18.13 OPERATION PLAN SERVICE OF UNITS
EXHIBITC·2
. : I '"' - - • .....
FUNDS ALLOCATED
ERATING COST
i.e., Mgmt Personnel: Director, Fleet Mgr, Aclmin
Asst, Info Mgr, Rent, Liability Insur., Phone,
Su lies, etc.
JNI ON
14.57% of total cost per unit.
TOT Al. COST PER SERVICE UNIT
22123 PROJECTED TOA/STA UNITS OF SERVICE
EQUIPMENT PURCHASE MATCH
TOTAL TDA/STACLAIM REQUEST
NON-TDA. SUPPORTED
TABLE 2 • OTHER CTSA SERVICE UNITS
Funds AUocated
Revenue per Service Unit
2312" Prolacted Units of Service
Other Income
Total Operatlna Income
Meaaure D FM~~·~nulPtProJacl Funda I
r.ARB • C8oltal E.auloment
I'"
TOA/ STA Claim
GniodT$1 " ..
ROLLUP OF ALL RIDES
2023/2024
TAXI MEDICAL
SCRIP TOA
$42,950 $413,11411
$11.64 $38.8"
$07 $8.07
$2.74 $12.80
$18.86 $59.30
2,279 6,979
MellSOll Elderday
Wheels Services
$115 500 $258 393
$30.51 $19.90
3 786 12 985
MEALS ON
WHEELS
$136,218
$20.10
$8.70
$1.70
$30.61
MHaureo
Paratransit
$682119
S115.61
5900
TABLE 3 ·ALL SERVICE UNITS TOTALED (Total tables 1 •nd 2, units of service, to equal !able 3 totals) Taxi TDA/5310 Me.ls on E!derd•y
Scrip Medical Wheels Services
23124 Total Ride Projections 2,279 7,849 8,251 25,785
ELDERDAY
$254,703
$13.38
$3.78
$2.78
$19.90
12,800
6310
Medical
$120 000
$137.90
870
Measure D
Paratranslt
5,900
T:IGRANT MGMT\LFT ~INE.12).2o4'Gronlo' Conlnlda\TDA STA Clalm\TOA 23-24 LL Opero Elchlbll C-.2
STA TOTAL TOTAL
FUNDING UNITS
$287,177 $1,114,893
$90.88
$27.20
$20.04
$137.90
1,938 28,"81
$27,8113
$1, 1"2,7"8
Total Total
Units
$1 176 012
23642
$60004
11236018
~702 683
:i30.000
"'"[ ll!Jl
$1 ,1 42,746
'$l181,a;z5
Tot•I
STA Units
1,938 52,002
18.14 Exhibit D
Schedule of Payment
FY: 2023-2024 TDA and STA
Claim Lift Line CTSA
TDA
July 15, 2023 $288,937.00
October 15, 2023 $195,544.00
January 15, 2024 $195.544.00
April 15, 2024 $195,544.00
Total $875,569.00
STA
1st Quarter $66,794.25
2nd Quarter $66,794.25
3rd Quarter $66,794.25
4th Quarter $66,794.25
Total $267,177.00
Preferred Method and Schedule for TDA fund distribution: Quarterly disbursement, with up to 33% in first quarter, and the remaining quarterly payments being one-third of the remaining claim amount.
18.15 EXHIBIT E Lift Line I CTSA
23/24 Statement of Role and Responsibility
Community Bridges has been the designated Consolidated Transportation Services Agency (CTSA) since 1982. CTSAs are authorized under California Government Code Sections 15975 and 15950-15952 which were enacted pursuant to the Social Service Transportation Improvement Act.
The purpose of the CTSA is to improve transportation required by social service recipients by promoting the consolidation and coordinating of social service transportation. As the Consolidated Transportation Service Agency, Community Bridges Lift Line will continue to coordinate and consolidate transportation services with other transportation and human service agencies in order to provide the most efficient transportation possible. Lift Line will continue to work with Santa Cruz County School Districts, Human Services Department of the County of Santa Cruz, County Office of Education, Veterans Service Offices in Santa Cruz and Palo Alto, Hospice of Santa Cruz County, as well as hospitals and other medical facilities. Community Bridges Lift Line will also continue working closely with the R TPA and to help with the unmet needs identified in the TriCounty AMBAG Coordinated Plan. Community Bridges Lift Line will also continue working with local non-profit organi7.ations and other human service and medical facilities in neighboring counties to continue to define and create an effective mobility management center to help mobilize resident with various disabilities, low income and senior populations to travel easily throughout our County as well as to travel seamlessly throughout our tri-county Monterey Bay region and the San Francisco Bay Area.
As the CTSA, Community Bridges Lift Line will continue coordination to improve and identify the need for specialized transportation equipment. If the equipment funded through Caltrans 5310 isn't reaching its proposed requirements through their contract, the equipment can be recaptured and its use coordinated through other identified paratransit service needs. We will continue to offer training to ensure that not only Lift Line staff operates in a safe and sensitive manner, but will continue to off er expertise and training for other transportation providers in the County.
Pursuant to the CTSA designation for Santa Cruz County, Community Bridges operates the Lift Line transportation program, which will continue to take a lead, and work closely with the RTPA, to continue to help identify unmet transportation needs, coordinate and provide social service transportation services to low-income seniors, disabled residents, underserved populations and other identified individuals in Santa Cruz County. Lift Line will continue to directly address the issues identified through the unmet needs process by providing rides to medical appointments (including dialysis), alternative care, mental health and various medical transportation needs.
18.16 1.
2. 3.
4. 5.
6. 1.
2. 3.
4. 5.
6. 7.
8. 9.
10. 11.
12. 13.
14. Exhibit F
Reporting Period and
Performance Measures FY:
2023-2024 TDA Claim
Community
Bridges' Lift Line
CTSA
Reporting Period
Fiscal Year: 2022/23
1si Quarter, 7/1/23 through 9/30/23
2na Quarter, 1011123 through 12/31/23
3rd Quarter, 111/24 through 3/31/24
4m Quarter, 4/1/24 through 6/30/24
Annual Evaluation, Fiscal Year 2023/2024
Due
11/15/23
01115124
04115124
07/1 5/24
11115124
11/15/24
Per{ormance Measures to be included jg Quarterly Reports The quarterly reports are to include the following:
Unduplicated passengers per month
Total passenger trips (units of service) per month
Incidents per month
Accidents per month
Mechanical failures• (including lift failure) per month No-shows per month
Turndowns or referrals per month
Cancels per month
Donations per month
Total operating cost per passenger
Total operating cost per vehicle service hour
Total passengers per vehicle service hour
Total passengers per vehicle service mile
Van mileage per program
*Mechanical failure means any problem which results in a delay of one hour or longer, or cancelation
18.17 Exhibit G-1
Operating Statistics
FY 18·19
Alutual passengers
Rides/passenger lriP' provided by type:
Medical
Amount Spent fur Medical
Meals on W~eels
Amount spent fur Meols on Wheels
Taxi Script
Amount spent for Taxi Script
Elderday
Amount Spent for Elderdoy
ANtaal sen>iCfl hours
Passengers per vehicle ..,,..;ce hour•
Alrn1111/ serviCfl mi ks
#of fixed-route miles
Service Area -squan miks (note: all of Santa Cruz County) Service Ana Population
Passengers per vehicle Sl!rvice mile*
A,..iugo passengers per "'""kday
TolllJ operating costs in /Judger
Operating cost per vehicle service hour•
1btal operating cos/ per pa$SfJnger•
A1'1l'rage Fare box Revenue per passenger (ducnbe what is included) # of FFE emplayees (all employees, not fast drtwm1)
Vehick &rvlce hours!F.mployee•
# ojl'Olltes
~route length
A.wavge travel times. 'rid6r
#of bus stops
# ojWlhicles in operation
#of monthly bus passes In drcu/a/ion
Max vehicles in sen>ice at any lime:
H011nofurvlce:
Approximate# ofund#pllcaled pas .. ngm
Costperunil ofservict1 plus text about long range plans lo ma/ce.llcllp dris low Fllllds and percentage spent on adminls/ralionfqverfi•adlgranlee allocation/etc Actl/U/ftnancials compared with /Judge/ (see F.xhiblt G-2) Acllltllninnber ofrldu provided compared widt goal
50,352
10,716
$288,796
9,472
$106,655
2,486
$29,260
27,678
$396,072
14,524
3.47 279,974
N/A
607
273,170
0.17 968
$703185
$48.42
$13.97
N/A
24 605
N/A
5.56 0.62
N/A
19 N/A
13 8-4PM
2,083
$13.97
34.518%
$242,726
119% of•oal
FY 19-20
40,132
9,019
$454,016
6,969
$99,169
1,870
$27,171
22,274
$328,542
'15,011
3.13 255,014
N/A
607
273,170
0.15 772
$834,857
$55.62
$20.80
N/A
23 653
N/A
6.35 0.85
N/A
22 N/A
12 8-4 PM
2,097
$20.80
29.827%
$249,012
95%ofgoal
FY 20-21 FY 21·22
20,970 32,683
11,965 9,843
$404,058 $751.7ID
6,141 6,416
$99,239 $148,2ID
1,740 2108
$31,877 $82.613
1,124 6,850
$22,165 $177,278
8A94 14,316
2.45 2.28
159,119 173806
N/A N/A
607 607
273,170 273170
0.12 0.13
403 629
$733,057 $906,921
$86.30 $63.35
$34.96 $27.75
N/A N/A
19 19
447 753
N/A N/A
7.59 5.32
0.88 0.89
N/A N/A
22 22
N/A N/A
8 9
8-4PM 8-4PM
2,057 2,443
$34.96 $27.75
34.087% 31.191%
$249,879 $282,878
48%ofgoal 113% of goal
For the Ascal Year 201 !H020, Lift Line Prollided 40, 132 one-way rides to Santa Cna residents, inckxling medical transportation, Meals on Wheels congntgaled dining sites, Elderday adult day care transportation, and taxi script vouchers. Lift Line was at 95% ofthe goal. Due to the COVll>-19 pandemic and local government regulation, many doctors cancel rider's medical appointments and attendance reduced at congregated sites, indudlng Meals on Wheels dining sites and Elderday adult daycare. For 2020-2021, Lift Line provided a 20,970 one-way ride to Santa Cruz county residents. Due to COVJl>-19 regulations, Lift Line was at 48 % of the goal during FY21).21. State regulations forced the temporary closure to Meals on Wheels dlnl"8 sites and Elderdiy adult daycare; this service was operated remotely to comply with the CDC recommendations. Lift Une reduced capacity on vehlcles to 4 passengers on a bus and single riders on a minivan to comply wtth 6 feet of separation guidance. For 2021·2022, Uft Line provided 32,683. Uft Une Is achieved 113" of the annual goal. Uft Llne Is wrrently on track to making the yearly goal for FY 22-23.
18.18 Exhibit G-2
COMMUNITY BRIDGES • LIFT LINE I CTSA
TDAISTA 20111·20, 2020-21, 2021-22 BUDGET TO ACTUAL
TOA/STA TOA/STA TDAISTA TDAISTA TOA/STA TDAISTA
2019-20 2019-20 2020-21 2020-21 2021-22 2021-22
ACCOUNT Tlll.E BUDGET ACTUAL BUDGET ACTUAL BUDGET ACTUAL PERSONNEL:
Salaries & Wages 381,183 352,340 316,215 302,994 362,433 406,646 Fringe Ber Unemployment 2,859 3,264 4,743 3,609 5,211 3,251 Workers Comp 22,248 11,249 12,551 6,124 14,579 13,741
Hea h Ins urance 69,692 47,004 34,618 42,411 41,469 38,532 FICA 29,160 37,275 24,190 22,997 27,726 31,558
401K Plan 1,525 1,717 3,697 4,503 6,335 10,056
TOTAL PERSONNEL COSTS: 506,667 452,850 396,015 382,637 457,753 503,784 SERVICES & SUPPLIES:
OPERATING:
Vehicle Operations-Fuel 40,980 44,385 31,886 28,439 35,336 49,535 Vehicle Licenses 1,549 2,640 3,834 4,059 3,834 2,260
Vehicle Repair & Maintenance 14,157 20,143 13,015 8,874 14,603 11,800 Vehicle Insurance 28,906 57,974 31,025 48,485 39,014 49,961 Communication1-Radio 6,110 7,855 24,290 10,685 25,291 6,703 TOTAL VEH. OPERATING COSTS: 91 ,702 132,996 104,049 100,541 118,078 120,259 OTHER OPERA TING & ADMINSTRA TION COSTS:
Professional SelVices 18,369 25,951 2,524 31,167 0 11,189 Jarilorial Services/Supphs 818 4,848 2,565 1,748 2,565 557 Publicity/Media 0 0 0 0 0 0
Stair travel 1,700 0 914
Mino r Equipment 2,851 1,086 5,240 1,696 2,599 220
Equip Maintenance/Repair-Trapeze 2,825 7,544 5,518 8,557 6,761 589 Office Supplies 1,380 996 1,313 584 735 690
Program Supples 964 3,228 3,433 4,365 3,181 1,023
Vehicle Maintenance Supplies 93 SS 39 32 44 0
Computer Supplies/Rellted 887 361 566 625 221 23
Postage 486 1,414 292 301 1,099 465
Space Rental 18,525 9,648 4,970 0 21,998 0
Utilities 10,932 18,802 3,342 12,101 2,890 11,334
Space Maintenance 1,1 17 2,001 1,553 2,341 1,312 2,747
Telephone 2,037 2,764 2,027 2,151 4,191 1,765
Misc Fees 2,912 2,881 1,034 4,317 2,025 315
Staff Training 984 566 1,250 0 3,009 3,655
Insurance-General Liability & Fidelity 1,783 1,850 690 2,910 3,007 2,910 Memberships/Subscriptions 788 538 199 1,315 309 2,275
Printing & Copying 1,401 1,541 65 141 71 1,937
Advertising (Recruitment) 559 44 0 107 0 1,145
Subsidized T llXi 18,515 41,576 46,335 68,898 42,615 108,251 Trxfer to/from Equip Rese rve 36,089 42,950 0 0 0 0
Major Equipment - No n-531 O 0 27,855 37,261 24,011 43,542 48,022 Agency Overhead 117,612 121,316 99,125 106,524 114,828 131,789 TOTAL ADMINISTRATION COSTS: 227077 319,817 219,342 273!890 257,916 330,900 TOTAL EXPENDITURES 839,997 905,662 719,405 757,068 833,747 954,943 TOTAL REVENUES 839,997 905,662 719,405 757,068 833,747 954,943 NET GAIN (LOSS) 0 0 0 0 0 0
COMMUNITY BRIDGES · LIFT LINE I CTSA
TDAISTA 2019·20 2020-21 2021·22 BUDGET TO ACTUAL
TDAISTA TDAISTA TOAISTA TDAISTA TDAISTA TDA/STA
2019-20 2019-20 2020·21 2020-21 2021-22 2021-22
ACCOUNT TITLE BUDGET ACTUAL BUDGET ACTUAL BUDGET ACTUAL REVENUE:
TOA 739,997 800,055 619,405 651,884 733,747 844,219
STA 100,000 100,000 100,000 100,000 100,000 100,000
TAXI SCRIPT 5,607 5,204 10,724
TOTAL REVENUES 839,997 905,662 719,405 757,068 833,747 954,943
18.19 Exhibit H
RESOLUnON NO. 39•23
Adopted by the Santa Cruz County Regionaf Transportation Commission on the date of May 4, 2023
on the motion of Commissioner Alternate SChHrrin
duly seconded by Commissioner Rotkin
A RESOLUTION APPROVING THE FISCAL YEAR 2023·24 TRANSPORTATION DEVELOPMENT ACT (TOA) ARTICLE 8 CLAIM AND STATE TRANSIT ASSISTANCE CLAIM FROM COMMUNilY BRIDGES LIFT UNE FOR PARATRANSIT SERVICES WHEREAS the Transportation Development Act (IDA) of 1971 provides that cities may ffle an Artide 8 claim for monies from the Local Transportation Fund for specialized transportation services; and
WHEREAS the Regional Transportation Commission (RTC} has Identified a process for TDA dalms rn their Rules and ~ulatlons; and
WHEREAS the Regional Transportation Commission, In adopting its FY 2023·24 budget, has apportioned $875,569 In TOA and $267,177 in RTC's population-based State Transit Assistance {STA) formula funds {PUC SectJon 99313) t.o be used by Community Bridges for providing spec:lalfzed transportation; and
WHEREAS the Elderty &. Disabled Transportation Advisory Committee, at Its April 11, 2023 meeting, recommended that the Regional Transportation Commission approve this dalm;
THEREFORE BE IT RESOLVED BY THE SANTA CRUZ COUNTY REGIONAL TRANSPORTATION COMMISSION:
1. The FY 2023-24 Transportation Development Act (TOA) end State Transit Assistance (STA) claim by Community Bridges Lift Line fulfills the requirements specified In the Transportation Development Act and the Santa Cruz County Regional Transportation Commission's (RTC) Rules and Regulations and the RTC finds that:
a. The claim Includes a proposed budget for the 2023-24 ftscal year; b. The claim indudes a statement of projected or estimated revenues and expenditures for the prior fiscal year;
c:. The clalm wlll fund speclallzed transportatfon services and respond to transportation needs not otherwise being met within the community; and d. The proposed expenditure of the funds Is consrstent with the most current Regional Transportation Plan and Unmet Transit Needs list.
2. The City of Santa Cruz wlll act as a dalmant on behalf of Community Brtdges Utt Line, for TOA Artlcle 8 and STA claims for specialized transportation programs and the FY 2023-24 claim Is hereby approved In the amount of $875,569 In iDA funds and $267,ln in STA funds for fiscal year 2023-24 consisting of estimated quarterly payments as follows:
18.20 1st Quarter
2nd Quarter
3rd Quarter
4th Quarter
Total
mA
$288,937.00
$195,544.00
$195,544.00
$195.544.00
$875,569.00
IIA
$66,794.25
$66,794.25
$66,794.25
$66,794.25
$267,177.00
3. Should the RTC amend Its FY 2023-24 budget to modify TDA revenue apportionments to Community Bridges, the Executive Director is authorized to modify the payment amounts consistent with the RTC's approved FY 2023-24 budget.
4. The Executive Director Is authorized~ modify the payment amounts based on actual STA funds approved by the State and received by the RTC from the Stat.e such that Community Bridges receives 8.4% of the PUC Section 99313 STA funds received by the RTC for FY 2023·24.
AYES: COMMISSIONERS Pedersen, S. Brown, Johnson, Montesino, Hernandaz, Koenig, McPherson, K. Brown, Rotlcln, and Commissioner Altamate9 Schiffrln, Quinn, and Pagel•
NOES: COMMISSIONERS
ABSTAIN: COMMISSIONERS
ATTEST:
Guy Preston, Secretary
Dlstr1bution: community Bridges
RTC Fiscal
Manu Koenig, Chair
18.21 7
1 2
3 Exhibit I
Apportionment SchecUe
4 SCCRTC:
5 Admlnlltratlon
6 Planrmg
7 8
9 BbtoWor1<
10 Bike 81. hd Safety (CTSC)
11 12
13 Sa!Q auz Met1"0
14 Spec Tnl,.I: (CB/CTSA)
15 Voklnteer Cerar
16 City ofcaptolll
17 City of SC-Non Transl:
18 City of Sc.otts Valey
19 ClyofWatsonv•
20 County ofSanta Ouz
21 Subtotal
22 Total TDA Apporttoned
FY2D22/23 FY2023/24
Approved Proposed Offerenc:e $
11/3/22 3/9/23
174,187 211,800 37.613
858,287 752,360 (105,927)
738,J,SS __ &iU!~ (91,101)
1,596,442 1,399,414 {197,028)
72,000 72,000
156,000 156,000
228,000 228,000
10,166,800 8,912,046 {1,254,755)
998,843 875,569 (123,274)
118,910 104,234 (14,675)
23,436 19,532 (3,904)
130A23 127,782 (2,641)
27 ,301 24,029 (3,272)
119,298 101,047 (18,251)
305,983 _ 259L207 _ (4§,776)
11,890,993 10,423,445 {1,467,548)
13,889,622 12,262,659 (1,626,963)
Dlft'erence
"' Not.
21.S~ISome reserves to be used In FY 22·23 as
revenues are below estmates for FY 22-23
·12 34,.,IFY22~23appoitlonments lndude surpb;
-12.34'ifi revenues from prior ftscal years; surpbi
-12.34% revenues not anticipated for FY 23-24
O.OO'MI
O.OO'MI
O.OO'MI
·12.341MI FY 22-23-apportlOnmen& lndJde sursim
-12.J4tM. revenues from prtor fllc:al years; surplus
·12.34'Mt rwenues not ant1clpatad for FY 23-24
-16.66"'
-2.03'ifi
-t1.98tM.
-15.30tt'D
-15.29~
-12.341MI
-11.71%
Fonnutai share fOr cities and county are based
on the Department of Fhance populatton
esltnates as of l11nu1ry 2022.
--~~~~~~~~~~~~~---
18.22 City Council
AGENDA REPORT
DATE: 06/08/2023
AGENDA OF: 06/27/2023
DEPARTMENT: Planning and Community Development & Information Technology SUBJECT: Award Contract to Tyler Technologies to Implement Tyler Enterprise Permitting and Licensing Software (Tyler EPL, formerly Tyler EnerGov) (PL/IT)
RECOMMENDATION: Motion to authorize the City Manager to execute contracts, in forms approved by the City Attorney, with Tyler Technologies for licensing, maintenance, and implementation of Tyler Technologies’ enterprise permitting and licensing (EPL) software.
BACKGROUND: The City of Santa Cruz (City) requires a robust, mobility enabled, citywide land management, permitting and licensing system that provides for business licensing, planning and land development, code compliance, permitting and inspections (including for long and short-term rental units), as well as special reporting functions.
The City has been using Central Square’s TRAKiT software product to operate the above-listed business processes since 2008. Over the past 15 years, staff has identified many shortcomings of the current system, such as:
A lack of integration with key systems
Duplicative and/or manual data entry and minimal automation of processes Absence of a robust rental inspection module and limitations with City of Santa Cruz specific processes related to sewer ordinances, cost recovery, and cannabis regulations Outdated customer interface for secure online access and payment functionality Inability to upload plan documents
Difficulties updating Geographic Information Systems (GIS) parcel and spatial data Limited data insights
Due to the above and the impending end of life of the City’s version of TRAKiT, on December 7, 2021, the City issued a Request for Proposal (RFP) for a land management, permitting, and licensing system.
DISCUSSION: The City received proposals from nine vendors as a result of the RFP and selected Tyler Technologies as the successful respondent. Tyler’s enterprise permitting and licensing (EPL or Tyler EPL) is a leading, enterprise-grade permitting and licensing software as a service (SaaS) application for the public sector. The EPL platform is specifically designed to automate and centrally connect the
19.1 critical processes of land use planning and project review, permitting, code enforcement, inspections, licensing and regulatory management, citizen requests and more.
Vendor Selection Process
The selection committee reviewed the proposals and invited candidates to provide a scripted demonstration for City staff.
When considering each of the systems, staff determined that Tyler EPL provided the following advantages:
Successful implementation by several local public agencies with similar scope and requirements Integration with the City’s core applications and related systems for procurement, financials, human resources, billing, cashiering, GIS, agenda management, sales tax, online building plans management, and County assessor and tax systems
Ease of implementation of system-to-system interfaces via APIs (Application Programming Interfaces)
A usable, modern web-based platform for City staff and the public through being mobile-friendly and offering more intuitive online services for application submittal, payments, and inspection scheduling
A user-friendly, customizable interface
Robust reporting capabilities and data insights to perform essential management analysis Vendor Scoring
Criteria Weight
Avocette
(Clariti -
Salesforce)
Harris
(CityView)
MaintStar
(MaintStar)
TruePoint
(Accela
Civic)
Tyler
(Enterprise
Permitting
&
Licensing)
Fee Schedule 30% 5% 8% 30% 9% 5%
Vendor Qualifications: Services,
Functions, Technical Features 40% 28% 32% 8% 32% 40%
Vendor Project plan 20% 10% 10% 6% 14% 18%
Overall Quality of proposal 10% 8% 8% 4% 6% 7%
Total Weighted Score 100% 51% 58% 48% 61% 70%
Overall Rank 4 3 5 2 1
In addition to solving many of the identified issues with the current land management system (TRAKiT), the Tyler EPL platform will enable the City to implement more automated and efficient processes. Examples include:
Because the Community Development and Business Management modules are built upon the same underlying architecture, business workflows can seamlessly transition from one module to another, reducing the need for duplicative lookups, data entry, and a disjointed customer or administrative experience.
Tyler EPL will improve the flow of communication among staff and customers, enable mobile inspections, and provide enhanced data collection and reporting to help track progress toward department and citywide goals.
19.2 o The suite of products will be used by several departments, including Planning and Community Development, Fire, Water, Public Works, Parks and Recreation, Finance, and Economic Development and Housing.
o Modern communication and workflow are essential to integration across so many departments, the community, and cross-disciplinary functions. As a SaaS application, Tyler EPL offers the benefit of increased performance and stability, and regular upgrade cycles.
The adoption of this new platform also provides the City an opportunity to refine and update business processes and workflows. The migration is expected to take 12 months to complete.
HEALTH IN ALL POLICIES: Health in All Policies (HiAP) is a collaborative approach that considers the pillars of health, equity, and sustainability. Execution of the land management contract targets fiscal sustainability as the software implementation will result in improved service delivery efficiencies associated with more streamlined business processes and data analysis and reporting functionalities. From an environmental sustainability standpoint, the software will enable users to electronically submit plans and pay fees, thereby reducing vehicle trips necessary to complete business transactions.
