link to online 360-degree
photographs

2.2 Right of Way Mapping (Landnet)
Mark Thomas will perform research at the County
of Orange to obtain available record mapping such
as Tract Maps, Parcel Maps, Records of Surveys,
Corner Records and Tie Notes, as well as
available As-Built maps, showing street and alley
centerlines as well as rights of way. Mark Thomas
will review and analyze the property records,
easements, corner records, record maps,
centerline ties, and as-built information obtained.

Mark Thomas to acquire up to twenty (20)
Preliminary Title Reports (PTR) for further
boundary analysis and plotting of existing
easements as shown in said PTRs. Mark Thomas
to prepare preliminary right of way basemap based
on GIS and calculated record data.

Field crews will recover or re-establish a sufficient
number of survey monuments to plot centerlines
and right-of-way lines from record information.

Mark Thomas will deploy field crews to locate
appropriate centerline, right of way, and property
corner monumentation within the Project Limits
and retracement area generally shown in Figure 1.

We estimate locating up to forty (40) monuments
or centerline tie references for this effort. Mark
Thomas will then delineate the street centerline
and rights of way, and the railroad centerline and
right of way, to approximately 200’ feet outside the
Project Area as shown in Figure 1.

All results will be depicted in a LandNet Base Map
and distributed to the project team to be used as
the basis of existing street centerlines, rights of
way, easements and property lines used in all
property acquisition efforts.

Deliverables
 Maximum of twenty (20) Preliminary Title
Reports
 Points file and field notes of found
monumentation and ties
 Right-of-Way Basemap LandNet file in
AutoCAD, PDF formats

2.3 Initial Utility Coordination
Initial Utility Coordination Using CivilGrid, Mark
Thomas will submit “A” Letters to utility companies
to notify them of the proposed project and request
as-builts and record maps. The city or county
owned utilities will be entered into a spreadsheet
(utility matrix) along with the private utilities, and
street or public works improvement plans will be
requested (if applicable). Mark Thomas will
compile a master list of the potential private and
public utilities that may be affected by the
proposed Project area in the utility matrix to track
the status of record requests. The matrix will
identify the potential utilities, the contact
information, critical dates, and correspondence.

The history of requests and the records received
shall be entered into the utility matrix.

Mark Thomas will organize the as-builts and utility
records received in response to the documented
requests tracked by the utility matrix. Mark
Thomas makes up to three attempts to contact
each utility during the project duration and the log
of correspondence along with a lack of response
will be noted in the utility matrix.

Based on the proposed project layout, utility
information, mapping and SUE identification,
potholing will be provided up to an assumed thirty
EXHIBIT 3

SCOPE OF SERVICES
Revision 1 – 04/02/2026

CITY OF SANTA ANA

SANTA ANA BOULEVARD GRADE SEPARATION
3 (30) potholes at relocation tie-ins and areas of
potential vertical conflict with the proposed
improvements. Potholes will provide traffic control
per WATCH Manual.

Task Deliverables
 Utility Matrix summarizing research source
and findings
 Utility Mapping
 Utility Potholing Log & Survey

2.3 Subsurface Utility (SUE) Investigations
Mark Thomas will conduct utility detection and
marking services to provide Subsurface Utility
Engineering (SUE) Quality Level B (QL-B) surface
markings for underground utilities that shall be
derived from electromagnetic induction and GPR
readings. Findings will be documented in the field
using Paint, Flags, and/or whiskers.

A rodder will be used to trace out the Sewer/Storm
lines if unable to be seen with GPR. Utilities will be
marked in Pink, identifying them as survey marking
and dotted in USA color code. Depths will be
added on ground wherever possible, depending on
signal received by the EM locator or GPR. Any
issues will be reported to the client and
documented in the report. Upon completion of the
SUE efforts, the utility markings will be surveyed
and included in our utility mapping effort.

This information will be cross-checked with the
information received from the utility owners to
ensure the existing utility lines are shown in their
proper locations. It is assumed there will be no
more than three (3) field mobilizations for this task.

Mark Thomas to provide existing utility base map
for all existing underground and overhead utilities,
based on utility data collected from document
research, surveyed locations of surface utilities,
and USA dig alert markings. Utility base map shall
be incorporated into the project survey file.

Task Deliverables
 Underground Utility Locating Report and
Daily Log(s) in PDF format
Task 3 Coordination
Mark Thomas will lead the overall coordination
efforts with the project stakeholders and
community, including in-house generated graphics
for the community engagement.

3.1 City Departments
Coordination will be provided with various City
departments, outside of Public Work, for the
project. This may include the City Manager’s office,
City Commissions or Council meetings and
briefings, and the Building Department plan check
process for the pump station and/or
remodel/refacing of the SARTC pedestrian
entrance and canopy, as needed.

3.2 SCRRA/Metrolink
Provide SCRRA/Metrolink coordination, permitting
interface support, and railroad requirements
confirmation for the project.

Coordinate SCRRA review cycles and comment
resolution related to track restoration and railroad
modifications.

Coordinate railroad constraints and operational
considerations that affect design development and
construction staging.

Provide SCRRA interface support for all railroad-
related submittals and approvals.

3.3 CPUC
Provide coordination with the CPUC, including the
diagnostic meetings, in support of the General
Order 88-B (GO 88-B) process for the modification
of an at-grade crossing.

3.4 Caltrans
The improvements within Caltrans right of way are
expected to be limited to traffic signal
modifications, striping modifications and traffic
control during construction. As such, it is expected
that the project will only require an encroachment
permit through the District 12 Local Assistance
unit. Efforts will include meetings and coordination
leading up to the permit application. Higher level
project documents such as a Design Engineering
Evaluation Report (DEER) or full project oversight
are excluded.

3.5 OCTA
As OCTA owns the railroad right of way,
coordination will be required throughout the project
design. Mark Thomas will respond to comments
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4 and address concerns expressed by OCTA.

Coordination will also be provided with bus
operations for temporary and permanent locations
of bus stops and route impacts during construction.

3.6 Other Third Parties
Coordination with other third parties, including
Amtrak, BNSF, Greyhound Bus, and others, will be
provided as needed to convey the project design
and potential impacts.

3.7 Community Engagement
PLANNING, RESOURCES AND TOOLS:

Outreach Coordination Meetings: The team will
lead up to 24 outreach coordination meetings.

Agendas and meeting notes will be prepared for
each meeting, as appropriate.

Outreach Strategy & Planning: A Public
Involvement Plan (PIP) will be developed at the
start to serve as a blueprint for all community
engagement activities and will include a
demographic analysis to ensure outreach efforts
reflect the needs of the community, while aligning
Title VI, environmental justice, and accessibility
guidelines to ensure equitable participation. Up to
four (4x) strategic work plans will also be
developed for key milestone community meetings
to guide tactics and methods of engagement
toward desired outcomes.

Stakeholder Database, Comment Log &
Engagement Tracking: A project-specific
stakeholder database will be developed and
maintained with comment log, and engagement log
to support transparent documentation and
reporting throughout the Project. The stakeholder
database will include residents, businesses,
agencies, elected officials, community
organizations and more. The City will maintain the
Project email address and may establish a project
hotline, if needed, to receive public inquiries and
comments outside of planned engagement
activities. Public comments received through
meetings, events, email, and other engagement
channels will be documented and coordinated with
the City and Team for response and inclusion in
project records. Logs will be maintained with
support from the City and Team to ensure
accuracy.

Branding, Collateral & Presentation Materials:

Development of eye-catching Project branding
package consistent with City of Santa Ana
standards will support consistent and recognizable
project communications. Outreach materials may
include a project logo, visual identity elements,
presentation templates, display boards, and
miscellaneous meeting materials.

The team will also support the City in the
development of an Overview Fact Sheet and
Frequently Asked Questions or talking points, as
needed, to support public engagement activities
and stakeholder communications. Collateral will be
updated up two times to support refinements in
messaging from the start of the project. Visuals
and renderings developed by Mark Thomas will be
integrated into outreach materials and public
meeting materials to support effective
communication of project concepts.

Website & Notifications: Project-related content
will be drafted and coordinated with City staff to
support the establishment and ongoing
maintenance of a project webpage hosted on the
City’s website. Website content may include a
project overview, meeting announcements,
summaries of engagement activities, and posting
of meeting materials for public access.

Establishment of vanity URL link(s) is
recommended to develop Project recognition and
facilitate more effective print notifications.

Each meeting round will be supported by a
comprehensive, layered notification campaign,
which may include webpage updates and
announcements, direct mail, flyer distribution,
eblasts, social media outreach, and other digital
communications. Property owner and occupant
mailing lists will be acquired, as needed, prior to
each community meeting to support timely and
accurate direct mail notifications up to 500-feet of
the rail corridor.

ENGAGEMENTS & REPORTING:

Community Meetings & Summary Reporting (up to
4x) are included.

The Team anticipates holding four rounds of one,
in-person, open house format community meetings
over the course of environmental review and
design development. Meetings will be timed to
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5 align with major Project milestones, including
Project introduction and environmental scoping,
environmental review and alternatives evaluation,
design development and refinement, and final
design and construction readiness.

All outreach materials and engagement activities
will be provided in English and Spanish, with
bilingual staff available to support meeting
participation. We will lead meeting logistics and
materials development, including venue
coordination, sign-in sheets, wayfinding, comment
cards, and related support. The Team will remain
flexible and may incorporate virtual meeting
formats if directed by the City to enhance
accessibility and participation.

Meetings will provide opportunities for community
members to review project information, ask
questions, and provide input at each stage of
project development. Public feedback will be
documented and summarized following each
meeting, with summaries coordinated with the City
and consultant team to inform environmental
documentation, design refinement, and project
decision-making.

This scope of work assumes that community
meetings will not require a formal scoping meeting
or Public Hearing process as part of NEPA,
including legal notice, court reporting, formal
comment collection, etc. However, we are
prepared to support the City if that need arises.

Up to 16 Stakeholder Briefings are provided,
including City Council and Planning Commission
briefings. These engagements will be tracked in a
log for public record.

Individual outreach summaries will be prepared for
each community meeting, event, and activity, as
needed. A comprehensive Final Outreach Report
will also be prepared at the conclusion of the
engagement program, documenting all outreach
activities, notifications, participation metrics, and
key themes for the project record.

3.8 Supporting Graphics
Mark Thomas shall develop coordinated three-
dimensional (3D) visualization materials to support
design development, agency coordination, and
community engagement. The Graphics Team shall
prepare a detailed 3D model using Autodesk 3DS
Max and Unreal Engine that reflects existing and
proposed conditions, including roadway geometry,
bridge and structural elements, transit facilities,
pedestrian and bicycle infrastructure, grading,
landscaping, lighting, and key streetscape
features. The model shall be developed to
accurately convey the scale, materials, spatial
relationships, and shall be developed to support
visualization of the overall character and user
experience of the proposed improvements.

From the developed 3D model, the Graphics Team
shall prepare high-quality still renderings and an
interactive 3D visualization model suitable for
public meetings, City presentations, and
stakeholder coordination. The interactive model
shall be deployed using Pixel Streaming to allow
web-based access through standard internet
browsers without the need for specialized
software. Select visualization content may also be
incorporated into an ArcGIS StoryMap to support
public-facing communication. Visualization updates
and revisions shall be coordinated with the design
team and incorporated at key project milestones.

Cloud-based hosting and access to the interactive
model shall be provided for approximately 24
months.

Task Deliverables:
 Meeting Agendas, Minutes & Exhibits
 Public Outreach Plan, Collateral Materials
 Photosimulations, Renderings, interactive
3D visualization model
Task 4 Standards

4.1 Design Exceptions – City
A design memorandum will be prepared for the
City that documents the design guidance and
standards utilized for the project, including
Caltrans, AASHTO, PROWAG and NACTO.

4.2 Design Exceptions – SCRRA
Prepare design exceptions for elements not
meeting the Metrolink or AASHTO standards,
including calculations, exhibits, etc. as necessary
to support the exception and waiver requests.

It is assumed that up to three SCRRA Form DPM-
13: Request for Special Consideration for items
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6 that deviate from SCRRA standards and manuals.

These are anticipated to include requests for
deviations from 1) minimum temporary horizontal
clearance requirements, 2) the requirement that a
minimum of two columns be provided per track,
and 3) bridge skew angle.

4.3 Design Exceptions – Caltrans
No design exceptions anticipated, an optional task
has been provided in case the need arises through
the project development.

Task Deliverables:
 City Design Memorandum
 SCRRA Design Exception Memorandum
Task 5 Site Survey

5.1 Project Control
Mark Thomas will establish horizontal control
based on CCS83, Zone VI, and vertical control will
be based on the City of Santa Ana Vertical Datum,
to be confirmed with the City prior to control
establishment. Mark Thomas to set temporary
control points for future design and construction
survey within the project limits. Mark Thomas to
obtain applicable encroachment permits prior to
beginning any field survey work. Mark Thomas to
also coordinate and verify datum(s) with SCRRA,
where appropriate.

5.2 Aerial Topography
Once the project control is established, Mark
Thomas will establish supplemental horizontal and
vertical control necessary for orienting the
photogrammetric survey. Mark Thomas will acquire
new color stereo image data covering the above-
mentioned project area that will be suitable in
resolution, scale and image quality for developing
key topographic break lines and improvements.

Mark Thomas will collect data during the primary
data acquisition mission using conventional flight
methods. Aerial imagery will be obtained when the
ground is not obscured by smog, haze, fog or dust,
and when cloud or cloud shadow coverage will not
appear in any image. Refer to MAGENTA area in
Figure 1 below illustrating the general footprint of
the topographic data/aerial imagery to be captured
and processed.

Mark Thomas will map all planimetric feature data
in three dimensions to generate an Aerial
Topographic Survey Base Map with aerial imagery
background at 1” = 40’ scale. Mapped features will
generally include roof outlines of buildings and
other major structures, tops/toes of channels, edge
of pavement for all paved surfaces, manholes,
drop inlets, parking areas, curbs/gutters,
sidewalks, fences, walls, signs, utility poles, light
poles, above ground utility service facilities, storm
drain facilities, ditches, streams, trees/tree
outlines, dense brush, bulkheads, and other visible
improvements at the surface elevation. Mass
points and break lines will be collected along all
mapped improvements listed above to create
continuous contours with a 1.0’ interval and a
Digital Terrain Model (DTM).

Assumptions
 Up to eight (8) aerial ground control targets
will be established
 Aerial topographic mapping will not be
reviewed by Caltrans (no “ABC” submittal
for this project)
 Field surveys to be conducted under traffic
control plan, if required.

Task Deliverables
 Project Control in CSV and PDF formats
 Basemap LandNet file in AutoCAD, PDF
formats
 Aerial Topographic Survey Base Map in
AutoCAD, PDF and SHP formats
 Color Digital Orthophotography (JPG or
TIFF format)
 Digital Terrain Model (DTM) in CAD format
 Site Photos, Videos and Field Notes

5.3 Field Survey
Once the geometrics are refined utilizing the aerial
mapping, Mark Thomas will perform supplemental
as-built design surveys within the Project Area,
approximate areas as shown below in Figure 1,
per direction of the resident engineer. Topographic
survey data to be collected using a conventional
Total Station, static/mobile LiDAR and/or GPS and
will include, but is not limited to, improvements
such hardscape, drainage features, utility facilities,
break lines, driveways, and other pertinent
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7 features to produce accurate elevations and
horizontal locations.

Other mapped features will generally include, but
are not limited to: edge of pavement, curb and
gutter, curb ramps, sidewalks, driveways, parking
features, roadway crown, critical flow areas,
landscape features such as trees greater than 6”
trunk diameter and significant vegetation,
manholes, drop inlets, walls, signs,
utility/light/signal poles, above ground utility service facilities and underground utility paint mark
locations, storm drain facilities, and other visible
improvements at the ground surface elevations.

Cross-sections will be performed at maximum of
50’ intervals where requested and will generally
extend approximately 10’ back of walk or to right-
of-way lines, where accessible. Break lines will be
collected along all mapped improvements listed
above to create continuous contours with a 1.0’
interval and a Digital Terrain Model (DTM).

Mark Thomas has will invert/dip and detail up to
twenty (20) storm drain manholes, sewer
manholes and catch basin features within the
project area.

If working within railroad right of way, Mark
Thomas survey crew(s) to have appropriate BNSF
Roadway Worker Protection (RWP) training and
Figure 1. Aerial Mapping Limits
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8 will have completed BNSF Contractor Safety
Orientation (obtain safety badges). Railroad
Worker in Charge (RWIC) flagging services, if
required, are not included in this proposal.

Assumptions
 Maximum of twenty (20) field mobilizations
for as-built topographic surveys
 Maximum of twenty (20) sewer, storm drain
and catch basin features will be located,
inverted (dipped) and detailed
Task Deliverables
 Topographic Survey Base Map in
AutoCAD, PDF
 Digital Terrain Model (DTM) in CAD format
 Detailed field notes of drain features such
as sewer/stormdrain manhole dips and
catchbasins
 Site Photos, Videos
 Survey Field Notes
Task 6 Environmental Revalidation
The CEQA SE will be updated to reflect the current
project configuration. NEPA Revalidation will be
prepared with supporting technical study updates,
as per Caltrans (FHWA delegation) and FRA
requirements.

6.1 CEQA Statutory Exemption (SE)
Once the project team has agreed upon the project
design that will move forward, the design
information will be used to update the Project
description that was included in the previously
adopted CEQA statutory exemption (SE). An
updated CEQA will be filed for the project.

6.2 NEPA Revalidation
ICF will prepare a single NEPA/CEQA
Environmental Re-Validation (ER) form (NEPA
portion only) based on the ER form that is
available on the Caltrans Standard Environmental
Reference (SER) at the time of this submission.

Using existing available information studies listed
herein, the ER will document the following items
and identify whether there are:
 Changes in project design (e.g., substantial
scope change; a new alternative; change in
project alignment)
 Changes in environmental setting (e.g.,
new development affecting traffic or air
quality)
 Changes in environmental circumstances
(e.g., a new law or regulation; change in
the status of a listed species)
 Changes to environmental impacts of the
project (e.g., a new type of impact, or a
change in the magnitude of an existing
impact)
 Changes to avoidance, minimization,
and/or mitigation measures since the
environmental document was approved.

A brief discussion related to the validity of the
information provided in the adopted NEPA
documentation related to potentially impacted
resources will be included. Since the project was
addressed with a CEQA Statutory Exemption (SE)
it is assumed that no CEQA related discussion will
be required. It is also assumed that the purpose
and need from the adopted NEPA documentation
will not be revisited or revised and that all areas
will be addressed qualitatively and no quantitative
analyses will be required, unless otherwise
specifically noted in this scope of work.

Furthermore, it is assumed that no separate
technical studies, beyond the those studies
identified in herein.

Areas where a separate technical study will not be
prepared but are assumed to require more than a
cursory discussion are presented below.

Biological Resources - there are some species
that have had changes to their listing status since
the NEPA CE was adopted. This includes Monarch
butterfly, burrowing owl, and Crotch’s bumblebee.