FISCAL IMPACT: The Information Technology (IT) Department will cover the implementation cost and first year’s SaaS fees from the IT Capital Investment Program (CIP) budget (project number c152002 - Information Technology Applications). For subsequent fiscal years, SaaS fees will be shared between the Planning and Community Development Department and the IT Department.
At the June 13, 2023 City Council meeting, the Technology Surcharge was expanded to include all departments that use the land management system and increased from five to six percent. The Technology Surcharge special revenue fund shall be the first source of funding for annual software licensing and maintenance. The IT operational budget (101-15-10-1251-52248 Software Maintenance Services) will provide up to $100,000 annually, if needed, based on fluctuations in the Technology Surcharge revenue. Similarly, the first year Technology Surcharge revenue may be able to reduce the expenditures from the CIP fund. Specifics pertaining the anticipated Technology Surcharge revenue are available in the attached June 13th Staff Report, with the associated resolution.
The City currently spends about $47,100 annually for Central Square’s TRAKiT, an on-premise platform. This contract will be terminated after the successful deployment of the Tyler EPL platform.
Implementation is expected to commence within six months of contract execution and to take approximately 12 months to implement.
The term of the proposed contract is five years. In years six through ten, the City will have the option to renew annually at a five percent price annual protection cap for any increase for software licensing and maintenance fees.
The charts below illustrate the anticipated fiscal impact of the purchase and implementation of Tyler EPL.
19.3 Implementation and SaaS Cost:
FY 2024 FY 2025 FY 2026 FY 2027 FY 2028 Totals
Tyler EPL Annual SaaS
Cost $301,680 $301,680 $301,680 $301,680 $301,680 $1,508,400 Implementation Cost $702,320 - - - - $702,320
Grand Total Cost - - - - - $2,210,720
Funding Sources:
FY 2024 FY 2025 FY 2026 FY 2027 FY 2028 Totals
IT CIP (c152002) $1,004,000 - - - - $1,004,000
IT Software Maintenance
Services (52248)*
- $100,000 $100,000 $100,000 $100,000 $400,000
Projected Technology
Surcharge Revenue
$250,000 $250,000 $250,000 $250,000 $250,000 $1,250,000 * IT operational budget will provide up to $100,000 annually, if needed, based on fluctuations in the Technology Surcharge revenue.
ATTACHMENTS:
1. CONTRACT DOCUMENTATION
2. TECHNOLOGY SURCHARGE STAFF REPORT AND ATTACHMENTS FROM CITY COUNCIL MEETING 06/13/23
Prepared By:
James Armstrong
IT Business Systems Analyst
Stephanie Knoop
IT Project Manager
Eric Marlatt
Assistant Director of Planning
and Community Development
Viviane Pearson
Principal Management Analyst
Submitted By:
Ken Morgan
Director of Information
Technology
Approved By:
Matt Huffaker
City Manager
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SOFTWARE AS A SERVICE AGREEMENT
This Software as a Service Agreement is made between Tyler Technologies, Inc. (also “Tyler” or “we”) and Client (also, “You” or “City”).
WHEREAS, Client selected Tyler to provide certain products and services set forth in the Investment Summary, including providing Client with access to Tyler’s proprietary software products, and Tyler desires to provide such products and services under the terms of this Agreement; NOW THEREFORE, in consideration of the foregoing and of the mutual covenants and promises set forth in this Agreement, Tyler and Client agree as follows:
SECTION A – DEFINITIONS
• “Agreement” means this Software as a Service Agreement. • “Business Travel Policy” means our business travel policy. A copy of our current Business Travel Policy is attached as Exhibit B, Schedule 1 Business Travel Policy. • “Client” means City of Santa Cruz, California.
• “Data” means your data necessary to utilize the Tyler Software. • “Data Storage Capacity” means the contracted amount of storage capacity for your Data identified in the Investment Summary.
• “Defect” means a failure of the Tyler Software to substantially conform to the functional descriptions set forth in our written proposal to you, or their functional equivalent. Future functionality may be updated, modified, or otherwise enhanced through our maintenance and support services, and the governing functional descriptions for such future functionality will be set forth in our then-current Documentation.
• “Defined Users” means the number of users that are authorized to use the SaaS Services. The Defined Users for the Agreement are as identified in the Investment Summary. If Exhibit A Investment Summary contains Enterprise Permitting & Licensing labeled software, defined users mean the maximum number of named users that are authorized to use the Enterprise Permitting & Licensing labeled modules as indicated in the Investment Summary. • “Developer” means a third party who owns the intellectual property rights to Third Party Software.
• “Documentation” means any online or written documentation related to the use or functionality of the Tyler Software that we provide or otherwise make available to you, including instructions, user guides, manuals and other training or self-help documentation. • “Effective Date” means the date by which both your and our authorized representatives have signed the Agreement.
• “Force Majeure” means an event beyond the reasonable control of you or us, including, without limitation, governmental action, war, riot or civil commotion, fire, natural disaster, or any other cause that could not with reasonable diligence be foreseen or prevented by you or us. • “Investment Summary” means the agreed upon cost proposal for the products and services attached as Exhibit A.
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• “Invoicing and Payment ” means the invoicing and payment policy. A copy of the current Invoicing and Payment Policy is attached as Exhibit B.
• “Order Form” means an ordering document that includes a quote or investment summary and specifying the items to be provided by Tyler to Client, including any addenda and supplements thereto.
• “SaaS Fees” means the fees for the SaaS Services identified in the Investment Summary. • “SaaS Services” means software as a service consisting of system administration, system management, and system monitoring activities that Tyler performs for the Tyler Software, and includes the right to access and use the Tyler Software, receive maintenance and support on the Tyler Software, including Downtime resolution under the terms of the SLA, and Data storage and archiving. SaaS Services do not include support of an operating system or hardware, support outside of our normal business hours, or training, consulting or other professional services. • “SLA” means the service level agreement. A copy of our current SLA is attached hereto as Exhibit C.
• “Statement of Work” means the industry standard implementation plan describing how our professional services will be provided to implement the Tyler Software, and outlining your and our roles and responsibilities in connection with that implementation. The Statement of Work is attached as Exhibit E Statement of Work.
• “Support Call Process” means the support call process applicable to all of our customers who have licensed the Tyler Software. A copy of our current Support Call Process is attached as Schedule 1 to Exhibit C .
• “Third Party Hardware” means the third party hardware, if any, identified in the Investment Summary.
• “Third Party Products” means the Third Party Software and Third Party Hardware. • “Third Party SaaS Services” means software as a service provided by a third party, if any, identified in the Investment Summary.
• “Third Party Services” means the third party services, if any, identified in the Investment Summary.
• “Third Party Software” means the third party software, if any, identified in the Investment Summary.
• “Third Party Terms” means, if any, the end user license agreement(s) or similar terms for the Third Party Products or other parties’ products or services, as applicable, and attached or indicated at Exhibit D Third Party Terms .
• “Tyler” means Tyler Technologies, Inc., a Delaware corporation. • “Tyler Software” means our proprietary software, including any integrations, custom modifications, and/or other related interfaces identified in the Investment Summary and licensed by us to you through this Agreement.
• “we”, “us”, “our” and similar terms mean Tyler.
• “You” and similar terms mean Client, City of Santa Cruz.
SECTION B – SAAS SERVICES
1. Rights Granted. We grant the City a non-exclusive, non-assignable, subscription to access and use the SaaS Services solely for your internal business purposes (but inclusive of any of our platform’s public portals ) for the number of Defined Users only during the term of this Agreement and any extensions thereof, if any, by any method pursuant to the Statement of Work. The Tyler Software will be made available to you according to the terms of the SLA. You may use the SaaS Services to access updates and enhancements to the Tyler Software, as further described in Section C(9).
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2. SaaS Fees. You agree to pay Tyler the SaaS Fees, as specified in Exhibit A Investment Summary.
Those amounts are payable in accordance with the Invoicing and Payment Policy. The SaaS Fees are based on the number of Defined Users and amount of Data Storage Capacity. You may add additional users or additional data storage capacity on the terms set forth in Section H(1). In the event you regularly and/or meaningfully exceed the Defined Users or Data Storage Capacity, we reserve the right to charge you additional fees commensurate with the overage(s).
3. Ownership.
3.1 We retain all ownership and intellectual property rights to the SaaS Services, the Tyler Software, and anything developed by us under this Agreement. You do not acquire under this Agreement any license to use the Tyler Software in excess of the scope and/or duration of the SaaS Services.
3.2 The Documentation is licensed to you and may be used and copied by your employees for internal, non-commercial reference purposes only. For the avoidance of doubt, use of applicable Documentation by the public is permitted in connection with public use of any of our platform’s public portals.
3.3 You retain all ownership and intellectual property rights to the Data. You expressly recognize that except to the extent necessary to carry out our obligations contained in this Agreement, we do not create or endorse any Data used in connection with the SaaS Services.
4. Restrictions. You may not: (a) make the Tyler Software or Documentation resulting from the SaaS Services available in any manner to any third party for use in the third party’s business operations; (b) modify, make derivative works of, disassemble, reverse compile, or reverse engineer any part of the SaaS Services; (c) access or use the SaaS Services in order to build or support, and/or assist a third party in building or supporting, products or services competitive to us; or (d) license, sell, rent, lease, transfer, assign, distribute, display, host, outsource, disclose, permit timesharing or service bureau use, or otherwise commercially exploit or make the SaaS Services, Tyler Software, or Documentation available to any third party other than as expressly permitted by this Agreement.
5. Software Warranty. We warrant that the Tyler Software will perform without Defects during the term of this Agreement. If the Tyler Software does not perform as warranted, we will use all commercially reasonable efforts, consistent with industry standards, to cure the Defect in accordance with the maintenance and support process set forth in Section C(9), below, the SLA and our then current Support Call Process. Tyler is responsible for all cost of parts, labor, field service, and pickup and delivery costs and fees related to repairs or corrections pursuant to this Software Warranty. For a period of five (5) years from the Effective Date, and provided that this Agreement is otherwise in force, if a new release of the Tyler Software removes the functionality that was originally available to you on the Effective Date of this Agreement, we will provide alternative means for equivalent functionality at no additional cost to you beyond payment of the annual SaaS Fees.
6. SaaS Services.
6.1 Our SaaS Services are audited at least yearly in accordance with the AICPA’s Statement on Standards for Attestation Engagements (“SSAE”) No. 21. We have attained, and will maintain, SOC 1 and SOC 2 compliance, or its equivalent, for so long as you are timely paying for SaaS
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Services. The scope of audit coverage varies for some Tyler Software solutions. Upon execution of a mutually agreeable Non-Disclosure Agreement (“NDA”), we will provide you with a summary of our compliance report(s) or its equivalent. Every year thereafter, for so long as the NDA is in effect and in which you make a written request, we will provide that same information. If our SaaS Services are provided using a 3rd party data center, we will provide available compliance reports for that data center.
6.2 Tyler will use commercially reasonable efforts and industry standards to maintain administrative, physical, and technical safeguards designed to protect the security, confidentiality, and integrity of the Data (including Confidential Information), including, without limitation, measures for preventing access, use, modification, or disclosure of the Data by Tyler personnel and unauthorized third parties, except (a) to provide the Services pursuant to this Agreement (b) to prevent or address service or technical problems pursuant to this Agreement, (c) as compelled by law, or (d) as the City expressly permits in writing in advance.
6.3 The City will be hosted on shared hardware in a Tyler data center or in a third-party data center.
In either event, databases containing your Data will be dedicated to you and inaccessible to our other customers.
6.4 Tyler’s data centers have fully-redundant telecommunications access, electrical power, and the required hardware to provide access to the Tyler Software in the event of a disaster or component failure. In the event of a data center failure, we reserve the right to employ our disaster recovery plan for resumption of the SaaS Services. In that event, we commit to a Recovery Point Objective (“RPO”) of 1 hour and a Recovery Time Objective (“RTO”) of 24 hours.
RPO represents the maximum duration of time between the most recent recoverable copy of your hosted Data and subsequent data center failure. RTO represents the maximum duration of time following data center failure within which your access to the Tyler Software must be restored.
6.5 We conduct annual penetration testing of either the production network and/or web application to be performed. We will maintain industry standard intrusion detection and prevention systems to monitor malicious activity in the network and to log and block any such activity. We will provide you with a written or electronic record of the actions taken by us in the event that any unauthorized access to your database(s) is detected as a result of our security protocols. We will undertake an additional security audit, on terms and timing to be mutually agreed to by the parties, at your written request. You may not attempt to bypass or subvert security restrictions in the SaaS Services or environments related to the Tyler Software.
Unauthorized attempts to access files, passwords or other confidential information, and unauthorized vulnerability and penetration test scanning of our network and systems (hosted or otherwise) is prohibited without the prior written approval of our IT Security Officer.
6.6 We test our disaster recovery plan on an annual basis. Our standard test is not client-specific.
Should you request a client-specific disaster recovery test, we will work with you to schedule and execute such a test on a mutually agreeable schedule. At your written request, we will provide test results to you within a commercially reasonable timeframe after receipt of the request.
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6.7 We will be responsible for importing back-up and verifying that you can log-in. You will be responsible for running reports and testing critical processes to verify the returned Data.
6.8 We provide secure Data transmission paths between each of your workstations and our servers.
6.9 Tyler data centers are accessible only by authorized personnel with a unique key entry. All other visitors to Tyler data centers must be signed in and accompanied by authorized personnel.
Entry attempts to the data center are regularly audited by internal staff and external auditors to ensure no unauthorized access.
6.10 Where applicable with respect to our applications that take or process card payment data, we are responsible for the security of cardholder data that we possess, including functions relating to storing, processing, and transmitting of the cardholder data and affirm that, as of the Effective Date, we comply with applicable requirements to be considered PCI DSS compliant and have performed the necessary steps to validate compliance with the PCI DSS. We agree to supply the current status of our PCI DSS compliance program in the form of an official Attestation of Compliance, which can be found at https://www.tylertech.com/aboutus/compliance, and in the event of any change in our status, will comply with applicable notice requirements.
7. Notice of Data Breach. In the event of any confirmed breach of Your Data, Tyler will follow the California Data Breach Notification law, and any other applicable state or federal law. Tyler shall not charge you for any expenses associated with Tyler’s compliance with these obligations.
SECTION C – PROFESSIONAL SERVICES
1. Professional Services. We will provide you the various implementation-related services itemized in the Investment Summary and described in the Statement of Work. We will perform the services in accordance with the schedule in a mutually agreed project plan.
2. Professional Services Fees. The City agrees to pay us the professional services fees in the amounts set forth in the Investment Summary. Those amounts are based on the scope of the project as of the Effective Date and are payable in accordance with the Invoicing and Payment Policy. For avoidance of doubt, no services beyond those listed in the Investment Summary will be added to this Agreement without mutual written consent of the parties.
3. Additional Services. The Investment Summary contains, and the Statement of Work describes the scope of services and related costs (including programming and/or interface estimates) required for the project based on our understanding of the specifications you supplied. If additional work is required, or if you use or request additional services, we will provide you with an addendum or change order, as applicable, outlining the costs for the additional work. The price quotes in the addendum or change order will be valid for thirty (30) days from the date of the quote. For avoidance of doubt, no services beyond those listed in the Investment Summary will be added to this Agreement without mutual written consent of the parties.
4. Cancellation. If travel is required, Tyler will make all reasonable efforts to schedule travel for our personnel, including arranging travel reservations, at least two (2) weeks in advance of commitments. Therefore, if the City cancels services less than two (2) weeks in advance (other than
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for Force Majeure or breach by us), the City will be liable for all (a) non-refundable expenses incurred by us on the City's behalf, and (b) daily fees associated with cancelled professional services if we are unable to reassign our personnel. We will make all reasonable efforts to reassign personnel in the event the City cancel within two (2) weeks of scheduled commitments.
5. Services Warranty. We will perform the services in a professional, workmanlike manner, consistent with industry standards and applicable laws. In the event Tyler provides services that do not conform to this warranty, we will re-perform such services at no additional cost to the City.
6. Site Access and Requirements. At no cost to us, you agree to provide us with full and free access to the City's personnel, facilities, and equipment as may be reasonably necessary for us to provide implementation services, subject to any reasonable security protocols or other written policies provided to us as of the Effective Date, and thereafter as mutually agreed to by the City and Tyler.
7. Background Checks. All of our employees will undergo criminal background checks prior to hire. All Tyler’s employees, agents, and subcontractors, if applicable, sign our confidentiality agreement and security policies.
8. Client Assistance. You acknowledge that the implementation of the Tyler Software is a cooperative process requiring the time and resources of the City's personnel. You agree to use all commercially reasonable efforts to cooperate with and assist us as may be reasonably required to meet the agreed upon project deadlines and other milestones for implementation. This cooperation includes at least working with us to schedule the implementation-related services outlined in this Agreement. We will not be liable for failure to meet any deadlines and milestones when such failure is due to Force Majeure or to the failure by the City's personnel to provide such cooperation and assistance (either through action or omission).
9. Maintenance and Support. For so long as you timely pay the City's SaaS Fees according to the Invoicing and Payment Policy, then in addition to the terms set forth in the SLA and the Support Call Process, we will:
9.1 perform our maintenance and support obligations in a timely, professional, good, and workmanlike manner, consistent with industry standards, to resolve Defects in the Tyler Software (subject to any applicable release life cycle policy);
9.2 provide support during our established support hours as referenced in Exhibit C;
9.3 maintain competent personnel that are sufficiently trained to be familiar with the Tyler Software and Third Party Software, if any, in order to provide maintenance and support services;
9.4 make available to the City all releases to the Tyler Software (including updates and enhancements) that we make generally available without additional charge to customers who have a maintenance and support agreement in effect; and
9.5 provide non-Defect resolution support of prior releases of the Tyler Software in accordance with any applicable release life cycle policy.
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Tyler will use all reasonable efforts to perform support services remotely. Currently, Tyler uses a third-party secure unattended connectivity tool called Bomgar, as well as GotoAssist by Citrix.
Therefore, you agree to maintain a high-speed internet connection capable of connecting us to the City's PCs and server(s). The City agrees to provide us with a login account and local administrative privileges as we may reasonably require to perform remote services. Tyler will, at our option, use the secure connection to assist with proper diagnosis and resolution, subject to any reasonably applicable security protocols. If we cannot resolve a support issue remotely, we may be required to provide onsite services. In such event, Tyler will be responsible for travel expenses, unless it is determined that the reason onsite support was required was a reason outside our control. Either way, the City agrees to provide us with full and free access to the Tyler Software, working space, adequate facilities within a reasonable distance from the equipment, and use of machines, attachments, features, or other equipment reasonably necessary for us to provide the maintenance and support services, all at no charge to us. We strongly recommend that you also maintain the City's VPN for backup connectivity purposes.
For the avoidance of doubt, SaaS Fees do not include the following services: (a) onsite support (unless Tyler cannot remotely correct a Defect in the Tyler Software, as set forth above); (b) application design; (c) other consulting services; or (d) support outside our normal business hours as listed in our then-current Support Call Process. Requested services such as those outlined in this section will be billed to you on a time and materials basis at our then current rates. You must request those services with at least one (1) week’s advance notice.
10. Assignment and Removal of Staff. After the Effective Date, and in coordination with the project kick-off activities identified in the Statement of Work, we will make our project staffing assignments.
Upon request, Tyler will provide the City with project resumes, demonstrating relevant past project experience, for project team members that are allocated for onsite services on the project. The City agrees that those resumes are for the City’s information and planning purposes only.
Once Tyler’s project team is assembled and the City’s counterparts have been identified, both parties agree that, except for reasons outside of their control, they will not remove staff and personnel from their assigned project roles without reasonable advance notice and good cause, and that they will work together to mitigate project impacts after any such removal. The parties will also work together to manage the project impact resulting from the temporary unavailability of project staff from either party. Tyler agrees to use commercially reasonable efforts to maintain consistency of project personnel and commit to replacement resources having sufficient project knowledge, without additional cost to you, in order to render services in accordance with contractual requirements.
In the event Tyler’s personnel is/are not providing services consistent with our services warranty or are otherwise negatively impacting the project, the City will notify Tyler of that deficiency and give Tyler a reasonable opportunity to correct it. In the event the deficiency persists, Tyler will replace that project member, upon written request and demonstration of good cause. Replacement staff will be assigned following the same processes set forth above and shall have reasonably sufficient experience and project knowledge to fulfill applicable obligations under the Agreement. The foregoing notwithstanding, if the replacement personnel is providing services onsite, you shall remain liable for travel expenses incurred by such personnel, to be invoiced in accordance with the Business Travel Policy.
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SECTION D – THIRD PARTY PRODUCTS
1. Third Party Hardware. We will sell, deliver, and install onsite the Third Party Hardware, if the City has purchased any, for the price set forth in the Investment Summary. Those amounts are payable in accordance with our Invoicing and Payment Policy.
2. Third Party Software. As part of the SaaS Services, the City will receive access to the Third Party Software and related documentation for internal business purposes only. The City’s rights to the Third Party Software will be governed by the Third Party Terms.
3. Third Party Products Warranties.
3.1 We are authorized by each Developer to grant access to the Third Party Software.
3.2 The Third Party Hardware will be new and unused, and upon payment in full, the City will receive free and clear title to the Third Party Hardware.
3.3 The City acknowledges that we are not the manufacturer of the Third Party Products. Tyler does not warrant or guarantee the performance of the Third Party Products. However, Tyler grants and passes through to the City any warranty that Tyler may receive from the Developer or supplier of the Third Party Products.
4. Third Party Services. If the City has purchased Third Party Services, those services will be provided independent of Tyler by such third-party at the rates set forth in the Investment Summary and in accordance with our Invoicing and Payment Policy.
SECTION E - INVOICING AND PAYMENT; INVOICE DISPUTES
1. Invoicing and Payment. We will invoice you the SaaS Fees and fees for other professional services in the Investment Summary per our Invoicing and Payment Policy, subject to Section E(2).
2. Invoice Disputes. If you believe any delivered software or service does not conform to the warranties in this Agreement, you will provide us with written notice within thirty (30) days of the City's receipt of the applicable invoice . The written notice must contain reasonable detail of the issues you contend are in dispute so that we can confirm the issue and respond to the City's notice with either a justification of the invoice, an adjustment to the invoice, or a proposal addressing the issues presented in the City's notice. We will work with you to correct the issue within a reasonable period of time. If it is determined that the delivered software or service does not conform to the warranties in this Agreement, the parties will develop an action plan that outlines reasonable steps to be taken by each of us to resolve any issues presented in the City's notice. You may withhold payment of the amount(s) actually in dispute, and only those amounts, until we complete the action items outlined in the plan. If we are unable to complete the action items outlined in the action plan because of the City's sole failure to complete the items agreed to be done by you and not due to any act or omission by us or other third-party, then you will remit full payment of the invoice unless the Dispute Resolution clause set forth in Section H(3) is timely invoked. We reserve the right to suspend delivery of all SaaS Services, including maintenance and support services, if you fail to pay an invoice not disputed as described above within thirty (30) days of notice of our intent to do so.
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SECTION F – TERM AND TERMINATION
1. Term. The initial term of this Agreement, commencing on August 1, 2023, is five (5) years, unless earlier terminated as set forth below. Upon expiration of the initial term, this Agreement will renew automatically for additional one (1) year renewal term at our then-current SaaS Fees unless terminated in writing by either party at least sixty (60) days prior to the end of the then-current initial term or renewal term, as applicable. Notwithstanding the foregoing, the City’s annual SaaS Fees for the first five (5) annual renewals (years 6-10) will not increase more than five percent (5%) on an annualized basis. The City's right to access or use the Tyler Software and the SaaS Services will terminate at the end of this Agreement, except as otherwise set forth in Sections F(3) and F(4).
2. Termination. Except for the expiration of the initial or renewal term, this Agreement may be terminated as set forth below. In the event of termination, both parties will immediately take action not to incur any additional obligations, costs, or expenses, except as may be reasonably necessary to terminate its activities or to complete its duties under a mutually agreed to change order or addendum, as applicable, in connection with the Disentanglement provision at Section F(3) of this Agreement. You will pay us for all undisputed fees and expenses related to the software, products, and/or services received, or we have incurred or delivered, prior to the effective date of termination. Disputed fees and expenses in all terminations other than your termination for cause must have been submitted as invoice disputes in accordance with Section E(2). In the event of Tyler’s failure to perform pursuant to the Agreement, You reserve the right to obtain services elsewhere and seek available remedies at law or in equity.
2.1 Failure to Pay SaaS Fees. You acknowledge that continued access to the SaaS Services is contingent upon the City's timely payment of SaaS Fees. If you fail to timely pay the SaaS Fees, we may discontinue the SaaS Services and deny the City's access to the Tyler Software. We may also terminate this Agreement if you don’t cure such failure to pay within forty-five (45) days of receiving written notice of our intent to terminate.
2.2 For Cause. If you believe we have breached this Agreement, you will invoke the Dispute Resolution clause set forth in Section H(3). You may terminate this Agreement for cause in the event we do not cure, or create a mutually agreeable action plan to address, a breach of this Agreement as set forth in Section H(3). In accordance with the payment requirements above, City shall be entitled to a refund or offset of previously paid SaaS Fees for the time following the effective date of termination.
2.3 Force Majeure. Either party has the right to terminate this Agreement if a Force Majeure event suspends performance of the SaaS Services for a period of forty-five (45) days or more. In accordance with the payment requirements above, City shall be entitled to a refund or offset of previously paid SaaS Fees for the time following the effective date of termination.
2.4 Lack of Appropriations. If you should not appropriate or otherwise make available funds sufficient to utilize the SaaS Services, you may unilaterally terminate this Agreement upon thirty (30) days written notice to us. You will not be entitled to a refund or offset of previously paid, but unused SaaS Fees. You agree not to use termination for lack of appropriations as a substitute for termination for convenience.