Based on the conditions at the project site, it is not
expected that suitable habitat is present and it is
therefore expected that there would be no potential
for impacts to any listed species. The biological
resources effort will consist of obtaining an
updated Unites States Fish and Wildlife Service
species list and conducting a review the California
Natural Diversity Database to identify any species
with the potential to be present/occur. Following
the review of this information, a field visit will be
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9 conducted to confirm that no suitable habitat is
present and that these species do not have the
potential to be present. It is assumed that no
species will have the potential to be present and
that no additional biological evaluation or studies
will be required. It is assumed that the biological
resources information will be directly incorporated
into the ER.

Cultural Resources – The cultural resources
effort will consist of conducting a record search to
confirm that no resources have been identified that
are eligible for listing on the National Register of
Historic Places (NRHP) or California Register of
Historical Resources (CRHR). In addition, a review
will be conducted to confirm that no resources that
were not previously of age would now require
evaluation. It is expected that no resources will be
present that are eligible for listing on the National
Register of Historic Places or California Register of
Historical Resources, that no resources will require
evaluation, and that the cultural discussion will be
directly incorporated into the ER.

Water Quality – The water quality effort will
consist of reviewing the list of impaired water
bodies to confirm no changes have occurred and
no new water bodies are listed as impacted, and
updating any information, regulations, and regional
permits information that is now outdated. This
discussion will be directly incorporated into the ER.

It is assumed that no new mitigation, or elimination
or reduction of mitigation commitments, will be
identified or required, that no revisions to the
CEQA/NEPA documentation itself (or new,
supplemental, or subsequent environmental
documentation) will be required, that no
meaningful modifications to any measures will be
required, and that no recirculation or public
availability of the CEQA/NEPA documentation will
be required. It is assumed that no new laws or
regulations will be identified since adoption of the
NEPA documentation that require analysis,
evaluation, or documentation beyond that identified
in this scope of work.

Based on the results of the above analyses a
determination will be provided on the NEPA/CEQA
Re-Validation Form regarding the validity of the
existing NEPA determination and findings. It is
assumed that the finding will be that the NEPA
documentation is still valid in conjunction with the
above listed analyses and that no further action is
required related to environmental documentation.

As part of the ER effort, the Environmental
Commitment Record (ECR) will be updated to
reflect any changes, additions, or deletions to the
measures included in the previously adopted
NEPA documentation. The ECR will be an
attachment to the ER. Finally, the Transportation
Air Quality Conformity Findings Checklist will be
prepared as an attachment to the ER.

6.3 Technical Study Updates
Preparation of all technical analyses and reports
will follow local, state, and federal environmental
guidelines, primarily consisting of the Caltrans
SER website, Caltrans Project Development
Procedures Manual, local and state CEQA
Guidelines, and FHWA Technical Advisory
6640.81 Guidance on Preparing and Processing
Environmental and Section 4(f) Documents. The
formats to be used for the technical studies will
follow the guidance available on the Caltrans SER
website as of the date that those studies are
initiated.

Only those technical studies identified in this scope
of work are assumed or included. Any other
technical studies or efforts are assumed to be not
required, or will be addressed/prepared by others
and provided to ICF. For this scope of work, the
technical studies for which a specific scope of work
has been included have been assumed based on a
review of existing project information and a
preliminary review of the project site. If additional
studies are identified during the environmental
phase of the project a scope of work and cost will
be submitted for approval by the City prior to their
initiation.

For each technical study the following submittals
are assumed (additional submittals would be
considered out of scope):
 Draft Technical Study (electronically to the
City and then to Caltrans)
 Revised Draft Technical Study
(electronically to the City and Caltrans for
concurrent review)
 Final Technical Study for approval
(electronically to the City and Caltrans for
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10 concurrent review and concurrence;
assumes no further comments)

6.3.1 Traffic Analysis
While the reduction in lanes is supported by
preliminary review of average daily traffic, a
focused review of peak hour travel is needed to
confirm commute congestion is within City and
OCTA standards. The study will evaluate the
Santa Ana Boulevard corridor intersections using
microsimulation software, SimTraffic, which is
appropriate for closely spaced intersections in
congested corridors. Microsimulation is required to
evaluate how queues between intersections build
up over space and time and potentially create
gridlock between the closely spaced intersections.

The following five intersections will be evaluated:

1. Santiago Street/Santa Ana Boulevard

2. Fuller Street/Santa Ana Boulevard

3. I-5 SB Off-Ramp/Santa Ana Boulevard

4. Santa Ana Boulevard from Santiago Street
to Fuller Street

5. Santa Ana Boulevard from Fuller Street to
I-5 SB Off-Ramp
Fehr & Peers will collect new peak period turning
movement traffic counts (7-9 AM & 4-6 PM) to
prepare the existing conditions baseline condition.

Traffic counts will include pedestrian and bicycle
counts to reflect the active uses in the corridor. A
24-hour vehicle classification count will also be
conducted on Santa Ana Boulevard to understand
heavy vehicle percentages. Fehr & Peers will
collect traffic signal timing from the City of Santa
Ana and Caltrans at the study locations.

Fehr & Peers will conduct an existing conditions
assessment that will evaluate the existing roadway
system, transit network, and pedestrian/bicycle
facilities within the study area, along with existing
traffic volumes, and intersection and roadway
levels of service.

Fehr & Peers will prepare future traffic forecasts for
the below scenarios utilizing OCTA’s latest travel
demand model, Orange County Transportation
Analysis Model (OCTAM), which is consistent with
Connect SoCal 2024 (Southern California
Association of Governments 2024 Regional
Transportation Plan and Sustainable Communities
Strategy with base year 2019 and future year
2050). A review of OCTAM land use will be
conducted to confirm that land use growth
assumptions are consistent with City expectations
(Please note that Fehr & Peers recently conducted
this model land use review as part of the City’s
Climate Action Plan and found consistency with
City growth expectations). Two future model runs
(with and without project) will be performed to
understand potential redistribution with the project.

1. Opening Year Conditions: project opening
year conditions assuming no project. An
ambient growth rate will be developed by
referencing OCTAM and the inclusion of
relevant pending and approved
development projects anticipated to be in
operation by opening year.

2. Future Year Conditions: Future year
conditions to be based on OCTAM
forecasts with no project.

3. Existing plus Construction Conditions: An
analysis of potential impacts during
construction of the proposed project
assuming that one lane in each direction
will be provided throughout construction.

4. Opening plus Project Conditions: Opening
year traffic volumes with project roadway
configuration.

5. Future plus Project Conditions: Future year
traffic volumes with project roadway
configuration.

Traffic analysis will be prepared to confirm
intersection lane configurations and turn pockets
are adequately sized to support future traffic with
the project. Off-ramp queues will also be
evaluated to confirm I-5 mainline traffic would not
be affected by potential spillback.

It is assumed that no more than two rounds of
comments will be received on the draft study from
the City and Caltrans.

6.3.2 Phase I ESA
A Project-wide Phase I Environmental Site
Assessment (ESA) will be prepared for the project
area. Additionally, we will review the Phase II work
prepared by others in the prior phase and provide
input on what applies to the Project. Note that this
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11 scope does not include parcel-specific ESAs for
parcels to be acquired for the Project.

The ESA will check for historical evidence of
potential site contamination for the Project study
area and will be performed in general accordance
with ASTM E1527-21 and Caltrans Standards, and
will consist of the following:
 Conducting a review of available existing
local, state, and federally maintained
databases of hazardous materials sites and
underground storage tank records
generated by EDR, Inc.
 Reviewing available historic aerial
photographs and topographic maps to help
identify prior land uses.
 Performing a brief visual of the Project from
the public right-of-way to document existing
conditions.
 Identifying sites of recognized
environmental conditions (REC) that may
have significant potential impact on the
Project construction and/or environment.
 Preparing a draft Phase I ESA report.
 Responding to one set of review comments
from the agency and providing a final
report.

The scope of services specifically excludes a
Phase II investigation for hazardous materials, an
evaluation for aerially deposited lead or other
chemicals of concern, and asbestos or lead-based
paint surveys. These services, if needed, can be
provided at an additional cost.

6.3.3 Air Quality
The Project is located within Orange County region
of the South Coast Air Basin (SCAB). The SCAB
region where the project is located is within a
nonattainment area for the federal 8-hour ozone
(O
3), lead, and particulate matter less than 2.5
micrometers in diameter (PM2.5) standards and
within an attainment/maintenance area for the
federal carbon monoxide (CO) and particulate
matter less than 10 micrometers in diameter
(PM
10) standards. Therefore, the Project is subject
to Transportation Conformity. A Supplemental Air
Quality Report will be prepared to address the
change in the Project design (reduction in number
of lanes, etc.), the updated traffic study that will be prepare, and the changes in air quality related
requirements. The Air Quality report will consist of
the following.

Regulatory Setting and Existing Conditions.

Summarize the existing federal, state, and local air
quality regulatory environment as it affects the
proposed project, and describe the location of
sensitive receptors in the project vicinity. Using
data provided by the California Air Resources
Board (ARB) and the South Coast Air Quality
Management District (SCAQMD), the report will
characterize existing air quality conditions in the
project area and explain how those conditions are
affected by local climate and topography.

Regional Conformity. Evaluate whether the project
meets regional transportation conformity
requirements by determining whether it is included,
as currently defined, in the most recent Regional
Transportation Plan/Sustainable Communities
Strategy (RTP/SCS) and Federal Transportation
Improvement Program (FTIP) prepared by the
Southern California Association of Governments
(SCAG).

Project-Level Conformity. Evaluate whether the
project meets project-level transportation
conformity requirements, which will also be used to
support the CEQA/NEPA analysis.
 Localized Carbon Monoxide Hot Spot
Analysis. Analyze the degree to which
project-related traffic volumes have a
potential to affect local carbon monoxide
(CO) concentrations using the California
Department of Transportation CO Hotspot
Protocol. It is anticipated that the CO
screening procedure will be appropriate,
and that CALINE-4 dispersion modeling will
not be required.
 Localized PM

2.5/PM10 Hot Spot Analysis.

The PM Hot Spot Analysis will assess the
degree to which project-related traffic
volumes have a potential to affect local
PM

2.5 and PM10 concentrations. ICF will
prepare the required PM Conformity
documentation and submit to Caltrans for
review and approval. Caltrans will then
forward the documentation to the SCAG
Transportation Conformity Working Group
(TCWG). ICF will lead the TCWG
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12 interagency consultation on behalf of the
Project Sponsor. Based on our review of
the proposed Project Description, it is
assumed that the project will not be
considered a Project of Air Quality Concern
(POAQC), and that a screening-level PM
conformity analysis will be sufficient.

Evaluation of Construction-Period Emissions. A
quantitative construction analysis will be performed
to evaluate regional and localized mass
emissions. Based on preliminary construction
scheduling and phasing information, construction
emissions will be quantified using the Road
Construction Emissions Model integrated into the
CalEEMod model.

Evaluation of Operations-Period Mass Emissions.

Regional criteria pollutant emissions will be
quantified using project-level vehicle miles traveled
(VMT) and current EMFAC emissions factors. In
order to accomplish this scope item, ICF must
receive project-level VMT for existing condition,
no-build condition for the opening year and horizon
year, and build alternative conditions for the
opening year and horizon year for each build
alternative.

Mobile Source Air Toxics. Evaluate proposed
project-related mobile source air toxics (MSATs)
emissions in accordance with FHWA updated
interim guidance on how MSATs should be
addressed in NEPA documents. It is assumed that
a quantitative analysis can be prepared.

Climate Change/Greenhouse Gas Emissions. A
quantification of operational-period greenhouse
gas (GHG) emissions associated with
implementation of the proposed project will be
conducted. Operations-period GHG emissions will
be quantified using regional daily VMT; and current
EMFAC emissions factors. ICF will present a
comparison of GHG emissions under the Build
Alternatives and the No-build Alternative to
characterize effects of the proposed project on
GHG emissions. The analysis of climate change
will also incorporate the most recent guidance
found on the Caltrans Standard Environmental
Reference (SER) and Caltrans annotated outline.

Construction GHG emissions will be quantified
using the Road Construction Emissions Model
integrated into the CalEEMod model.

Mitigation Measures. ICF will develop mitigation
measures, where applicable, to address significant
air quality impacts, if present.

6.3.4 Supplemental Noise Study Report
Due to the change in the Project design (reduction
in number of lanes, etc.), the updated traffic study
that will be prepared, and the presence of new
developments with noise sensitive receptors that
have been constructed since the previous NSR
was approved, a Supplemental Noise Study
Report (SNSR) will be prepared. It is assumed the
previously prepared NSR will be redone in its
entirety since it was prepared using an outdated
version of TNM, was based on the old Caltrans
Noise Protocol, and does not meet current
requirements. The SNSR will be prepared
consistent with the guidance included in Caltrans’
Protocol and Caltrans’ Technical Noise
Supplement.

ICF noise staff will identify noise sensitive land
uses and other features using platforms such as
Google Earth prior to the field survey. ICF will
consult with the Caltrans District 12 noise
specialist (if necessary) assigned to this project to
ensure that all requirements are addressed. ICF
will also prepare a Noise Work Plan for Caltrans
review and approval prior to initiating the noise
work.

Existing noise conditions will be quantified based
on noise measurements conducted at locations
along the project alignment. Short-term monitoring
(10 to 15 minutes) will be conducted during
daylight hours at selected locations in the project
area at up to eight (8) locations. Long-term
monitoring (24 hours or more) will be conducted
provided a safe and secure location can be
identified to leave a long-term sound level meter in
the project area at up to two locations.

ICF will prepare a traffic noise model that
addresses the updated Project design, using the
FHWA Traffic Noise Model (TNM) Version 2.5.

This scope assumes that MT will provide 3-D
Computer Aided Design (CAD) topographical
maps, with elevation contours at no greater than
two-foot resolution, that extend at least 500 feet
outside of the right of way in all directions. TNM
will be used to model worst hour traffic noise
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13 conditions at representative modeled receiver
locations under existing conditions and design-
year build and no build conditions with the
proposed Project. This scope also assumes that
the project engineer will provide as-built plans as
well as typical cross sections, alignment files, and
design files for all project improvements.

Traffic noise impacts for the Project will be
assessed under 23CFR772 by determining if
implementation of the Project is projected to result
in traffic noise levels under design-year conditions
that approach or exceed the FHWA noise
abatement criteria or if implementation of the
project is predicted to result in a substantial traffic noise increase (12 dB increase relative to the
existing) at noise-sensitive uses. If traffic noise
impacts are projected to occur, information on the
preliminary feasibility and reasonableness of noise
abatement, as defined in the Protocol, will be
evaluated and presented for use by decision
makers in considering noise abatement. ICF will
also evaluate potential construction noise impacts
using methods recommended by the U.S.

Department of Transportation and/or direction
included in Caltrans Standard Specifications (SS).

ICF will prepare a Supplemental (SNSR)
addressing the requirements of 23CFR772 in
accordance with guidance in the Protocol and
following the NSR format indicated in the Caltrans
Annotated Noise Study Report Outline. Should
impacts be identified, the SNSR will include a
preliminary noise abatement design to
schematically identify the location, height, and
extent of noise barriers needed to abate noise
impacts (if applicable). In accordance with Protocol
guidance, the description of noise walls will be
sufficient for environmental review of the Project,
but not for final design of the walls. It is assumed
that up to three (3) noise barriers will need to be
evaluated.

6.3.5 Noise Abatement Decision Report
ICF will prepare a Noise Abatement Decision
Report (NADR) analyzing the reasonable
allowance for any barriers and respective barrier
heights that meet the feasibility requirement and
design goal discussed in the SNSR.

The NADR will summarize reasonableness cost
allowances for barriers determined to be feasible in
the SNSR and compare these allowances to the
construction cost estimates for each barrier height
to identify any reasonable barrier and the barrier
heights to be included as abatement as part of the
project. This scope assumes that all cost estimates
for feasible walls will be provided by MT.

Comparisons between the reasonable cost
allowances and construction cost estimates will be
used to identify the preliminary cost
reasonableness of barriers. Any barrier found to be
reasonable will be identified and recommended as
abatement as part of the project.

It is assumed that up to three (3) noise barriers will
be evaluated in the NADR and that no noise
barriers will be determined to be reasonable.

Therefore, noise surveys are assumed to be not
required. If any noise barriers are determined to be
reasonable then noise barrier surveys would be
required and a scope and cost for this work will be
provided to MT and the City for approval prior to
conducting this effort.

6.3.6 Updated Caltrans Data Sheets
Provide an updated Caltrans Right of Way Data
Sheet (RWDS) for the project reflecting the change
in right of way impacts with the project design.

Monument will coordinate with the design team to
identify right-of-way acquisitions resulting from the
proposed improvements. Additionally, Monument
will provide information about existing conditions
within the project limits, including land use, and
any existing rights or encumbrances known to exist
on the affected properties. The specific steps
Monument will take to determine impacts and
estimate costs are as follows:
 Perform a GIS analysis to identify property
and rights potentially affected by the
proposed design
 Use publicly available data and other real
estate resources to confirm the ownership,
land use, zoning, lot size, and
improvements for each affected property.
 Perform a desktop inspection of properties
to confirm the probable acquisition type
(fee, easement, temporary construction
easement, etc.), including identifying
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14 existing uses or personal property to be
relocated (if any).
 Calculate the fee and/or easement area
(including temporary construction
easements) that will need to be acquired
for each impacted property using design
data and assessor boundary information.
 Estimate the total capital cost of acquisition
for all parcels, including real estate costs,
relocation assistance, severance damages,
loss of goodwill, fixtures and equipment,
demolition, and clearance.
 Estimate permit costs.
 Estimate the total support cost for all
parcels, including appraisal fees,
condemnation costs, title and escrow fees,
environmental fees, and consultant fees as
necessary.
 Escalate costs to anticipated right-of-way
acquisition date.
 Prepare a draft Caltrans Right of Way Data
Sheet using Caltrans Exhibit 17-EX-21
(Right of Way Data Sheet for Local Public
Agencies) for the Build Alternatives.
 Update the RWDS based on comments
from the design team and the City, and
submit a final Draft RWDS.
 Respond to comments from Caltrans R/W
as necessary and make required updates
to the Data Sheets.

Based on the properties identified by the design,
environmental, and real estate teams as impacted
by the Project, Monument will determine the
number and types of potentially displaced uses.

This research will be based on data sources,
including but not limited to County Assessor
Records, CRMLS, DataTree, LandVision, Costar,
and Google Maps. Monument will prepare a
discussion of displacements that would result from
each acquisition. The discussion will identify the
number and type of residences or businesses
affected, as well as the estimated number of
affected occupants or employees, as appropriate.

Monument will also perform a search to verify that
a sufficient number of comparable replacement
sites would be available to support relocation of
the displaced users.

Assumptions:
 RWDS will be prepared for a maximum of 1
Build Alternative.
 Maximum of 2 updates based on
comments from the City and Caltrans.

6.3.7 Relocation Impact Memorandum
A Relocation Impact Memorandum will be provided
for the NEPA revalidation. The document will be
updated based on City and/or Caltrans
comments as appropriate and submit a Final for
the revalidation.

Task 6 Deliverables:
 Updated CEQA SE
 Updated Project Description, Project
Vicinity Map, Project Location Map and
Project Layout Map
 Draft Environmental Re-Validation for City
and then Caltrans review
 Revised Draft Environmental Re-Validation
for City and Caltrans review
 Final Environmental Re-Validation for City
review and Caltrans review and approval
(assumes no additional comments)
 Draft & Final Technical Study Updates
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15 Task 7 Roadway/Civil Improvements
The full suite of roadway, traffic, lighting, utility,
drainage and landscape plans will be produced,
adhering to the City and SCRRA submittal
requirements.