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3. Disentanglement. In connection with the termination of this Agreement for any reason, and only upon the execution of a mutually agreed change order or addendum Tyler shall use commercially reasonable efforts to accomplish an adequate and timely transition from Tyler to the City, or to any replacement providers designated by the City (a “Disentanglement”). The parties shall reasonably cooperate during Disentanglement. For the avoidance of doubt, the annual SaaS Fee rates applicable to a Disentanglement period shall be those in effect at the time of termination.
4. Return of Data. In the event of termination of this Agreement, and upon reasonable advance notice, Tyler shall promptly make all Data available to the City with a reasonable period of times, not to exceed thirty (30) calendar days, in the format of the database or other such format as may be mutually agreed upon, provided through Tyler’s FTP server or such other secure method reasonably selected by Tyler. Such Data will be provided at no additional cost.
SECTION G – INDEMNIFICATION, LIMITATION OF LIABILITY AND INSURANCE
1. Intellectual Property Infringement Indemnification.
1.1 To the best of Tyler’s knowledge as of the Effective Date of this Agreement, Tyler’s licensed use of the Software will not infringe upon the intellectual property rights of any third party.
1.2 To the fullest extent permitted by law, Tyler will defend, indemnify, and hold harmless You, your officials, officers, employees, and agents from and against any third party claim(s) that the Tyler Software or Documentation infringes a patent, copyright, or trademark, or misappropriates its trade secrets, and will pay the amount of any resulting adverse final judgment (or settlement to which we consent), including damages, attorneys’ fees, and costs. You must notify us promptly in writing of the claim and give us control over its defense or settlement. We will not agree to a settlement that requires you to perform or abstain from any action (including but not limited to making a payment) without your consent, not to be unreasonably withheld, and we will not agree to any other settlement without giving you advance notice thereof and a reasonable opportunity to provide feedback on that proposed settlement, which feedback we will consider in good faith. You agree to provide us with reasonable assistance, cooperation, and information in defending the claim at our expense.
1.3 Our obligations under this Section G(1) will not apply to the extent the claim or adverse final judgment is based on the City's use of the Tyler Software in contradiction of this Agreement, including with non-licensed third parties, or the City's willful infringement.
1.4 If we receive information concerning an infringement or misappropriation claim related to the Tyler Software, we may, at our expense and without obligation to do so, either: (a) procure for you the right to continue its use; (b) modify it to make it non-infringing; or (c) replace it with a functional equivalent, in which case you will stop running the allegedly infringing Tyler Software immediately. Alternatively, we may decide to litigate the claim to judgment, in which case you may continue to use the Tyler Software consistent with the terms of this Agreement.
1.5 If an infringement or misappropriation claim is fully litigated and the City's use of the Tyler Software is enjoined by a court of competent jurisdiction, in addition to paying any adverse final judgment (or settlement to which we consent), we will, at our option, either: (a) procure the right to continue its use; (b) modify it to make it non-infringing; or (c) replace it with a functional
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equivalent. This section provides the City's exclusive remedy for third party copyright, patent, or trademark infringement and trade secret misappropriation claims.
2. General Indemnification.
2.1 To the fullest extent permitted by law, we will indemnify, defend, and hold harmless you and the City's agents, officials, officers, and employees from and against any and all third party claims, losses, liabilities, injuries, damages, costs, and expenses (including reasonable attorney's fees and costs) arising out of or in connection with (a) personal injury or property damage to the extent caused by our negligence or willful misconduct; (b) our violation of PCI-DSS requirements or a law applicable to our performance under this Agreement; or (c) our violation of Section H(18) of this Agreement. You must notify us promptly in writing of the claim and give us control over its defense or settlement. You agree to provide us with reasonable assistance, cooperation, and information in defending the claim at our expense. We will not agree to a settlement that requires you to perform or abstain from any action (including but not limited to making a payment) without your consent, not to be unreasonably withheld, and we will not agree to any other settlement without giving you advance notice thereof and a reasonable opportunity to provide feedback on that proposed settlement, which feedback we will consider in good faith.
2.2 To the extent permitted by applicable law, you will indemnify and hold harmless us and our agents, officials, and employees from and against any and all third-party claims, losses, liabilities, damages, costs, and expenses (including reasonable attorney's fees and costs for (a) personal injury or property damage to the extent caused by the City's negligence or willful misconduct; or (b) the City's violation of a law applicable to the City's performance under this Agreement. We will notify you promptly in writing of the claim and will give you sole control over its defense or settlement. We agree to provide you with reasonable assistance, cooperation, and information in defending the claim at the City's expense.
3. DISCLAIMER. EXCEPT FORTHE EXPRESS WARRANTIES PROVIDED IN THIS AGREEMENT AND TO THE
MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, WE HEREBY DISCLAIM ALL OTHER
WARRANTIES AND CONDITIONS, WHETHER EXPRESS, IMPLIED, OR STATUTORY, INCLUDING, BUT
NOT LIMITED TO, ANY IMPLIED WARRANTIES, DUTIES, OR CONDITIONS OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. CLIENT UNDERSTANDS AND AGREES THAT TYLER
DISCLAIMS ANY LIABILITY FOR ERRORS THAT RELATE TO USER ERROR FOR THE AVOIDANCE OF DOUBT, USER ERROR SHALL NOT INCLUDE ERRORS CAUSED BY TYLER’S NEGLIGENCE OR WILLFUL MISCONDUCT.
4. LIMITATION OF LIABILITY. EXCEPT AS OTHERWISE EXPRESSLY SET FORTH IN THIS AGREEMENT,
OUR LIABILITY FOR DAMAGES ARISING OUT OF THIS AGREEMENT, WHETHER BASED ON A THEORY
OF CONTRACT OR TORT, INCLUDING NEGLIGENCE AND STRICT LIABILITY, SHALL BE LIMITED TO YOUR ACTUAL DIRECT DAMAGES, NOT TO EXCEED: (A) DURING THE INITIAL TERM, AS SET FORTH IN SECTION F(1), TWO(2) TIMES THE TOTAL FEES PAYABLE DURING THE INITIAL TERM; OR (B) DURING ANY RENEWAL TERM, TWO (2) TIMES THE THEN-CURRENT ANNUAL SAAS FEES PAYABLE IN THAT RENEWAL TERM. THE PARTIES ACKNOWLEDGE AND AGREE THAT THE PRICES SET FORTH
IN THIS AGREEMENT ARE SET IN RELIANCE UPON THIS LIMITATION OF LIABILITY AND TO THE
MAXIMUM EXTENT ALLOWED UNDER APPLICABLE LAW, THE EXCLUSION OF CERTAIN DAMAGES,
AND EACH SHALL APPLY REGARDLESS OF THE FAILURE OF AN ESSENTIAL PURPOSE OF ANY
19.15 12
REMEDY. THE FOREGOING LIMITATION OF LIABILITY SHALL NOT APPLY TO CLAIMS THAT ARE SUBJECT TO SECTIONS G(1) AND G(2).
5. EXCLUSION OF CERTAIN DAMAGES. TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW,
IN NO EVENT SHALL EITHER PARTY BE LIABLE FOR ANY SPECIAL, INCIDENTAL, PUNITIVE, INDIRECT,
OR CONSEQUENTIAL DAMAGES WHATSOEVER, EVEN IF EITHER OR BOTH PARTIES HAVE BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. THE FOREGOING EXCLUSION OF CERTAIN DAMAGES SHALL NOT APPLY TO CLAIMS THAT ARE SUBJECT TO SECTIONS G(1) AND G(2).
6. Insurance. Prior to the beginning and throughout the course of performing services under this Agreement, we agree to maintain and comply with the Insurance Requirements set forth and incorporated herein as Exhibit F. The insurance coverages required shall not in any way limit the liability of Tyler.
SECTION H – GENERAL TERMS AND CONDITIONS
1. Compliance with Laws. Tyler, in the performance of services, will comply with all applicable laws, ordinances, orders, decrees and regulations. The fees in the Investment Summary are based, in part, on the cost of compliance with applicable laws existing as of the time of the Effective Date. Should laws applicable to Tyler’s performance under the Agreement change post-signature, Tyler reserves the right to seek a change order for the additional work, time and/or cost that may be required to comply with the new law, ordinance or regulation. Tyler will maintain the Tyler Software in accordance with applicable law.
2. Additional Products and Services. You may purchase additional products and services at the rates set forth in the Investment Summary for twenty-four (24) months from the Effective Date by executing a mutually agreed addendum. If no rate is provided in the Investment Summary, or those twenty-four (24) months have expired, you may purchase additional products and services at our then-current list price, also by executing a mutually agreed addendum. The terms of this Agreement will control any such additional purchase(s), unless otherwise specifically provided in the addendum.
3. Dispute Resolution. You agree to provide us with written notice within thirty (30) days of becoming aware of a dispute. You agree to cooperate with us in trying to reasonably resolve all disputes, including, if requested by either party, appointing a senior representative to meet and engage in good faith negotiations with our appointed senior representative. Senior representatives will convene within ten (10) business days of the written dispute notice, unless otherwise agreed. All meetings and discussions between senior representatives will be deemed confidential settlement discussions not subject to disclosure under Federal Rule of Evidence 408 or any similar applicable state rule. If we fail to resolve the dispute within thirty (30) calendar days of the notice of the dispute, or extended time period as agreed to by the parties (with either such period being the “Dispute Resolution Period”), then the parties shall participate in non-binding mediation in an effort to resolve the dispute. The parties shall commence with the mediation process within thirty (30) calendar days following the end of the Dispute Resolution Period. If the dispute remains unresolved after mediation, then either of us may assert our respective rights and remedies in a court of competent jurisdiction. Nothing in this section shall prevent you or us from seeking necessary injunctive relief during the dispute resolution procedures. Nothing in this Agreement shall be construed to signify a waiver of the requirement for filing a claim in compliance with the California Tort Claims Act, Gov’t Code section 800 et seq.
19.16 13
4. Taxes. The fees in the Investment Summary do not include any taxes, including, without limitation, sales, use, or excise tax. If you are a tax-exempt entity, you agree to provide us with a tax-exempt certificate. Otherwise, we will pay all applicable taxes to the proper authorities and you will reimburse us for such taxes. If you have a valid direct-pay permit, you agree to provide us with a copy. For clarity, we are responsible for paying our income taxes, both federal and state, as applicable, arising from our performance of this Agreement.
5. Nondiscrimination. We will not discriminate against any person employed or applying for employment concerning the performance of our responsibilities under this Agreement. This discrimination prohibition will apply to all matters of initial employment, tenure, and terms of employment, or otherwise with respect to any matter directly or indirectly relating to employment concerning race, color, religion, national origin, age, sex, sexual orientation, ancestry, disability that is unrelated to the individual's ability to perform the duties of a particular job or position, height, weight, marital status, or political affiliation. We will post, where appropriate, all notices related to nondiscrimination as may be required by applicable law. Consultant agrees to be in compliance with all applicable Federal and State and local equal employment opportunity acts, laws, and regulations.
6. E-Verify. We have complied, and will comply, with the E-Verify procedures administered by the U.S.
Citizenship and Immigration Services Verification Division for all of our employees assigned to the City's project.
7. Subcontractors. We will not subcontract any services under this Agreement without the City's prior written consent, not to be unreasonably withheld. If at any time, the City determines any subcontractor is incompetent or unqualified, Tyler will be notified. Any decisions to remove a subcontractor from the project will be mutually agreed to by Tyler and the City. Should Tyler and the City disagree on the removal of any subcontractor, the parties will utilize the Dispute Resolution process outlined in this Agreement. Tyler shall require and verify that all insurance requirements stated in Exhibit F, including naming the City of Santa Cruz, its officers, officials, employees, agents, and volunteers as additional insureds, are enforceable against any subcontractor. Any modifications to the insurance requirements for subcontractors must be agreed to by the City in writing.
8. Binding Effect; No Assignment. This Agreement shall be binding on, and shall be for the benefit of, either the City's or our successor(s) or permitted assign(s). Neither party may assign this Agreement without the prior written consent of the other party; provided, however, the City's consent is not required for an assignment by us as a result of a corporate reorganization, merger, acquisition, or purchase of substantially all of our assets.
9. Force Majeure. Except for your payment obligations, neither party will be liable for delays in performing its obligations under this Agreement to the extent that the delay is caused by Force Majeure; provided, however, that within ten (10) business days of the Force Majeure event, the party whose performance is delayed provides the other party with written notice explaining the cause and extent thereof, as well as a request for a reasonable time extension equal to the estimated duration of the Force Majeure event. Both parties will, however, make all reasonable efforts to remove or eliminate such a cause of delay or default and will, upon the cessation of the cause, diligently pursue performance of its obligations under this Agreement.
10. No Intended Third Party Beneficiaries. This Agreement is entered into solely for the benefit of you
19.17 14
and us. No third party will be deemed a beneficiary of this Agreement, and no third party will have the right to make any claim or assert any right under this Agreement. This provision does not affect the rights of third parties under any Third Party Terms.
11. Entire Agreement; Amendment. This Agreement represents the entire agreement between the City and Tyler with respect to the subject matter hereof, and supersedes any prior agreements, understandings, and representations, whether written, oral, expressed, implied, or statutory.
Purchase orders submitted by you, if any, are for the City's internal administrative purposes only, and the terms and conditions contained in those purchase orders will have no force or effect. This Agreement may only be modified by a written amendment signed by an authorized representative of each party.
12. Severability. If any term or provision of this Agreement is held invalid or unenforceable, the remainder of this Agreement will be considered valid and enforceable to the fullest extent permitted by law.
13. No Waiver. In the event that the terms and conditions of this Agreement are not strictly enforced by either party, such non-enforcement will not act as or be deemed to act as a waiver or modification of this Agreement, nor will such non-enforcement prevent such party from enforcing each and every term of this Agreement thereafter.
14. Independent Contractor. Tyler, its employees and others under Tyler’s supervision and control, is an independent contractor for all purposes under this Agreement, solely responsible for its own acts and omissions, and shall not be considered an employee of the City for any purpose.
15. Tyler Not an Agent. Except as City may specify in writing, Tyler shall have no authority, express or implied, to act on behalf of City in any capacity whatsoever as an agent. Tyler shall have no authority, express or implied, pursuant to this Agreement to bind City to any obligation whatsoever.
16. Notices. All notices or communications required or permitted as a part of this Agreement, such as notice of an alleged breach for a termination for cause or a dispute that must be submitted to dispute resolution, must be in writing and will be deemed delivered upon the earlier of the following: (a) actual receipt by the receiving party if personally served; (b) upon delivery by sender if delivery is by overnight courier (i.e. Federal Express); (c) upon receipt by sender of proof of email delivery; or (d) if not actually received, five (5) days after deposit with the United States Postal Service authorized mail center with proper postage, priority mail or certified mail, return receipt requested) affixed and addressed to the other party at the address set forth on the signature page hereto or such other address as the party may have designated by proper notice. The consequences for the failure to receive a notice due to improper notification by the intended receiving party of a change in address will be borne by the intended receiving party.
17. Client Lists. You agree that we may identify you by name in client lists, marketing presentations, and promotional materials.
18. Confidentiality. Both parties recognize that their respective employees and agents, in the course of performance of this Agreement, may be exposed to confidential information and that disclosure of such information could violate rights to private individuals and entities, including the parties.
Confidential information is nonpublic information that a reasonable person would believe to be
19.18 15
confidential and includes, without limitation, personal identifying information (e.g., social security numbers) and trade secrets, each as defined by applicable state law. Each party agrees that it will not disclose any confidential information of the other party and further agrees to take all reasonable and appropriate action to prevent such disclosure by its employees or agents. The confidentiality covenants contained herein will survive the termination or cancellation of this Agreement. This obligation of confidentiality will not apply to information that:
(a) is in the public domain, either at the time of disclosure or afterwards, except by breach of this Agreement by a party or its employees or agents;
(b) a party can establish by reasonable proof was in that party's possession at the time of initial disclosure;
(c) a party receives from a third party who has a right to disclose it to the receiving party; or (d) is the subject of a legitimate disclosure request under the open records laws or similar applicable public disclosure laws governing this Agreement; provided, however, that in the event you receive an open records or other similar applicable request, you will give us prompt notice prior to any disclosure, and otherwise perform the functions required by applicable law.
19. Quarantining of Client Data. Some services provided by Tyler require us to be in possession of the City's Data. In the event we detect malware or other conditions associated with the City's Data that are reasonably suspected of putting Tyler resources or other Tyler clients’ data at risk, we reserve the right to move all of City's Data from its location within a multi-tenancy Tyler hosted environment to an isolated “quarantined” environment without advance notice if advance notice is not practicable or in the event of an emergency. The City's Data will remain in such quarantine to the extent necessary and/or for a period of at least six (6) months during which time we will promptly review the Data, and all traffic associated with the Data, for signs of malware or other similar issues. If no issues are detected through such reviews during the period of quarantine, we will coordinate with you the restoration of the City's Data to a non-quarantined environment. In the event the City's Data must remain in quarantine beyond a six (6) month period through no fault of Tyler’s, we reserve the right to require payment of additional fees for the extended duration of quarantine. We will provide an estimate of what those costs will be upon the City's request. Tyler agrees to use commercially reasonable efforts to not allow the quarantine of City Data to interfere with the functionality of the SaaS Services and the City’s use of the SaaS Services.
20. Business License. In the event a local business license is required for us to perform services hereunder, you will promptly notify us and provide us with the necessary paperwork and/or contact information so that we may timely obtain such license.
Tyler agrees to provide proof of a current City of Santa Cruz Business Tax Certificate if Tyler:
• Has a place of business located in the City of Santa Cruz; • Will perform actual work in the City of Santa Cruz for six (6) or more days annually; or • Will use company vehicles to deliver within the City of Santa Cruz for 6 or more days annually.
For additional information and licensing requirements, view the City’s Business Licenses and Permits webpage or call the Revenue and Taxation division at 831/420-5070.
21. Governing Law. This Agreement will be governed by and construed in accordance with the laws of the state of CA, without regard to its rules on conflicts of law.
22. Multiple Originals and Authorized Signatures. This Agreement may be executed in multiple
19.19 16
originals, any of which will be independently treated as an original document. Any electronic, faxed, scanned, photocopied, or similarly reproduced signature on this Agreement or any amendment hereto will be deemed an original signature and will be fully enforceable as if an original signature.
Each party represents to the other that the signatory set forth below is duly authorized to bind that party to this Agreement.
23. Cooperative Procurement. To the maximum extent permitted by applicable law, we agree that this Agreement may be used as a cooperative procurement vehicle by eligible jurisdictions. We reserve the right to negotiate and customize the terms and conditions set forth herein, including but not limited to pricing, to the scope and circumstances of that cooperative procurement.
24. Data & Insights Solution Terms. The City's use of certain Tyler solutions includes Tyler’s Data & Insights data platform. The City's rights, and the rights of any of the City's end users, to use Tyler’s Data & Insights data platform is subject to the Data & Insights SaaS Services Terms of Service, attached hereto as Exhibit G.
25. Contract Documents. This Agreement includes the following exhibits:
Exhibit A Investment Summary
Exhibit B Invoicing and Payment Policy
Schedule 1: Business Travel Policy
Exhibit C Service Level Agreement
Schedule 1: Support Call Process
Exhibit D Third Party Terms - Reserved
Exhibit E Statement of Work
Exhibit F Insurance Requirements
Exhibit G Data & Insights SaaS Services Terms of Service Exhibit H Tyler’s Proposal
Exhibit I City’s Request for Proposal
In the event of conflict between parts of this Agreement, the conflict shall be resolved by adhering to the following order of precedence:
• This Agreement, Exhibits A-G
• Exhibit H – Tyler’s Proposal
• Exhibit I – City’s Request for Proposal
19.20 17
IN WITNESS WHEREOF, a duly authorized representative of each party has executed this Agreement as of the date(s) set forth below.
Tyler Technologies, Inc. City of Santa Cruz
By: ___________________________________ By: ___________________________________ Name: ________________________________ Name: ________________________________ Title: _________________________________ Title: __________________________________ Date: Date:
Address for Notices: Address for Notices:
Tyler Technologies, Inc. City of Santa Cruz
One Tyler Drive 809 Center Street, Room 8
Yarmouth, ME 04096 Santa Cruz, California 95060-3826
Attention: Chief Legal Officer Attention: Michael Schmidt Phone Number: 800-772-2260 Phone Number: 831-420-5003
Approved as to form:
_______________________________
Office of the City Attorney Date
June 15, 2023
Robert Kennedy-Jensen
Group General Counsel
6/15/23
19.21 Exhibit A
Investment Summary
The following Investment Summary details the software and services to be delivered by us to you under the Agreement. This Investment Summary is effective as of the Effective Date, despite any expiration date in the Investment Summary that may have lapsed as of the Effective Date. Capitalized terms not otherwise defined will have the meaning assigned to such terms in the Agreement. In the event of conflict between the Agreement and terms in the Comments section of this Investment Summary, the language in the Agreement will prevail.
Tyler sales quotation inserted on the following pages.
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
19.22 2022-383921-J2Z0K4 CONFIDENTIAL Page 1
Quoted By: Christina Young
Quote Expiration: 06/30/23
Quote Name: City of Santa Cruz-LGD-EG-PLM
Quote Description: Tyler EnerGov SaaS_Option - 150
user enterprise license for
Permitting and Licensing
Saas Term 5.00
Sales Quotation For:
City of Santa Cruz
809 Center St Rm 100
Santa Cruz CA 95060-3826
Phone: +1 (831) 420-5030
Tyler SaaS and Related Services
Description Qty Imp. Hours Annual Fee
Civic Services
Civic Access - Business Management 1 40 $ 14,795.00
Civic Access - Community Development 1 40 $ 14,795.00
Community Development API Toolkit 1 88 $ 9,469.00
Credit Card Payment Interface 1 88 $ 3,551.00
Decision Engine 1 8 $ 12,500.00
e-Reviews 1 132 $ 29,590.00
Enterprise Permitting & Licensing Core Foundation Bundle 1 24 $ 3,255.00 Enterprise Permitting & Licensing Suite (EPL) License 150 1552 $ 266,250.00 My Civic 1 136 $ 16,000.00
Workforce Mobile 25 32 $ 14,800.00
Data Insights
Enterprise Permitting & Licensing Advanced Automation Bundle 1 40 $ 2,290.00 Additional
EnerGov IVR 1 0 $ 14,918.00
GIS Site License 1 8 $ 22,488.00
Exhibit A
Investment Summary
19.23 2022-383921-J2Z0K4 CONFIDENTIAL Page 2
Sub-Total: $ 424,701.00
Less Discount: $ 123,021.00
TOTAL 2188 $ 301,680.00
Professional Services
Description Quantity Unit Price Ext Discount Extended Price Maintenance Additional Data Conversion Hours 40 $ 250.00 $ 0.00 $ 10,000.00 $ 0.00 Enterprise Permitting & Licensing Custom Report Development (3 pack) 1 $ 9,000.00 $ 0.00 $ 9,000.00 $ 0.00
Fixed Fee Premium 20% 1 $ 111,590.00 $ 0.00 $ 111,590.00 $ 0.00 Project Management 276 $ 200.00 $ 0.00 $ 55,200.00 $ 0.00 Conversions – See Detailed Breakdown Below $ 31,850.00 $ 0.00 Onsite Implementation 568 $ 225.00 $ 0.00 $ 127,800.00 $ 0.00 Remote Implementation 1620 $ 200.00 $ 0.00 $ 324,000.00 $ 0.00 TOTAL $ 669,440.00 $ 0.00
Summary One Time Fees Recurring Fees
Total Tyler License Fees $ 0.00 $ 0.00
Total SaaS $ 0.00 $ 301,680.00
Total Tyler Services $ 669,440.00 $ 0.00
Total Third-Party Hardware, Software, Services $ 0.00 $ 0.00 Summary Total $ 669,440.00 $ 301,680.00
Contract Total $ 2,177,840.00
Estimated Travel Expenses excl in Contract
Total $ 32,880.00
19.24 2022-383921-J2Z0K4 CONFIDENTIAL Page 3
Unless otherwise indicated in the contract or amendment thereto, pricing for optional items will be held For six (6) months from the Quote date or the Effective Date of the Contract, whichever is later.
Customer Approval: Date:
Print Name: P.O.#:
All Primary values quoted in US Dollars
Detailed Breakdown of Conversions (Included in Summary Total) Description Qty Unit Price Unit Discount Extended Price Business License
Business Licenses Std Master 1 $ 6,000.00 $ 0.00 $ 6,000.00 Conversions
Community Development 1 $ 25,850.00 $ 0.00 $ 25,850.00
TOTAL $ 31,850.00
Tyler Annual Discount Detail (Excludes Optional Products) Description Annual Fee
Annual Fee
Discount Annual Fee Net
Civic Services
Civic Access - Business Management $ 14,795.00 $ 4,439.00 $ 10,356.00 Civic Access - Community Development $ 14,795.00 $ 4,439.00 $ 10,356.00 Community Development API Toolkit $ 9,469.00 $ 2,841.00 $ 6,628.00 Credit Card Payment Interface $ 3,551.00 $ 1,065.00 $ 2,486.00 Decision Engine $ 12,500.00 $ 3,750.00 $ 8,750.00
19.25 2022-383921-J2Z0K4 CONFIDENTIAL Page 4
e-Reviews $ 29,590.00 $ 8,877.00 $ 20,713.00
Enterprise Permitting & Licensing Core Foundation Bundle $ 3,255.00 $ 977.00 $ 2,278.00 Enterprise Permitting & Licensing Suite (EPL) License $ 266,250.00 $ 79,950.00 $ 186,300.00 My Civic $ 16,000.00 $ 4,800.00 $ 11,200.00
Workforce Mobile $ 14,800.00 $ 4,450.00 $ 10,350.00
Data Insights
Enterprise Permitting & Licensing Advanced Automation
Bundle $ 2,290.00 $ 687.00 $ 1,603.00
Additional
EnerGov IVR $ 14,918.00 $ 0.00 $ 14,918.00
GIS Site License $ 22,488.00 $ 6,746.00 $ 15,742.00
TOTAL $ 424,701.00 $ 123,021.00 $ 301,680.00
Comments
Tyler's quote contains estimates of the amount of services needed, based on our preliminary understanding of the scope, level of engagement, and timeline as defined in the Statement of Work (SOW) for your project. The actual amount of services required may vary, based on these factors.
Tyler's pricing is based on the scope of proposed products and services contracted from Tyler. Should portions of the scope of products or services be altered by the Client, Tyler reserves the right to adjust prices for the remaining scope accordingly.
Unless otherwise noted, prices submitted in the quote do not include travel expenses incurred in accordance with Tyler's then-current Business Travel Policy.
Tyler's prices do not include applicable local, city or federal sales, use excise, personal property or other similar taxes or duties, which you are responsible for determining and remitting. Installations are completed remotely but can be done onsite upon request at an additional cost.
The Implementation Hours included in this quote assume a work split effort of 70% Client and 30% Tyler.
Implementation Hours are scheduled and delivered in four (4) or eight (8) hour increments.
Tyler provides onsite training for a maximum of 12 people per class. In the event that more than 12 users wish to participate in a training class or more than one occurrence of a class is needed, Tyler will either provide additional days at then-current rates for training or Tyler will utilize a Train-theTrainer approach whereby the client designated attendees of the initial training can thereafter train the remaining users.
19.26 2022-383921-J2Z0K4 CONFIDENTIAL Page 5
As a new Tyler client, you are entitled to a 14-day or a 30-day trial of the Managed Detection and Response cybersecurity service. Please reference https://www.tylertech.com/services/tyler-detect for more information on the service and contact [email protected] to initiate the trial.
Tyler currently supports the following identity providers (IdP's) for use with Tyler back-office solutions: Microsoft Active Directory through Azure AD, ADFS or Okta AD agent, Google Cloud Identity, Okta, and Identity Automation Rapid Identity. Any requirement by you to use an IdP not supported by Tyler will require additional costs, available upon request.
Standard Project Management responsibilities include project plan creation, initial stakeholder presentation, bi-weekly status calls, updating of project plan task statuses, and go-live planning activities.
EnerGov Community Development: Tyler leads and owns the "Assess and Define" and "Configuration" 25 unique business transactions, 25 template business transactions, 15 geo-rules and 15 automation events. Configuration elements beyond this will be owned by the client.
EnerGov Business Management: Tyler leads and owns the "Assess and Define" and "Configuration" of 14 unique business transactions, 14 template business transactions, 7 geo-rules and 7 automation events. Configuration elements beyond this will be owned by the client.
19.27 Exhibit B
Invoicing and Payment Policy
Tyler will provide the City with the software and services set forth in the Investment Summary of the Agreement. Capitalized terms not otherwise defined will have the meaning assigned to such terms in the Agreement.
Invoicing: We will invoice the City for the applicable software and services in the Investment Summary as set forth below. The City's rights to dispute any invoice are set forth in the Agreement.
1. SaaS Fees. SaaS Fees are invoiced on an annual basis, beginning on the commencement of the initial term as set forth in Section F (1) of this Agreement. The City's annual SaaS fees for the initial term are set forth in the Investment Summary. Upon expiration of the initial term, the City’s annual SaaS Fees for the first five (5) annual renewals (years 6-10) will not increase more than five percent (5%) on an annualized basis. Subsequent SaaS Fees after year ten (10) will be at our then-current rates.
2. Other Tyler Software and Services.
2.1 Implementation and Other Professional Services (including training): Implementation and other professional services (including training) are billed and invoiced as delivered, at the rates set forth in the Investment Summary. Notwithstanding anything to the contrary in this Exhibit B payment for services fees during the implementation will be made in accordance with the following schedule:
2.2 Conversions: Fixed-fee conversions are invoiced 50% upon initial delivery of the converted Data, by conversion option, and 50% upon Client acceptance to load the converted Data into Live/Production environment, by conversion option. Where conversions are quoted as estimated, we will bill you the actual services delivered on a time and materials basis.
Phase Mileston ID Description Milestone %
Milestone
Payment w/o
Travel
1 1.1 Inititate and Plan Stage Acceptance 10% $ 61,859
1 1.2 Assessand Define Stage Acceptance 20% $ 123,718
1 1.3 Prepare Solution Stage Acceptance 25% $ 154,647
1 1.4 Production Readiness Stage Acceptance 25% $ 154,647 1 1.5 Production Stage Acceptance 10% $ 61,859
1 1.6 Close Stage Acceptance 10% $ 61,859
1 Custom Report DevelopmentSpecification Delivery 50% $ 4,500 1 Custom Report Development- Final
Delivery 50% $ 4,500
1 Data Conversion - First Pass 50% $ 20,925
1 Data Conversion - Final Pass 50% $ 20,925
Total $ 669,440
19.28 2.3 Requested Modifications to the Tyler Software: Requested modifications to the Tyler Software are invoiced 50% upon delivery of specifications and 50% upon delivery of the applicable modification. You must report any failure of the modification to conform to the specifications within thirty (30) days of delivery; otherwise, the modification will be deemed to be in compliance with the specifications after the 30 day window has passed. You may still report Defects to us as set forth in this Agreement.
2.4 Other Fixed Price Services: Other fixed price services are invoiced as delivered, at the rates set forth in the Investment Summary. For the avoidance of doubt, where “Project Planning Services” are provided, payment will be due upon delivery of the Implementation Planning document. Dedicated Project Management services, if any, will be billed monthly in arrears, beginning on the first day of the month immediately following initiation of project planning.
4. Transaction Fees. Unless paid directly by an end user at the time of transaction, per transaction (call, message, etc.) fees are invoiced on a quarterly basis. Fees are indicated in Schedule A and may be increased by Tyler upon notice of no less than thirty (30) days.
5. Expenses. The service rates in the Investment Summary do not include travel expenses.
Expenses for Tyler delivered services will be billed as incurred and only in accordance with our then-current Business Travel Policy, plus a 10% travel agency processing fee. Our current Business Travel Policy is attached to this Exhibit B Invoicing and Payment Policy as Schedule 1.
Copies of receipts will be provided upon request; we reserve the right to charge you an administrative fee depending on the extent of your requests. Receipts for miscellaneous items less than twenty-five dollars and mileage logs are not available.
Both parties agree that international travel is not authorized under this Agreement. Travel reimbursements are paid after the completion of travel. There are no travel advances. Purchase of alcohol is not reimbursable. Tips, outside of those included in per diem amounts, are not reimbursable. Tyler personnel will exercise prudence in incurring expenses.
Payment. Payment for undisputed invoices is due within forty-five (45) days of the invoice date. We prefer to receive payments electronically. Our electronic payment information is available by contacting [email protected].
19.29 Exhibit B Invoicing and Payment
Schedule 1
Business Travel Policy
1. Air Travel
A. Reservations & Tickets
The Travel Management Company (TMC) used by Tyler will provide an employee with a direct flight within two hours before or after the requested departure time, assuming that flight does not add more than three hours to the employee’s total trip duration and the fare is within $100 (each way) of the lowest logical fare. If a net savings of $200 or more (each way) is possible through a connecting flight that is within two hours before or after the requested departure time and that does not add more than three hours to the employee’s total trip duration, the connecting flight should be accepted.
Employees are encouraged to make advanced reservations to take full advantage of discount opportunities. Employees should use all reasonable efforts to make travel arrangements at least two (2) weeks in advance of commitments. A seven (7) day advance booking requirement is mandatory. When booking less than seven (7) days in advance, management approval will be required.
Except in the case of international travel where a segment of continuous air travel is six (6) or more consecutive hours in length, only economy or coach class seating is reimbursable. Employees shall not be reimbursed for “Basic Economy Fares” because these fares are non-refundable and have many restrictions that outweigh the cost-savings.
B. Baggage Fees
Reimbursement of personal baggage charges are based on trip duration as follows:
• Up to five (5) days = one (1) checked bag
• Six (6) or more days = two (2) checked bags
Baggage fees for sports equipment are not reimbursable.
19.30 2. Ground Transportation
A. Private Automobile
Mileage Allowance – Business use of an employee’s private automobile will be reimbursed at the current IRS allowable rate, plus out of pocket costs for tolls and parking. Mileage will be calculated by using the employee's office as the starting and ending point, in compliance with IRS regulations.
Employees who have been designated a home office should calculate miles from their home.
B. Rental Car
Employees are authorized to rent cars only in conjunction with air travel when cost, convenience, and the specific situation reasonably require their use. When renting a car for Tyler business, employees should select a “mid-size” or “intermediate” car. “Full” size cars may be rented when three or more employees are traveling together. Tyler carries leased vehicle coverage for business car rentals; except for employees traveling to Alaska and internationally (excluding Canada), additional insurance on the rental agreement should be declined.
C. Public Transportation
Taxi or airport limousine services may be considered when traveling in and around cities or to and from airports when less expensive means of transportation are unavailable or impractical. The actual fare plus a reasonable tip (15-18%) are reimbursable. In the case of a free hotel shuttle to the airport, tips are included in the per diem rates and will not be reimbursed separately.
D. Parking & Tolls
When parking at the airport, employees must use longer term parking areas that are measured in days as opposed to hours. Park and fly options located near some airports may also be used. For extended trips that would result in excessive parking charges, public transportation to/from the airport should be considered. Tolls will be reimbursed when receipts are presented.
3. Lodging
Tyler’s TMC will select hotel chains that are well established, reasonable in price, and conveniently located in relation to the traveler's work assignment. Typical hotel chains include Courtyard, Fairfield Inn, Hampton Inn, and Holiday Inn Express. If the employee has a discount rate with a local hotel, the hotel reservation should note that discount and the employee should confirm the lower rate with the hotel upon arrival. Employee memberships in travel clubs such as AAA should be noted in their travel profiles so that the employee can take advantage of any lower club rates. “No shows” or cancellation fees are not reimbursable if the employee does not comply with the hotel’s cancellation policy.
Tips for maids and other hotel staff are included in the per diem rate and are not reimbursed separately.
Employees are not authorized to reserve non-traditional short-term lodging, such as Airbnb, VRBO,
19.31 and HomeAway. Employees who elect to make such reservations shall not be reimbursed.
4. Meals and Incidental Expenses
Employee meals and incidental expenses while on travel status within the continental U.S. are in accordance with the federal per diem rates published by the General Services Administration.
Incidental expenses include tips to maids, hotel staff, and shuttle drivers and other minor travel expenses. Per diem rates are available at www.gsa.gov/perdiem.
Per diem for Alaska, Hawaii, U.S. protectorates and international destinations are provided separately by the Department of State and will be determined as required.
A. Overnight Travel
For each full day of travel, all three meals are reimbursable. Per diems on the first and last day of a trip are governed as set forth below.
Departure Day
Depart before 12:00 noon Lunch and dinner
Depart after 12:00 noon
Return Day
Dinner
Return before 12:00 noon Breakfast
Return between 12:00 noon & 7:00 p.m. Breakfast and lunch Return after 7:00 p.m.* Breakfast, lunch and dinner
*7:00 p.m. is defined as direct travel time and does not include time taken to stop for dinner.
The reimbursement rates for individual meals are calculated as a percentage of the full day per diem as follows:
Breakfast 15%
Lunch 25%
Dinner 60%
B. Same Day Travel
Employees traveling at least 100 miles to a site and returning in the same day are eligible to claim lunch on an expense report. Employees on same day travel status are eligible to claim dinner in the event they return home after 7:00 p.m.*
*7:00 p.m. is defined as direct travel time and does not include time taken to stop for dinner.
19.32 5. Internet Access – Hotels and Airports
Employees who travel may need to access their e-mail at night. Many hotels provide free high speed internet access and Tyler employees are encouraged to use such hotels whenever possible. If an employee’s hotel charges for internet access it is reimbursable up to $10.00 per day. Charges for internet access at airports are not reimbursable.
6. International Travel
All international flights with the exception of flights between the U.S. and Canada should be reserved through TMC using the “lowest practical coach fare” with the exception of flights that are six (6) or more consecutive hours in length. In such event, the next available seating class above coach shall be reimbursed.
When required to travel internationally for business, employees shall be reimbursed for photo fees, application fees, and execution fees when obtaining a new passport book, but fees related to passport renewals are not reimbursable. Visa application and legal fees, entry taxes and departure taxes are reimbursable.
The cost of vaccinations that are either required for travel to specific countries or suggested by the U.S.
Department of Health & Human Services for travel to specific countries, is reimbursable.
19.33 Exhibit C
Service Level Agreement
I. Agreement Overview
This SLA operates in conjunction with, and does not supersede or replace any part of, the Agreement. It outlines the information technology service levels that we will provide to you to ensure the availability of the application services that you have requested us to provide. This SLA does not apply to any Third Party SaaS Services. All other support services are documented in the Support Call Process.
II. Definitions. Except as defined below, all defined terms have the meaning set forth in the Agreement.
Actual Attainment: The percentage of time the Tyler Software is available during a calendar quarter, calculated as follows: (Service Availability – Downtime) ÷ Service Availability.
Client Error Incident: Any service unavailability resulting from your applications, content or equipment, or the acts or omissions of any of your service users or third-party providers over whom we exercise no control.
Downtime: Those minutes during Service Availability, as defined below, when all users cannot launch, login, search or save primary data in the Tyler Software. Downtime does not include those instances in which only a Defect is present.
Emergency Maintenance: (1) maintenance that is required to patch a critical security vulnerability; (2) maintenance that is required to prevent an imminent outage of Service Availability; or (3) maintenance that is mutually agreed upon in writing by Tyler and the Client.
Planned Downtime: Downtime that occurs during a Standard or Emergency Maintenance window.
Service Availability: The total number of minutes in a calendar quarter that the Tyler Software is capable of receiving, processing, and responding to requests, excluding Planned Downtime, Client Error Incidents, denial of service attacks and Force Majeure.
Standard Maintenance: Routine maintenance to the Tyler Software and infrastructure. Standard Maintenance is limited to five (5) hours per week.
III. Service Availability
a. The City’s Responsibilities
Whenever you experience Downtime, the City must make a support call according to the procedures outlined in the Support Call Process. You will receive a support case number. b. Our Responsibilities
When our support team receives a call from you that Downtime has occurred or is occurring, we will work with you to identify the cause of the Downtime (including whether it may be the result of Planned
19.34 Downtime, a Client Error Incident, Denial of Service attack or Force Majeure). We will also work with you to resume normal operations.
c. Client Relief
Our targeted Attainment Goal is 100%. You may be entitled to credits as indicated in the Client Relief Schedule found below. Your relief credit is calculated as a percentage of the SaaS fees paid for the calendar quarter.
In order to receive relief credits, you must submit a request through one of the channels listed in our Support Call Process within fifteen days (15) of the end of the applicable quarter. We will respond to your relief request within thirty (30) day(s) of receipt.
The total credits confirmed by us will be applied to the SaaS Fee for the next billing cycle. Issuing of such credit does not relieve us of our obligations under the Agreement to correct the problem which created the service interruption.
Client Relief Schedule
Actual Attainment Client Relief
99.99% - 99.50% Remedial action will be taken
99.49% - 98.50% 2%
98.49% - 97.50% 4%
97.49% - 96.50% 6%
96.49% - 95.50% 8%
Below 95.50% 10%
* Notwithstanding language in the Agreement to the contrary, Recovery Point Objective is one (1) hour.
IV. Maintenance Notifications
We perform Standard Maintenance during limited windows that are historically known to be reliably low-traffic times. If and when maintenance is predicted to occur during periods of higher traffic, , Tyler will provide the City advance notice of those windows and will coordinate to the greatest extent possible with the City.
Not all maintenance activities will cause application unavailability. However, if Tyler anticipates that activities during a Standard or Emergency Maintenance window may make the Tyler Software unavailable, we will provide advance notice, as reasonably practicable that the Tyler Software will be unavailable during the maintenance window.
19.35 Exhibit C
Schedule 1
Support Call Process
Support Channels
Tyler Technologies, Inc. provides the following channels of software support for authorized users*:
(1) On-line submission (portal) – for less urgent and functionality-based questions, users may create support incidents through the Tyler Customer Portal available at the Tyler Technologies website.
A built-in Answer Panel provides users with resolutions to most “how-to” and configurationbased questions through a simplified search interface with machine learning, potentially eliminating the need to submit the support case.
(2) Email – for less urgent situations, users may submit emails directly to the software support group.
(3) Telephone – for urgent or complex questions, users receive toll-free, telephone software support.
* Channel availability may be limited for certain applications.
Support Resources
A number of additional resources are available to provide a comprehensive and complete support experience:
(1) Tyler Website – www.tylertech.com – for accessing client tools, documentation, and other information including support contact information.
(2) Tyler Search -a knowledge based search engine that lets you search multiple sources simultaneously to find the answers you need, 24x7.
(3) Tyler Community –provides a venue for all Tyler clients with current maintenance agreements to collaborate with one another, share best practices and resources, and access documentation. (4) Tyler University – online training courses on Tyler products (https://tylertech.csod.com/client/tylertech/default.aspx) Support Availability
Tyler Technologies support is available during the local business hours of 8 AM to 5 PM (Monday – Friday) across four US time zones (Pacific, Mountain, Central and Eastern). Tyler’s holiday schedule is outlined below. There will be no support coverage on these days.
New Year’s Day Labor Day
Martin Luther King, Jr. Day Thanksgiving Day
Memorial Day Day after Thanksgiving
Independence Day Christmas Day
For support teams that provide after-hours service, we will provide you with procedures for contacting
19.36 support staff after normal business hours for reporting Priority Level 1 Defects only. Upon receipt of such a Defect notification, we will use commercially reasonable efforts to meet the resolution targets set forth below.
We will also make commercially reasonable efforts to be available for one pre-scheduled Saturday of each month to assist your IT staff with applying patches and release upgrades, as well as consulting with them on server maintenance and configuration of the Tyler Software environment.
Incident Handling
Incident Tracking
Every support incident is logged into Tyler’s Customer Relationship Management System and given a unique case number. This system tracks the history of each incident. The case number is used to track and reference open issues when clients contact support. Clients may track incidents, using the case number, through Tyler’s Customer Portal or by calling software support directly.
Incident Priority
Each incident is assigned a priority level, which corresponds to the Client’s needs. Tyler and the Client will reasonably set the priority of the incident per the chart below. This chart is not intended to address every type of support incident, and certain “characteristics” may or may not apply depending on whether the Tyler software has been deployed on customer infrastructure or the Tyler cloud. The goal is to help guide the Client towards clearly understanding and communicating the importance of the issue and to describe generally expected response and resolution targets in the production environment only.
References to a “confirmed support incident” mean that Tyler and the Client have successfully validated the reported Defect/support incident.
19.37 Priority
Level Characteristics of Support Incident Resolution Targets* 1 Critical
Support incident that causes (a)
complete application failure or
application unavailability; (b)
application failure or unavailability in
one or more of the client’s remote
location; or (c) systemic loss of
multiple essential system functions.
Tyler shall provide an initial response to Priority Level 1 incidents within one (1) business hour of receipt of
the incident. Once the incident has been confirmed,
Tyler shall use commercially reasonable efforts to
resolve such support incidents or provide a
circumvention procedure within one (1) business
day. For non-hosted customers, Tyler’s responsibility
for lost or corrupted data is limited to assisting the
Client in restoring its last available database.
2 High
Support incident that causes (a)
repeated, consistent failure of
essential functionality affecting more
than one user or (b) loss or
corruption of data.
Tyler shall provide an initial response to Priority Level 2 incidents within four (4) business hours of receipt of the incident. Once the incident has been confirmed,
Tyler shall use commercially reasonable efforts to
resolve such support incidents or provide a
circumvention procedure within ten(10) business
days. For non-hosted customers, Tyler’s
responsibility for lost or corrupted data is limited to assisting the Client in restoring its last available
database.
19.38 Priority
Level Characteristics of Support Incident Resolution Targets* 3 Medium
Priority Level 1 incident with an
existing circumvention procedure, or
a Priority Level 2 incident that affects
only one user or for which there is an
existing circumvention procedure.
Tyler shall provide an initial response to Priority Level 3 incidents within one (1) business day of receipt of
the incident. Once the incident has been confirmed,
Tyler shall use commercially reasonable efforts to
resolve such support incidents without the need for a
circumvention procedure with the next published
maintenance update or service pack, which shall
occur at least quarterly. For non-hosted customers,
Tyler’s responsibility for lost or corrupted data is
limited to assisting the Client in restoring its last
available database.
4 Noncritical
Support incident that causes failure
of non-essential functionality or a
cosmetic or other issue that does not
qualify as any other Priority Level.
Tyler shall provide an initial response to Priority Level 4 incidents within two (2) business days of receipt of
the incident. Once the incident has been confirmed,
Tyler shall use commercially reasonable efforts to
resolve such support incidents, as well as cosmetic
issues, with a future version release.
*
Response and Resolution Targets may differ by product or business need Incident Escalation
If Tyler is unable to resolve any priority level 1 or 2 defect as listed above or the priority of an issue has elevated since initiation, you may escalate the incident to the appropriate resource, as outlined by each product support team. The corresponding resource will meet with you and any Tyler staff to establish a mutually agreeable plan for addressing the defect.
Remote Support Tool
Some support calls may require further analysis of the Client’s database, processes or setup to diagnose a problem or to assist with a question. Tyler will, at its discretion, use an industry-standard remote support tool. Tyler’s support team must have the ability to quickly connect to the Client’s system and view the site’s setup, diagnose problems, or assist with screen navigation. More information about the remote support tool Tyler uses is available upon request.
19.39 Exhibit D
Third Party Terms
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
RESERVED
19.40 Exhibit E
Statement of Work
19.41 City of Santa Cruz
SOW from Tyler Technologies, Inc.
05/16/2023
Presented to:
Michael Schmidt
809 Center St Rm #8
Santa Cruz, CA 95060-3826
Contact:
Chuck Newberry
Email: [email protected]
2530 Sever Road, Suite 200, Lawrenceville, GA 30043
Exhibit E
Statement of Work
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Table of Contents
PART 1: EXECUTIVE SUMMARY............................................................................................................... 1 Project Overview............................................................................................................................. 1 Introduction ........................................................................................................................................ 1 Project Goals....................................................................................................................................... 1 Methodology....................................................................................................................................... 1 PART 2: PROJECT FOUNDATION ............................................................................................................. 3 Project Governance ......................................................................................................................... 3 Project Scope Control ...................................................................................................................... 4 Managing Scope and Project Change ................................................................................................. 4 Change Control ................................................................................................................................... 4 Change Request Management............................................................................................................ 4 Acceptance Process ......................................................................................................................... 6 Roles and Responsibilities................................................................................................................ 6 Tyler Roles & Responsibilities............................................................................................................. 6 Tyler Executive Manager............................................................................................................. 7 Tyler Implementation Manager.................................................................................................. 7 Tyler Project Manager................................................................................................................. 7 Tyler Implementation Consultant............................................................................................... 8 Tyler Sales ................................................................................................................................... 8 Tyler Technical Services.............................................................................................................. 8 City of Santa Cruz Roles & Responsibilities......................................................................................... 9 City of Santa Cruz Executive Sponsor.......................................................................................... 9 City of Santa Cruz Steering Committee....................................................................................... 9 City of Santa Cruz Project Manager.......................................................................................... 10 City of Santa Cruz Functional Leads.......................................................................................... 11 City of Santa Cruz Power Users................................................................................................. 12 City of Santa Cruz End Users..................................................................................................... 12 City of Santa Cruz Technical Lead ............................................................................................. 12 City of Santa Cruz Change Management Lead.......................................................................... 13 PART 3: PROJECT PLAN........................................................................................................................... 14 Project Stages................................................................................................................................. 14 Initiate and Plan ................................................................................................................................ 15 Initial Coordination ................................................................................................................... 15 Project/Phase Planning............................................................................................................. 16 Infrastructure Planning ............................................................................................................. 17
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Stakeholder Meeting................................................................................................................. 18 GIS Preparation......................................................................................................................... 19 Control Point 1: Initiate & Plan Stage Acceptance.................................................................... 20 Assess & Define................................................................................................................................. 21 Solution Orientation.................................................................................................................. 21 Current & Future State Analysis................................................................................................ 21 Conversion Assessment ............................................................................................................ 23 Intentionally left blank.............................................................................................................. 24 Intentionally left blank.............................................................................................................. 24 Control Point 2: Assess & Define Stage Acceptance................................................................. 24 Prepare Solution ............................................................................................................................... 24 Initial System Deployment........................................................................................................ 24 Configuration ............................................................................................................................ 25 Process Refinement .................................................................................................................. 26 Conversion Delivery .................................................................................................................. 28 Intentionally left blank.............................................................................................................. 29 Intentionally left blank.............................................................................................................. 29 Control Point 3: Prepare Solution Stage Acceptance................................................................ 29 Production Readiness ....................................................................................................................... 30 Solution Validation.................................................................................................................... 30 Go-Live Readiness..................................................................................................................... 31 End User Training...................................................................................................................... 32 Control Point 4: Production Readiness Stage Acceptance........................................................ 33 Production......................................................................................................................................... 33 Go-Live ...................................................................................................................................... 34 Transition to Client Services...................................................................................................... 35 Post Go-Live Activities............................................................................................................... 36 Control Point 5: Production Stage Acceptance......................................................................... 37 Close.................................................................................................................................................. 37 Phase Closeout.......................................................................................................................... 37 Project Closeout........................................................................................................................ 38 Control Point 6: Close Stage Acceptance.................................................................................. 39 General Assumptions......................................................................................................................39 Project............................................................................................................................................... 40 Organizational Change Management ............................................................................................... 40 Resources and Scheduling ................................................................................................................ 40 Data................................................................................................................................................... 41 Facilities............................................................................................................................................. 41 Glossary .........................................................................................................................................42 PART 4: APPENDICES ............................................................................................................................... 45 Conversion .....................................................................................................................................45 Enterprise Permitting & Licensing Conversion Summary ................................................................. 45
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Community Development......................................................................................................... 45 Business Management.............................................................................................................. 45 Additional Appendices................................................................................................................47 Enterprise Permitting & Licensing Definitions.................................................................................. 47 “Template Business Transactions”............................................................................................ 47 “Unique Business Transactions” ............................................................................................... 47 “Geo-Rules”............................................................................................................................... 47 “Automation Events” ................................................................................................................ 48 “Enterprise Permitting & Licensing SDK/API (Toolkits)” ........................................................... 48 Project Timeline..........................................................................................................................49 EPL Project Timeline.......................................................................................................................... 49
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Part 1: Executive Summary
Project Overview
Introduction
Tyler Technologies (“Tyler”) is the largest and most established provider of integrated software and technology services focused solely on the public sector. Tyler’s end-to-end solutions empower public sector entities including local, state, provincial and federal government, to operate more efficiently and connect more transparently with their constituents and with each other. By connecting data and processes across disparate systems, Tyler’s solutions transform how clients gain actionable insights that solve problems in their communities.