7.1 Concept Development
Mark Thomas will provide preliminary geometric
drawings for the Metrolink “A” submittal (5%) level.

The geometric drawings will include the following:
 Plans, typical sections, profiles (Santa Ana
Boulevard, Fuller Street, Logan Street,
entrance to SARTIC).
 Plans will generally include geometric
conditions, striping configuration, drainage
considerations, right of way impacts, and
approximate limits of grading.
 Any nonstandard design elements will be
documented (City, SCRRA) and will be
included in a memorandum as part of Task

4.1 and 4.2.
 Preliminary Bridge Improvement Layout for
up to two (2) bridge alternatives.
 Preliminary Stage Construction Concept.

7.2 Roadway Improvements
Mark Thomas will develop the following
improvement plans for the standard sequence of
35%, 65%, 95%, 100%, and Final.

7.2.1 Roadway Plans
The following sheets (and number of sheets) are
anticipated for the Santa Ana Boulevard
Underpass:
 Title / Index / Key Map / General Notes (5)
 Typical Sections (4)
 Disposition and Demolition Plans (5, 20
Scale)
 Roadway Design plans Santa Ana
Boulevard (4, 20 Scale)
 Profiles Santa Ana Boulevard (4, 20 Scale)
 Roadway Plan and Profiles Other Streets
(9, 20 Scale)
 Intersection Grid Details (2, 10 Scale)
 Curb Ramp / Driveway Details (5, 10 Scale)
 Offsite Grading (6, 20 Scale)
 Miscellaneous Details (2)
 Grading Sheets (5, 20 Scale)
 Total Sheets: 51

7.2.2 Survey Control Plans
Mark Thomas will prepare the Survey Control
plans sheets for the 65%, 95%, 100%, and Final
submittal phases of the Engineering Design. It is
assumed that the following is required:
 Survey Control Plan (2)

7.2.3 Signing & Striping
Mark Thomas will develop signing and striping
plans for Santa Ana Boulevard, covering the
segment from Santiago Street to Grand Avenue, to
support the integration of the grade separation
between Santa Ana Boulevard and railroad.
 Signing & Striping Plan (1, 40 scale)

7.2.4 Staging, Traffic Handling, Detours, Site
Control and Fencing Plan
Mark Thomas will develop staging and traffic
handling plans following the latest CAMUTCD
edition. At each stage, at least one travel lane in
both directions and pedestrian access along Santa
Ana Boulevard will remain open. The detour plans
will be based on the latest CAMUTCD edition. The
Site Control and Fencing Plan includes identifying
right-of-way and easement limits, and applicable
railroad agency and city standards, and
coordination with the railroad agency and city to
confirm site control and fencing requirements. The
plan shall identify permanent and temporary site
control areas and define required fencing along the
rail corridor and construction limits to protect
railroad operations, the public, and construction
activities. Fencing limits, types, heights, and gate
locations shall conform to City standards, railroad
standards, and agency’s safety requirements.
 Stage Construction / Traffic Handling Plans
(12, 40 scale)
 Detour Plans (2, 200 scale)
 Site Control and Fencing Plans (3, 40
scale)
 Total Sheets: 17
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16 7.2.5 Traffic Signal & Interconnect
It is assumed that the following is required:
 One traffic signal modification at Santa Ana
Boulevard/Santiago Street (City)
 One new traffic signal at Santa Ana
Boulevard/Fuller Street (City)
For traffic signal modifications the City will request
new service cabinets, controller cabinets, controller
hardware, and poles, as well as traffic signal
interconnect and fiber.

Record drawings will be collected for electrical
systems from Caltrans and City of Santa Ana,
including Traffic Signals, Street Lighting,
Interconnect, and Caltrans Fiber Optic
Communications. A field visit will be performed to
confirm (where possible) the data described in the
record drawings and collect information that will be
needed to perform the design.

It is assumed there are no traffic monitoring (TMS)
features and that updates to the ramp meters will
not be required. This scope does not assume
temporary traffic signals will be required.

Our sheet assumptions associated with the above
design requirements are as follows:
 City Traffic Signal Plans (2)

 Traffic Signal Interconnect (1)
 Total sheets: 4

7.2.6 Street and Pedestrian Lighting
Street lighting will be provided along Santa Ana
Boulevard and Fuller Street. Pedestrian level
lighting along the pedestrian path from Santiago
Street to the pedestrian bridge, the stairs, the
pedestrian bridge, and the pedestrian promenade.

It is assumed that no Caltrans lighting is required.

Fehr & Peers will prepare photometric calculations
in support of the street lighting and pedestrian
scale lighting plans.

The following sheets are anticipated:
 Street Lighting Plans (2)

7.2.7 Utility Plans
Utility plans will be provided within the project
limits. Existing utilities (type, owner, disposition)
will be shown. Proposed utilities will be added to
the plans as the utility coordination advances and
utility relocation plans are being developed. A
Utility Pothole table will be included when
available. The following sheets are anticipated:
 Utility Plans (6)

7.2.8 Water Main Relocations
Tetratech will prepare construction drawings for
the Water Main relocations for the 35%, 65%,
95%, 100%, and Final submittals. It is assumed
that the following is required:
 General notes / abbreviations / construction
notes (1)
 Horizontal control plan (1)
 Key map for pipeline alignments (1)
 Plan and Profile sheets (5, 20 scale)
 Detail sheets with existing pipeline
connection details, service line/meter detail,
valve detail, hydrant detail, casing detail
and miscellaneous details (2)
 Total Sheets: 10

7.2.9 Sewer Main Relocations
Mark Thomas will prepare construction drawings
for the Sewer Main relocations for the 35%, 65%,
95%, 100%, and Final submittals. It is assumed
that the following is required:
 Plan and Profile sheets (3, 20 scale)
 Detail sheets (2)
 Total Sheets: 4

7.3 Drainage Improvements

7.3.1 Hydrology & Hydraulics Report
Tetra Tech will prepare hydrologic and hydraulic
analyses, calculations, and reports to support
required storm drain relocation and realignment.

Our analysis will begin with reviewing existing
documents as well as Orange County Flood
Control drainage systems and as-built documents
including review of topographic data and street
improvement plans in the vicinity of the project
area that will be provided by the City to understand
the flow patterns of the existing drainage area and
EXHIBIT 3

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17 future proposed conditions. There will need to be
confirmation if the Interstate 5 sump to the north
outputs it’s pumped flow to a pipe that leads to the
south to the project site to join the main drainage
pipe. This includes a site visit to the project site to review the watershed and the Caltrans pump
station.

Based on topographic data, the improvement
plans, and confirmation of the drainage patterns to
the site through coordination with Orange County
Flood Control District and Caltrans, Tetra Tech
WTR will conduct a series of analyses based on
the OCPW Hydrology Manual (OCHM)
methodology generating high confidence flows
(per the OCHM Addendum) for flood control
design purposes that will include the following:
 A Hydrology Study. This will include an
existing condition baseline study of the
watershed, flow paths, concentration
points, and routing delineations based on
topography and pipe
dimensions/elevations. It also includes land
use, and land cover per the Orange County
hydrology manual and available Orange
County geomatics data.
 Rational Method Analysis. Using the
hydrology input, the rational method will be
implemented in AES to determine time of
concentration and designed discharges for
the 10, 25, and 100 year events which
aligns with both the City of Santa Ana and
Orange County Public Works (OCPW)
requirements.
 Unit Hydrograph Analysis. Using the
hydrology input, a unit hydrograph method
will be implemented also to determine
volumes discharged to the proposed pump
station.
 WSPG Analysis. Pipe hydraulics will be
conducted using the Los Angeles County
2018 WSGP software for all the proposed
pipe systems that lead to the proposed
pump station and pump station outlet pipe
to the existing storm drain system. If the
Caltrans pump on Interstate 5 to the north
discharges into the project area, an
evaluation of that pump system and
resulting outflows will be included based on
provided data.
 Street Flow/Catch Basin analysis. Street
flow hydraulics of the existing roadway and
catch basins will be analyzed for the
roadway hazard during design storm
events.
 Proposed Condition Alternative Measures.

Conceptual designs will be developed to
minimize storm flows to the proposed
project grade crossing and associated
pump station location. This will evaluate
measures that may include diverting flows
around the project site, detaining water in
basins or offline catchments, and
stormwater infiltration.
 A technical memorandum will be prepared,
summarizing the baseline existing condition
of the project drainage area and include
study assumptions, results, and findings for
each task previously listed to inform the
pump station proposed design and
potential alternative measures that could be
incorporated to limit the pump station
sizing.

After review and incorporation of the results of the
baseline study by the project design team and
pump station design team, a proposed condition
analysis will be performed incorporating new
grading, drainage patterns, and pump station and
pipe locations, etc. This will include:
 Proposed condition Hydrology Study
 Proposed condition Rational Method
Analysis
 Proposed condition Unit Hydrograph
Analysis
 Proposed condition WSPG analysis to
include HEC-HMS for modeling the pump
station functionality
 Proposed condition Street Flow/Catch
Basis analysis, and
 Proposed condition Technical
Memorandum
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18 7.3.2 Pump Station (inclusive of structure,
electrical, mechanical, SCADA) and
Retention Basin
The design of the pump station and retention
design includes the following:
 Storm Water Pump Station including civil,
mechanical, electrical, control and
instrumentation and
 structural
 Separate electrical building
 Below grade storage
 Flow Control Discharge Valve Vault
 Connection to existing City storm drain
facility
At time or proposal we envision the following
process:
 Mark Thomas Company will provide a
single point of connection for the storm
water conveyance within Santa Ana
Boulevard to a location near the storm
water pump station. The pump station will
include integral trash screens, a sediment
pit, weir wall and adjacent wet well for
submersible pumps. The storm water
pumps are assumed to be driven by
variable frequency drives.
 The storm water pump station will convey
storm water to an underground retention
structure
 The underground retention structure is
assumed to be either a cast-in-place
concrete underground storage tank or
multiple HDPE cylindrical storage tanks
 A flow control vault with a motor operated
modulating plug valve to control the
downstream water elevation into the City’s
existing system.

Our scope of work includes preparing civil,
mechanical, structural, and electrical and controls
and process and instrumentation construction
drawings for a stormwater pump station and
retention design.

Design Plans for the pump station and retention
design are expected to include the following
sheets:
 General Notes, Abbrev and Const Notes
(1)
 Horizontal Control Plan (2)
 Overall Site Plan (1)
 Storm Water Pump Station Site Plan (1)
 Storm Water Pump Station Grading Plan
(1)
 Storm Water Tank Site Plan (1)
 Storm Water Tank Grading Plan (1)
 Yard Piping Stormwater Pump Station Plan
(1)
 Yard Piping Stormwater Storage Tank Plan
(1)
 Plan and Profile (4)
 Civil Details (3)
 Mechanical Pump Station Plan (1)
 Mechanical Pump Station Sections (1)
 Mechanical Stormwater Discharge Control
Vault Plan (1)
 Mechanical Stormwater Discharge Control
Vault Sections (1)
 Mechanical Details (3)
 Structural General Notes (1)
 Structural Design Criteria (1)
 Structural Special Inspections and
Observations (1)
 Structural Pump Station Foundation Plan
(1)
 Structural Pump Station Intermediate Floor
Plan (1)
 Structural Pump Station Roof Plan (1)
 Structural Pump Station Sections (3)
 Structural Valve Vault Foundation Plan (1)
 Structural Valve Vault Roof Plan (1)
 Structural Valve Vault Section (1)
 Structural Pump Station and Valve Vault
Details (6)

Structural Electrical/Control Building
Foundation Plan (1)
 Structural Electrical/Control Building Roof
Plan (1)
 Structural Electrical/Control Building
Sections (1)
 Structural Electrical/Control Building
Elevations (2)
 Structural Electrical/Control Building Details
(3)
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19  Structural Stormwater Water Tank
Foundation Plan (1)
 Structural Stormwater Water Tank Roof
Plan (1)
 Structural Stormwater Water Tank
Elevations (2)
 Structural Stormwater Water Tank Details
(4)
 Electrical General Sheet (1)
 Electrical Stormwater Pump Station Site
Plan (1)
 Electrical Stormwater Pump Station Power
Plan (1)
 Electrical Stormwater Pump Station Control
Plan (1)
 Electrical Stormwater Pump Station
Lighting Plan (1)
 Electrical Stormwater Pump Station
Grounding Plan (1)
 Electrical Stormwater Tank Power and
Control Plan (1)
 Electrical Stormwater Control Building
Power Plan (1)
 Electrical Stormwater Control Building
Control Plan (1)
 Electrical Stormwater Control Building
Lighting Plan (1)
 Electrical Stormwater Control Vault Power
and Control Plan (1)
 Electrical Stormwater Control Vault Lighting
Plan (1)
 Electrical Single Line Diagram (1)
 Electrical Conduit Schedules (2)
 Electrical Pump Control Schematic (1)
 Electrical Details (3)
 P&IDs (3)
 Total sheets: 80
Tetra Tech will rely on geotechnical design
parameters provided by Mark Thomas.

It is assumed the Pump Station and retention
improvements are within properties that will be
affected with the Project. Therefore, Tetra Tech will
prepare the needed plans for relocation or
demolitions and re-establishment (such as
irrigation, landscape, electrical services, lighting,
gas services, communication, etc.).

7.3.3 Storm Drain Plans
Mark Thomas will prepare construction drawings
for the Storm Drain Plan relocations for the 35%,
65%, 95%, 100%, and Final submittals. It is
assumed that the following is required:
 Plan and Profile sheets (5, 20 scale)
 Detail sheets (2)
 Total Sheets: 7

7.4 Water Quality

7.4.1 WQMP
Tetra Tech will prepare a WQMP for the project as
required for urban runoff from municipal separate
storm systems (MS4 Permit). The scope of the
WQMP shall include recommendation for post
construction permanent best management
practices (BMP’s), including source control
(structural and non-structural) and treatment
BMPs.

Scope assumes recommendations for BMPs shall
be incorporated into the projects PS&E for the
design tasks by Mark Thomas. Base project data
for SWPPP preparation (areas, slopes, etc.) will be
provided.

Scope assumes SWPPP will be provided by the
construction contractor per the RFP.

7.4.2 Water Quality/BMP Plans
Mark Thomas will prepare construction drawings
for the Water Quality/BMP Plans for the 35%,
65%, 95%, 100%, and Final submittals. The
Layout and details will be included in the Storm
Drain Plans and Details as part of task 7.3.3.

7.5 Planting & Irrigation
Mark Thomas will prepare Planting and Irrigation
plans for the 35%, 65%, 95%, 100%, and Final
submittals. a conceptual planting layout plan and a
plant palette for City review prior to proceeding
with the 65% submittal. The following submittal
milestones will incorporate updates based on the
City’s comments on the conceptual planting layout
plan. The planting plans will include a complete
plant layout, plant callouts and notes, and quantity
sheets. Shrubs will be shown with hatch patterns
in the PS&E package.

The irrigation layout will be prepared and will
include irrigation head and valve locations, valve
callouts, and point-of-connection callouts and
EXHIBIT 3

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SANTA ANA BOULEVARD GRADE SEPARATION
20 notes. Lateral line sizing and notation will be
included at the 95% submittal. The irrigation
system is assumed to be a new system connecting
to the existing water meters.

If as-built drawings with sufficient information are
not available, planting and irrigation removal and
repair areas will be identified with callouts only.

It is assumed that the following is required:
 Irrigation Notes and Legend (1)
 Irrigation Plans (4)
 Irrigation Details (2)
 Planting Notes and Legend (1)
 Planting Plans (4)
 Planting Details (1)
 Total sheets: 13

7.6 Specifications
Mark Thomas will prepare specifications packages
using the latest APWA Standard Specifications for
Public Works Construction (Greenbook)/Caltrans
Standard Specifications and consistent with the
current City format. We anticipate the City will
provide the boilerplate contract documents to be
included in the specifications package. We will
work with the City on assembling the entire
contract document package. Specifications will be
provided, starting with full special
provisions/technical specifications at the 65%
PS&E submittal. The 95%, 100%, and Final PS&E
submittals will include a response to comments
from subsequent submittals.

7.7 Quantities & Cost Estimates
A cost estimate will be prepared to inform the City
of the upcoming financial obligation and to provide
an engineer’s estimate as a basis for the design.

The estimate will show quantities and unit prices
for each work item along with appropriate
mobilization and contingency costs. For structural
items, Caltrans BEES format will be used. We will
research the latest unit prices available, Caltrans
database information and Caltrans latest
Construction Cost Manual, and consult with the
City on specific prices and use our own information
from other recent bids as available to ensure the
unit prices are current. We will also coordinate and
conduct value engineering study/analysis for any
proposed improvements during the design. The
estimate provided will be updated based on City
comments and market data at the 35%, 65%, 95%,
100%, and Final PS&E submittals that include a
response to comments from subsequent
submittals.

All estimate submittals will be both in excel and
PDF formats with each submittal.

7.8 Construction Schedule
Mark Thomas will provide a detailed CPM method
schedule of construction activities in Microsoft
Project format based upon our assumed staging
plans and design efforts. The initial Construction
Schedule will be supplied at the 65% PS&E
submittal with updates with the 95%, 100%, and
Final PS&E submittals that include a response to
comments from subsequent submittals.

Task Deliverables:
 Concept Submittal to SCRRA
 Planting Concept
 30%/60%/90%/100%/Final Plan and Cost
Estimate Submittals aligned with SCRRA
 60%/90%/100% Specifications &
Construction Schedule
Task 8 Railroad & Structural Design

8.1 Track Plans

8.2 SCRRA Rail Bridge

8.2.1 Type Selection
Biggs Cardosa will develop a structure selection
analysis in accordance with §11.6.1 of the SCRRA
Design Criteria Manual for the railroad bridge.

Along with discussing span arrangement,
substructure configuration, etc., constructability will be a primary focus of the Bridge Type Selection
Report. Attachments will include a Bridge General
Plan and a rough order of magnitude construction
cost estimate.

Assumptions:
 The Bridge Type Selection Report will be
focused on a single alternative based on
SCRRA concurrence on Limited Work
Windows and Absolute Work Windows
scenarios.
 This scope does not anticipate the
preparation of multiple superstructure and
EXHIBIT 3

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21 substructure alternatives. Rolled steel
beams are assumed to be the most
preferable alternative for SCRRA and the
City, and Type I or Type II CIDH or CISS
foundations will be preferrable over a pile
cap.
 One (1) construction staging alternative will
be considered for the Bridge Type
Selection Report. Alternative may include:
1) Piles located outside of tracks to
minimize railroad work windows, 2) piles
located within tracks that would reduce
structure cost but would require longer
Limited Work Windows in addition to
Absolute Work Windows, and 3) an
alternative that could eliminate the need to
use Slide -In Bridge Construction.
 The rough order of magnitude construction
cost estimate will be based on estimated
costs per square foot. Detailed quantity
calculations and development of unit prices
are not anticipated for this task.
 This scope assumes one (1) round of
review comments from SCRRA and the
City will be provided concurrently, or that
the City will review prior to submission to
SCRRA.