Project Goals
This Statement of Work (“SOW”) documents the methodology, implementation stages, activities, and roles and responsibilities, and project scope listed in the Investment Summary of the Agreement between Tyler and the City of Santa Cruz (collectively the “Project”).
The overall goals of the project are to:
Successfully implement the contracted scope on time and on budget Increase operational efficiencies and empower users to be more productive Improve accessibility and responsiveness to external and internal customer needs Enhance communication/notification both internally and externally as workflows progress or status changes
Overcome current challenges and meet future goals
Providing a single, comprehensive, and integrated solution to manage business functions Streamline business processes through automation, integration, and workflows that encompass the City’s document management, ERP, Point of Sale, & Plan Review systems Provide a user-friendly user interface to promote system use and productivity Eliminate redundant data entry
Improve reporting and data analysis capabilities and minimize need for custom report development Capitalize on Tyler’s native GIS integration to streamline planning, permitting, and inspection processes
Conversion and migration of existing data into the new system Ensure an effective training plan for City staff
Methodology
This is accomplished by the City of Santa Cruz and Tyler working as a partnership and Tyler utilizing its depth of implementation experience. While each Project is unique, all will follow Tyler’s six-stage methodology.
Each of the six stages is comprised of multiple work packages, and each work package includes a narrative description, objectives, tasks, inputs, outputs/deliverables, assumptions, and a responsibility matrix.
Tailored specifically for Tyler’s public sector clients, the project methodology contains Stage Acceptance Control Points throughout each Phase to ensure adherence to scope, budget, timeline controls, effective
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communications, and quality standards. Clearly defined, the project methodology repeats consistently across Phases, and is scaled to meet the City of Santa Cruz’s complexity and organizational needs.
The methodology adapts to both single-phase and multiple-phase projects.
To achieve Project success, it is imperative that both the City of Santa Cruz and Tyler commit to including the necessary leadership and governance. During each stage of the Project, it is expected that the City of Santa Cruz and Tyler Project teams work collaboratively to complete tasks. An underlying principle of Tyler’s Implementation process is to employ an iterative model where the City of Santa Cruz’s business processes are assessed, configured, validated, and refined cyclically in line with the project budget. This approach is used in multiple stages and work packages as illustrated in the graphic below.
The delivery approach is systematic, which reduces variability and mitigates risks to ensure Project success. As illustrated, some stages, along with work packages and tasks, are intended to be overlapping by nature to complete the Project efficiently and effectively.
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Part 2: Project Foundation
Project Governance
Project governance is the management framework within which Project decisions are made. The role of Project governance is to provide a decision-making approach that is logical, robust, and repeatable. This allows organizations to have a structured approach for conducting its daily business in addition to project related activities.
This section outlines the resources required to meet the business needs, objectives, and priorities for the Project, communicate the goals to other Project participants, and provide support and guidance to accomplish these goals. Project governance defines the structure for escalation of issues and risks, Change Control review and authority, and Organizational Change Management activities. Throughout the Statement of Work Tyler has provided RACI Matrices for activities to be completed throughout the implementation which will further outline responsibilities of different roles in each stage. Further refinement of the governance structure, related processes, and specific roles and responsibilities occurs during the Initiate & Plan Stage.
The chart below illustrates an overall team perspective where Tyler and the City of Santa Cruz collaborate to resolve Project challenges according to defined escalation paths. If project managers do not possess authority to determine a solution, resolve an issue, or mitigate a risk, Tyler implementation management and the City of Santa Cruz Steering Committee become the escalation points to triage responses prior to escalation to the City of Santa Cruz and Tyler executive sponsors. As part of the escalation process, each Project governance tier presents recommendations and supporting information to facilitate knowledge transfer and issue resolution. The City of Santa Cruz and Tyler executive sponsors serve as the final escalation point.
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Project Scope Control
Managing Scope and Project Change
Project Management governance principles contend that there are three connected constraints on a Project:
budget, timeline, and scope. These constraints, known as the “triple constraints” or project management triangle, define budget in terms of financial cost, labor costs, and other resource costs. Scope is defined as the work performed to deliver a product, service or result with the specified features and functions, while time is simply defined as the schedule. The Triple Constraint theory states that if you change one side of the triangle, the other two sides must be correspondingly adjusted. For example, if the scope of the Project is increased, cost and time to complete will also need to increase. The Project and executive teams will need to remain cognizant of these constraints when making impactful decisions to the Project. A simple illustration of this triangle is included here, showing the connection of each item and their relational impact to the overall Scope.
A pillar of any successful project is the ability to properly manage scope while allowing the appropriate level of flexibility to incorporate approved changes. Scope and changes within the project will be managed using the change control process outlined in the following section.
Change Control
It may become necessary to change the scope of this Project due to unforeseeable circumstances (e.g., new constraints or opportunities are discovered). This Project is being undertaken with the understanding that Project scope, schedule, and/or cost may need to change to produce optimal results for stakeholders.
Changes to contractual requirements will follow the change control process specified in the final contract, and as described below.
Change Request Management
Should the need for a change to Project scope, schedule, and/or cost be identified during the Project, the change will be brought to the attention of the Steering Committee and an assessment of the change will occur. While such changes may result in additional costs and delays relative to the schedule, some changes may result in less cost to the City of Santa Cruz; for example, the City of Santa Cruz may decide it no longer
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needs a deliverable originally defined in the Project. The Change Request will include the following information:
The nature of the change.
A good faith estimates of the additional cost or associated savings to the City of Santa Cruz, if any. The timetable for implementing the change.
The effect on and/or risk to the schedule, resource needs or resource responsibilities.
The City of Santa Cruz will use its good faith efforts to either approve or disapprove any Change Request within ten (10) Business Days (or other period as mutually agreeable between Tyler and the City of Santa Cruz). Any changes to the Project scope, budget, or timeline must be documented and approved in writing using a Change Request form. These changes constitute a formal amendment to the Statement of Work and will supersede any conflicting term in the Statement of Work.
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Acceptance Process
The implementation of a Project involves many decisions to be made throughout its lifecycle. Decisions will vary from higher level strategy decisions to smaller, detailed Project level decisions. It is critical to the success of the Project that each City of Santa Cruz office or department designates specific individuals for making decisions on behalf of their offices or departments.
Both Tyler and the City of Santa Cruz will identify representative project managers. These individuals will represent the interests of all stakeholders and serve as the primary contacts between the two organizations.
The coordination of gaining City of Santa Cruz feedback and approval on Project deliverables will be critical to the success of the Project. The City of Santa Cruz project manager will strive to gain deliverable and decision approvals from all authorized City of Santa Cruz representatives. Given that the designated decision-maker for each department may not always be available, there must be a designated proxy for each decision point in the Project. Assignment of each proxy will be the responsibility of the leadership from each City of Santa Cruz department. The proxies will be named individuals that have the authorization to make decisions on behalf of their department.
The following process will be used for accepting Deliverables and Control Points:
The City of Santa Cruz shall have ten (10) business days from the date of delivery, or as otherwise mutually agreed upon by the parties in writing, to accept each Deliverable or Control Point. If the City of Santa Cruz does not provide acceptance or acknowledgement within ten (10) business days, or the otherwise agreed upon timeframe, not to be unreasonably withheld, Tyler deems the Deliverable or Control Point as accepted.
If the City of Santa Cruz does not agree the Deliverable or Control Point meets requirements, the City of Santa Cruz shall notify Tyler project manager(s), in writing, with reasoning within seven (7) business days, or the otherwise agreed-upon timeframe, not to be unreasonably withheld, of receipt of the Deliverable.
Tyler shall address any deficiencies and redeliver the Deliverable or Control Point. The City of Santa Cruz shall then have five (5) business days from receipt of the redelivered Deliverable or Control Point to accept or again submit written notification of reasons for rejecting the milestone. If the City of Santa Cruz does not provide acceptance within five (5) business days, or the otherwise agreed upon timeframe, not to be unreasonably withheld, Tyler deems the Deliverable or Control Point as accepted.
Roles and Responsibilities
The following defines the roles and responsibilities of each Project resource for the City of Santa Cruz and Tyler. Roles and responsibilities may not follow the organizational chart or position descriptions at the City of Santa Cruz, but are roles defined within the Project. It is common for individual resources on both the Tyler and City of Santa Cruz project teams to fill multiple roles. Similarly, it is common for some roles to be filled by multiple people.
Tyler Roles & Responsibilities
Tyler assigns a project manager prior to the start of each Phase of the Project (some Projects may only be one Phase in duration). Additional Tyler resources are assigned as the schedule develops and as needs arise.
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Tyler Executive Manager
Tyler executive management has indirect involvement with the Project and is part of the Tyler escalation process. This team member offers additional support to the Project team and collaborates with other Tyler department managers as needed to escalate and facilitate implementation Project tasks and decisions. Provides clear direction for Tyler staff on executing on the Project Deliverables to align with satisfying the City of Santa Cruz ’s overall organizational strategy. Authorizes required Project resources.
Resolves all decisions and/or issues not resolved at the implementation management level as part of the escalation process.
Acts as the counterpart to the City of Santa Cruz ’s executive sponsor.
Tyler Implementation Manager
Tyler implementation management has indirect involvement with the Project and is part of the Tyler escalation process. The Tyler project managers consult implementation management on issues and outstanding decisions critical to the Project. Implementation management works toward a solution with the Tyler Project Manager or with City of Santa Cruz management as appropriate. Tyler executive management is the escalation point for any issues not resolved at this level. Assigns Tyler Project personnel.
Provides support for the Project team.
Provides management support for the Project to ensure it is staffed appropriately and staff have necessary resources.
Monitors Project progress including progress towards agreed upon goals and objectives.
Tyler Project Manager
The Tyler project manager(s) provides oversight of the Project, coordination of Tyler resources between departments, management of the Project budget and schedule, effective risk, and issue management, and is the primary point of contact for all Project related items. As requested by the City of Santa Cruz, the Tyler Project Manager provides regular updates to the City of Santa Cruz Steering Committee and other Tyler governance members. Tyler Project Manager’s role includes responsibilities in the following areas:
Contract Management
Validates contract compliance throughout the Project. Ensures Deliverables meet contract requirements.
Acts as primary point of contact for all contract and invoicing questions. Prepares and presents contract milestone signoffs for acceptance by the City of Santa Cruz project manager(s).
Coordinates Change Requests, if needed, to ensure proper Scope and budgetary compliance.
Planning
Delivers project planning documents.
Defines Project tasks and resource requirements.
Develops initial Project schedule and Project Management Plan. Collaborates with the City of Santa Cruz project manager(s) to plan and schedule Project timelines to achieve on-time implementation.
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Implementation Management
Tightly manages Scope and budget of Project to ensure Scope changes and budget planned versus actual are transparent and handled effectively and efficiently. Establishes and manages a schedule and Tyler resources that properly support the Project Schedule and are also in balance with Scope/budget.
Establishes risk/issue tracking/reporting process between the City of Santa Cruz and Tyler and takes all necessary steps to proactively mitigate these items or communicate with transparency to the City of Santa Cruz any items that may impact the outcomes of the Project. Collaborates with the City of Santa Cruz ’s project manager(s) to establish key business drivers and success indicators that will help to govern Project activities and key decisions to ensure a quality outcome of the project.
Drives the requirements gathering process with support from the City of Santa Cruz project manager(s), facilitating effective information gathering. Collaborates with the City of Santa Cruz ’s project manager(s) to set a routine communication plan that will aide all Project team members, of both the City of Santa Cruz and Tyler, in understanding the goals, objectives, status, and health of the Project.
Resource Management
Acts as liaison between Project team and Tyler manager(s). Identifies and coordinates all Tyler resources across all applications, Phases, and activities including development, forms, data conversion, installation and deployment planning, reports, implementation, training, and billing.
Provides direction and support to Project team.
Manages the appropriate assignment and timely completion of tasks as defined in the Project Schedule, task list, and Go-Live Checklist.
Assesses team performance and adjusts as necessary.
Consulted on in Scope 3rd party providers to align activities with ongoing Project tasks.
Tyler Implementation Consultant
Completes tasks as assigned by the Tyler project manager(s). Documents activities for services performed by Tyler. Guides the City of Santa Cruz through software validation process following configuration. Assists during Go-Live process and provides support until the City of Santa Cruz transitions to Client Services.
Facilitates training sessions and discussions with the City of Santa Cruz and Tyler staff to ensure adequate discussion of the appropriate agenda topics during the allotted time. Provides data conversion review, guidance, and error resolution assistance.
Tyler Sales
Supports Sales to Implementation knowledge transfer during Initiate & Plan. Provides historical information, as needed, throughout implementation. Participates in pricing activities if additional licensing and/or services are needed.
Tyler Technical Services
Maintains Tyler infrastructure requirements and design document(s). Involved in system infrastructure planning/review(s).
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Provides first installation of licensed software with initial database on servers. Supports and assists the project team with technical/environmental issues/needs. Deploys Tyler products.
Conducts GIS Planning.
Reviews GIS data and provides feedback to the City of Santa Cruz. Loads City of Santa Cruz provided GIS data into the system.
City of Santa Cruz Roles & Responsibilities
City of Santa Cruz resources will be assigned prior to the start of each Phase of the Project. One person may be assigned to multiple Project roles.
City of Santa Cruz Executive Sponsor
The City of Santa Cruz executive sponsor provides support to the Project by providing strategic direction and communicating key issues about the Project and its overall importance to the organization. When called upon, the executive sponsor also acts as the final authority on all escalated Project issues. The executive sponsor engages in the Project, as needed, to provide necessary support, oversight, guidance, and escalation, but does not participate in day-to-day Project activities. The executive sponsor empowers the City of Santa Cruz steering committee, project manager(s), and functional leads to make critical business decisions for the City of Santa Cruz.
Champions the project at the executive level to secure buy-in. Authorizes required project resources.
Actively participates in organizational change communications.
City of Santa Cruz Steering Committee
The City of Santa Cruz steering committee understands and supports the cultural change necessary for the Project and fosters an appreciation for the Project’s value throughout the organization. The steering committee oversees the City of Santa Cruz project manager and Project through participation in regular internal meetings. The City of Santa Cruz steering committee remains updated on all Project progress, Project decisions, and achievement of Project milestones. The City of Santa Cruz steering committee also serves as primary level of issue resolution for the Project.
Works to resolve all decisions and/or issues not resolved at the project manager level as part of the escalation process.
Attends all scheduled steering committee meetings.
Provides support for the project team.
Assists with communicating key project messages throughout the organization. Prioritizes the project within the organization.
Ensures the project staffed appropriately and that staff have necessary resources. Monitors project progress including progress towards agreed upon goals and objectives. Has the authority to approve or deny changes impacting the following areas:
o Cost
o Scope
o Schedule
o Project Goals
o City of Santa Cruz Policies
o Needs of other client projects
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City of Santa Cruz Project Manager
The City of Santa Cruz shall assign project manager(s) prior to the start of this project with overall responsibility and authority to make decisions related to Project Scope, scheduling, and task assignment. The City of Santa Cruz Project Manager should communicate decisions and commitments to the Tyler project manager(s) in a timely and efficient manner. When the City of Santa Cruz project manager(s) do not have the knowledge or authority to make decisions, he or she engages the necessary resources to participate in discussions and make decisions in a timely fashion to avoid Project delays. The City of Santa Cruz project manager(s) are responsible for reporting to the City of Santa Cruz steering committee and determining appropriate escalation points.
Contract Management
Validates contract compliance throughout the project. Ensures that invoicing and Deliverables meet contract requirements. Acts as primary point of contact for all contract and invoicing questions. Collaborates on and approves Change Requests, if needed, to ensure proper scope and budgetary compliance.
Planning
Reviews and accepts project planning documents.
With guidance of the Tyler project manager, defines project tasks and resource requirements for the City of Santa Cruz project team.
Collaborates in the development and approval of the project schedule. Collaborates with Tyler project manager(s) to plan and schedule project timelines to achieve on-time implementation.
Implementation Management
Tightly manages project budget and scope.
Collaborates with Tyler project manager(s) to establish a process and approval matrix to ensure that scope changes and budget (planned versus actual) are transparent and handled effectively and efficiently.
Collaborates with Tyler project manager to establish and manage a schedule and resource plan that properly supports the project schedule as a whole and is also in balance with scope and budget. Collaborates with Tyler project manager(s) to establish risk and issue tracking and reporting process between the City of Santa Cruz and Tyler and takes all necessary steps to proactively mitigate these items or communicate with transparency to Tyler any items that may impact the outcomes of the project.
Collaborates with Tyler project manager(s) to establish key business drivers and success indicators that will help to govern project activities and key decisions to ensure a quality outcome of the project. Routinely communicates with both the City of Santa Cruz staff and Tyler, aiding in the understanding of goals, objectives, current status, and health of the project by all team members. Collaborates with the Tyler project manager on the requirements gathering process, ensuring appropriate City representation, and timely and quality business requirements are being provided to Tyler.
Resource Management
Acts as liaison between project team and stakeholders.
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Identifies and coordinates all City of Santa Cruz resources across all modules, phases, and activities including data conversions, forms design, hardware and software installation, reports building, and satisfying invoices.
Provides direction and support to project team.
Builds partnerships among the various stakeholders, negotiating authority to move the project forward.
Manages the appropriate assignment and timely completion of tasks as defined. Assesses team performance and takes corrective action, if needed. Provides guidance to City of Santa Cruz technical teams to ensure appropriate response and collaboration with Tyler Technical Support Teams to ensure timely response and appropriate resolution.
Owns the relationship with in-Scope 3rd party providers and aligns activities with ongoing project tasks.
Ensures that users have appropriate access to Tyler project toolsets as required. Conducts training on proper use of toolsets.
Validates completion of required assignments using toolsets.
City of Santa Cruz Functional Leads
Makes business process change decisions under time sensitive conditions. Communicates existing business processes and procedures to Tyler consultants. Assists in identifying business process changes that may require escalation. Contributes business process expertise for Current & Future State Analysis. Identifies and includes additional subject matter experts to participate in Current & Future State Analysis.
Validates that necessary skills have been retained by end users. Provides End Users with dedicated time to complete required homework tasks. Acts as an ambassador/champion of change for the new process and provide business process change support.
Identifies and communicates any additional training needs or scheduling conflicts to the City of Santa Cruz project manager.
Actively participates in all aspects of the implementation, including, but not limited to, the following key activities:
o Task completion
o Stakeholder Meeting
o Project Management Plan development
o Schedule development
o Maintenance and monitoring of risk register
o Escalation of issues
o Communication with Tyler project team
o Coordination of City of Santa Cruz resources
o Attendance at scheduled sessions
o Change management activities
o Modification specification, demonstrations, testing and approval assistance o Data analysis assistance
o Decentralized end user training
o Process testing
o Solution Validation
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City of Santa Cruz Power Users
Participate in project activities as required by the project team and project manager(s). Provide subject matter expertise on the City of Santa Cruz business processes and requirements. Act as subject matter experts and attend Current & Future State Analysis sessions as needed. Attend all scheduled training sessions.
Participate in all required post-training processes as needed throughout project. Test all application configuration to ensure it satisfies business process requirements. Become application experts.
Participate in Solution Validation.
Adopt and support changed procedures.
Complete all deliverables by the due dates defined in the project schedule. Demonstrate competency with Tyler products processing prior to Go-live. Provide knowledge transfer to the City of Santa Cruz staff during and after implementation. Participate in conversion review and validation.
City of Santa Cruz End Users
Attend all scheduled training sessions.
Become proficient in application functions related to job duties. Adopt and utilize changed procedures.
Complete all deliverables by the due dates defined in the project schedule. Utilize software to perform job functions at and beyond Go-live.
City of Santa Cruz Technical Lead
Coordinates updates and releases with Tyler as needed. Coordinates the copying of source databases to training/testing databases as needed for training days.
Coordinates and adds new users, printers and other peripherals as needed. Validates that all users understand log-on process and have necessary permission for all training sessions.
Coordinates interface development for City of Santa Cruz third party interfaces. Develops or assists in creating reports as needed.
Ensures on-site system meets specifications provided by Tyler. Assists with software installation as needed.
Extracts and transmits conversion data and control reports from the City of Santa Cruz’s legacy system per the conversion schedule set forth in the project schedule.
City of Santa Cruz GIS
Participates in GIS planning activities.
Responsible for management and maintenance of City of Santa Cruz GIS infrastructure and data. Ensures GIS data/service endpoints are in alignment with Tyler software requirements. Provides Tyler implementation team with GIS data/service access information.
City of Santa Cruz Upgrade Coordination
Becomes familiar with the software upgrade process and required steps. Becomes familiar with Tyler’s releases and updates.
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Utilizes Tyler resources to stay abreast of the latest Tyler releases and updates, as well as the latest helpful tools to manage the City of Santa Cruz’s software upgrade process. Assists with the software upgrade process during implementation. Manages software upgrade activities post-implementation. Manages software upgrade plan activities.
Coordinates software upgrade plan activities with City of Santa Cruz and Tyler resources. Communicates changes affecting users and department stakeholders. Obtains department stakeholder acceptance to upgrade production environment.
City of Santa Cruz Change Management Lead
Validates that users receive timely and thorough communication regarding process changes. Provides coaching to supervisors to prepare them to support users through the project changes. Identifies the impact areas resulting from project activities and develops a plan to address them proactively.
Identifies areas of resistance and develops a plan to reinforce the change. Monitors post-production performance and new process adherence.
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Part 3: Project Plan
Project Stages
Work Breakdown Structure
The Work Breakdown Structure (WBS) is a hierarchical representation of a Project or Phase broken down into smaller, more manageable components. The top-level components are called “Stages” and the second level components are called “Work Packages”. The work packages, shown below each stage, contain the high-level work to be done. The detailed Project Schedule, developed during Project/Phase Planning and finalized during subsequent stages, lists the tasks to be completed within each work package. Each stage ends with a “Control Point”, confirming the work performed during that stage of the Project has been accepted by the City of Santa Cruz.
*Items noted with an asterisk in the graphic above relate to specific products and services. If those products and services are not included in the scope of the contract, these specific work packages will be noted as “Intentionally Left Blank” in Section 6 of the Statement of Work.
INITIATE
& PLAN
PRODUCTION
READINESS
PREPARE
SOLUTION
ASSESS &
DEFINE 1 2 3 4 5 PRODUCTION 6 CLOSE
1.1 Initial
Coordinatio
n
1.4 Stakeholder
Planning
1.3 Infrastructure
Planning
1.2 Project/Phase
Planning
1.5 GIS
Planning
2.5 Data
Assessment*
2.1 Solution
Orientation
2.4 Modification
Analysis*
2.3 Conversion
Assessment*
2.2 Current &
Future State
Analysis
3.5 Modification
Delivery*
3.1 Initial
System
Deployment
3.4 Conversion
Delivery*
3.3 Process
Refinement
3.2 Configuration
3.6 Data
Delivery*
4.1 Solution
Validation
4.3 End User
Training
4.2 Go Live
Readiness
5.1 Go Live
5.3 Post Go Live
Activities
5.2 Transition to
Client Services
6.1 Phase
Close Out
6.2 Project Close
Out
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Our 12-month standard implementation schedule is based on hundreds of implementations and has been proven to work: Over 80% of our EP&L clients go live exactly on-time. Breakdown is shown below:
Stage 1: Initiate & Plan
1 month pre-planning (pre-kick-off)
Stage 2: Assess & Define
2 months
Stage 3: Prepare Solution
6 months
Stage 4: Production Readiness
3 months
Stage 5 & 6: Production & Close
1 month
Initiate and Plan
The Initiate and Plan stage involves Project initiation, infrastructure, and planning. This stage creates a foundation for the Project by identifying and establishing sequence and timing for each Phase as well as verifying scope for the Project. This stage will be conducted at the onset of the Project, with a few unique items being repeated for the additional Phases as needed.
Initial Coordination
Prior to Project commencement, Tyler management assigns project manager(s). Additional Project resources will be assigned later in the Project as a Project schedule is developed. Tyler provides the City of Santa Cruz with initial Project documents used to gather names of key personnel, their functional role as it pertains to the Project, as well as any blackout dates to consider for future planning. the City of Santa Cruz gathers the information requested by the provided deadline ensuring preliminary planning and scheduling can be conducted moving the Project forward in a timely fashion. Internally, the Tyler Project Manager(s) coordinate with sales to ensure transfer of vital information from the sales process prior to scheduling a Project Planning Meeting with the City of Santa Cruz’s team. During this step, Tyler will work with the City of Santa Cruz to establish the date(s) for the Project and Phase Planning session.