8.2.2 Plan Preparation
Biggs Cardosa will prepare plans and structural
calculations for the railroad bridge. Plans are
anticipated to include a General Plan, General
Notes, Foundation Plan, Bent and Abutment
Layouts, Staged Construction Details, and detail
sheets.

The following sheets (and number of sheets) are
anticipated for the Santa Ana Boulevard
Underpass:
 General Plan (1)
 Typical Sections (1)
 General Notes (2)
 Construction Staging (8)
 Foundation Plan (1)
 Abutment & Bent Layouts and Details (8)
 Girder Layout & Details (6)
 Bearing Details (2)
 Walkway Details (1)
 Waterproofing Details (1)
 Deck Drain Details (1)
 Architectural / Aesthetic Details (2)
 Approach Slab Details (2)
 Total Sheets: 36
To maintain independence for the check
calculations, Biggs Cardosa recommends that the
65% structural calculations be transmitted to the
City and SCRRA (if required), but the independent
review team should not review until both firms are
ready to reconcile structural calculations.

Assumptions:
 The 35% Plans are anticipated to consist of
the General Plan prepared for the Bridge
Type Selection Report and a Foundation
Plan.
 This scope assumes that the bridge
drawings will be developed with traditional
2D linework, and Mark Thomas or others
will use the 2D linework to develop 3D
models for visualization purposes.
 This scope assumes that the preferred
alternative resulting from Task 8.2.1 is
consistent with the general assumptions in
this Scope of Work, and that the selected
construction staging alternative will consist
of constructing foundations outside of the
tracks and using Slide-In Bridge
Construction methods.
 Structural calculations will be prepared in
accordance with AREMA, SCRRA design
criteria, and Caltrans manuals. Structural
calculations will be submitted at the 65%
milestone (Draft), reconciled with the
independent structural check calculations,
and then a Final set of structural
calculations will be prepared. The Final
Structural Calculations will be signed and
sealed by a licensed engineer in the State
of California.
 Biggs Cardosa will supply plans and
structural calculations for inclusion in the
SCRRA submittal packages at the City-
specified milestone submittal (e.g. the 65%
plans will be packaged by other into a 60%
SCRRA submittal).
 Comments received on a milestone
submittal will be addressed at the
subsequent submittal. This scope does not
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22 assume preparation of Draft 65% Plans
and Final 65% Plans, for example.

8.2.3 Independent Check
An independent design check of the rail bridge will
be performed in conformance with Caltrans Bridge
Design and Details Manual and SCRRA standards
and design manuals. Calculations will be
performed to check the bridge layouts and
structural integrity. Upon completion of the
independent check, discrepancies between the
designer and checker will be reconciled for plan
updates in the following submittal.

8.3 Pedestrian Bridge

8.3.1 Type Selection
Mark Thomas will prepare a Structure Type
Selection Report to assist the City in determining
the best suited structure type for the project. The
Type Selection Report will discuss geotechnical,
hydraulic, seismic, constructability, aesthetic,
utility, and drainage issues related to the structure.

A final proposed alternative will be recommended
in the report, which will include a General Plan,
Foundation Plan, and General Plan Estimate for
the recommended alternative.

The pedestrian bridge is assumed to be a two-
span, prefabricated steel truss structure. No other
bridge superstructure types will be considered.

8.3.2 Plan Preparation
Mark Thomas will prepare structural calculations
and plans for the recommended bridge alternative.

For the purposes of this scope of work, it is
assumed that a two-span, prefabricated steel truss
is the preferred structure alternative. The structure
design will be in accordance with AASHTO LRFD
Guide Specification for the Design of Pedestrian
Bridges, 2nd Edition with the California
Amendments and Caltrans Seismic Design
Criteria, Version 2.1. The 2025 Caltrans Standards
and current versions of the Caltrans Structure
Technical Policies and Bridge Design Manuals will
be used. It is assumed that the following plan
sheets will be prepared:
 General Plan (1)
 Index to Plans (1)
 Deck Contours (1)
 Foundation Plan (1)
 Abutment Layout (2)
 Abutment Details (3)
 Bent Layout (1)
 Bent Details (3)
 Typical Section (1)
 Girder Layout (1)
 Girder Details (2)
 Railing Details (1)
 Joint Details (1)
 Miscellaneous Details (1)
 Log of Test Borings (3)
 Total Sheets: 23

8.3.3 Independent Check
Mark Thomas will perform an independent design
check of the pedestrian bridge in conformance with
Caltrans bridge design procedures. The
independent check will be completed by an
engineer who was not involved in the original
design of the structure. Calculations will be
performed to check the bridge layouts and
structural integrity. Upon completion of the
independent check, discrepancies between the
designer and checker will be reconciled and plans
updated.

8.4 Retaining Walls

8.4.1 Plan Preparation
Mark Thomas will prepare structural calculations
and plans for the retaining walls, including
staircase details between retaining walls adjacent
to northwest corner of the Pedestrian
Overcrossing, with the proposed wall type for each
location. For the purposes of this scope of work, it
is assumed that combination of soldier pile walls
and/or secant pile walls (top down construction
method) and a Cast-In-Place (CIP) gravity
cantilever concrete retaining walls (bottom up
construction method) will be utilized for the 6 wall
locations.

The structure design will be in accordance with
AASHTO LRFD Bridge Design Specifications, 8th
Edition with the California Amendments and
SCRRA standards and design manuals. The 2025
Caltrans Standards and current versions of the
Caltrans Structure Technical Policies and Bridge
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23 Design Manuals will be used. It is assumed that
the following plan sheets will be prepared:

Retaining Walls Sheet Description
 General Plan (1)
 Index to Plans (1)
 General Notes (1)
 Construction Details (1)
 Structure Plan (9)
 Wall Details (8)
 Drainage Layout (2)
 Drainage Details (2)
 Railing Details (2)
 Aesthetic Details (1)
 Miscellaneous Details (2)
 Log of Test Borings (6)
 Total Sheets: 36

8.4.2 Independent Check (non-std walls)
Mark Thomas will perform an independent design
check of the retaining walls in conformance with
Caltrans bridge design procedures. The
independent check will be completed by an
engineer who was not involved in the original
design of the structure. Calculations will be
performed to check the layouts and structural
integrity. Upon completion of the independent
check, discrepancies between the designer and
checker will be reconciled and plans updated.

8.5 Entry Pavilion/Canopy Remodel
Pavilion Structures work consists of removing
existing Entry Pavilion and portion of existing
Canopy structure. Mark Thomas will prepare
structural calculations and plans for the cut and
reface of the canopy structure. For the purposes of
this scope of work, it is assumed that the cut and
reface will match existing and City will provide all
as-built plans for the existing Canopy structure and
Entry Pavilion Structure. The structure design will
be in accordance with California Building Code
(CBC, 2025), California Existing Building Code
(CEBC, 2025) and ASCE 7-22. It is assumed that
the following plan sheets will be prepared:

Pavilion Structure Sheet Description
 Structural general notes, design criteria,
special inspections (2)
 Structural demolition plan (1)
 Demolition details, sequencing, temporary
shoring, and protection notes (1)
 Structure Site Plan (1)
 Platform Canopy Details (1)
 Canopy Foundation Plan and Framing
Plan (1)
 Platform and Connection Details (1)
 Additional Concrete Details (1)
 Additional Canopy Details (2)
 Total Sheets: 11
Mark Thomas will perform an independent design
check of the Pavilion Structures in conformance
with CBC, CEBC, and ASCE 7 design
requirements. The independent check will be
completed by an engineer who was not involved in
the original design of the structure. Calculations
will be performed to check the layouts and
structural integrity. Upon completion of the
independent check, discrepancies between the
designer and checker will be reconciled and plans
updated.

8.6 Aesthetics
Structure aesthetics concept design and details will
be prepared during PS&E for bridge and retaining
walls, including up to one (1) plan sheet, one (1)
section sheet and two (2) detail sheets to support
the MT Transportation and Structure Team. The
aesthetic design scope assumes one design per
component, including the bridge barrier, pedestrian
overcrossing barrier, fence, and retaining walls.

8.7 Geotechnical Investigation & Report
Geotechnical design shall be conducted in
conformance with current City, Caltrans, and
SCRRA standards, design manuals, and
requirements.

Consultant shall conduct a site visit to observe the
topography and visualize the proposed
improvements at the project location. Consultant
shall review available subsurface data from nearby
structures or published geologic maps, to
determine general subsurface conditions at the
project site. Geotechnical borings shall be
performed by the Consultant.

Consultant shall provide geotechnical, geologic
and seismic design recommendations. Consultant
shall provide geotechnical and foundation
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24 recommendations for roadway, bridges, retaining
walls, and other structures as required.

Consultant shall prepare a preliminary
geotechnical report with information gathered
during the site visit and review of existing
subsurface data, geotechnical borings, results
obtained from the alternative analysis and the
preliminary bridge and retaining wall foundation
data.

Consultant shall prepare and submit a geotechnical
review and exploration plan for the City to review.

Consultant shall obtain right-of-entry permits prior
to exploration. Geotechnical borings within the
railroad ROW or adjacent with the potential to foul
the tracks will require SCRRA review with right of
entry permit, training, and flagging. To reduce the
delay in permitting and flagging time, borings will
be placed outside of the railroad ROW.

Consultant shall conduct subsurface investigation
per AASHTO requirement and evaluate the results
in accordance with specified testing criteria.

AASHTO requires a soil boring at each bridge
support location where substructure width is less
than 100 feet; minimum of two borings are required
per location where substructure width is greater
than 100 feet. Since the bridge substructure width,
measured from one edge of the pedestrian bridge
to the other edge of the railroad bridge, is less than
100 feet, one set of borings is sufficient for both
bridges.

For retaining walls, a soil boring is required every
100 to 200 feet. For pavement, a boring shall be
performed every 500 to 750 feet. Based on this
information, consultant’s geotechnical field
investigations plan is presented in the table below.

The proposed approximate boring depths will be
raised if refusal is encountered. The boreholes will
be excavated using a truck-mounted or track-
mounted drilling rig. Asphalt concrete cold-patch
will be used to replace asphalt that is removed by
excavations. Consultant shall analyze the results
and present them in the geotechnical report. The
geotechnical report shall be prepared to include
recommendations for design and construction of
bridge foundations, earth retaining structures, cut
and fill slopes, pavement, and drainage facilities
Results obtained from the field and laboratory
testing shall be used to establish an idealized soil
profile and strength parameters for bridge and
retaining wall foundation design, and slope stability
and settlement calculations for the approaches.

Consultant shall provide information on
remediation measures if the site soils are corrosive
to concrete or steel structures. R-value shall be
used to determine composite pavement structural
sections using Traffic Indices.
.

Design Element Number of
Borings
Approximate
Depth (feet)
2 125Rail Bridge and
Pedestrian Bridge 2 175
Retaining Walls 3 30 – 60
Roadway
Improvements 3 5 – 10
A qualified geotechnical engineer shall prepare a
Geotechnical Report for foundation design of the
bridges, retaining walls, pump station, and
roadway pavement and embankment. Sufficient
borings and material samples shall be taken to
determine the road structural section and slope
stability. Consultant shall propose a Traffic Index
(TI) for the all lanes and obtain City concurrence. It
shall be the responsibility of the Consultant to
notify Underground Service Alert and provide
traffic control. Consultant shall tie position of
boring locations, with elevation.

The Foundation Report shall also include:
 Nature of materials found on the site.
 Liquefaction potential.
 Any geological hazards that may exist and
recommend mitigation measures.
 Seismic design data in accordance with
Caltrans / AREMA seismic design criteria.

It shall be assured that the design parameters and
potential construction difficulties are identified and
addressed, together with the proper mitigation
measures in the Geotechnical Report. For the
bridge structure, alternative types of foundations
shall be evaluated to insure the selection of the
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25 most suitable type of foundation. A log of Test
Borings sheet shall be prepared and included as
part of the report and as part of the structure plans.

This Log of Test Borings sheet shall be prepared in
accordance with Caltrans Standard Procedures.
 Laboratory Testing – Bulk and disturbed /
undisturbed samples shall be selected for
laboratory testing. All tests shall be
conducted in accordance with Caltrans
Test Methods or ASTM Standards.
 Engineering Analyses – Results obtained
from the field and laboratory investigation
program shall be used to establish
idealized soil profiles and design soil
parameters for bridge foundation design.

Assumptions
 No permit fee was assumed for the City
encroachment permit. $3,000 was allocated
for County well permits.
 Railroad entry permit, railroad insurance,
and flagging are not needed.
 Private property permits and access will be
provided by others.
 Site-specific traffic control plans are not
required; CA MUTCD will be used for traffic
control plans.
 No time-history or site-specific ground
response analyses.
 Borings will be patched with rapid set
concrete with black dye to replace asphalt
that is removed by excavations; no hot
mix/sawcut repair.

Task 8 Deliverables:
 Concept Submittal “A” to SCRRA
 30%/60%/90%/100%/Final Plan and Cost
Estimate Submittals aligned with SCRRA
submittals “B” through “E”.
 60%/90%/100% Specifications &
Construction Schedule
 Aesthetic Concepts
 Draft and Final Geotechnical Report
Task 9 Right of Way

9.1 R/W Requirements Map

9.2 Legal Descriptions & Plats
Mark Thomas will prepare up to twenty (20) legal
descriptions and plat map exhibits for required real
property interests, including but not limited to any
temporary construction easement and/or right or
entry agreements. Legal descriptions and plats to
be prepared under the responsible charge of a
California Licensed Professional Land Surveyor.

Assumptions
 Upon changes from coordination with
corresponding agencies or due to
construction, up to two (2) revision rounds
will be made to each legal description and
plat map. Revisions to be minor geometric
or dimension changes only.

Task Deliverables
 Twenty (20) Legal Description & Plat Map
Exhibits and traverse closure calculations
in PDF format

9.3 Appraisal Maps
Utilizing the completed landnet basemap will help
establish existing rights necessary for planning
acquisition needs. Mark Thomas will utilize ArcMap
GIS to create a consolidated database of
ownership and potential acquisition areas. An
Appraisal Map Exhibit will be produced, showing
proposed acquisitions overlaid on aerial imagery.

These exhibits are designed to be clear and easily
understood by appraisers, land agents, and
property owners. It is assumed that a single plan
sheet covering the project limits will be prepared.

9.4 Appraisal Services
Title Reports
Monument will procure preliminary title reports and
copies of all underlying documents for each
property to determine present ownership,
encumbrances affecting the subject property, and
matters to be cleared and taken “subject to” as part
of the transaction. Monument will perform the
following:

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26  Order and examine Preliminary Title
Reports/Litigation Guaranties, determine
title deficiencies, develop a plan to resolve
and cure title deficiencies, and clear liens
and encumbrances.
 Deliver all necessary documents to the title
and escrow companies and shall be
responsible for the preparation and
completion of such documents. Monument
will be responsible for managing and
monitoring the title and escrow companies
to ensure timely delivery.
 Assist the City, its consultants, and agents
in resolving issues affecting marketable title
to properties through, among other things,
recordation of corrective instruments and/or
other appropriate means.
 Provide necessary assistance to the City to
clear exceptions stated in the preliminary
title report unless waived by the City in
writing.
 Record releases of deeds of trust, grant
deeds, certificates of acceptance, and other
related documents required with respect to
the transfer of each property.

Upon completion of the project, provide the Policy
of Title insurance; the cost of such will be paid
directly by the City through escrow.

Deliverables
 Up to 11 Title reports
Assumptions:
 The title report for the County of Orange
(OC Public Works Facilities Operations) is
to be combined into a single title report.
 A separate Title Report for the railroad is
required.

Appraisals
All appraisals and appraisal reviews used for the
acquisition of real property will be prepared in
accordance with 49 CFR Part 24 and the Uniform
Standards of Professional Appraisal Practice
(USPAP). A single self-contained appraisal report
will be prepared for each property acquisition that
will contain relevant project-related data, subject
property information, market comparables, and an
analysis of the appraiser’s value conclusions.

During the appraisal process, Monument will be
responsible for the following tasks:
 Prepare appraisal scope, fee, and schedule
for each property.
 Prepare and deliver appraisal notices to
property owners.
 Conduct field reviews of property with
appraiser.
 Make weekly contact with appraisers to
update progress.
 Review appraisal reports for quality and
accuracy.

Appraisals will be prepared in accordance with
USPAP requirements, and will contain the
following:
 Adequate description of the physical
characteristics of the property being
appraised (and, in the case of a partial
acquisition, an adequate description of the
remainder).
 Any identified personal property.
 Statement of any known or observed
encumbrances and the location, zoning,
present use, and year sales history of the
property.
 An analysis of the property’s highest and
best use.
 All relevant approaches to value are
consistent with established federal
appraisal practices. If more than one
approach is used, there will be an analysis
and reconciliation of the approaches to
support the appraiser’s opinion of value.
 A listing and analysis of comparable sales,
including a description of all relevant
physical, legal, and economic factors such
as parties to the transaction, source, and
method of financing, and verification by a
party involved in the transaction.
 A statement of the value of the real
property interest to be acquired and, for a
partial acquisition, a statement of the value
of the damages and benefits, if any, to the
remaining real property, where
appropriate.

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27  The effective date of valuation and the date
of the appraisal report, with a signed
certification of the appraiser.

Deliverables:
 Up to 12 appraisal reports.

Assumptions:
 Appraisal mapping and legal descriptions &
plat maps to be provided by others.
 Appraisal fees may vary based on actual
market rates at the time of assignment.

Appraisal Review
Review appraisals will be provided for each
appraisal, in accordance with State and Federal
law and City policy as required. The review
appraiser will, as appropriate:
 Identify the intended users and use of the
review, and the purpose of the
assignment.
 Identify the following for each appraisal
under review:
 Appraiser and firm who completed
the assignment.
 Subject property.
 Effective date of the appraisal and
opinion of value.
 Property and ownership interest
appraised.
 Identify the scope of work to be performed.
 Develop an opinion as to the completeness
of the material under review, given the
scope of work applicable in the
assignment.
 Develop an opinion as to the apparent
adequacy and relevance of the data and
the propriety of any adjustments to the
data, given the scope of work applicable in
the assignment.
 Develop an opinion as to the
appropriateness of the appraisal methods
and techniques used, given the scope of
work applicable in the assignment, and
develop the reasons for any disagreement.
 Develop an opinion as to whether the
analyses, opinions, and conclusions are
appropriate and reasonable, given the
scope of work applicable in the assignment,
and develop the reasons for any
disagreement.
 Review appraisals will be forwarded to the
City for the establishment of just
compensation prior to the preparation of
offers to acquire the proposed land rights
for the project.

Deliverables:
 Up to 12 appraisal reviews.

Fixtures and Equipment Appraisal
In providing fixtures and equipment appraisal
services to the City, Monument will oversee
Desmond Marcello & Amster (DMA) to provide the
following:
 Communicate with the City to ascertain the
scope of the assignment.
 Coordinate with real estate appraiser,
relocation agents, acquisition agents, and
attorneys.
 Prepare a complete inventory of the assets
at the subject business location. This
inventory includes the make, model, and
serial number (if applicable) of all items, a
description of the assets, as well as an
observation of their age, condition, method
of installation (if applicable), and
photographs.
 Review any documentation related to the
assets provided by the business owner
and/or manager, including invoices,
depreciation schedules, and construction
contracts.
 Interview business owners and/or
managers.
 Research the marketplace for each of the
assets identified on-site. Such research
includes reference to a variety of
publications, as well as discussions with
individuals knowledgeable about the
market for the assets.
 Coordinate with other appraisers to avoid
duplication of compensation.
 Apply valuation methods, including the
Market Approach and Cost Approach, to
the subject assets.
 Prepare the appraisal report for
submission, including replacement cost
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28 new, depreciated value, and salvage value
in place.
 Maintain files in accordance with USPAP
and Caltrans Right-of-way Manual; and
 Provide expert testimony and litigation
support, as required.