Objectives:
Formally launch the project.
Establish project governance.
Define and communicate governance for Tyler.
Identify City of Santa Cruz project team.
STAGE 1 Initial Coordination
Tyler City of Santa Cruz
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RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power Department HeadsEnd UsersTechnical Leads Tyler project team is assigned A R C I I I I I I
City of Santa Cruz project team
is assigned A I R I I I
Provide initial project
documents to the City of Santa
Cruz
A R C C I I
Gather preliminary information
requested I A R C C C C
Sales to implementation
knowledge transfer A R I I I I I
Create Project Portal to store
project artifacts and facilitate
communication
A R I
Inputs Contract documents
Statement of Work
Outputs/Deliverables Working initial project documents
Project portal
Work package assumptions:
Project activities begin after the agreement has been fully executed.
Project/Phase Planning
Project and Phase planning provides an opportunity to review the contract, software, data conversions and services purchased, identify applications to implement in each Phase (if applicable), and discuss implementation timeframes.
During this work package Tyler will work with the City of Santa Cruz to coordinate and plan a formal Project planning meeting(s). This meeting signifies the start of the Project and should be attended by all City of Santa Cruz Project team members and the Tyler Project Manager. The meeting provides an opportunity for Tyler to introduce its implementation methodology, terminology, and Project management best practices to the City of Santa Cruz’s Project Team. This will also present an opportunity for project managers and Project sponsors to begin to discuss Project communication, metrics, status reporting and tools to be used to measure Project progress and manage change.
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Tyler will work with the City of Santa Cruz Project Team to prepare and deliver the Project Management Plan as an output of the planning meeting. This plan will continue to evolve and grow as the Project progresses and will describe how the project will be executed, monitored, and controlled.
During project planning, Tyler will introduce the tools that will be used throughout the implementation. Tyler will familiarize the City of Santa Cruz with these tools during project planning and make them available for review and maintenance as applicable throughout the project. Some examples are Solution validation plan, issue log, and go-live checklist.
STAGE 1 Project/Phase Planning
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power Users)Department HeadsEnd UsersTechnical Leads Schedule and
conduct planning
session(s)
A R I C C I
Develop Project
Management Plan A R I C C I
Develop initial
project schedule A R I I I I I I C C I I C I
Inputs Contract documents
Statement of Work
Guide to Starting Your Project
Outputs / Deliverables Acceptance Criteria [only] for Deliverables Project Management Plan Delivery of document
Project Operational Plan Delivery of document
Initial Project Schedule City of Santa Cruz provides acceptance of schedule based on resource availability,
project budget, and goals.
Work package assumptions:
City of Santa Cruz has reviewed and completed the Guide to Starting Your Project document.
Infrastructure Planning
Procuring required hardware and setting it up properly is a critical part of a successful implementation. This task is especially important for Tyler-hosted/SaaS deployment models. Tyler will be responsible for building the environments for a hosted/SaaS deployment, unless otherwise identified in the Agreement. Tyler will
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install Licensed Software on application server(s) or train the City of Santa Cruz to install License Software.
The City of Santa Cruz is responsible for the installation and setup of all peripheral devices.
Objectives:
Ensure the City of Santa Cruz’s infrastructure meets Tyler’s application requirements. Ensure the City of Santa Cruz’s infrastructure is scheduled to be in place and available for use on time.
STAGE 1 Infrastructure Planning
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (P U )Department HeadsEnd UsersTechnical Leads Provide Infrastructure
Requirements and
Design Document
A R C C I I
Initial Infrastructure
Meeting A R C C C C
*Schedule SaaS
Environment
Availability
A R C I
Schedule Installation of
All Licensed Software A R C I I
Infrastructure Audit A R C I C
*if applicable, please review the contract/investment summary for details Inputs Initial Infrastructure Requirements and Design Document Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Completed Infrastructure Requirements and
Design Document
Delivery of Document
Infrastructure Audit System Passes Audit Criteria
Stakeholder Meeting
Communication of the Project planning outcomes to the City of Santa Cruz Project team, executives and other key stakeholders is vital to Project success. The Stakeholder meeting is a strategic activity to inform, engage, gain commitment, and instill confidence in the City of Santa Cruz team. During the meeting, the goals and objectives of the Project will be reviewed along with detail on Project scope, implementation methodology, roles and responsibilities, Project timeline and schedule, and keys to Project success.
Objectives:
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Formally present and communicate the project activities and timeline. Communicate project expectations.
STAGE 1 Stakeholder Meeting
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Create Stakeholder
Meeting Presentation I A R I I I I C I
Review Stakeholder
Meeting Presentation I C A R C
Perform Stakeholder
Meeting Presentation I A R I I I I C I I I I I I
Inputs Agreement
SOW
Project Management Plan
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Stakeholder Meeting Presentation
Work package assumptions:
None
GIS Preparation
GIS data is a core part of many Tyler applications. Other City of Santa Cruz offices/products may also use this data and have different GIS requirements. A key focus of this preparation will be the process for developing the GIS data for use with Tyler applications. This can be an iterative process, so it is important to begin preparation early.
Objectives:
Identify all City of Santa Cruz GIS data sources and formats. Tyler to understand the City of Santa Cruz’s GIS needs and practices. Ensure the City of Santa Cruz’s GIS data meets Tyler product requirements.
STAGE 1 GIS Preparation
Tyler City of Santa Cruz
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RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power Users)Department HeadsEnd UsersTechnical Leads Initial GIS Planning
Meeting A R C C C
Determine all GIS Data
Sources I I A R C
Provide Source GIS Data I I A R C
Review GIS Data and
Provide Feedback A R C I C
Inputs GIS Requirements Document
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Production Ready Map Data Meets Tyler GIS Requirements.
Work package assumptions:
GIS data provided to Tyler is accurate and complete.
GIS data provided to Tyler is current.
City of Santa Cruz is responsible for maintaining the GIS data.
Control Point 1: Initiate & Plan Stage Acceptance
Acceptance criteria for this stage includes completion of all criteria listed below.
Note: Advancement to the Assess & Define stage is not dependent upon Tyler’s receipt of this stage acceptance.
Initiate & Plan Stage Deliverables:
Project Management Plan
Initial Project Schedule
Initiate & Plan stage acceptance criteria:
All stage deliverables accepted based on acceptance criteria previously defined Project governance defined
Project portal made available to the City of Santa Cruz Stakeholder meeting complete
GIS Data Production Ready
Completed Infrastructure Requirements and Design Document System Passes Infrastructure Audit (as applicable)
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Assess & Define
The Assess & Define stage will provide an opportunity to gather information related to current City of Santa Cruz business processes. This information will be used to identify and define business processes utilized with Tyler software. The City of Santa Cruz collaborates with Tyler providing complete and accurate information to Tyler staff and assisting in analysis, understanding current workflows and business processes.
Solution Orientation
The Solution Orientation provides the Project stakeholders a high-level understanding of the solution functionality prior to beginning the current and future state analysis. The primary goal is to establish a foundation for upcoming conversations regarding the design and configuration of the solution.
Tyler utilizes a variety of tools for the Solution Orientation, focusing on City of Santa Cruz team knowledge transfer such as: eLearning, documentation, or walkthroughs. The City of Santa Cruz team will gain a better understanding of the major processes and focus on data flow, the connection between configuration options and outcome, integration, and terminology that may be unique to Tyler’s solution.
Objectives:
Provide a basic understanding of system functionality. Prepare the City of Santa Cruz for current and future state analysis.
STAGE 2 Solution Orientation
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Provide pre-requisites A R I I I I I
Complete pre-requisites A R C C
Conduct orientation A R I I I I I
Inputs Solution orientation materials
Training Plan
Current & Future State Analysis
The Current & Future State Analysis provides the Project stakeholders and Tyler an understanding of process changes that will be achieved with the new system.
The City of Santa Cruz and Tyler will evaluate current state processes, options within the new software, pros and cons of each based on current or desired state and make decisions about the future state configuration and processing. This may occur before or within the same timeframe as the configuration work package. The
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options within the new software will be limited to the scope of this implementation and will make use of standard Tyler functionality.
The City of Santa Cruz will adopt the existing Tyler solution wherever possible to avoid project schedule and quality risk from over customization of Tyler products. It is the City of Santa Cruz’s responsibility to verify that in-scope requirements are being met throughout the implementation if functional requirements are defined as part of the contract. The following guidelines will be followed when evaluating if a modification to the product is required:
A reasonable business process change is available.
Functionality exists which satisfies the requirement. Configuration of the application satisfies the requirement. An in-scope modification satisfies the requirement.
Requirements that are not met will follow the agreed upon change control process and can have impacts on the project schedule, scope, budget, and resource availability.
STAGE 2 Current & Future State Analysis
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Current State process
review A R I I I C C C C C
Discuss future-state
options A R C C C C C C C C
Make future-state
decisions (non-COTS) C C C C C A R I C C
Document anticipated
configuration options
required to support
future state
A R C C C I I I I I
Inputs City of Santa Cruz current state documentation
Solution Orientation completion
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Documentation that describes future-state
decisions and configuration options to support
future-state decisions.
Delivery of document
Work package assumptions:
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City of Santa Cruz attendees possess sufficient knowledge and authority to make future state decisions.
The City of Santa Cruz is responsible for any documentation of current state business processes. The City of Santa Cruz can effectively communicate current state processes.
Conversion Assessment
Data Conversions are a major effort in any software implementation. Tyler’s conversion tools facilitate the predictable, repeatable conversion process that is necessary to support a successful transition to the Tyler system. The first step in this process is to perform an assessment of the existing (“legacy”) system(s), to better understand the source data, risks, and options available. Once the data has been analyzed, the plan for data conversion is completed and communicated to the appropriate stakeholders.
Objectives:
Communicate a common understanding of the project goals with respect to data. Ensure complete and accurate source data is available for review/transfer. Map the data from the source to the Tyler system.
Document the data conversion/loading approach.
STAGE 2 Data Conversion Assessment
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Extract Data from
Source Systems I C A R
Review and Scrub
Source Data I I I A R C I
Build/Update Data
Conversion Plan R C C C I I I I
Inputs City of Santa Cruz Source data
City of Santa Cruz Source data Documentation (if available) Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Data Conversion Plan built/updated City of Santa Cruz Acceptance of Data Conversion Plan, if Applicable
Work package assumptions:
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Tyler will be provided with data from the Legacy system(s) in a mutually agreed upon format. Tyler will work with the City of Santa Cruz representatives to identify business rules before writing the conversion.
City of Santa Cruz subject matter experts and resources most familiar with the current data will be involved in the data conversion planning effort.
Intentionally left blank.
Intentionally left blank.
Control Point 2: Assess & Define Stage Acceptance
Acceptance criteria for this Stage includes completion of all criteria listed below.
Note: Advancement to the Prepare Solution Stage is dependent upon Tyler’s receipt of the Stage Acceptance.
Assess & Define Stage Deliverables:
Documentation of future state decisions and configuration options to support future state decisions. Modification specification document.
Assess & Define Stage Acceptance Criteria:
All stage deliverables accepted based on criteria previously defined. Solution Orientation is delivered.
Conversion data extracts are received by Tyler.
Data conversion plan built.
Prepare Solution
During the Prepare Solution stage, information gathered during the Initiate & Plan and Assess & Define stages will be used to install and configure the Tyler software solution. Software configuration will be validated by the City of Santa Cruz against future state decisions defined in previous stages and processes refined as needed to ensure business requirements are met.
Initial System Deployment
The timely availability of the Tyler Solution is important to a successful Project implementation. The success and timeliness of subsequent work packages are contingent upon the initial system deployment of Tyler Licensed Software on an approved network and infrastructure. Delays in executing this work package can affect the project schedule.
Objectives:
All licensed software is installed and operational.
The City of Santa Cruz can access the software.
STAGE 3 Initial System Deployment (Hosted/SaaS)*
Tyler City of Santa Cruz
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RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power Users)Department HeadsEnd UsersTechnical Leads Prepare hosted
environment A R I C
Install Licensed
Software with
Initial Database on
Server(s) for
Included
Environments
A R I C
Install Licensed
Software on City of
Santa Cruz Devices
(if applicable)
I C A R
Tyler System
Administration
Training (if
applicable)
A R I C
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Licensed Software is Installed on the Server(s) Software is accessible Licensed Software is Installed on City of Santa
Cruz Devices (if applicable)
Software is accessible
Installation Checklist/System Document System meets prescribed checklist Infrastructure Design Document (C&J – If
Applicable)
Work package assumptions:
The most current available version of the Tyler Licensed Software will be installed. The City of Santa Cruz will provide network access for Tyler modules, printers, and Internet access to all applicable City of Santa Cruz and Tyler Project staff.
Configuration
The purpose of Configuration is to prepare the software product for validation.
Tyler staff collaborates with the City of Santa Cruz to complete software configuration based on the outputs of the future state analysis performed during the Assess and Define Stage. The City of Santa Cruz collaborates with Tyler staff iteratively to validate software configuration.
Objectives:
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Software is ready for validation.
Educate the City of Santa Cruz Power User how to configure and maintain software. Prepare standard interfaces for process validation (if applicable).
STAGE 3 Configuration
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Conduct configuration
training A R I C C
Complete Tyler
configuration tasks
(where applicable)
A R I I I
Complete City of Santa
Cruz configuration tasks
(where applicable)
I C A R C
Standard interfaces
configuration and
training (if applicable)
A R C I C C C
Updates to Solution
Validation testing plan C C A R C C
Inputs Documentation that describes future state decisions and configuration options to support future state decisions.
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Configured System
Work package assumptions:
Tyler provides guidance for configuration options available within the Tyler software. The City of Santa Cruz is responsible for making decisions when multiple options are available.
Process Refinement
Tyler will educate the City of Santa Cruz users on how to execute processes in the system to prepare them for the validation of the software. The City of Santa Cruz collaborates with Tyler staff iteratively to validate software configuration options to support future state.
Objectives:
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Ensure that the City of Santa Cruz understands future state processes and how to execute the processes in the software.
Refine each process to meet the business requirements. Validate standard interfaces, where applicable.
Validate forms and reports, where applicable.
STAGE 3 Process Refinement
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power Users)Department HeadsEnd UsersTechnical Leads Conduct process
training A R I C I C
Confirm process
decisions I C A R C I C
Test configuration I C A R C
Refine
configuration (City
of Santa Cruz
Responsible)
I C A R C
Refine
configuration (Tyler
Responsible)
A R I I I
Validate interface
process and results I C C A R C C
Update City of
Santa Cruz-specific
process
documentation (if
applicable)
I C A R C
Updates to
Solution Validation
testing plan
C C A R C C
Inputs Initial Configuration
Documentation that describes future state decisions and configuration options to support future state decisions.
Solution validation test plan
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Updated solution validation test plan
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Completed City of Santa Cruz-specific
process documentation (completed by City
of Santa Cruz)
Work package assumptions:
None
Conversion Delivery
The purpose of this task is to transition the City of Santa Cruz’s data from their source (“legacy”) system(s) to the Tyler system(s). The data will need to be mapped from the legacy system into the new Tyler system format. A well-executed data conversion is key to a successful cutover to the new system(s).
With guidance from Tyler, the City of Santa Cruz will review specific data elements within the system and identify / report discrepancies. Iteratively, Tyler will collaborate with the City of Santa Cruz to address conversion discrepancies. This process will allow for clean, reconciled data to transfer from the source system(s) to the Tyler system(s). Reference Conversion Appendix for additional detail.
Objectives:
Data is ready for production (Conversion).
STAGE 3 Data Delivery & Conversion
Tyler City of Santa Cruz
RACI MATRIX
KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power Users)Department HeadsEnd UsersTechnical Leads Load Data
for Testing
Pull Data &
Conversion
Balancing
Reports
Map
Conversion
Write & Run
Conversion
Program
Validate
Data
Conversion
Reviews
Completed
Final
Conversion
Report &
Correct
Errors
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Provide data
crosswalks/code
mapping tool
A C R I I I
Populate data
crosswalks/code
mapping tool
I C C A R C
Iterations:
Conversion
Development
A C R I I
Iterations:
Deliver
converted data
A R I I I
Iterations:
Proof/Review
data and
reconcile to
source system
C C C A R C C
Inputs
Data Conversion Plan
Configuration
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Code Mapping Complete / Validated
Conversion Iterations / Reviews Complete Conversion complete, verified, and ready for final pass
Work package assumptions:
The City of Santa Cruz will provide a single file layout per source system as identified in the investment summary.
The City of Santa Cruz subject matter experts and resources most familiar with the current data will be involved in the data conversion effort.
The City of Santa Cruz project team will be responsible for completing the code mapping activity, with assistance from Tyler.
Intentionally left blank.
Intentionally left blank.
Control Point 3: Prepare Solution Stage Acceptance
Acceptance criteria for this Stage includes all criteria listed below in each Work Package.
Note: Advancement to the Production Readiness Stage is dependent upon Tyler’s receipt of the Stage Acceptance.
Prepare Solution Stage Deliverables:
Licensed software is installed.
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Installation checklist/system document.
Conversion iterations and reviews complete.
Prepare Solution Stage Acceptance Criteria:
All stage deliverables accepted based on criteria previously defined. Software is configured.
Solution validation test plan has been reviewed and updated if needed.
Production Readiness
Activities in the Production Readiness stage will prepare the City of Santa Cruz team for go-live through solution validation, the development of a detailed go-live plan and end user training. A readiness assessment will be conducted with the City of Santa Cruz to review the status of the project and the organizations readiness for go-live.
Solution Validation
Solution Validation is the end-to-end software testing activity to ensure that the City of Santa Cruz verifies all aspects of the Project (hardware, configuration, business processes, etc.) are functioning properly, and validates that all features and functions per the contract have been deployed for system use.
Objectives:
Validate that the solution performs as indicated in the solution validation plan. Ensure the City of Santa Cruz organization is ready to move forward with go-live and training (if applicable).
STAGE 4 Solution Validation
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Update Solution
Validation plan A R C C C C
Update test scripts (as
applicable) C C C A R C
Perform testing C C C A R C
Document issues from
testing C C C A R C
Perform required followup on issues A R C C C C
Inputs Solution Validation plan
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Completed work product from prior stages (configuration, business process, etc.) Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Solution Validation Report City of Santa Cruz updates report with testing results
Work package assumptions:
Designated testing environment has been established.
Testing includes current phase activities or deliverables only.
Go-Live Readiness
Tyler and the City of Santa Cruz will ensure that all requirements defined in Project planning have been completed and the Go-Live event can occur, as planned. A go-live readiness assessment will be completed identifying risks or actions items to be addressed to ensure the City of Santa Cruz has considered its ability to successfully Go-Live. Issues and concerns will be discussed, and mitigation options documented. Tyler and the City of Santa Cruz will jointly agree to move forward with transition to production. Expectations for final preparation and critical dates for the weeks leading into and during the Go-Live week will be planned in detail and communicated to Project teams.
Objectives:
Action plan for go-live established.
Assess go-live readiness.
Stakeholders informed of go-live activities.
STAGE 4 Go-Live Readiness
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Perform Readiness
Assessment I A R C C I C I I I I I I
Conduct Go-Live planning
session A R C C C C C C C
Order peripheral
hardware (if applicable) I A R C
Confirm procedures for
Go-Live issue reporting &
resolution
A R I I I I C C I I I I I
Develop Go-Live checklist A R C C C C I C C
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Final system
infrastructure review
(where applicable)
A R C C
Inputs Future state decisions
Go-live checklist
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Updated go-live checklist Updated Action plan and Checklist for go-live delivered to the City of Santa Cruz
Work package assumptions:
None
End User Training
End User Training is a critical part of any successful software implementation. Using a training plan previously reviewed and approved, the Project team will organize and initiate the training activities.
Train the Trainer: Tyler provides one occurrence of each scheduled training or implementation topic. City of Santa Cruz users who attended the Tyler sessions may train additional users. Additional Tyler led sessions may be contracted at the applicable rates for training. Examples of additional resources/sessions are:
• Tyler University (included with contract and available during Implementation) • Tyler Community (included with contract and available during Implementation) • Additional training sessions can be added to a project. Please consult with your Tyler Project Manager and/or Tyler Account Representative if interested.
Tyler will provide standard application documentation for the general use of the software. It is not Tyler’s responsibility to develop City of Santa Cruz specific business process documentation. City of Santa Cruz-led training labs using City of Santa Cruz specific business process documentation if created by the City of Santa Cruz can be added to the regular training curriculum, enhancing the training experiences of the end users.
Objectives:
End users are trained on how to use the software prior to go-live. The City of Santa Cruz is prepared for on-going training and support of the application.
STAGE 4 End User Training
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads
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Update training plan A R C C I C
End User training (Tylerled) A R C C C I C C C
Train-the-trainer A R C C C I C
End User training (City of
Santa Cruz-led) C C A R I C C C
Inputs Training Plan
List of End Users and their Roles / Job Duties
Configured Tyler System
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
End User Training City of Santa Cruz signoff that training was delivered
Work package assumptions:
The City of Santa Cruz project team will work with Tyler to jointly develop a training curriculum that identifies the size, makeup, and subject-area of each of the training classes. Tyler will work with the City of Santa Cruz as much as possible to provide end-user training in a manner that minimizes the impact to the daily operations of City of Santa Cruz departments. The City of Santa Cruz will be responsible for training new users after go-live (exception—previously planned or regular training offerings by Tyler).
Control Point 4: Production Readiness Stage Acceptance
Acceptance criteria for this stage includes all criteria listed below. Advancement to the Production stage is dependent upon Tyler’s receipt of the stage acceptance.
Production Readiness stage deliverables:
Solution Validation Report.
Update go-live action plan and/or checklist.
End user training.
Production Readiness stage acceptance criteria:
All stage deliverables accepted based on criteria previously defined. Go-Live planning session conducted.
Production
Following end user training the production system will be fully enabled and made ready for daily operational use as of the scheduled date. Tyler and the City of Santa Cruz will follow the comprehensive action plan laid out during Go-Live Readiness to support go-live activities and minimize risk to the Project during go-live.
Following go-live, Tyler will work with the City of Santa Cruz to verify that implementation work is concluded, post go-live activities are scheduled, and the transition to Client Services is complete for long-term operations and maintenance of the Tyler software.
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Go-Live
Following the action plan for Go-Live, defined in the Production Readiness stage, the City of Santa Cruz and Tyler will complete work assigned to prepare for Go-Live.
The City of Santa Cruz provides final data extract and Reports from the Legacy System for data conversion and Tyler executes final conversion iteration, if applicable. If defined in the action plan, the City of Santa Cruz manually enters any data added to the Legacy System after final data extract into the Tyler system.
Tyler staff collaborates with the City of Santa Cruz during Go-Live activities. The City of Santa Cruz transitions to Tyler software for day-to day business processing.
Some training topics are better addressed following Go-Live when additional data is available in the system or based on timing of applicable business processes and will be scheduled following Go-Live per the Project Schedule.
Objectives:
Execute day to day processing in Tyler software.
City of Santa Cruz data available in Production environment.
STAGE 5 Go-Live
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Provide final source data
extract, if applicable C C A R
Final source data pushed
into production
environment, if
applicable
A C R I C C C
Proof final converted
data, if applicable C C C A R C
Complete Go-Live
activities as defined in
the Go-Live action plan
C C C A R C I C
Provide Go-Live
assistance A R C C I C C I C I C
Inputs Comprehensive Action Plan for Go-Live
Final source data (if applicable)
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Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Data is available in production environment City of Santa Cruz confirms data is available in production environment
Work package assumptions:
The City of Santa Cruz will complete activities documented in the action plan for Go-Live as scheduled.
External stakeholders will be available to assist in supporting the interfaces associated with the GoLive live process. The City of Santa Cruz business processes required for Go-Live are fully documented and tested. The City of Santa Cruz Project team and subject matter experts are the primary point of contact for the end users when reporting issues during Go-Live.
The City of Santa Cruz Project Team and Power User’s provide business process context to the end users during Go-Live.
The Tyler Go-Live support team is available to consult with the City of Santa Cruz teams as necessary. The Tyler Go-Live support team provides standard functionality responses, which may not be tailored to the local business processes.
Transition to Client Services
This work package signals the conclusion of implementation activities for the Phase or Project with the exception of agreed-upon post Go-Live activities. The Tyler project manager(s) schedules a formal transition of the City of Santa Cruz onto the Tyler Client Services team, who provides the City of Santa Cruz with assistance following Go-Live, officially transitioning the City of Santa Cruz to operations and maintenance.
Objectives:
Ensure no critical issues remain for the project teams to resolve. Confirm proper knowledge transfer to the City of Santa Cruz teams for key processes and subject areas.
STAGE 5 Transition to Client Services
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Transfer City of Santa
Cruz to Client Services
and review issue
reporting and resolution
processes
I I A I I R I I C C C
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Review long term
maintenance and
continuous
improvement
A R C C C
Inputs Open item/issues List
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Client Services Support Document
Work package assumptions:
No material project issues remain without assignment and plan.
Post Go-Live Activities
Some implementation activities are provided post-production due to the timing of business processes, the requirement of actual production data to complete the activities, or the requirement of the system being used in a live production state.
Objectives:
Schedule activities that are planned for after Go-Live. Ensure issues have been resolved or are planned for resolution before phase or project close.
STAGE 5 Post Go-Live Activities
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Schedule contracted
activities that are
planned for delivery
after go-live
A R C C C C I C C I C C
Determine resolution
plan in preparation for
phase or project close
out
A R C C C I C C I C
Inputs List of post Go-Live activities
Outputs /
Deliverables
Acceptance Criteria [only] for
Deliverables
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Updated issues log
Work package assumptions:
System is being used in a live production state.
Control Point 5: Production Stage Acceptance
Acceptance criteria for this Stage includes completion of all criteria listed below:
Advancement to the Close stage is not dependent upon Tyler’s receipt of this Stage Acceptance. Converted data is available in production environment.