Deliverables:
 Up to 7 FF&E appraisal reports
Assumptions:
 Fees for FFE Appraisal Reports are
estimated based on the currently available
limited information. Additional Appraisals
may be required, which may result in
additional fees.

9.5 Acquisition Services
Based on our understanding of the project and the
information provided by the City, Monument
assumes that the Project will require the
acquisition of property rights from up to 14 owners,
including two billboard owners. Monument will
provide all services required for the City to acquire
the right-of-way necessary for the construction of
the Project. All tasks will be performed in
accordance with applicable Federal, State, and
local regulations, as well as the City’s internal
policies and procedures. Specifically, Monument
will:
 Coordinate and manage the acquisition
process with the City, legal counsel, design
team, property owners, and tenants, along
with the title company, appraisers, and
other consultants to ensure effective cross-
discipline communications.
 Review right-of-way plans, appraisal
reports, title reports, appraisal maps, legal
descriptions, and all other pertinent
documents.
 Prepare acquisition offer packages
consisting of the City’s written purchase
offer, appraisal summary statement,
acquisition brochure, acquisition
agreement, conveying instruments (Grant
Deed, Permanent and/or Temporary
Easements, etc.), Certificate of
Acceptance, recommendation of Just
Compensation, plat maps and legal
descriptions, and Title VI Information.
 Monument’s acquisition agent will attempt
to meet personally with each property
owner to present the offer and discuss the
acquisition process.
 Negotiate in good faith with each property
owner or their agent or representative and
address any questions or concerns that
may arise during the acquisition process.
 Establish and maintain an acquisition file
for each property owner and maintain a file
checklist pursuant to the City’s
specifications.
 Promptly transmit executed documents to
the City for acceptance and processing.
 If necessary, prepare and submit a Letter of
Recommendation for any proposed
administrative settlements, which will
include a chronology of the negotiation
efforts, and provide supporting
documentation and an explanation of the
rationale behind the recommendation.
 Escrow Coordination – Serving as liaison
between the City and the title company, we
will facilitate the opening of escrows, assist
the escrow company in obtaining any
necessary additional documentation,
supervise and review the closing of
escrows, and review closing statements for
completeness and accuracy.
 Our primary goal is to reach an agreement
with each property owner, and we will
collaborate with the City to develop
solutions that achieve this goal. Should
negotiations reach an impasse, we will
provide a written recommendation for
condemnation action, including all required
justification and supporting documentation.
 Provide bilingual acquisition agents as
needed.
 Upon project completion, completed
acquisition files will be provided
electronically for each impacted owner.

Deliverables:
 Up to 11 executed Agreements and
Deeds/Easements.

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29 Assumptions:
 90 Day negotiating period from the date of
the first written offer.
 One offer package per impacted
property/owner.
 Does not contain fees for condemnation
support or utility coordination.
 The County of Orange (OC Public Works
Facilities Operations Division) property is
combined into one acquisition
Tenant Acquisition
For acquisitions that result in the need to acquire
non-residential tenant interests, including
Improvements Pertaining to the Realty, fixtures &
equipment, leasehold improvements and/or an
interest in the property to be acquired, Monument
will prepare and present an unsegregated offer to
the tenants shortly after presenting an offer
package to the property owner. As needed, we will
also:
 Obtain and review lease agreements
 Determine any possessory interests to be
relinquished
 Facilitate discussions regarding the
apportionment of just compensation
 Perform Uniform Commercial Code filings
and bulk sale transfers
 Prepare all required agreements, offset
statements, Estoppel Certificates, and
deeds
Deliverables:
 Tenant Acquisition for up to 15 Tenants
Business Relocation
Based on information provided by the City,
Monument assumes that the Project will require
the relocation of up to 5 businesses, one personal
property move, and two billboards. Monument will
ensure that displaced businesses promptly receive
advisory services and relocation benefits in
accordance with the Uniform Relocation and Real
Property Acquisition Act; the California Relocation
Assistance and Real Property Acquisition
Guidelines; the Caltrans Right-of-Way Manual; and
the City’s internal policies and procedures, as
applicable. Monument will:
 Prepare a Relocation Plan in accordance
with applicable guidelines.
 Meet personally with each prospective
displacee to ascertain the nature and scope
of relocation assistance required, to inform
the displacees of their rights, and to explain
the relocation process.
 Determine each displacee’s eligibility for
relocation assistance; prepare an estimated
timeline for relocation and prepare an
estimate of the amount of relocation
benefits to which each displace is eligible.
 Prepare all applicable claim forms, secure
claimant’s signatures on claim forms, and
submit forms to the City for review,
acceptance, and payment.
 Conduct appropriate searches for
relocation replacement sites and provide
relocation site referrals to displacees.
 Perform any other normal procedures and
processes to implement the relocation
assignment and provide any other
supporting information and correspondence
required by the City.
 Prepare and deliver a Notice of Relocation
Eligibility to the business owner.
 Prepare a complete inventory of personal
property and trade fixtures and assist the
business owner to obtain at least two bids
from licensed and bonded moving
companies.
 Monitor each move to ensure compliance
with all regulations and agreements.
 Assist the displaced business in obtaining
all documentation necessary to receive
entitlements.
 Maintain a detailed diary of all contacts
made and services provided to the
displaced business.
 Calculate and review all relocation benefit
amounts and allowances.

Deliverables:
 Relocation assistance services for up to 5
businesses, one personal property moves,
and two billboards.

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30 Assumptions:
 Number of impacted businesses is
estimated. Additional fees may be required
if multiple businesses are found to be
operating within the same building or unit.
 Referrals to impacted businesses will be
provided every two (2) weeks, as available,
for a period of up to eight (8) months from
the date of issuance of the Notice of
Eligibility.
 Does not contain fees for payment of
security deposits, moving services, or
eligible relocation benefits.
 Fees for Business Relocation Assistance
are estimated based on current available
information. Additional Relocations may be
required, which may result in additional
fees.

Escrow Coordination
Once an offer has been accepted and the
purchase agreement approved by the City,
Monument will coordinate escrow and title
activities to support the timely and compliant
closeout of the acquisition. This process includes
the following steps:
 Transmit original executed acquisition
documents to the escrow company and
request an updated Preliminary Title Report
from the title company
 Review the updated title report and prepare
a memorandum identifying any
disapproved title exceptions
 Coordinate with the escrow company as
escrow instructions are prepared and
transmitted, including delivery of the
purchase contract to the title company
 Support escrow in satisfying monetary
liens, prorating taxes, and clearing adverse
title exceptions and encumbrances
 Coordinate with the City for the deposit of
estimated closing funds into escrow upon
escrow’s request
 Provide ongoing support to the escrow
officer to facilitate the execution of escrow
instructions, title clearance documentation,
and the processing of wire transfers
 Confirm recordation of deeds and issuance
of title insurance policies upon close of
escrow
Deliverables
 Escrow Coordination for up to 13
transactions
Certification
Monument will assist the City with the preparation
and submission of all required Caltrans Right-of-
Way Certification forms and supporting
documents. Monument will coordinate with
Caltrans staff to address any questions or
concerns and will assist the City to ensure the
ultimate acceptance and approval of the
Certification. Specifically, Monument will:
 Draft, review and revise Right-of-Way
Certification forms.
 Compile and submit all supporting property
acquisition, relocation, and other applicable
documents.
 If necessary, coordinate with relevant
parties to compile and submit utility
coordination back-up documents.
 Coordinate with Caltrans staff to facilitate
the timely review and approval of
Certification.
 Coordinate and attend up to 3 meetings
with Caltrans staff to review and discuss
Certification forms and/or supporting
documentation.
 Hold up to 3 meetings with the project team
to monitor certification progress and
schedule.

Deliverables:
 Approved and accepted Caltrans Exhibit
13-B (Right-of-Way Certification) or
equivalent required Caltrans forms.

9.6 Property Management Services
Monument provides comprehensive property
management and maintenance services following
acquisition to support the City through the
transition from occupancy to demolition or
construction. Our team conducts initial property
inspections, confirms occupancy status, and
EXHIBIT 3

SCOPE OF SERVICES
Revision 1 – 04/02/2026

CITY OF SANTA ANA

SANTA ANA BOULEVARD GRADE SEPARATION
31 oversees all aspects of the site. Services include
coordinating utility transfers and disconnections,
facilitating short-term rental agreements, collecting
rent, and issuing notices to vacate in accordance
with state law. We review and update existing
leases and agreements, prepare new agreements
for the City’s approval, and coordinate with escrow
companies for the transfer of leases, rents, and
security deposits. Monument also maintains
detailed tenant databases and submits weekly
status reports that summarize key property details,
including tenancy, rent, notices issued, vacancy
dates, and demolition timelines.

To ensure each property is secure and maintained
while awaiting demolition or construction,
Monument provides full interim management
services. This includes site security such as
fencing and board-up, vendor coordination for
property maintenance, graffiti and nuisance
abatement, utility account setup and payments,
and trust account establishment for collected rents
and deposits. Our team coordinates access for
inspections, oversees hazardous materials testing
and abatement, and manages demolition activities
including removal of underground storage tanks
and compliance with environmental regulations.

Monument ensures all properties are
professionally managed and transitioned in full
compliance with local, state, and federal
requirements.

Property Management fees (up to six months)
include, per parcel:
 Fees up to six months of property
management service, including
coordination of rent collection and
coordination with the City. All rent
payments to be payable directly to City.
 One board up service.
 One weed abatement service.
 One graffiti cleanup service.
 One trash removal/property cleanup
service (excludes hazardous materials).
 Security service to consist of one unarmed
guard performing one daily physical patrol
and inspection.
 Bi-monthly pest control services.
 Landscaping services.
 One-time set up and removal of security
fencing, if needed. The fee assumes 100
linear feet of fencing for a six-month period.
 One-time locksmith/rekeying service.
 Security Measures: Fee includes the option
of one security measure (security, fencing,
or board-up) per parcel.

Deliverables:
 Property management for up to 4
Properties
Assumptions:
 All direct costs associated with the
subconsultant property management
services are not included in the subject
fees and are to be paid via the trust
account or directly by the City.
 The scope and fees of property
management do not include the initiation or
management of trust accounts.
 Fees for Property Management are
estimated based on available information.

Additional property Management may be
required.

9.7 Business Goodwill Appraisals
Monument’s business goodwill appraiser will
perform the necessary research, investigation, and
analysis to provide written appraisal reports in
compliance with the standards of the Uniform
Standards of Professional Appraisal Practice
(USPAP) as it pertains to business valuations.

Goodwill work will encompass steps including, but
not limited to, the following:
 Communicate with the City and/or
representatives to ascertain the scope of
the assignment and provide responsive
proposals for each task order.
 Communicate with the subject business
and/or representatives to commence the
data gathering process.
 Review and analyze the financial
statements of the subject business,
including internal income statements and
balance sheets as well as tax returns.
 Interview the owners and/or managers of
the subject business, and/or review
deposition transcripts. Such
EXHIBIT 3

SCOPE OF SERVICES
Revision 1 – 04/02/2026

CITY OF SANTA ANA

SANTA ANA BOULEVARD GRADE SEPARATION
32 interviews/depositions are intended to
provide the appraiser with a thorough
understanding of the business’s products,
operations, management, employees,
marketing, competition, and industry, as
well as an understanding of recent financial
trends and outlook.
 Conduct site and area inspections of both
the subject location and the business
relocation site, if applicable.
 Review leases and other contracts
pertinent to the business operations.
 Coordinate with other professionals, such
as fixtures and equipment appraisers, real
estate appraisers, and relocation
consultants, to avoid duplication of
compensation.
 Research the business industry, economic
factors affecting the business, and the
marketplace for sales of businesses similar
to the subject.
 Investigate the impacts of the taking and/or
relocation, if applicable, on the business’s
revenues and profits in the “after”
condition, taking into consideration
potential betterment.
 Implement valuation methods, such as the
Income Approach (i.e., Discounted Cash
Flow Method, Capitalization of Cash Flow
Method) and Market Approach (i.e.,
Discretionary Cash Flow Multiplier Method,
EBITDA Multiplier Method), to determine
the value of the business’ goodwill in both
the before condition and in the after
condition.
 Prepare a valuation report in compliance
with USPAP.
 Attend any required meetings or
conferences with the client to address
appraisal-related questions.

Deliverables:
 Up to 2 Billboard Goodwill Appraisals
 Up to 3 Business Goodwill Appraisals
Task Deliverables:
 R/W Requirements Map
 Legal Descriptions & Plats
 Appraisal Maps & Appraisals
 Acquisition Documents
Task 10 Utility Coordination
This task continues utility coordination through the
final design, includes coordination of utility
relocation design and schedule, and supporting the
agreements.

10.1 Ongoing Utility Coordination

10.2 Utility Notifications & Conflicts

10.3 Utility Agreement Support (Optional)
Task Deliverables:
 Meeting Agendas, Minutes & Exhibits
 Utility Notifications B&C, Response Log
 Conflict Matrix
Task 11 Traffic Management Plan
Fehr & Peers will prepare a Traffic Management
Plan (TMP) to provide continuous traffic circulation
and access, with space for safe and efficient
construction. The TMP will be coordinated with
project stakeholders to include but not be limited
to:

1. Orange County Transportation Authority
(OCTA)

2. Southern California Regional Rail Authority
(SCRRA)

3. California Public Utilities Commission
(CPUC)

4. California Department of Transportation
(Caltrans)

5. Businesses

6. Local neighborhood associations, and

7. Other public or private agencies/utilities or
parties.

The development of the staged construction and
traffic detours, closures or alterations to traffic
patterns will be included. The plan will detail the
use of temporary traffic control devices, such as
cones, drums, barricades, and signs, all of which
will comply with the California MUTCD. Any
temporary roadway will be engineered to the same
design standards as new construction, including
alignment, pavement, markings, and
pedestrian/bicycle facilities.

EXHIBIT 3

SCOPE OF SERVICES
Revision 1 – 04/02/2026

CITY OF SANTA ANA

SANTA ANA BOULEVARD GRADE SEPARATION
33 The TMP shall be developed according to Caltrans
TMP Guidelines. TMP strategies include:

1. Project Description

2. Public Information

3. Motorist Information

4. Incident Management

5. Construction Strategies

6. Demand Management

7. Alternate Routes (or Detours)

8. Layout Sheets

9. Typical Cross Sections

10. Project Schedule
The Construction scenario in the Traffic/Circulation
Study Update is anticipated to evaluate the
corridor with one lane in each direction. However,
it assumed that some minor weekend and some
lengthier full closures will be required due to
staging. Fehr & Peers will coordinate with Caltrans
related to full closures and potential impacts to I-5
ramps. This scope of work assumes that a brief
technical memorandum will provide enough
evidence that traffic volumes at Santa Ana
Boulevard and adjacent I-5 interchanges are not
high enough to warrant a full detour assessment.

Task Deliverables:
 Draft and Final TMP
Task 12 Agreements & Permits
The necessary third party permits for the design
and construction will be obtained.

12.1 CPUC GO 88-B

12.2 SCRRA Rights of Entry

12.3 Caltrans Encroachment Permit

12.4 C&M Agreement Support
Task Deliverables:
 Draft and Final GO 88-B
 SCRRA Right of Entry (DES)
 SCRRA Right of Entry (CON)
 Caltrans Encroachment Permit (DES)
 Caltrans Encroachment Permit (CON)
 C&M Agreement Supporting Documents
Task 13 Bid & Construction Support
Support will continue through the bid and
construction phases of the project.

13.1 Bid Support

13.2 Conformed Documents

13.3 Construction Support
Task Deliverables:
 Response to Contractor RFIs
 Contract Bid Review
 Review of Shop Drawings & Submittals
 Construction Change Request Review
 Additional Drawings/Exhibits
 As-Built Documents
Task 14 Optional Tasks
Additional services may be provided under this
task on an as-needed basis.

14.1 Construction Staking
Mark Thomas will provide one set of construction
stakes or offset staking as directed by the
Contractor or the City of Santa Ana. Construction
staking services will be performed in accordance
with the work as outlined in Chapter 12 of the
Caltrans Surveys Manual; Construction Surveys
and will consist of construction survey services,
including field surveys and the necessary office
support to coordinate staking requirements with
the Resident Engineer.

Mark Thomas will coordinate field staking with the
Contactor and/or the City of Santa Ana. Field
staking will begin two working days after receipt of
staking request, assuming all clarifications and the
area is ready for staking. Mark Thomas will
prepare and maintain a spreadsheet tracking all
written staking requests, dates of requests, dates
of staking and all notes (cut sheets) regarding the
staking.

Assumptions
 Restaking due to lost or destroyed stakes
will be performed as approved by the
Contactor and will be compensated as
extra work.

EXHIBIT 3

SCOPE OF SERVICES
Revision 1 – 04/02/2026

CITY OF SANTA ANA

SANTA ANA BOULEVARD GRADE SEPARATION
34  For the purposes of this proposal, one crew
mobilization shall be defined as one day of
continuous, uninterrupted staking effort to
complete a staking priority.
 After a survey request is received and if the
survey field crews are mobilized to an area
that is not ready for stakes, the Contractor
will be charged a minimum of 4 hours of
field crew time as an extra above the
contracted amount.
 Mark Thomas will receive a 3-week look-
ahead schedule of operations and time
estimates and discuss staking
needs/operations with Contractor
 It is assumed stakes will be used within
three working days of being set in order to
preserve the integrity of the staking.
 Staking will be conducted in the order
received, unless other priorities are given.
 If the staking provided appears to have
discrepancies or is ambiguous, a request
for clarification must be received within 24
hours of the time of staking.

14.2 Monumentation

14.2.1 Record of Survey
Mark Thomas to prepare a pre-construction
Record of Survey and submit to the Orange
County Surveyor’s office for review. Mark Thomas
to compile all boundary retracement data into a
Record of Survey as required per the California
Land Surveyor’s Act (Business and Professions
Code §§ 8700 – 8805) Section 8762. The Record
of Survey will show all lines, pertinent
measurements delineated in the LandNet base
map, found monuments and reference
monuments/ties to be set, if any. We anticipate
one round of review comments from the County.

Deliverables
 Record of Survey to be recorded with the
County of Orange (PDF)

14.2.2 Post Construction Monument
Restoration
Post-construction, Mark Thomas to re-
establish/restore up to twenty (20) durable
monuments via ties and previous found
monumentation/control. Mark Thomas to document
restored monumentation and prepare a post-
construction Record of Survey and submit to the
Orange County Surveyor’s office for review. Mark
Thomas to compile all boundary retracement data
into a Record of Survey as required per the
California Land Surveyor’s Act (Business and
Professions Code §§ 8700 – 8805) Section 8762.

The Record of Survey will show all lines, pertinent
measurements delineated in the LandNet base
map, found monuments and reference
monuments/ties to be set, if any. We anticipate
one round of review comments from the County.

Task Deliverables
 Record of Survey to be recorded with the
County of Orange (PDF)

14.3 Additional Community Outreach
Virtual Community Meeting
To increase public awareness, an additional (1x),
virtual community meeting may be held at the start
of the project. This fifth community meeting would
be held during the first community meeting round,
providing a second meeting option for the public to
engage with the Project. Lead logistics and
facilitate an online meeting using Zoom or a similar
platform providing convenience for greater public
participation. This meeting would also be recorded
and posted online as a resource for the interested
parties as well as shared via email and social
media to increase the reach of messaging at the
start. Holding both, a virtual and an in-person
meeting at the start may also offer insight into how
people wish to be engaged in subsequent
meetings, providing a level of confidence in the
efforts thereafter.

Community & Pop-Up Events
Prior to two (2) public meetings, the Team will go
to the public, participating in up to a total of four
(4x) scheduled community events or host pop- up
table events. Events will help to reach those
without internet access and build awareness,
educate the public, and encourage participation in
the meeting and comment process, ensuring
outreach is accessible to residents who may not
attend traditional meetings.

EXHIBIT 3

SCOPE OF SERVICES
Revision 1 – 04/02/2026

CITY OF SANTA ANA

SANTA ANA BOULEVARD GRADE SEPARATION
35 Spot Canvassing
If the City believes it beneficial, conduct up to one
(1x) round of door-to-door canvassing with
targeted businesses and residents that may be
directly impacted by the proposed improvements.

This tactic can be especially useful in on-boarding
key stakeholders into the process early, ensuring
no surprises later in the development process.

Stakeholder feedback will be documented and will
coordinate follow-up actions with the City and
consultant team to ensure issues are tracked and
addressed in a timely manner.

Community Surveys
Develop and administer up to two (2x) bilingual,
English and Spanish community surveys using a
Typeform or similar online preference survey
platform to support community input at key stages
of the Project. The first survey may be deployed
during the initial round of engagement to help build
project awareness and understand existing travel
patterns, corridor use, and community concerns.

The second survey may be distributed during the
design phase of work to gather feedback on design
features, access considerations, and community
priorities that support design refinement. If utilized, survey notification campaigns will be coordinated
to occur in tandem with planned community
meeting outreach efforts for efficiency. Surveys will
be made available online and in print format for
use at in-person engagements, with AA
responsible for staff entry of any print survey
responses. Survey results will be compiled through
high-level analysis, including multi-language
findings, and summarized through infographic-style
materials. Infographics will be shared electronically
through eblasts, subsequent public engagements,
and posted to the project website to support
transparency and public access.

Innovative & Inclusive Engagement Tools
In-house Innovations Team and Justice Equity
Diversity and Inclusion (JEDI) Team are available
to provide additional, optional support and/or
creative and interactive solutions should there be
project demand, such as videography, GIS
solutions, or CBO Partnerships should the City
require a greater degree of public engagement.

14.4 Caltrans Detour Assessment
If a full detour assessment will is requested by
Caltrans due to the proximity to the I-5
interchange, Fehr & Peers has provided optional
scope to complete the required analysis. Traffic
analysis to support the project will be prepared
along detour routes and will include adjacent I-5
interchange ramp terminal intersections at Penn
Way and 4th Street, and will include the corridors
of Penn Way/Santiago Street, Santa Ana
Boulevard, Grand Avenue and 4th Street and
includes up to 15 study intersections.

Traffic forecasts will be prepared using the same
procedures as the Traffic/Circulation Study,
utilizing OCTAM and new turning movement
counts collected at the time of the TMP. Traffic
analysis will be prepared using Synchro Software
for peak hour conditions. A draft plan will be
submitted for City and Caltrans review and we
assume up to two rounds of responses to
comments and submission as final.

14.5 Utility Agreements
If deemed necessary, Mark Thomas will assist in
the preparation of utility agreements for any third
part utility that the City has full or partial cost
liability for the relocation costs.

14.6 Design Exceptions – Caltrans
Our team will coordinate with Caltrans regarding
any existing non-standard design features at the I-
5 ramp intersection. It is not expected that this
grade separation project will create any new non-
standard features that would require a Design
Standard Design Document (DSDD) to be
prepared.

14.7 Metrolink – Additional Support Services
In Task 3.2, a budgetary amount of effort has been
provided for the coordination with Metrolink. If
additional support above that budget is required
due to prolonged coordination and approvals by
Metrolink, this task will provide additional budget
necessary for continued coordination efforts.

14.8 Caltrans Traffic Signal Modification
A traffic signal modification plan will be provided at
the Santa Ana Boulevard/I-5 Southbound Ramps
(Caltrans) intersection.

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Ϯ͘ϭ ZĞĐŽƌĚƐZĞƐĞĂƌĐŚ ϴ ϰϬ ϰϬ ϰϬ ϭϮϴ Ψϭϴ͕ϭϯϴ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϭϱ͕ϯϯϴ Ψϯϯ͕ϰϳϲ Ϯ͘Ϯ ZŝŐŚƚŽĨtĂLJDĂƉƉŝŶŐ;>ĂŶĚŶĞƚͿ ϴ ϮϬ ϴϬ ϮϰϬ ϰ ϰϬ ϲϰ ϰ ϰϲϬ Ψϴϳ͕ϱϱϯ Ͳ  Ͳ  Ͳ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϴϳ͕ϱϱϯ Ϯ͘ϯ /ŶŝƚŝĂůhƚŝůŝƚLJŽŽƌĚŝŶĂƚŝŽŶ ϴ ϯϮ ϲϬ ϭϬϬ ϮϬϬ ΨϯϮ͕ϵϭϯ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϯϮ͕ϵϭϯ Ϯ͘ϰ ^ƵďƐƵƌĨĂĐĞhƚŝůŝƚLJ/ŶǀĞƐƚŝŐĂƚŝŽŶƐ ϮϬ ϰϬ ϲϬ Ψϭϰ͕ϲϬϱ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϭϰ͕ϲϬϱ Kd,
Z/Z
dK^d^ ΨϲϮ͕ϭϳϱ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϲϮ͕ϭϳϱ ^ƵďƚŽƚĂůWŚĂƐĞϮ ϴ ϯϮ Ϭ ϴ Ϭ Ϭ ϭϬϬ ϰϬ ϭϰϬ Ϭ Ϭ Ϭ Ϭ Ϭ ϴ ϮϬ ϴϬ ϮϰϬ ϰ ϰϬ ϮϬ ϰϬ ϲϰ Ϭ Ϭ Ϭ Ϭ Ϭ ϰ ϴϰϴ Ψ Ϯϭϱ͕ϯϴϰ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ Ψϭϱ͕ϯϯϴ ΨϮϯϬ͕ϳϮϮ ϯ͘Ϭ ŽŽƌĚŝŶĂƚŝŽŶ
ϯ͘ϭ ŝƚLJĞƉĂƌƚŵĞŶƚƐ;KƵƚƐŝĚĞWƵďůŝĐtŽƌŬƐͿ ϭϲ ϰϬ ϰϬ Ϯϰ ϭϮϬ ΨϮϯ͕ϵϱϳ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϮϯ͕ϵϱϳ ϯ͘Ϯ ^ZZ ϰϬ ϴϬ ϴϬ ϴϬ ϮϴϬ Ψϱϰ͕ϮϯϮ Ͳ  ϭϲ͕ϮϵϬ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϳϮ͕ϳϰϰ Ψϭϰϯ͕Ϯϲϲ ϯ͘ϯ Wh Ϯϰ Ϯϰ ϰϬ ϰ ϵϮ ΨϮϬ͕ϴϲϲ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϭϰ͕ϰϬϬ Ψϯϱ͕Ϯϲϲ ϯ͘ϰ ĂůƚƌĂŶƐ Ϯϰ ϰϬ ϰϬ ϰϬ ϭϰϰ ΨϮϴ͕ϱϬϵ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϮϴ͕ϱϬϵ ϯ͘ϱ Kd Ϯϰ ϰϬ Ϯϰ Ϯϰ ϭϭϮ ΨϮϰ͕ϭϭϲ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϮϰ͕ϭϭϲ ϯ͘ϲ KƚŚĞƌdŚŝƌĚWĂƌƚŝĞƐ ϰ ϰ ϴ Ϯϰ ϰϬ Ψϲ͕ϮϳϮ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϲ͕ϮϳϮ ϯ͘ϳ ŽŵŵƵŶŝƚLJ
ŶŐĂŐĞŵĞŶƚ Ϯϰ Ϯϰ ϰϬ ϲϬ ϭϲ ϭϲ ϭϴϬ ΨϯϮ͕ϭϮϬ ϭϲϳ͕ϰϲϭ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψ ϭϵϵ͕ϱϴϮ ϯ͘ϴ ^ƵƉƉŽƌƚŝŶŐ'ƌĂƉŚŝĐƐ Ϯϰ Ϯϰ ϭϮ ϲϬ ϰϬ ϯϲϬ ϭϮϬ ϲϰϬ Ψϴϴ͕Ϯϲϲ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϴϴ͕Ϯϲϲ Kd,
Z/Z
dK^d^ ΨϬ Ϯϲ͕ϯϬϬ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϮϲ͕ϯϬϬ ^ƵďƚŽƚĂůWŚĂƐĞϯ ϭϱϲ Ϭ Ϭ Ϯϳϲ Ϭ Ϭ ϮϳϮ Ϭ ϮϴϬ Ϭ Ϭ Ϯϴ ϳϲ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϰϬ ϯϲϬ ϭϮϬ Ϭ ϭϲϬ ϴ ΨϮϳϴ͕ϯϰϬ Ψϭϵϯ͕ϳϲϭ Ψϭϲ͕ϮϵϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ Ψϴϳ͕ϭϰϰ Ψϱϳϱ͕ϱϯϱ ϰ͘Ϭ ^ƚĂŶĚĂƌĚƐ
ϰ͘ϭ ĞƐŝŐŶ
džĐĞƉƚŝŽŶƐͲŝƚLJĞƐŝŐŶDĞŵŽƌĂŶĚƵŵ ϴ Ϯϰ ϰϬ ϰϬ ϭϭϮ Ψϭϵ͕ϮϳϬ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϭϵ͕ϮϳϬ ϰ͘Ϯ ĞƐŝŐŶ
džĐĞƉƚŝŽŶƐͲ^ZZ ϴ ϮϬ ϮϬ ϰϴ ΨϭϬ͕ϲϱϰ Ͳ  Ϯϯ͕ϲϬϬ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϰϬ͕ϲϳϮ Ψϳϰ͕ϵϮϲ ϰ͘ϯ ĞƐŝŐŶ
džĐĞƉƚŝŽŶƐͲĂůƚƌĂŶƐ;KWd/KE>Ϳ ϬΨ Ϭ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϬ ^ƵďƚŽƚĂůWŚĂƐĞϰ ϭϲ Ϭ Ϭ ϰϰ Ϭ Ϭ ϲϬ Ϭ ϰϬ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϭϲϬ ΨϮϵ͕ϵϮϰ ΨϬ ΨϮ ϯ͕ϲϬϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϰϬ͕ϲϳϮ Ψϵϰ͕ϭϵϲ ϱ͘Ϭ ^ŝƚĞ^ƵƌǀĞLJ
ϱ͘ϭ WƌŽũĞĐƚŽŶƚƌŽů Ϯ ϰ ϭϲ ϭϲ ϴ ϯϮ ϳϴ ΨϮϭ͕Ϭϳϲ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϮϭ͕Ϭϳϲ ϱ͘Ϯ ĞƌŝĂůdŽƉŽŐƌĂƉŚLJ Ϯ Ϯ ϰ ϴ ϰ ϭϲ ϯϲ ΨϭϬ͕Ϭϱϰ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϭϬ͕Ϭϱϰ ϱ͘ϯ &ŝĞůĚ^ƵƌǀĞLJ ϭϬ ϮϬ ϰϬ ϴϬ ϴ ϭϰϰ ϯϬϮ Ψϴϱ͕ϲϯϰ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϴϱ͕ϲϯϰ Kd,
Z/Z
dK^d^ ΨϭϮ͕ϳϮϴ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϭϮ͕ϳϮϴ ^ƵďƚŽƚĂůWŚĂƐĞϱ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϭϰ Ϯϲ ϲϬ ϭϬϰ ϮϬ Ϭ Ϭ Ϭ ϭϵϮ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϰϭϲ ΨϭϮϵ͕ϰϵ ϭ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϭϮϵ͕ϰϵϭ ϲ͘Ϭ
ŶǀŝƌŽŶŵĞŶƚĂůZĞǀĂůŝĚĂƚŝŽŶ
ϲ͘ϭ 
Y Ϯ ϰ ϲ Ψϭ͕ϲϭϯ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϳ͕ϴϮϳ Ͳ  Ͳ  Ͳ  Ψϵ͕ϰϰϬ ϲ͘Ϯ E
W ϭϲ ϮϬ ϰϬ ϰϬ ϭϭϲ ΨϮϮ͕Ϭϰϰ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϭϰϲ͕ϯϭϳ Ͳ  Ͳ  Ͳ  Ψ ϭϲϴ͕ϯϲϭ ϲ͘ϯ dĞĐŚŶŝĐĂů^ƚƵĚŝĞƐ
ϲ͘ϯ͘ϭ dƌĂĨĨŝĐ ϬΨ Ϭ Ͳ  Ͳ  Ͳ  Ͳ  ϯϯ͕ϮϬϬ Ͳ  Ͳ  Ͳ  Ͳ  Ψϯϯ͕ϮϬϬ ϲ͘ϯ͘Ϯ WŚĂƐĞ/
^ ϬΨ Ϭ Ͳ  Ͳ  Ϯϭ͕ϱϭϵ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϮϭ͕ϱϭϵ ϲ͘ϯ͘ϯ ŝƌYƵĂůŝƚLJ ϬΨ Ϭ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϰϱ͕Ϭϴϱ Ͳ  Ͳ  Ͳ  Ψϰϱ͕Ϭϴϱ ϲ͘ϯ͘ϰ ^ƵƉƉůĞŵĞŶƚĂůEŽŝƐĞZĞƉŽƌƚ ϬΨ Ϭ Ͳ Ͳ  Ͳ  Ͳ  Ͳ  ϵϬ͕ϳϴϳ Ͳ  Ͳ  Ͳ  ΨϵϬ͕ϳϴϳ ϲ͘ϯ͘ϱ EŽŝƐĞďĂƚĞŵĞŶƚĞĐŝƐŝŽŶZĞƉŽƌƚ ϬΨ Ϭ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ϯϵ͕ϬϮϱ Ͳ  Ͳ  Ͳ  ΨϮϵ͕ϬϮϱ ϲ͘ϯ͘ϲ hƉĚĂƚĞĚĂůƚƌĂŶƐĂƚĂ^ŚĞĞƚƐ ϬΨ Ϭ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϭϱ͕ϮϭϬ Ͳ  Ͳ  Ψϭϱ͕ϮϭϬ ϲ͘ϯ͘ϳ ZĞůŽĐĂƚŝŽŶ/ŵƉĂĐƚDĞŵŽƌĂŶĚƵŵ ϬΨ Ϭ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϭϳ͕ϰϭϬ Ͳ  Ͳ  Ψϭϳ͕ϰϭϬ Kd,
Z/Z
dK^d^ ΨϬ Ͳ  Ͳ  Ͳ  Ͳ  Ϯ͕ϱϬϬ Ͳ  Ͳ  Ͳ  Ͳ  ΨϮ͕ϱϬϬ ^ƵďƚŽƚĂůWŚĂƐĞϲ ϭϴ Ϭ Ϭ Ϯϰ Ϭ Ϭ ϰϬ ϰϬ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϭϮϮ ΨϮϯ͕ϲϱϳ ΨϬ ΨϬ ΨϮϭ͕ϱϭϵ ΨϬ Ψϯϱ͕ϳϬϬ Ψϯϭϵ͕ϬϰϬ ΨϯϮ͕ϲϮϬ ΨϬ ΨϬ ΨϰϯϮ͕ϱϯϳ ϳ ZŽĂĚǁĂLJͬŝǀŝů/ŵƉƌŽǀĞŵĞŶƚƐ
ϳ͘ϭ ŽŶĐĞƉƚĞǀĞůŽƉŵĞŶƚ ϮϬ ϰϬ ϲϬ ϲϬ ϰϬ ϮϮϬ Ψϯϴ͕ϯϴϮ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϯϴ͕ϯϴϮ ϳ͘Ϯ ZŽĂĚǁĂLJ
ϳ͘Ϯ͘ϭ ZŽĂĚǁĂLJWůĂŶƐ;ϱϰͿ ϱϱ ϭϮϲ ϲϲ ϰϭϰ ϵϱϲ ϭϮϰϱ ϮϴϲϮ ΨϰϬϬ͕ϬϮϴ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψ ϰϬϬ͕ϬϮϴ ϳ͘Ϯ͘Ϯ ,ΘsŽŶƚƌŽůWůĂŶƐ;ϮͿ Ϯ ϰ ϭϲ ϰϬ ϰ ϲϲ Ψϭϭ͕Ϭϰϱ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϭϭ͕Ϭϰϱ
ϳ͘Ϯ͘ϯ ^Θ^ͬ^ƚĂŐŝŶŐͬdƌĂĨĨŝĐ,ĂŶĚůŝŶŐͬĞƚŽƵƌ;ϭϴͿ ϵϴ ϮϴϮ ϮϲϮ ϲϰϮ Ψϴϳ͕ϳϵϲ Ͳ  Ͳ  Ͳ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϴϳ͕ϳϵϲ ϳ͘Ϯ͘ϰ dƌĂĨĨŝĐ^ŝŐŶĂůĂŶĚ/ŶƚĞƌĐŽŶŶĞĐƚ;ϯͿ ϴ ϳϬ ϭϮϬ ϭϬϬ Ϯϵϴ Ψϰϰ͕ϯϲϱ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϰϰ͕ϯϲϱ ϳ͘Ϯ͘ϱ ^ƚƌĞĞƚ>ŝŐŚƚŝŶŐ ϬΨ Ϭ Ͳ  Ͳ  Ͳ  Ͳ  ϰϲ͕ϮϴϬ Ͳ  Ͳ  Ͳ  Ͳ  Ψϰϲ͕ϮϴϬ ϳ͘Ϯ͘ϲ hƚŝůŝƚLJ^ŚĞĞƚƐ;ϳͿ ϱ ϭϬ ϱ ϰϴ ϵϮ ϭϰϮ ϯϬϮ Ψϰϭ͕ϯϭϰ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϰϭ͕ϯϭϰ ϳ͘Ϯ͘ϳ tĂƚĞƌDĂŝŶZĞůŽĐĂƚŝŽŶƐ ϬΨ Ϭ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϭϬϵ͕ϳϵϵ Ͳ  Ψ ϭϬϵ͕ϳϵϵ ϳ͘Ϯ͘ϴ ^ĞǁĞƌDĂŝŶZĞůŽĐĂƚŝŽŶƐ;ϱͿ ϱ ϭϬ ϲ ϯϯ ϴϰ ϭϬϰ ϮϰϮ Ψϯϯ͕ϴϮϮ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϯϯ͕ϴϮϮ ϳ͘ϯ ƌĂŝŶĂŐĞ
ϳ͘ϯ͘ϭ ,Θ,ZĞƉŽƌƚ ϰ ϯϲ ϰϬ ϮϬϬ ϮϰϬ ϱϮϬ ΨϴϬ͕Ϯϴϰ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ΨϴϬ͕Ϯϴϰ ϳ͘ϯ͘Ϯ WƵŵƉ^ƚĂƚŝŽŶΘZĞƚĞŶƚŝŽŶWůĂŶƐ ϬΨ Ϭ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϱϰϬ͕ϲϱϰ Ͳ  Ψ ϱϰϬ͕ϲϱϰ ϳ͘ϯ͘ϯ ^ƚŽƌŵƌĂŝŶWůĂŶƐ;ϳͿ ϰ Ϯϰ ϰϴ ϲϬ ϭϮϬ ϭϲϬ ϰϭϲ ΨϲϮ͕ϭϵϮ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ ϮϬ͕ϰϮϭ Ͳ  ΨϴϮ͕ϲϭϮ ϳ͘ϰ tĂƚĞƌYƵĂůŝƚLJ
ϳ͘ϰ͘ϭ tYDW ϭϮ ϰϬ ϲϬ ϭϬϬ ϮϭϮ Ψϯϯ͕ϱϮϰ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϯϯ͕ϱϮϰ ϳ͘ϰ͘Ϯ WůĂŶWƌĞƉĂƌĂƚŝŽŶ;ϮͿ Ϯ ϭϮ Ϯϰ ϯϮ ϰϬ ϭϭϬ Ψϭϲ͕ϬϲϬ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϭϲ͕ϬϲϬ ϳ͘ϱ WůĂŶƚŝŶŐΘ/ƌƌŝŐĂƚŝŽŶ ϭϲ ϲϬ ϯϲϬ ϳϮϬ ϭϭϱϲ Ψϭϭϴ͕ϲϱϰ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψ ϭϭϴ͕ϲϱϰ ϳ͘ϲ ^ƉĞĐŝĨŝĐĂƚŝŽŶƐ ϱ ϴ ϴ ϮϰϬ Ϯϰ Ϯϴϱ Ψϰϵ͕ϵϳϮ Ͳ  Ϯϯ͕ϴϯϬ ϰ͕ϰϵϯ  ϯ͕ϯϭϲ  ϭϵ͕ϱϰϬ  Ͳ  Ͳ  ϯϲ͕ϭϮϱ ϭϳ͕ϵϳϰ  Ψϭϱϱ͕Ϯϱϭ ϳ͘ϳ YƵĂŶƚŝƚŝĞƐΘ
ƐƚŝŵĂƚĞ ϱ ϴ ϰϬ ϭϬϬ ϭϴϬ ϮϰϬ ϱϳϯ Ψϳϵ͕ϴϳϰ Ϯϴ͕ϯϭϬ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψ ϭϬϴ͕ϭϴϰ ϳ͘ϴ ŽŶƐƚƌƵĐƚŝŽŶ^ĐŚĞĚƵůĞ ϰ ϭϲ ϰϬ Ϯϰ ϴϰ Ψϭϴ͕ϳϭϱ Ͳ  ϱ͕ϵϮϬ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϭϲ͕ϬϳϮ ΨϰϬ͕ϳϬϳ ^ƵďƚŽƚĂůWŚĂƐĞϳ ϭϬϵ ϰϴ ϮϭϬ ϯϰϱ ϭϲϴ Ϭ ϭϮϲϯ ϭϵϮϲ Ϯϲϳϯ Ϭ ϭϲ ϴϰ ϯϲϬ ϳϮϬ Ϯ ϰ ϭϲ ϰϬ ϰ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϳϵϴϴ Ψϭ͕ϭϭϲ͕ϬϮϳ ΨϬ Ψϱϴ͕ϬϲϬ Ψϰ͕ϰϵϯ Ψϯ͕ϯϭϲ Ψϲϱ͕ϴϮϬ ΨϬ ΨϬ ΨϳϬϲ͕ϵϵϵ Ψ ϯϰ͕Ϭϰϲ Ψϭ͕ϵϴϴ͕ϳϲϭ ϴ ZĂŝůƌŽĂĚΘ^ƚƌƵĐƚƵƌĂůĞƐŝŐŶ
ϴ͘ϭ dƌĂĐŬWůĂŶƐ ϬΨ Ϭ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  ϲϳ͕ϭϱϬ Ψϲϳ͕ϭϱϬ ϴ͘Ϯ ZĂŝůƌŝĚŐĞ
ϴ͘Ϯ͘ϭ dLJƉĞ^ĞůĞĐƚŝŽŶ ϬΨ Ϭ Ͳ  ϰϱ͕ϮϬϬ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϰϱ͕ϮϬϬ ϴ͘Ϯ͘Ϯ WůĂŶWƌĞƉĂƌĂƚŝŽŶ ϬΨ Ϭ Ͳ  ϰϱϵ͕ϰϬϬ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψ ϰϱϵ͕ϰϬϬ ϴ͘Ϯ͘ϯ /ŶĚĞƉĞŶĚĞŶƚŚĞĐŬ ϴϬ ϮϱϬ ϯϭϮ ϲϰϮ ΨϭϮϴ͕ϴϬϱ Ͳ  ϭϳ͕ϱϳϬ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψ ϭϰϲ͕ϯϳϱ ϴ͘ϯ WĞĚĞƐƚƌŝĂŶƌŝĚŐĞ
ϴ͘ϯ͘ϭ dLJƉĞ^ĞůĞĐƚŝŽŶ Ϯϰ ϱϰ ϲϬ ϱϰ ϲϬ ϮϱϮ Ψϰϱ͕ϳϱϮ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϰϱ͕ϳϱϮ ϴ͘ϯ͘Ϯ WůĂŶWƌĞƉĂƌĂƚŝŽŶ ϱϬ ϭϮϬ ϭϲϬ ϭϬϬ ϮϮϬ ϲϱϬ Ψϭϭϲ͕ϴϵϵ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψ ϭϭϲ͕ϴϵϵ ϴ͘ϯ͘ϯ /ŶĚĞƉĞŶĚĞŶƚŚĞĐŬ ϯϮ ϲϴ ϴϬ ϲϴ Ϯϰϴ Ψϰϲ͕Ϯϯϵ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϰϲ͕Ϯϯϵ ϴ͘ϰ ZĞƚĂŝŶŝŶŐtĂůůƐ
ϴ͘ϰ͘ϭ WůĂŶWƌĞƉĂƌĂƚŝŽŶ ϭϮϬ ϮϰϬ ϯϬϬ ϮϰϬ ϯϴϬ ϭϮϴϬ ΨϮϯϭ͕ϱϵϭ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψ Ϯϯϭ͕ϱϵϭ ϴ͘ϰ͘Ϯ /ŶĚĞƉĞŶĚĞŶƚŚĞĐŬ;ŶŽŶͲƐƚĚǁĂůůƐͿ ϴϬ ϭϬϬ ϭϮϬ ϭϬϬ ϰϬϬ Ψϳϳ͕ϴϵϱ Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ͳ  Ψϳϳ͕ϴϵϱ dKd>K^d
K^dWZKWK^>&KZWZK:
d^KW
Ͳ^ĂŶƚĂŶĂ͗^ĂŶƚĂŶĂůǀĚ'ƌĂĚĞ^ĞƉĂƌĂƚŝŽŶ
dŽƚĂůDd
ŽƐƚ
DĂƌŬdŚŽŵĂƐ
dŽƚĂů
,ŽƵƌƐ
^ƵďĐŽŶƐƵůƚĂŶƚƐ
ΎWůĞĂƐĞŶŽƚĞƚŚĂƚƌĂƚĞƐƐŚŽǁŶĂƌĞĨŽƌĞƐƚŝŵĂƚŝŶŐƉƵƌƉŽƐĞ ŽŶůLJ͘^ĞĞZĂƚĞ^ĐŚĞĚƵůĞĨŽƌĂĐƚƵĂůƌĂƚĞƐͬƌĂŶŐĞƐ͘
3OHDVHQRWHWKDWWKHUDWHVVKRZQDUHIRUHVWLPDWLQJSXUSRVHVRQ O\6HHUDWHVFKHGXOHIRUDFWXDOUDWHVUDQJHV 07)HH
&RVW(VWLPDWH5DWHV
5(9,6,21