Production Stage Acceptance Criteria:
All stage deliverables accepted based on criteria previously defined. Go-Live activities defined in the Go-Live action plan completed. Client services support document is provided.
Close
The Close stage signifies full implementation of all products purchased and encompassed in the Phase or Project. The City of Santa Cruz transitions to the next cycle of their relationship with Tyler (next Phase of implementation or long-term relationship with Tyler Client Services).
Phase Closeout
This work package represents Phase completion and signals the conclusion of implementation activities for the Phase. The Tyler Client Services team will assume ongoing support of the City of Santa Cruz for systems implemented in the Phase.
Objectives:
Agreement from Tyler and the City of Santa Cruz teams that activities within this phase are complete.
STAGE 6 Phase Close Out
Tyler City of Santa Cruz
RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Reconcile project budget
and status of contract
Deliverables
I A R I I C
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Hold post phase review
meeting A R C C C C C C C C C
Release phasedependent Tyler project
resources
A R I I
Participants Tyler City of Santa Cruz
Project Leadership Project Manager
Project Manager Project Sponsor(s)
Implementation Consultants Functional Leads, Power Users, Technical Leads
Technical Consultants (Conversion, Deployment,
Development)
Client Services
Inputs Contract
Statement of Work
Project artifacts
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Final action plan (for outstanding items)
Reconciliation Report
Post Phase Review
Work package assumptions:
Tyler deliverables for the phase have been completed.
Project Closeout
Completion of this work package signifies final acceptance and formal closing of the Project.
At this time the City of Santa Cruz may choose to begin working with Client Services to look at continuous improvement Projects, building on the completed solution.
Objectives:
Confirm no critical issues remain for the project teams to resolve. Determine proper knowledge transfer to the City of Santa Cruz teams for key processes and subject areas has occurred.
Verify all deliverables included in the Agreement are delivered.
STAGE 6 Project Close Out
Tyler City of Santa Cruz
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RACI MATRIX KEY:
R = Responsible
A = Accountable
C = Consulted
I = Informed
Executive ManagerImplementation ManagerProject ManagerImplementation ConsultantData ExpertsModification ServicesTechnical ServicesClient ServicesExecutive SponsorSteering CommitteeProject ManagerFunctional LeadsChange Management LeadsSubject Matter Experts (Power U )Department HeadsEnd UsersTechnical Leads Conduct post project
review A R C C C C C C C C C
Deliver post project
report to City of Santa
Cruz and Tyler
leadership
I A R I I C
Release Tyler project
resources
A R I I
Inputs Contract
Statement of Work
Outputs /
Deliverables
Acceptance Criteria [only] for Deliverables
Post Project Report City of Santa Cruz acceptance; Completed report indicating all project Deliverables and
milestones have been completed
Work package assumptions:
All project implementation activities have been completed and approved. No critical project issues remain that have not been documented and assigned. Final project budget has been reconciled and invoiced. All Tyler deliverables have been completed.
Control Point 6: Close Stage Acceptance
Acceptance criteria for this Stage includes completion of all criteria listed below.
Close Stage Deliverables:
Post Project Report.
Close Stage Acceptance Criteria:
Completed report indicating all Project deliverables and milestones have been completed.
General Assumptions
Tyler and the City of Santa Cruz will use this SOW as a guide for managing the implementation of the Tyler Project as provided and described in the Agreement. There are a few assumptions which, when
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acknowledged and adhered to, will support a successful implementation. Assumptions related to specific work packages are documented throughout the SOW. Included here are general assumptions which should be considered throughout the overall implementation process.
Project
Project activities will begin after the Agreement has been fully executed. The City of Santa Cruz Project Team will complete their necessary assignments in a mutually agreed upon timeframe to meet the scheduled go-live date, as outlined in the Project Schedule. Sessions will be scheduled and conducted at a mutually agreeable time. Additional services, software modules and modifications not described in the SOW or Agreement will be considered a change to this Project and will require a Change Request Form as previously referenced in the definition of the Change Control Process. Tyler will provide a written agenda and notice of any prerequisites to the City of Santa Cruz project manager(s) ten (10) business days or as otherwise mutually agreed upon time frame prior to any scheduled on-site or remote sessions, as applicable.
Tyler will provide guidance for configuration and processing options available within the Tyler software. If multiple options are presented by Tyler, the City of Santa Cruz is responsible for making decisions based on the options available.
Implementation of new software may require changes to existing processes, both business and technical, requiring the City of Santa Cruz to make process changes. The City of Santa Cruz is responsible for defining, documenting, and implementing their policies that result from any business process changes.
Organizational Change Management
Unless otherwise contracted by Tyler, City of Santa Cruz is responsible for managing Organizational Change.
Impacted City of Santa Cruz resources will need consistent coaching and reassurance from their leadership team to embrace and accept the changes being imposed by the move to new software. An important part of change is ensuring that impacted City of Santa Cruz resources understand the value of the change, and why they are being asked to change.
Resources and Scheduling
City of Santa Cruz resources will participate in scheduled activities as assigned in the Project Schedule.
The City of Santa Cruz team will complete prerequisites prior to applicable scheduled activities.
Failure to do so may affect the schedule.
Tyler and the City of Santa Cruz will provide resources to support the efforts to complete the Project as scheduled and within the constraints of the Project budget. Abbreviated timelines and overlapped Phases require sufficient resources to complete all required work as scheduled.
Changes to the Project Schedule, availability of resources or changes in Scope will be requested through a Change Request. Impacts to the triple constraints (scope, budget, and schedule) will be assessed and documented as part of the change control process. The City of Santa Cruz will ensure assigned resources will follow the change control process and possess the required business knowledge to complete their assigned tasks successfully. Should there be a change in resources, the replacement resource should have a comparable level of availability, change control process buy-in, and knowledge.
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The City of Santa Cruz makes timely Project related decisions to achieve scheduled due dates on tasks and prepare for subsequent training sessions. Failure to do so may affect the schedule, as each analysis and implementation session is dependent on the decisions made in prior sessions. The City of Santa Cruz will respond to information requests in a comprehensive and timely manner, in accordance with the Project Schedule.
The City of Santa Cruz will provide adequate meeting space or facilities, including appropriate system connectivity, to the project teams including Tyler team members. For on-site visits, Tyler will identify a travel schedule that balances the needs of the project and the employee.
Data
Data will be converted as provided and Tyler will not create data that does not exist. The City of Santa Cruz is responsible for the quality of legacy data and for cleaning or scrubbing erroneous legacy data.
Tyler will work closely with the City of Santa Cruz representatives to identify business rules before writing the conversion. The City of Santa Cruz must confirm that all known data mapping from source to target have been identified and documented before Tyler writes the conversion. All in-scope source data is in data extract(s).
Each legacy system data file submitted for conversion includes all associated records in a single approved file layout.
The City of Santa Cruz will provide the legacy system data extract in the same format for each iteration unless changes are mutually agreed upon in advance. If not, negative impacts to the schedule, budget and resource availability may occur and/or data in the new system may be incorrect.
The City of Santa Cruz Project Team is responsible for reviewing the converted data and reporting issues during each iteration, with assistance from Tyler. The City of Santa Cruz is responsible for providing or entering test data (e.g., data for training, testing interfaces, etc.)
Facilities
The City of Santa Cruz will provide dedicated space for Tyler staff to work with City of Santa Cruz resources for both on-site and remote sessions. For remote sessions, it is preferred that Subject Matter Experts work in the same room together. However, if SMEs need to work at their desks and can do so without external interruptions, that is acceptable. For on-site sessions, the City of Santa Cruz needs to provide the following, in a space that can comfortably accommodate all attendees:
o Display Projector (overhead or connection to screens meeting attendees can see) o Workstation for the Tyler Consultant, with access to EnerGov Production, Test and Train o White/Blackboard/Easel with requisite markers
o High Speed Internet connection
If Phases overlap, City of Santa Cruz will provide multiple training facilities to allow for independent sessions scheduling without conflict.
The City of Santa Cruz will provide staff with a location to practice what they have learned without distraction.
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Glossary
Word or Term Definition
Acceptance Confirming that the output or deliverable is suitable and conforms to the agreed upon criteria.
Accountable The one who ultimately ensures a task or deliverable is completed; the one who ensures the prerequisites of the task are met and who delegates the work to those responsible. [Also see RACI]
Application A computer program designed to perform a group of coordinated functions, tasks, or activities for the benefit of the user.
Application Programming Interface (API) A defined set of tools/methods to pass data to and received data from Tyler software products
Agreement This executed legal contract that defines the products and services to be implemented or performed.
Business Process The practices, policy, procedure, guidelines, or functionality that the client uses to complete a specific job function.
Business Requirements Document A specification document used to describe Client requirements for contracted software modifications.
Change Request A form used as part of the Change Control process whereby changes in the scope of work, timeline, resources, and/or budget are documented and agreed upon by participating parties.
Change Management Guides how we prepare, equip and support individuals to successfully adopt change in order to drive organizational success & outcomes
Code Mapping [where applicable] An activity that occurs during the data conversion process whereby users equate data (field level) values from the old system to the values available in the new system. These may be one to one or many to one. Example: Old System [Field = eye color] [values = BL, Blu, Blue] maps to New Tyler System [Field = Eye Color] [value = Blue].
Consulted Those whose opinions are sought, typically subject matter experts, and with whom there is two-way communication. [Also see RACI]
Control Point This activity occurs at the end of each stage and serves as a formal and intentional opportunity to review stage deliverables and required acceptance criteria for the stage have been met.
Data Mapping [where applicable] The activity determining and documenting where data from the legacy system will be placed in the new system; this typically involves prior data analysis to understand how the data is currently used in the legacy system and how it will be used in the new system.
Deliverable A verifiable document or service produced as part of the Project, as defined in the work packages.
Go-Live The point in time when the Client is using the Tyler software to conduct daily operations in Production.
Informed Those who are kept up-to-date on progress, often only on completion of the task or deliverable, and with whom there is just one-way communication. [Also see RACI]
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Infrastructure The composite hardware, network resources and services required for the existence, operation, and management of the Tyler software.
Interface A connection to and potential exchange of data with an external system or application. Interfaces may be one way, with data leaving the Tyler system to another system or data entering Tyler from another system, or they may be bi-directional with data both leaving and entering Tyler and another system.
Integration A standard exchange or sharing of common data within the Tyler system or between Tyler applications
Legacy System The software from which a client is converting.
Modification Custom enhancement of Tyler’s existing software to provide features or functions to meet individual client requirements documented within the scope of the Agreement.
On-site Indicates the work location is at one or more of the client’s physical office or work environments.
Organizational Change The process of changing an organization's strategies, processes, procedures, technologies, and culture, as well as the effect of such changes on the organization.
Output A product, result or service generated by a process.
Peripheral devices An auxiliary device that connects to and works with the computer in some way. Some examples: scanner, digital camera, printer.
Phase A portion of the Project in which specific set of related applications are typically implemented. Phases each have an independent start, Go-Live and closure dates but use the same Implementation Plans as other Phases of the Project. Phases may overlap or be sequential and may have different Tyler resources assigned.
Project The delivery of the software and services per the agreement and the Statement of Work. A Project may be broken down into multiple Phases.
RACI A matrix describing the level of participation by various roles in completing tasks or Deliverables for a Project or process.
Individuals or groups are assigned one and only one of the following roles for a given task: Responsible (R), Accountable (A), Consulted (C), or Informed (I).
Remote Indicates the work location is at one or more of Tyler’s physical offices or work environments.
Responsible Those who ensure a task is completed, either by themselves or delegating to another resource. [Also see RACI]
Scope Products and services that are included in the Agreement.
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Solution The implementation of the contracted software product(s) resulting in the connected system allowing users to meet Project goals and gain anticipated efficiencies.
Stage The top-level components of the WBS. Each Stage is repeated for individual Phases of the Project.
Standard Software functionality that is included in the base software (offthe-shelf) package; is not customized or modified.
Statement of Work (SOW) Document which will provide supporting detail to the Agreement defining Project-specific activities, services, and Deliverables.
System The collective group of software and hardware that is used by the organization to conduct business.
Test Scripts The steps or sequence of steps that will be used to validate or confirm a piece of functionality, configuration, enhancement, or Use Case Scenario.
Training Plan Document(s) that indicate how and when users of the system will be trained relevant to their role in the implementation or use of the system.
Validation (or to validate) The process of testing and approving that a specific Deliverable, process, program, or product is working as expected.
Work Breakdown Structure (WBS) A hierarchical representation of a Project or Phase broken down into smaller, more manageable components.
Work Package A group of related tasks within a project.
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Part 4: Appendices
Conversion
Enterprise Permitting & Licensing Conversion Summary
Community Development
Permit Master basic information
Plan Master basic information
Plan & Permit Contacts
Unique (keyed) contacts converted to global contacts
Non-keyed contacts converted to a Memo Custom Field or standard note Sub-permit Associations – Visible in Workflow and Attached Records Reviews and Approvals
Projects
Permit Renewals
Bonds and Escrow
Contractors
Workflow based on configured Enterprise Permitting & Licensing template customized only by inclusion/exclusion based on status, type or class of the associated permit, plan, etc. Inspections and Inspection Cases
Meetings and Hearings
Activities and Actions
Conditions
Fees
Holds
Notes
Parcels and Addresses
Payments and Fee History
Zones
Code Case Master basic information
Code Requests
Code Case Contacts and Properties
Unique (keyed) contacts converted to global contacts
Non-keyed contacts converted to a Memo Custom Field or standard note Violations
Fees
Payments
Notes
Business Management
Business Entity (Only for Business Licensing)
License Master basic information
License Contacts
Unique (keyed) contacts converted to global contacts
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Non-keyed contacts converted to a Memo Custom Field or standard note Reviews and Approvals – Converted to Activity
Fees
Bonds and Escrow
Activities and Actions
Conditions
Notes
Holds
Workflow based on configured Enterprise Permitting & Licensing template customized only by inclusion/exclusion based on status, type or class of the associated license, code case, etc. Contractors
Business Types and NAICS Codes
Payment and Fee History
Code Case Master basic information
Code Requests
Code Case Contacts and Properties
Unique (keyed) contacts converted to global contacts
Non-keyed contacts converted to a Memo Custom Field or standard note Parcels and Addresses
Meetings and Hearings
Violations
Fees
Payments
Notes
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Additional Appendices
Enterprise Permitting & Licensing Definitions
“Template Business Transactions”
A pre-defined and pre-configured Enterprise Permitting & Licensing business process from Enterprise Permitting & Licensing’s “Best Management Template”.
The following modifications to Template Business Transactions are considered within scope:
o Any changes to required inspections within the workflow o Any changes to the required plan reviews within the workflow o Adding up to 2 additional actions to the workflow
o Configuration of fees, allowing creation of up to 3 new fees to accommodate o Any changes to custom field layouts that are directly related to fees or included reports Customization/Configuration of any of these parameters beyond the scope listed above will require the respective business process to be considered a “Unique Business Transaction”, as described below.
Note: All transaction counts are quantified in the comments of the Investment Summary. “Unique Business Transactions”
Unique configuration of workflow or business process steps & actions, including output actions Unique Fee configuration
Unique Custom field configuration
“Geo-Rules”
An automation event that references GIS data. Current geo-rule action types are:
Alert Displays a pop-up with a custom message to the user, notifying them of certain spatial data (i.e., noise abatement zones; flood zones; etc.).
Block Places a block on the case and prevents any progress or updates from occurring on the record (i.e., no status changes can be completed, no fees can be paid, the workflow cannot be managed, etc.) Block with
Override
Places a block on the case and prevents any progress or updates from occurring on the record (i.e., no status changes can be completed, no fees can be paid, the workflow cannot be managed, etc.) However, the block can be overridden by end-users who have been given the proper securities.
Fee Date Populates the CPI vesting date on the record if vesting maps are used by the jurisdiction.
Field Mapping A custom field or any field inherentin the Enterprise Permitting & Licensing application can automatically populate with information based on spatial data.
Required Action A workflow action can automatically populate in the workflow details for the particular record (i.e., plan, permit, code case, etc.) that requires the action based on certain spatial data related to the case.
Required Step A workflow step can automatically populate in the workflow details for the particular record (i.e., plan, permit, code case, etc.) that requires the step based on certain spatial data related to the case.
Zone Mapping The zone(s) automatically populate on the “Zones” tab of the record (i.e., plan, permit, code case, etc.).
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“Automation Events”
“Intelligent Objects (IO)”
Key components for automatically and reactively triggering geo-rules, computing fees, and generating emails, alerts, and other notifications.
“Intelligent Automation Agents (IAA)”
A tool designed to automate task in a proactive manner by setting values and generating emails and other tasks. On a nightly basis, a Windows service sweeps the Enterprise Permitting & Licensing system looking for IAA tasks that need to be run, then the associated actions are performed. The IAA does not generate alerts or errors. Custom SQL queries are not Tyler deliverables. “Enterprise Permitting & Licensing SDK/API (Toolkits)”
• APIs developed by Tyler Technologies for extending the Enterprise Permitting & Licensing Framework and functionality to external agencies and systems. Full documentation is available for each toolkit upon request.
Note: The Enterprise Permitting & Licensing toolkits and related documentation are simply tools that allow clients to create applications and integrations. The purchase of a toolkit/API does not imply any development related services from Tyler Technologies. The City of Santa Cruz is responsible for working with their IT staff and VARs to develop any necessary applications and integrations except as otherwise noted in the Investment Summary or for any “in-scope” integrations.
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Project Timeline
EPL Project Timeline
The Project Timeline establishes a target start and end date for each Phase of the Project. The timeline needs to account for resource availability, business goals, size and complexity of the Project, and task duration requirements. These will be reviewed and adjusted, if needed, during the Initiate and Plan Stage. Refer to the Project Stages section of this SOW for information on work packages associated with each stage of the implementation.
The following dates may be revised based on the date the Agreement is signed and further refined during the course of the project. Tyler requires up to forty-five (45) days to move from Agreement signing to the Initiate & Plan Stage.
Tyler works to begin a project within six (6) months after contract signing.
Phase Functional Area(s) Modules Start Date Go-Live Date 1 Enterprise Permitting and
Licensing –
Business Management/
Community Development
• Business Management Suite
• Civic Access – Business Management
• Civic Access – Community Development
• Community Development Suite
• Content Management Interface
• Decision Engine
• e-Reviews
• Enterprise Permitting & Licensing Core
Foundation Bundle
• Report Toolkit
• Workforce Mobile
• Enterprise Permitting & Licensing
Advanced Automation Bundle
• GIS Site License
Estimated
10/01/2023
10/01/2024
19.94 Exhibit F
Insurance Requirements
a. CERTIFICATE REQUIREMENTS
The City will be issued a Certificate of Insurance (a Memorandum of Understanding will not be accepted) with the following minimum requirements:
• Certificate(s) will show current policy number(s) and effective dates, • Coverage and policy limits will meet, or exceed, requirements below, • The Certificate Holder will be City of Santa Cruz, Risk Management, 1200 Pacific Ave., Suite 290, Santa Cruz, CA 95060,
• Certificate will be signed by an authorized representative, • An endorsement, if required below, will be provided to show the City, its officers, officials, employees, and volunteers as additional insureds, and
• Coverages must be maintained during the term of the Agreement with the City, unless a longer duration is required.
b. MINIMUM SCOPE AND LIMITS OF INSURANCE
Tyler acknowledges that the insurance coverage and policy limits set forth in this section constitute the amount of coverage required.
Coverage will be:
• COMMERCIAL GENERAL LIABILITY (CGL): $1,000,000 PER OCCURRENCE; $2,000,000 AGGREGATE.
Coverage for $1 Million per occurrence including products and completed operations, property damage, bodily injury, personal and advertising injury will be provided • AUTOMOBILE LIABILITY:
Coverage for $1,000,000, on industry standard form covering any auto, per accident for bodily injury and property damage.
• WORKERS’ COMPENSATION AS REQUIRED BY THE STATE OF CALIFORNIA, WITH STATUTORY LIMITS, AND EMPLOYER’S LIABILITY INSURANCE: $1,000,000 per accident for bodily injury or disease.
Tyler agrees to waive subrogation on claims under our Workers’ Compensation policy that arise out of or relate to this Agreement and are between Tyler and the City, except to the extent the damage or injury is caused by the City.
• For Data Security and Privacy Liability
1. Tyler shall maintain one or more insurance policies - Privacy, Technology and Data Security Liability, Cyber Liability, or Technology Professional Liability Insurance coverage in the amount of $5,000,000 per occurrence or claim,
19.95 $5,000,000 aggregate. Coverage shall be sufficiently broad to respond to the duties and obligations undertaken by Consultant in this Agreement. c. OTHER INSURANCE PROVISIONS
The insurance policies are to comply with the following provisions:
• ADDITIONAL INSURED STATUS
The City, its officers, officials, employees, and volunteers are to be included as additional insureds on the CGL and Auto policies for claims caused, in whole or in part, by Tyler as respects this Agreement. Additional insured status is issued by blanket wording; copies of certificates of insurance will be provided.
• PRIMARY COVERAGE
For any claims under Tyler’s CGL and Auto policies that are caused, in whole or in part, by Tyler, Tyler’s insurance coverage will be primary insurance as respects the City, its officers, officials, employees, agents, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, agents, or volunteers will be excess of Tyler’s insurance and will not contribute with it.
• NOTICE OF CANCELLATION
Tyler shall provide at least thirty (30) days’ notice of cancellation or non-renewal of any required coverage that is not replaced.
• WAIVER OF SUBROGATION
Tyler agrees to waive subrogation on claims under our CGL, Auto Liability and Worker’s Compensation insurance policies that arise out of or relate to this Agreement and are between Tyler and Client, except to the extent the damage or injury is caused by Client. Consultant agrees to obtain any endorsement that may be necessary to effectuate this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. The waiver of subrogation is issued by blanket wording; copies of certificates of insurance will be provided.
• EXCESS LIABILITY/UMBRELLA INSURANCE POLICIES
The excess/liability policies will provide similar coverage as the primary CGL policy with no new exclusions - Excess liability insurance must follow form the terms, conditions, definitions, and exclusions of the underlying CGL insurance. The excess/umbrella policy must also be written on a primary and noncontributory basis for an additional insured, and that it will apply before any other insurance that is available to such additional insured which covers that person or organization as a named insured, and we will not share with that other insurance.
The policy regarding Limits of Insurance regarding Aggregates must provide that the aggregate limits if applicable shall apply in the same manner as the aggregate limits shown in the Schedule of the Underlying Insurance.
• SELF-INSURED RETENTIONS
Self-insured retentions must be declared to the City.
19.96 • ACCEPTABILITY OF INSURERS
Insurance is to be placed with insurers with a current A.M. Best’s rating of no less than A-: VII. • CLAIMS MADE POLICIES
If any of the required policies provide coverage on a claims-made basis:
1. The Retroactive Date must be shown and must be before the date of this Agreement or the beginning of any services performed under this Agreement.
2. Insurance must be maintained, and evidence of insurance must be provided for a period of three (3) years after termination of this Agreement.
3. If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the Effective Date, Tyler must purchase “extended reporting” coverage for a period of three (3) years after termination of this Agreement. • VERIFICATION OF COVERAGE
Tyler will furnish the City with Certificates of Insurance reflecting all required amendatory endorsement status required by this Agreement. However, failure to obtain the required documents prior to the work beginning will not waive Tyler’s obligation to provide them. d. SUBCONTRACTORS
Tylershall require that all subcontractors maintain insurance meeting all the requirements stated herein.
19.97 Exhibit G
Data & Insights Saas Services Terms of Services
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Home • Terms • Data & Insights Saas Services Terms of Service Data & Insights Saas Services Terms of Service
Updated 04/21/2022
This Data & Insights Saas Services Terms of Services governs your use of the following solutions:
Property & Recording
• Assessment Connect
• Open Assessment
Enterprise Permitting & Licensing
• Enterprise Permitting & Licensing Business Management Feeds • Enterprise Permitting & Licensing Community Development Feeds • Community Development Executive Insights
• Enterprise Permitting & Licensing Advanced Automation with Executive Insights • Enterprise Analytics and Reporting with Executive Insights • Business Management Executive Insights
• Enterprise ERP Revenue Insights
• Citizen Connect
• Economic Intelligence
Enterprise ERP
• Enterprise ERP Analytics & Reporting w Executive Insights • Enterprise ERP Financial Insights - Bundled
• Enterprise ERP Payroll & HR Insights
• Capital Project Explorer
• Citizen Connect
• Data & Insights Open Data
• Open Finance
• Economic Intelligence
• Executive Insights, ERP
Courts & Justice
• Court Analytics
• eFile Analytics
• Probation Analytics/Supervision Analytics
• Pre-trial Analytics
Terms of Use Contents
• Section A: Definitions
• Section B: Data & Insights
Saas Services
• Section C: Warranty
• Section D: Third-Party
Services
• Section E: Term
• Section F: Limitation of
Liability
• Section G: Additional Terms
and Conditions for Data &
Insights Saas Services With
Open Data Functionality
• Section H: Additional Terms
and Conditions for ThirdParty Data Vendor
Solutions/ Applications
Public Safety
• Public Safety Analytics
• Law Enforcement Explorer
• Citizen Connect
• Law Enforcement Analytics
• Performance Dashboards
WHEREAS, Tyler has designed, developed, purchased or configured certain computer software systems which Tyler has designated as Data & Insights Saas Services and has used such software in support of commercial and government programs; and
WHEREAS, Client desires to acquire from Tyler and Tyler wishes to grant to Client a non-exclusive license to use the Data & Insights Saas Services as further defined, permitted, conditioned, and restricted below.