EXHIBIT 3

ŶŐŝŶĞĞƌŝŶŐDĂŶĂŐĞƌ
^ƌ͘WƌŽũĞĐƚDĂŶĂŐĞƌ
^ƌ͘dĞĐŚŶŝĐĂů>ĞĂĚ
WƌŽũĞĐƚDĂŶĂŐĞƌ
dĞĐŚŶŝĐĂů>ĞĂĚ
^ƌ͘WƌŽũĞĐƚ
ŶŐŝŶĞĞƌ
WƌŽũĞĐƚ
ŶŐŝŶĞĞƌ
ĞƐŝŐŶ
ŶŐŝŶĞĞƌ//
ĞƐŝŐŶ
ŶŐŝŶĞĞƌ/
^ƌ͘dĞĐŚŶŝĐŝĂŶ
>hŝǀŝƐŝŽŶ
DĂŶĂŐĞƌ
>hWƌŽũĞĐƚ
DĂŶĂŐĞƌ
>ĂŶĚƐĐĂƉĞĞƐŝŐŶĞƌ//
>ĂŶĚƐĐĂƉĞĞƐŝŐŶĞƌ/
^ƵƌǀĞLJŝǀŝƐŝŽŶ
DĂŶĂŐĞƌ
^ƵƌǀĞLJDĂŶĂŐĞƌ//
WƌŽũĞĐƚ^ƵƌǀĞLJŽƌ//
ƐƐƚ^ƵƌǀĞLJŽƌ//
^ƵƌǀĞLJ^ƉĞĐŝĂůŝƐƚ//
^ƵƌǀĞLJdĞĐŚŶŝĐŝĂŶ//
^h
WƌŽŐƌĂŵ
DĂŶĂŐĞƌ
hƚŝůŝƚLJ>ŽĐĂƚŽƌ
;^ŽƵƚŚͿ
ϮͲWĞƌƐŽŶƌĞǁ;K
ϭϮͿ
WƌŽũĞĐƚĐĐŽƵŶƚĂŶƚ
^ƌ͘WƌŽũĞĐƚ
ŽŽƌĚŝŶĂƚŽƌ
^ƌ͘'ƌĂƉŚŝĐDĂŶĂŐĞƌ
^ƌ͘'ƌĂƉŚŝĐĞƐŝŐŶĞƌ
'ƌĂƉŚŝĐĞƐŝŐŶĞƌ
^ƵƌǀĞLJŽŽƌĚŝŶĂƚŽƌ
Z
>>EK
/''^ZK^
/͕zKhZDE͕Θ
^^K

Zd,D
,E/
&
,ZΘW

Z^
/&
DKEhD
EdZKt
d
dZd
,

W,zZZ/>
Ψϯϰϴ ΨϮϴϵ ΨϮϲϯ ΨϮϮϵ ΨϮϭϴ Ψϭϵϴ Ψϭϲϰ Ψϭϯϯ ΨϭϭϬ Ψϭϲϳ ΨϮϴϯ ΨϮϬϰ Ψϭϭϯ Ψϴϱ Ψϯϱϰ ΨϮϱϴ ΨϮϬϵ Ψϭϯϯ Ψϭϱϵ Ψϭϭϲ ΨϮϲϬ ΨϮϯϱ Ψϯϵϯ Ψϭϯϯ Ψϭϰϳ ΨϭϵϮ Ψϭϯϵ ΨϭϭϬ ΨϭϬϴ Wt dKd>K^d
K^dWZKWK^>&KZWZK:
d^KW
Ͳ^ĂŶƚĂŶĂ͗^ĂŶƚĂŶĂůǀĚ'ƌĂĚĞ^ĞƉĂƌĂƚŝŽŶ
dŽƚĂůDd
ŽƐƚ
DĂƌŬdŚŽŵĂƐ
dŽƚĂů
,ŽƵƌƐ
^ƵďĐŽŶƐƵůƚĂŶƚƐ
ΎWůĞĂƐĞŶŽƚĞƚŚĂƚƌĂƚĞƐƐŚŽǁŶĂƌĞĨŽƌĞƐƚŝŵĂƚŝŶŐƉƵƌƉŽƐĞ ŽŶůLJ͘^ĞĞZĂƚĞ^ĐŚĞĚƵůĞĨŽƌĂĐƚƵĂůƌĂƚĞƐͬƌĂŶŐĞƐ͘
ϴ͘ϱ ĂŶŽƉLJZĞĐŽŶƐƚƌƵĐƚŝŽŶͬZĞĨĂĐŝŶŐ Ϯϰ ϴϬ ϳϮ ϰϬ ϲϬ Ϯϳϲ Ψϱϭ͕ϱϮϲ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ψϱϭ͕ϱϮϲ ϴ͘ϲ ĞƐƚŚĞƚŝĐƐ Ϯ ϯϲ ϭϲϬ ϯϬϬ ϰϵϴ Ψϱϭ͕ϰϵϮ Ͳ  ϲ͕ϭϰϬ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ψϱϳ͕ϲϯϮ ϴ͘ϳ 'ĞŽƚĞĐŚŶŝĐĂů/ŶǀĞƐƚŝŐĂƚŝŽŶΘZĞƉŽƌƚ ϬΨ Ϭ Ͳ  Ͳ Ͳ  ϰϲϯ͕ϴϴϴ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ψϰϲϯ͕ϴϴϴ ^ƵďƚŽƚĂůWŚĂƐĞϴ Ϭ ϰϭϬ Ϭ Ϭ ϵϭϮ Ϭ ϭϭϬϰ ϲϬϮ Ϭ ϳϮϬ Ϯ ϯϲ ϭϲϬ ϯϬϬ Ϭ Ϭ Ϭ ϬϬϬϬ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϬϬ ϰϮϰϲ ΨϳϱϬ͕ϮϬϬ ΨϬ ΨϱϮϴ͕ϯϭϬ ΨϬ Ψϰϲϯ͕ϴϴϴ ΨϬ ΨϬ ΨϬ ΨϬ Ψϲϳ͕ϭϱϬ Ψϭ͕ϴϬϵ͕ϱϰϴ ϭϬ͘Ϭ hƚŝůŝƚLJŽŽƌĚŝŶĂƚŝŽŶ
ϭϬ͘ϭ KŶŐŽŝŶŐŽŽƌĚŝŶĂƚŝŽŶ ϭϮ ϭϮ ϯϲ ϴϬ ϮϰϬ ϯϴϬ Ψϱϱ͕ϱϮϯ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ψϱϱ͕ϱϮϯ ϭϬ͘Ϯ hƚŝůŝƚLJEŽƚŝĨŝĐĂƚŝŽŶƐ ϴ ϭϮ ϰϬ ϴϬ ϭϲϬ ϯϬϬ Ψϰϲ͕Ϯϭϲ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ψϰϲ͕Ϯϭϲ ϭϬ͘ϯ hƚŝůŝƚLJŐƌĞĞŵĞŶƚ^ƵƉƉŽƌƚͲKWd/KE> ϬΨ Ϭ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  ΨϬ ^ Ƶ ď ƚ Ž ƚ Ă ů  W Ś Ă Ɛ Ğ  ϭ Ϭ Ϯ Ϭ Ϯ ϰ Ϭ ϳ ϲ Ϭ Ϭ ϭ ϲ Ϭ Ϭ ϰ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϬϬϬϬ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϬϬ ϲ ϴ Ϭ ΨϭϬϭ͕ϳϯϵ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϭϬϭ͕ϳϯϵ ϭϭ͘Ϭ dƌĂĨĨŝĐDĂŶĂŐĞŵĞŶƚWůĂŶ
ϭϭ͘ϭ dDWWƌĞƉĂƌĂƚŝŽŶ ϰ ϴ ϴ ϮϬ Ψϰ͕ϴϭϮ Ͳ  Ͳ Ͳ  Ͳ  ϯϴ͕ϭϯϱ Ͳ  Ͳ Ͳ  Ͳ ΨϰϮ͕ϵϰϳ ^ Ƶ ď ƚ Ž ƚ Ă ů  W Ś Ă Ɛ Ğ  ϭ ϭ ϰ Ϭ Ϭ ϴ Ϭ ϴ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϬϬϬϬ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϬϬ Ϯ Ϭ Ψ ϰ ͕ ϴ ϭ Ϯ Ψ Ϭ Ψ Ϭ Ψ Ϭ Ψ Ϭ Ψ ϯϴ͕ϭϯϱ ΨϬ ΨϬ ΨϬ ΨϬ ΨϰϮ͕ϵϰϳ ϭϮ͘Ϭ ŐƌĞĞŵĞŶƚΘWĞƌŵŝƚƐ
ϭϮ͘ϭ Wh'KͲϴϴ ϴ ϲϬ ϲϬ ϭϬϬ ϮϮϴ Ψϯϳ͕ϰϯϬ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ ϭϴ͕ϲϳϵ  Ψϱϲ͕ϭϬϵ ϭϮ͘Ϯ ^ZZZŝŐŚƚŽĨ
ŶƚƌLJ ϴ ϮϬ ϮϬ ϰϴ ΨϭϬ͕ϲϱϰ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ ϰϭ͕ϭϭϰ  Ψϱϭ͕ϳϲϴ ϭϮ͘ϯ ĂůƚƌĂŶƐ
ŶĐƌŽĂĐŚŵĞŶƚWĞƌŵŝƚ ϴ ϲϬ ϰϬ ϭϮϬ ϮϮϴ Ψϯϲ͕ϯϱϱ Ͳ  ͲͲ  ͲͲ  Ͳ Ͳ  Ͳ Ͳ  Ψϯϲ͕ϯϱϱ ϭϮ͘ϰ ΘDŐƌĞĞŵĞŶƚ^ƵƉƉŽƌƚ ϴ ϴ ϭϲ Ψϰ͕ϲϭϵ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ ϰϬ͕ϭϭϰ  Ψϰϰ͕ϳϯϰ ^ Ƶ ď ƚ Ž ƚ Ă ů  W Ś Ă Ɛ Ğ  ϭ Ϯ ϯ Ϯ Ϭ Ϭ ϭ ϰ ϴ Ϭ Ϭ ϭ Ϯ Ϭ Ϭ Ϯ Ϯ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϬϬϬϬ Ϭ Ϭ Ϭ Ϭ Ϭ Ϭ ϬϬ ϱ Ϯ Ϭ Ψϴϵ͕Ϭϱϵ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ Ψϵϵ͕ϵϬϳ Ψϭϴϴ͕ϵϲϲ dKd>,KhZ^ ϲϵϱ ϲϮϮ Ϯϭϲ ϭϮϭϯ ϭϬϴϬ ϴ ϯϮϲϯ ϮϲϬϴ ϯϳϱϯ ϳϮϬ Ϯϲ ϭϳϬ ϲϬϮ ϭϬϮϬ Ϯϰ ϱϬ ϭϱϲ ϯϴϰ Ϯϴ ϰϬ ϮϬ ϰϬ Ϯϱϲ ϳϮ ϭϬϰ ϰϬ ϯϲϬ ϭϮϬ ϰ ϭϳϲϵϰ ϭϳϵϮ ϰϭϴϯ ϭϭϲ ϭϳϭϲ ϴϳϰ ϭϳϱϲ ϯϬϭϴ ϰϲϭϱ ϭϴϯϵ ŶƚŝĐŝƉĂƚĞĚ^ĂůĂƌLJ/ŶĐƌĞĂƐĞƐ ΨϭϬϱ͕ϱϵϯ ΨϬ ΨϯϮ͕ϲϳϭ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ Ψϭϯϴ͕Ϯϲϰ Kd,
Z/Z
dK^d^ Ψϳϱ͕Ϯϲϱ ΨϮϲ͕ϯϬϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϬ ΨϭϬϭ͕ϱϲϱ dKd>K^d ΨϮϰϭ͕ϵϲϱ Ψϭϳϵ͕ϱϳϴ Ψϱϲ͕ϴϱϵ ΨϮϳϴ͕ϭϬϱ ΨϮϯϱ͕ϯϴϰ Ψϭ͕ϱϴϱ Ψϱϯϱ͕ϲϴϯ Ψϯϰϲ͕ϵϱϭ Ψϰϭϰ͕Ϯϵϭ ΨϭϮϬ͕Ϯϯϵ Ψϳ͕ϯϱϵ Ψϯϰ͕ϲϰϱ Ψϲϴ͕ϭϱϴ Ψϴϲ͕ϲϭϯ Ψϴ͕ϰϵϭ ΨϭϮ͕ϴϳ ϵ ΨϯϮ͕ϲϳϱ Ψϱϭ͕Ϭϴϱ Ψϰ͕ϰϯϴ Ψϰ͕ϲϰϮ Ψϱ͕ϮϬϴ Ψϵ͕ϯϵϳ ΨϭϬϬ͕ϳϮϬ Ψϵ͕ϱϳϴ Ψϭϱ͕ϯϬϳ Ψϳ͕ ϲϵϵ Ψϰϵ͕ϵϯϬ Ψϭϯ͕Ϯϰϳ ΨϰϯϬ Ψϯ͕ϭϭϰ͕ϬϬϭ Ψϭϵϴ͕ϲϯϵ Ψϲϳϱ͕Ϯϱϭ ΨϮϲ͕ϬϭϮ Ψϰϲϳ͕ϮϬϰ Ψ ϭϰϭ͕Ϭϵϱ ΨϯϮϱ͕ϵϳϯ ΨϯϮ͕ϲϮϬ Ψϳϭϳ͕ϳϵϲ Ψϯϱϱ͕ϭϳϬ Ψϲ͕Ϭϱϯ͕ϳϲϬ dĂƐŬƐƚŚĂƚŵĂLJďĞĨƵŶĚĞĚŽƵƚƐŝĚĞŽĨd/ZWŐƌĂŶƚ͗
ϵZ ŝ Ő Ś ƚ  Ž Ĩ  t Ă LJ
ϵ͘ϭ ZĞƋƵŝƌĞŵĞŶƚƐDĂƉ ϰ ϭϲ ϮϬ ϰϬ ϴϬ ϭϲϬ ΨϮϮ͕ϰϵϳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  ΨϮϮ͕ϰϵϳ ϵ͘Ϯ >ĞŐĂůĞƐĐƌŝƉƚŝŽŶƐΘWůĂƚƐ ϭϬ ϮϬ ϭϲϬ ϭϲϬ ϮϬ ϯϳϬ Ψϲϲ͕ϲϱϴ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ψϲϲ͕ϲϱϴ ϵ͘ϯ ƉƉƌĂŝƐĂůDĂƉƐ Ϯϰϴ ϰ Ϭ Ϯ ϱϲ Ψϵ͕ϬϱϮ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ψϵ͕ϬϱϮ ϵ͘ϰ ƉƉƌĂŝƐĂůƐ ϬΨ Ϭ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ  ϮϱϮ͕ϴϬϬ Ͳ  Ͳ ΨϮϱϮ͕ϴϬϬ ϵ͘ϱ ĐƋƵŝƐŝƚŝŽŶ^ĞƌǀŝĐĞƐ ϬΨ Ϭ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ  Ϯϵϴ͕ϴϲϬ Ͳ  Ͳ ΨϮϵϴ͕ϴϲϬ ϵ͘ϲ WƌŽƉĞƌƚLJDĂŶĂŐĞŵĞŶƚ^ĞƌǀŝĐĞƐ ϬΨ Ϭ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ  ϰϬ͕ϬϳϬ Ͳ  Ͳ ΨϰϬ͕ϬϳϬ ϵ͘ϳ ƵƐŝŶĞƐƐ'ŽŽĚǁŝůůƉƉƌĂŝƐĂůƐ ϬΨ Ϭ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ  ϲϬ͕ϬϬϬ Ͳ  Ͳ ΨϲϬ͕ϬϬϬ ϵ͘ϴ ƵƐŝŶĞƐƐZĞůŽĐĂƚŝŽŶ ϬΨ Ϭ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ  ϵϱ͕ϵϴϬ Ͳ  Ͳ Ψϵϱ͕ϵϴϬ ϵ͘ϵ &&
ƉƉƌĂŝƐĂůƐ ϬΨ Ϭ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ  ϰϱ͕ϱϬϬ Ͳ  Ͳ Ψϰϱ͕ϱϬϬ ϵ͘ϭ dĞŶĂŶƚĐƋƵŝƐŝƚŝŽŶƐ ϬΨ Ϭ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ  ϯϳ͕ϴϱϬ Ͳ  Ͳ Ψϯϳ͕ϴϱϬ ϵ͘ϭϭ ĞƌƚŝĨŝĐĂƚŝŽŶ ϬΨ Ϭ Ͳ  Ͳ Ͳ  Ͳ Ͳ  Ͳ  ϭϰ͕ϵϴϬ Ͳ  Ͳ Ψϭϰ͕ϵϴϬ Kd,
Z/Z
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EXHIBIT 3
Engineering & Planning District Management Surveying
Intern $65 * Inspector - Apprentice $96 Survey Division Manager $354 Technician $108 * Inspector $113 Survey Manager II $258 Design Engineer I $110 * Sr. Inspector $156 Survey Manager I $221 Design Engineer II $133 Assistant Sanitary Engineer $178 Project Surveyor III $209 Sr. Technician $167 Associate Sanitary Engineer $187 Project Surveyor II $209 Civil Engineering Designer $175 Sanitary Project Engineer $209 Project Surveyor I $173 Project Engineer $164 Sr. Sanitary Project Engineer $246 Asst Surveyor III $161 Sr. Project Engineer $198 Operations Manager $263 Asst Surveyor II $133 Sr. Technical Engineer $192 Deputy District Manager $342 Asst Surveyor I $122 Project Manager $229 District Manager-Engineer $388 Survey Specialist III $195 Technical Lead $218 Survey Specialist II $159
Sr. Project Manager $289 Project Support/Coordination Survey Specialist I $130 Sr. Technical Lead $263 Project Assistant $93 Lead Survey Technician $133 Engineering Manager $348 Technical Writer $113 Survey Technician III $136 Design Manager $348 Sr. Project Assistant $127 Survey Technician II $116 Sr. Engineering Manager $391 Project Coordinator $127 Survey Technician I $74 Principal $555 Graphic Designer $110 SUE Program Manager $260 Sr. Technical Writer $127 * Chief of Party (OE12) $195
Construction Management Project Accountant $133 * Instrumentperson (OE12) $175 Office Engineer $156 Sr. Project Coordinator $147 * Chainperson (OE12) $170 * Asst. Resident Engineer $187 Sr. Graphic Designer $139 * Apprentice (OE12) $127 * Inspector - CM $173 Sr. Graphic Manager $192 * 2-Person Crew (OE12) $393 Resident Engineer $286 Project Accountant Manager $215 * 3-Person Crew (OE12) $560 Sr. Resident Engineer $331 * Utility Locator (South) $235 Division Manager - CM $436 Landscape Architecture/Urban Design Area Manager - CM $311 Landscape Intern $71 Planning
Landscape Designer I $85 Planner I $91
Grant Writing Landscape Designer II $113 Planner II $122 Funding Specialist $164 Landscape Architect $142 Sr. Planner $153 Sr. Funding Specialist $226 Sr. Landscape Architect $175 Funding Manager $331 LAUD Project Manager $204 Special Services Sr. LAUD Project Manager $263 Expert Witness $550
LAUD Division Manager $283 Strategic Consulting $550
MARK THOMAS & COMPANY, INC. RATE SCHEDULE
EXPIRES JUNE 30, 2025
Reimbursables including, but not limited to; reproductions, delivery and filing fees; outside consultant fees; and survey field expenses will be billed at Cost . Mileage will be billed per current IRS Rate .

This rate schedule expires June 30, 2026; rates are subject to escalation with new hourly rate schedule as of July 1, 2026. * These charge rates are subject to Prevailing Wage laws and Union contract.

RATE SCHEDULE (Special) | PAGE 1 OF 1
EXHIBIT 3

EXHIBIT C

EXHIBIT 3

INSURANCE REQUIREMENTS
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

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 $2,000,000 per occurrence and $4,000,000 aggregate. Required policy limits can be met with primary and umbrella/excess insurance policies.

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. In the event Consultant does not maintain commercial automobile liability insurance, City will accept evidence of personal automobile insurance, provided that such policy is endorsed for business use and provides coverage with a minimum limit of $1,000,000. Required policy limits can be met with primary and umbrella/excess insurance policies.

3. Workers’ Compensation (WC) : 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 (PL) /Errors and Omissions(E&O): 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 and AL 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 EXHIBIT 3
paid under the terms of Consultant’s CGL, AL, and WC policies 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.

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: Keri Buck, 20 Civic Center Plaza, M-43, 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.

EXHIBIT 3

EXHIBIT D

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EXHIBIT 3

SANTA ANA BOULEVARD GRADE SEPARATION
City of Santa Ana

MARK THOMAS
ԼԻ
MARK THOMAS & COMPANY, INC.

Unique Entity ID
FT32L5HPW5J3

CAGE / NCAGE
338X3
Purpose of Registration
All Awards
Registration Status
Active Registration
Expiration Date
Nov 13, 2026
Physical Address
2833 Junction AVE
STE 110
San Jose, California 95134-1920
United States
Mailing Address
2833 Junction Avenue
Suite 110
San Jose, California 95134-2017
United States
Business Information
Doing Business as

MARK THOMAS & CO INC
Division Name
(blank)
Division Number
(blank)
Congressional District
California 17
State / Country of Incorporation
California / United States
URL
http://www.markthomas.com
Registration Dates
Activation Date
Nov 14, 2025
Submission Date
Nov 13, 2025
Initial Registration Date
Nov 30, 2004
Entity Dates
Entity Start Date
Jul 17, 1927
Fiscal Year End Close Date
Dec 31
Immediate Owner
CAGE
(blank)
Legal Business Name
(blank)
Highest Level Owner
CAGE
(blank)
Legal Business Name
(blank)
Executive Compensation
In your business or organization's preceding completed fiscal year, did your business or organization (the legal entity to which this specific SAM record, represented by a Unique Entity ID, belongs) receive both of the following: 1. 80 percent or more of your annual gross revenues in U.S. federal contracts, subcontracts, loans, grants, subgrants, and/or cooperative agreements and 2. $25,000,000 or more in annual gross revenues from U.S. federal contracts, subcontracts, loans, grants, subgrants, and/or cooperative agreements? No
Does the public have access to information about the compensation of the senior executives in your business or organization (the legal entity to which this specific SAM record, represented by a Unique Entity ID, belongs) through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986? Not Selected
Proceedings Questions
Is your business or organization, as represented by the Unique Entity ID on this entity registration, responding to a Federal procurement opportunity that contains the provision at FAR 52.209-7, subject to the clause in FAR 52.209-9 in a current Federal contract, or applying for a Federal grant opportunity which contains the award term and condition described in 2 C.F.R. 200 Appendix XII? No
Does your business or organization, as represented by the Unique Entity ID on this specific SAM record, have current active Federal contracts and/or grants with total value (including any exercised/unexercised options) greater than $10,000,000? Not Selected
Within the last five years, had the business or organization (represented by the Unique Entity ID on this specific SAM record) and/or any of its principals, in connection with the award to or performance by the business or organization of a Federal contract or grant, been the subject of a Federal or State (1) criminal proceeding resulting in a conviction or other acknowledgment of fault; (2) civil proceeding resulting in a finding of fault with a monetary fine, penalty, reimbursement, restitution, and/or damages greater than $5,000, or other acknowledgment of fault; and/or (3) administrative proceeding resulting in a finding of fault with either a monetary fine or penalty greater than $5,000 or reimbursement, restitution, or damages greater than $100,000, or other acknowledgment of fault?
Not Selected
Last updated by Megan Moschetti on Nov 13, 2025 at 07:08 PM MARK THOMAS & COMPANY, INC.

Nov 14, 2025 07:01:52 PM GMT
https://sam.gov/entity/FT32L5HPW5J3/coreData?status=null Page 1 of 3 EXHIBIT 3

SANTA ANA BOULEVARD GRADE SEPARATION
City of Santa Ana

MARK THOMAS
ԼԼ
Exclusion Summary
Active Exclusions Records?
No
SAM Search Authorization
I authorize my entity's non-sensitive information to be displayed in SAM public search results:

Yes
Entity Types
Business Types
Entity Structure
Corporate Entity (Not Tax Exempt)
Entity Type
Business or Organization
Organization Factors
(blank)
Profit Structure
For Profit Organization
Socio-Economic Types
Check the registrant's Reps & Certs, if present, under FAR 52.212-3 or FAR 52.219-1 to determine if the entity is an SBA-certified HUBZone small business concern. Additional small business information may be found in the SBA's Dynamic Small Business Search if the entity completed the SBA supplemental pages during registration.

Financial Information
Accepts Credit Card Payments
No
Debt Subject To Offset
No
EFT Indicator
0000
CAGE Code
338X3
Electronic Funds Transfer
Account Type
Checking
Routing Number
*******27
Lock Box Number
(blank)
Financial Institution

JPMORGAN CHASE BANK, NA
Account Number
*******99
Automated Clearing House
Phone (U.S.)
4153157678
Email
(blank)
Phone (non-U.S.)
(blank)
Fax
(blank)
Remittance Address
JPMorgan Chase Bank
P.O. Box 103616
Pasadena, California 91189
United States
Taxpayer Information
EIN
*****1490
Type of Tax
Applicable Federal Tax
Taxpayer Name

MARK THOMAS AND COMPANY INC
Tax Year (Most Recent Tax Year)
2023
Name/Title of Individual Executing Consent
President
TIN Consent Date
Nov 12, 2025
Address
2833 Junction Avenue
San Jose, California 95134
Signature

ZACHARY SIVIGLIA
Points of Contact
Accounts Receivable POC
YEN Dau, Accounting Director
[email protected]
4084535373
Last updated by Megan Moschetti on Nov 13, 2025 at 07:08 PM MARK THOMAS & COMPANY, INC.

Nov 14, 2025 07:01:52 PM GMT
https://sam.gov/entity/FT32L5HPW5J3/coreData?status=null Page 2 of 3 EXHIBIT 3

SANTA ANA BOULEVARD GRADE SEPARATION
City of Santa Ana

MARK THOMAS
ԼԽ
Electronic Business
LORI Jeremic
[email protected]
9163819100
701 University Avenue
Suite 200
Sacramento, California 95825
United States
YEN Dau, Accounting Director
[email protected]
4084535373
2833 Junction Avenue
Suite 110
San Jose, California 95134
United States
Government Business
MEGAN MOSCHETTI, Marketing Director
[email protected]
9259380383
2121 N California BOULEVARD, Suite 800
Walnut Creek, California 94596
United States
Service Classifications
NAICS Codes
Primary
Yes
NAICS Codes
541330
NAICS Title
Engineering Services
237310 Highway, Street, And Bridge Construction
541320 Landscape Architectural Services
541370 Surveying And Mapping (Except Geophysical) Services Size Metrics
IGT Size Metrics
Annual Revenue (from all IGTs)
(blank)
Worldwide
Annual Receipts (in accordance with 13 CFR 121)
$124,970,916.00
Number of Employees (in accordance with 13 CFR 121)
500
Location
Annual Receipts (in accordance with 13 CFR 121)
(blank)
Number of Employees (in accordance with 13 CFR 121)
(blank)
Industry-Specific
Barrels Capacity
(blank)
Megawatt Hours
(blank)
Total Assets
(blank)
Electronic Data Interchange (EDI) Information
This entity did not enter the EDI information
Disaster Response
This entity does not appear in the disaster response registry.

Last updated by Megan Moschetti on Nov 13, 2025 at 07:08 PM MARK THOMAS & COMPANY, INC.

Nov 14, 2025 07:01:52 PM GMT
https://sam.gov/entity/FT32L5HPW5J3/coreData?status=null Page 3 of 3 EXHIBIT 3
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SANTA ANA BOULEVARD GRADE SEPARATION
City of Santa Ana

MARK THOMAS
ԼԿ
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EXHIBIT 3
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SANTA ANA BOULEVARD GRADE SEPARATION
City of Santa Ana

MARK THOMAS
ԼՀ
EXHIBIT 3
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COMPLETE THIS FORM TO DISCLOSE LOBBYING ACTIVITIES PURSUANT TO 31 U.S.C. 1352

1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
a. contract a. bid/offer/application a. initial
b. grant b. initial award b. material change
c. cooperative agreement c. post-award
d. loan For Material Change Only:
e. loan guarantee year ____ quarter _________
f. loan insurance date of last report __________

4. Name and Address of Re porting Entity 5. If Re porting Entity in No. 4 is Subawardee, Enter Name and Address of Prime:

Prime Subawardee
Tier _______ , if known
Congressional District, if known Congressional District, if known

6. Federal De partment/Agency: 7. Federal Pro gram Name/Description:

CFDA Number, if applicable ____________________

8. Federal Action Number, if known: 9. Award Amount, if known:

10. Name and Address of Lobby Entity 11. Individuals Performing Services (If individual, last name, first name, MI) (including address if different from No. 10) (last name, first name, MI)
(attach Continuation Sheet(s) if necessary)

12. Amount of Pa yment (check all that apply)1 4 . T ype of Payment (check all that apply) $ _____________ actual planned a. retainer
b. one-time fee

13. Form of Payment (check all that apply): c. commission a. cash d. contingent fee
b. in-kind; specify: nature _______________ e deferred
Value _____________ f. other, specify _________________________

15. Brief Description of Services Performed or to be performed and Date(s) of Service, including officer(s), employee(s), or member(s) contacted, for Payment Indicated in Item 12:
(attach Continuation Sheet(s) if necessary)

16. Continuation Sheet(s) attached: Yes No

17. Information requested through this form is authorized by Title 31 U.S.C. Section 1352. This disclosure of lobbying reliance was placed by the tier above when his transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This information will be reported to Congress
semiannually and will be available for public inspection. Any person who fails to file the required disclosure shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Signature: ________________________________________
Print Name: _______________________________________
Title: ____________________________________________
Telephone No.: ____________________ Date:___________
Authorized for Local Reproduction
Federal Use Only: Standard Form - LLL
Standard Form LLL Rev. 04-28-06
Distribution: Orig- Local Agency Project Files