Exhibit G
Data & Insights SaaS Services Terms of Services
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NOW, THEREFORE, in consideration of the foregoing and other good and valuable consideration, the receipt and sufficiency of which is acknowledged, and in consideration of covenants and obligations hereinafter set forth, the Parties agree to be bound by the terms and conditions as follows:
These Data & Insights Saas Services Terms of Service govern the use and Iicense rights associated with the Data & Insights Saas Services. The parties are referred to herein individually as Party or collectively as Parties. Capitalized terms used in these Data & Insights Saas Services Terms of Service but not defined herein are defined in the Base Agreement or other agreement with us governing your use of the Tyler software and services.
Section A - Definitions
• "Base Agreement" means the agreement executed by you and Tyler to which you are adding Data & Insights Saas Services through signature upon an Order Form. For the avoidance of doubt, a Base Agreement is not an agreement signed by an entity Tyler acquired. • "API" means application-programming interface.
• "Client Data" means data, datasets, files, information, content and links uploaded or provided by Client through the use of the Data & Insights Saas Services but excluding Third-Party Services. • Confidential Information" means nonpublic information that a reasonable person would believe to be confidential and includes, without limitation, personal identifying information (e.g., Social Security numbers) and trade secrets, each as defined by applicable state law. • "Data & Insights Agreement" means this Data & Insights Saas Services Terms of Service and any special conditions agreed to by the Parties and included in the Order Form. • "Data & Insights Saas Services" means the Data & Insights off the shelf, cloud-based software service and related services, including support services, as specified under this Data & Insights Saas Services Terms of Service. Data & Insights Saas Services do not include support of an operating system or hardware, support outside of our normal business hours, or training, consulting, or other professional services.
• "Data Storage" means the contracted amount of storage capacity for your Client Data. • "Dataset" means physical collection of information, typically modeled as a table of rows and columns of data.
• "Effective Date" means the date subscription start date identified in the Order Form or Purchase Order.
• "External API Calls" means any request made by a user that is not logged in against a Saas Service.
• "Monthly Active Users" or "Users" used interchangeably, means a user that is logged in and accesses the Data & Insights Saas Services.
• "Order Form" or "Purchase Order" means an ordering document, referencing or including a Quote or Investment Summary, specifying the Data & Insights Saas Services and any Professional Services to be provided hereunder that is entered into between Client and Tyler, including any addenda and supplements thereto.
• "Quote" or "Investment Summary" means an estimate provided by Tyler for the Saas Services or Professional Services.
• "Third-Party Data" means an aggregated dataset solution by a third-party data provider and shall be treated as Confidential Information.
• "Third-Party Data Purpose" means to use the Third-Party Data alone or in conjunction with other intelligence, data, or logic for internal modeling, targeting, measurement, and internal reporting solely for the benefit of the Client.
• "Third-Party Services" means if any, third-party web-based services, content, or platforms, including but not limited to third party stock photos and third-party map location services, which are available at no additional charge to you through the Data & Insights Saas Services. • "Updates" means any enhancements, additions, new releases, bug fixes, patches, modifications or other error corrections of or to the Saas Software or Third-Party Data licensed to Client that Tyler generally makes available free of charge to licensees of the solutions. • "we", "us", "our" and similar terms mean Tyler.
• "you" and similar terms mean Client.
Section B - Data & Insights Saas Services
1. Rights Granted. As of the Effective Date, Tyler grants to Client the non-exclusive, non-assignable limited right to use the Saas Services on a subscription basis according to the terms of the Base Agreement and this Data & Insights Agreement. The Saas Services will be made available to
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Client according to the terms of the applicable Service Level Agreement. Client may use the Saas Services to access Updates and enhancements to the Saas Services, as described in herein.
Unless otherwise terminated, Client's right to access or use the Saas Services will terminate at the end of the subscription period defined in the Order Form or Base Agreement, as applicable.
2. Saas Fees and Usage Limits. Client agrees to pay the fees identified in the Order Form in accordance with Tyler's Invoicing and Payment Policy. Client acknowledges that continued access to the Data & Insights Saas Services is contingent upon your timely payment of Saas Fees not otherwise in dispute in accordance with the Invoice Dispute provision set forth in the Base Agreement. If you fail to timely pay the Saas Fees, we may discontinue your access to the Data & Insights Saas Services. We may also terminate this Data & Insights Agreement if you don't cure such failure to pay within forty-five (45) days of receiving written notice of our intent to terminate.
During the subscription period, Tyler reserves the right to exercise the usage limits set forth in the Order Form. If Client exceeds the contractual usage limits, Tyler may work with Client to seek to reduce Client's usage so that it conforms to that limit. If Client is unable or unwilling to abide by a contractual usage limit, or if Client wishes to increase usage limits, it will require a written contract amendment, modification, or Client will execute an Order Form for increased usage limits.
3. Ownership and Reservation of Rights.
a. This Data & Insights Agreement does not provide Client with title or ownership of the Data & Insights Saas Services, or Third-Party Data, but only a right of limited use as further delineated herein. The Saas Services, other services, workflow processes, user interface, designs, and other technologies provided by Tyler pursuant to this Data & Insights Agreement are the proprietary property of Tyler and its licensors. All right, title and interest in and to such items, including all associated intellectual property rights, remain only with Tyler. Tyler reserves all rights unless otherwise expressly granted in this Data & Insights Agreement.
Client may not remove or modify any proprietary marking or restrictive legends from items or services provided under this Agreement. Third-Party Data vendors also retain ownership, title and all rights and interest, including, without limitation, Intellectual Property Rights in and to their own respective software, data, and documentation. b. When Client uploads or provides Client Data through the use of the Data & Insights Saas Services, Client grants to Tyler a non-exclusive, worldwide, royalty-free, sub-licensable, and transferable license during the subscription period to use, reproduce, publicly display, distribute, modify, create derivative works of, index, and translate the Client Data as needed, in response to, and as directed by, a User's use of the Data & Insights Saas Services and as needed for the compliance of this Data & Insights Agreement and for the purpose of providing analytics to a User.
c. Tyler may access and develop derivative data assets and insights based on combined, aggregated, anonymized views of Client Data, that Client has not made publicly available, for the purposes of providing new features and functionality, and performing aggregated statistical analysis by providing benchmarks and models. d. Client retains all ownership and intellectual property rights to the Client Data. Client expressly recognizes that except to the extent necessary to carry out our obligations contained in this Data & Insights Agreement, Tyler does not create or endorse any data used in connection with the Data & Insights Saas Services.
e. If Client provides feedback, information, and/or or suggestions about the Data & Insights Saas Services, or any other services provided hereunder, then Tyler (and those it allows to use its technology) may use such feedback, information, and/or suggestions under a royaltyfree, paid-up, and irrevocable license without obligation to Client.
4. Restrictions.
a. You may not: (a) except as explicitly provided for herein, make the Data & Insights Saas Services or Documentation resulting from the Data & Insights Saas Services available in any manner to any third party for use in the third party's business operations; (b) modify, make derivative works of, disassemble, reverse compile, or reverse engineer any part of the Data & Insights Saas Services; (c) access or use the Data & Insights Saas Services in order to build or support, and/or assist a third party in building or supporting, products or services competitive to us; (d) license, sell, rent, lease, transfer, assign, distribute, display, host, outsource, disclose, permit timesharing or service bureau use, or otherwise commercially
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exploit or make the Data & Insights Saas Services or Documentation available to any third party other than as expressly permitted by this Data & Insights Agreement; (e) use the Data & Insights Saas Services to store or transmit infringing, unsolicited marketing emails, libelous, or otherwise objectionable, unlawful or tortious material, or to store or transmit material in violation of third party rights; (f) interfere with or disrupt the integrity or performance of the Data & Insights Saas Services (including without limitation, vulnerability scanning, penetration testing or other manual or automated simulations of adversarial actions, without Tyler's prior written consent); or (g) attempt to gain unauthorized access to the Data & Insights Saas Services or its related systems or networks. b. Client acknowledges and understands that the Data & Insights Saas Services are not designed to serve as the system of record and shall not be used in a manner where the interruption of the Data & Insights Saas Services could cause personal injury (including death) or property damage. The Data & Insights Saas Services are not designed to process or store data protected under the Family Education Rights and Privacy Act ("FER PA"), data from Criminal Justice Information Services ("CJIS"), or other sensitive data, and by using the Data & Insights Saas Services, Client acknowledges and agrees that Client is using the Data & Insights Saas Services at Client's own risk and that Client is solely responsible for use of data with the Data & Insights Saas Services in any manner that is contrary to the uses for which the Data & Insights Saas Services are designed and offered for use in this Agreement.
If Client intends to use the Data & Insights Saas Services to store or transmit Protected Health Information (PHI), then the Parties will scope the additional usage and it will require a written contract amendment and will include a mutually agreeable Business Associate Agreement.
c. Although we have no obligation to screen, edit or monitor the Client Data or Public User content posted on Data & Insights Saas Services, if, in our reasonable judgment, we discover your use of the Data & Insights Saas Services threatens the security, integrity, stability, or availability of the Data & Insights Saas Services, or is otherwise in violation of this Data & Insights Agreement, we may temporarily suspend the Data & Insights Saas Services, or User access thereto. Unless Client has conducted penetration testing or unscheduled performance testing, Tyler will use commercially reasonable efforts to provide Client with notice and an opportunity to remedy such violation or threat prior to such suspension. Any penetration testing or unscheduled performance testing conducted by Client will result in immediate suspension of the Data & Insights Saas Services.
5. Access and Usage by Internal Client Users and Contractors. You may allow your Users and third party contractors to access the Data & Insights Saas Services and any technical or policy controls, in compliance with the terms of this Data & Insights Agreement, which access must be for your sole benefit. You are responsible for the compliance with this Data & Insights Agreement by your Users and contractors.
6. Your Responsibilities. Client (a) must keep its passwords secure and confidential; (b) is solely responsible for all activity occurring under its account; (c) must use commercially reasonable efforts to prevent unauthorized access to its account and notify Tyler promptly of any such unauthorized access; (d) may use the Data & Insights Saas Services only in accordance with the Documentation; and (e) shall comply with all federal, state and local laws, regulations and policies of Client, as to its use of the Data & Insights Saas Services, Client Data, and instructions to Tyler regarding the same.
7. Client Data Backup. The data on the Data & Insights Platform is a copy of Client Data. Any laws and regulations governing Client for retention of Client Data remains Client's responsibility.
CLIENT IS SOLELY RESPONSIBLE FOR BACKING UP CLIENT DATA unless otherwise specially agreed in writing between Tyler and Client in the Tyler hosting Agreement.
8. Return of Ciient Data. Upon request, Tyler will make the Data & Insights Saas Services available to Client at no cost to export Client Data for a period of sixty (60) days following the termination of this Data & Insights Agreement. After such sixty (60) day period has expired, unless a longer term has been agreed to in writing, we have no obligation to maintain Client Data and may destroy the Client Data.
9. Data Security Measures. In order to protect your Confidential Information, we will: (a) implement and maintain all reasonable security measures appropriate to the nature of the Confidential Information including without limitation, technical, physical, administrative and organizational
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controls, and will maintain the confidentiality, security and integrity of such Confidential Information; (b) implement and maintain industry standard systems and procedures for detecting, mitigating, and responding to attacks, intrusions, or other systems failures and regularly test or otherwise monitor the effectiveness of the safeguards' key controls, systems, and procedures; (c) designate an employee or employees to coordinate implementation and maintenance of its Security Measures (as defined below); and (d) identify reasonably foreseeable internal and external risks to the security, availability, confidentiality, and integrity of Confidential Information that could result in the unauthorized disclosure, misuse, alteration, destruction or other compromise of such information, and assess the sufficiency of any safeguards in place to control these risks (collectively, Security Measures). Client acknowledges and agrees that Tyler's obligations with respect to Security Measures is subject to Client Restrictions herein.
10. Notice of Data Breach. If Tyler knows that Confidential Information has been accessed, disclosed, or acquired without proper authorization and contrary to the terms of this Data & Insights Agreement, we will alert Client of any such data breach in accordance with applicable law, and take such actions as may be necessary to preserve forensic evidence and return the Data & Insights SaaS Services to standard operability. If so required, Tyler will provide notice in accordance with applicable federal or California data breach notification laws. Tyler shall not charge Client for any expenses associated with Tyler’s compliance with these notice obligations.
11. Confidentiality. In the absence of a corresponding provision in the Base Agreement, the following provision shall apply:
Each party agrees that it will not disclose any Confidential Information of the other party and further agrees to take all reasonable and appropriate action to prevent such disclosure by its employees or agents. The confidentiality covenants contained herein will survive the termination or cancellation of this Data & Insights Agreement. This obligation of confidentiality will not apply to information that:
a. is in the public domain, either at the time of disclosure or afterwards, except by breach of this Data & Insights Agreement by a party or its employees or agents; b. a party can establish by reasonable proof was in that party's possession at the time of initial disclosure;
c. a party receives from a third party who has a right to disclose it to the receiving party; or d. is the subject of a legitimate disclosure request under the open records laws or similar applicable public disclosure laws governing this Data & Insights Agreement; provided, however, that in the event you receive an open records or other similar applicable request, you will give us prompt notice and otherwise perform the functions required by applicable law.
Section c - Warranty
1. Saas Services Warrantyy. Tyler warrants to Client that the functionality or features of the Data & Insights Saas Services will materially perform as communicated to Client in writing, or their functional equivalent, but Tyler has the right to update functionality. The support policies may change but will not materially degrade during the term. Tyler may deprecate features upon at least 30 days' notice to Client, but Tyler will use commercially reasonable efforts, in accordance with the industry standards, to support the previous features for at least 6 months following the deprecation notice. The deprecation notice will be posted at https://support.socrata.com.
Section D - Third-Party Services
1. Third -Party Services. Client may be provided with access and usage of Third-Party Services through use of the Data & Insights Saas Services. Client may use the Third-Party Services at Client's election, but Client must agree to such Third-Party Service contracts if Client chooses to use those Third-Party Services. Third-Party Services will be solely governed by such Third-Party Service contracts and use may include separate fees and charges. Client will have access to the following Third-party Services for use within the software, however, the availability of any of these services is subject to change:
• Getty Images: Within the platform's perspective story tool, customers have access to a library of images available for use in their story pages, terms and conditions located at http://www.gettyimages.com/connectterms.
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• Mapbox: Within the platform's visualization suite, the current mapping visualizations are powered by Mapbox, terms and conditions located at https://www.mapbox.com/legal/tos. • Mapquest: Geocoding provider that matches user-provided addresses with geographic coordinates for display on map visualizations terms and conditions located at http://hel lo.mapquest.com/terms-of-use/.
2. Disc aimer. You acknowledge that we are not the provider of any Third-Party Services. We do not warrant or guarantee the performance of the Third-Party Services.
Section E - Term
1. Term. Unless the Data & Insights Saas Services are acquired through a Base Agreement with a defined term for Saas Services (in which case that term shall apply), the initial term of the Data & Insights Agreement is set forth in the Order Form. Unless expressly indicated otherwise in the Order Form, this Data & Insights Agreement and the subscription to the Data & Insights SaaS Services will renew automatically for additional one (1) year renewal terms unless terminated in writing by either party at least sixty (60) days prior to the end of the then-current renewal term.
Your right to access or use the Data & Insights SaaS Services or Third-Party Data will terminate at the end of this Data & Insights Agreement.
Section F - Limitation of Liability
1. DISCLAIMER. EXCEPT FOR THE EXPRESS WARRANTIES PROVIDED IN THIS DATA & INSIGHTS
AGREEMENT, AND TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, WE HEREBY
DISCLAIM ALL OTHER WARRANTIES AND CONDITIONS, WHETHER EXPRESS, IMPLIED, OR
STATUTORY, INCLUDING, BUT NOT LIMITED TO, ANY IMPLIED WARRANTIES, DUTIES, OR CONDITIONS OF MERCHANTABILITY, TITLE OR FITNESS FOR A PARTICULAR PURPOSE.
WHILE TYLER TAKES REASONABLE PHYSICAL, TECHNICAL AND ADMINISTRATIVE MEASURES
TO SECURE THE DATA & INSIGHTS SAAS SERVICES, TYLER DOES NOT GUARANTEE THAT THE DATA & INSIGHTS SAAS SERVICES CANNOT BE COMPROMISED. YOU UNDERSTAND THAT THE
DATA & INSIGHTS SAAS SERVICES MAY NOT BE ERROR FREE, AND USE MAY BE INTERRUPTED.
2. LIMITATION OF LIABILITY. THE LIMITATION OF LIABILITY CLAUSE IN THE BASE AGREEMENT APPLIES.
3. EXCLUSION OF CERTAIN DAMAGES. THE EXCLUSION OF CERTAIN DAMAGES PROVISION FROM THE BASE AGREEMENT APPLIES. .
Section G - Additional Terms and Conditions for Data & Insights Saas Services With Open Data Functionality
1. Tyler may make certain other Tyler Applications available to Client. The use of Open Assessment, Data & Insights Citizen Connect, Data & Insights Capital Project Explorer, Data & Insights Citizen Connect, Data & Insights Open Data, Data & Insights Open Finance, Open Finance, and/or XConnect Applications, either alone or in connection with the Data & Insights Saas Services, is governed by this Data & Insights Agreement and the Agreement. Client must also comply with the following terms and conditions when using the above named Applications.
2. The Data & Insights SaaS Services may provide you with functionality to make all or part of Client Data available to the general public through one or more public facing websites. If the functionality is provided, then Client determines which Client Data is shared publicly, and Client is solely responsible for determining the online terms of use and licenses relative to the use by public users ("Public User") of Client Data, and the enforcement thereof. Client is responsible to ensure all Users comply with the terms and conditions of this Amendment. Once an internal user makes Client Data publicly available using the Data & Insights Saas Services, Tyler has no control over a Public User's use, distribution, or misuse of Client Data. Tyler has no liability or obligation to indemnify for such usage. If the Data & Insights Saas Services provide you with this functionality, then Users have the ability within the Data & Insights Saas Services to remove the public permissions applied to Client Data.
3. Tyler reserves the right to develop derivative data assets based on Client Data that exists in the public domain. Tyler may use, index, disclose, commercialize, and transfer the derivative data assets for any lawful purpose, including but not limited to: aggregating and summarizing data; normalizing, standardizing and concatenating data to create new regional or national data assets;
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and developing key performance indicators and benchmarks.
4. APls. The Data & Insights Saas Services may provide access to the applicable applicationprogramming interface ("API") as part of the Data & Insights Saas Services under the terms of this Data & Insights Agreement. Subject to the other terms of this Data & Insights Agreement and if the Data & Insights Saas Services provides access to the APls, Tyler grants Client a nonexclusive, nontransferable, terminable license to interact only with the Saas Services as allowed by the current APls.
a. Client may not use the APls in a manner--as reasonably determined by Tyler--that exceeds the purposes defined in the Amendment Investment Summary, constitutes excessive or abusive usage, or fails to comply with any part of the APls. If any of these occur, Tyler can suspend or terminate Client's access to the APls on a temporary or permanent basis. b. Tyler may change or remove existing endpoints or fields in API results upon at least 30 days' notice to Client, but Tyler will use commercially reasonable efforts to support the previous version of the APls for at least 6 months from deprecation notice. Tyler may add new endpoints or fields in API results without prior notice to Client. c. The APls may be used to connect the Saas Services to certain hosted or on premise software applications not provided by Tyler ("Non-Tyler Applications"). Client is solely responsible for development, license, access to and support of Non-Tyler Applications, and Client's obligations under this Data & Insights Agreement are not contingent on access to or availability of any Non-Tyler Application.
d. Any open source code provided is provided as a convenience to you. Such open source code is provided AS IS and is governed by the applicable open source license that applies to such code; provided, however, that any such open source licenses will not materially interfere or prohibit Client's limited right to use the Saas Services for its internal business purposes.
Section H -Additional Terms and Conditions for Third-Party Data Vendor Solutions/Applications
1. Tyler may make certain Third-Party Data Vendor Applications available to Client. The use of Tyler Recovery Insights, Economic Intelligence, Small Business Revenue Metrics, Mobility Metrics, Consumer Spending Metrics, and/or Small Business Revenue Metrics either alone or in connection with the Data & Insights Saas Services is governed by this Data & Insights Agreement and the Agreement. Client must also comply with the following terms and conditions when using the above mentioned Applications.
2. License Grant for Third-Party Data. Any use of Third-Party Data shall be limited to the Third-Party Data Purpose. Third-Party Data vendors also retain ownership, title and all rights and interest, including, without limitation, Intellectual Property Rights in and to their own respective software, data, and documentation.
3. Restrictions for Third-Party Data.
a. Client shall not at any time, directly or indirectly: (i) copy, modify, or create derivative works of the Third-Party Data, in whole or in part; (ii) rent, lease, lend, sell, sublicense, assign, distribute, publish, transfer, or otherwise make available the Third-Party Data; (iii) reidentify, reverse engineer, disassemble, decompile, decode, adapt, or otherwise attempt to derive or gain access to the source code of the Third-Party Data, in whole or in part; (iv) remove any proprietary notices from the Third-Party Data; (v) use the Third-Party Data in any manner or for any purpose that infringes, misappropriates, or otherwise violates any intellectual property right or other right of any person, or that violates any applicable Law; or (vi) make Third-Party Data available to for use or access to anyone other than Client. b. Client shall not publicly publish the dashboards that contain the Third-Party Data, but Client may publicly publish visualizations from the aggregate summary data. c. Client shall not remove any copyright or other proprietary notice or legend contained or included in Third-Party Data.
d. Client expressly permits Tyler to share with the Third-Party Data providers Client's name, subscription term dates, applicable costs and fees for the Third-Party Data SKU(s) that Client subscribes to.
e. Upon termination of the Agreement, or of a subscription that contains Third-Party Data,
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Client shall remove and destroy all copies of Third-Party Data. f. If any Third-Party Data is the subject of a legitimate disclosure request under the open records laws or similar applicable public disclosure laws governing the Agreement; Client will give Tyler prompt notice and otherwise perform the functions required by applicable law. g. Client shall not use the Third-Party Data to attempt to identify behavior of a known individual for any reason.
h. Client acknowledges and agrees that if the Third-Party Data includes SafeGraph data, up to .05% of the data will be salted data or seeds used to fingerprint the data provided to Client.
4. Updates. Tyler may in its sole discretion provide Updates to the Third-Party Data or replace with functionally equivalent.
5. Third-Party Data Warranty. TYLER DOES NOT WARRANT THE CORRECTNESS, COMPLETENESS,
OR CURRENTNESS OF THE THIRD-PARTY DATA OR THAT THE FUNCTIONS PERFORMED BY
THE THIRD-PARTY DATA WILL MEET CLIENT'S REQUIREMENTS, THAT THE THIRD-PARTY
DATA WILL BE ERROR FREE, OR THAT ALL THIRD-PARTY DATA DEFECTS ARE CORRECTABLE. THE FOREGOING WARRANTIES ARE EXCLUSIVE AND IN LIEU OF ALL OTHER WARRANTIES, THE THIRD-PARTY DATA IS PROVIDED "AS IS".
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Exhibit H
Tyler’s Proposal
Tyler’s Proposal dated January 28, 2022, in response to the Client’s Request for Proposal for Land Management, Permitting, and Licensing System, is incorporated herein by reference as if fully set forth herein.
REMAINDER OF PAGE INTENTIONALLY BLANK
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Exhibit I
The City’s Request for Proposals
The Client’s Request for Proposal for the Land Management, Permitting, and Licensing System issued on or around December 7, 2021, is incorporated herein by reference as if fully set forth herein.
REMAINDER OF PAGE INTENTIONALLY BLANK
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City Council
AGENDA REPORT
DATE: 06/01/2023
AGENDA OF: 06/13/2023
DEPARTMENT: Planning and Community Development
SUBJECT: Expansion of Technology Surcharge (PL)
RECOMMENDATION: Motion to:
1) Adopt a resolution to rescind Resolution No. NS-27,559, the Council’s 2007 Technology Surcharge resolution, and expand the application of a six (6) percent Technology Surcharge to certain fees collected by the Planning and Community Development, Finance, Public Works, Parks and Recreation, Fire, and Water Departments; and
2) Direct staff to take related implementation actions.
BACKGROUND: The City of Santa Cruz charges fees for a wide variety of planning and building permits and other cost recovery. The Technology Surcharge is designed so as not to exceed the estimated cost to provide the service for which the Technology Surcharge is levied.
On June 26, 2007, the City Council adopted a resolution establishing the Technology Surcharge for Planning and Building Fees (Resolution No. NS-27-559). The Technology Surcharge was initially intended to offset costs of new technologies in the Planning and Community Development Department’s development review and approval process, including new land management software (LMS). The fee was a five-percent surcharge on all planning and building permit fees (excluding impact fees, General Plan Maintenance Fee, or other administrative fees).
The Technology Surcharge is managed by the Planning and Community Development Department and administered by staff in the divisions of Current Planning and Building and Safety. The Technology Surcharge has not increased since 2007, even though employee costs to maintain the software and annual software license fees have increased. Further, since its rollout in 2008, the land management software has been expanded to support the Rental Inspection Program, as well as several permits processed by other City departments including Finance, Public Works, Fire, and Water, requiring the City to purchase a greater number of software licenses.
The City’s 15-year-old land management software is antiquated in that it lacks integration with key systems, includes minimal automation, has an outdated user interface, and is no longer supported by the vendor. Lack of vendor support has affected the mobile inspection module, which is not fully functioning. Further, the portal for online application submittals is vulnerable to security threats and is not being used.
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For the past year, City staff has gone through an extensive LMS request for proposal (RFP) process and is in final negotiations with the top vendor. In addition to solving many of the identified issues with the current land management system, the new software will enable the City to implement more automated and efficient processes, improve the flow of communication among staff and customers, include a decision engine that will guide members of the public through application submittals and public record requests, enable mobile inspections, and provide enhanced data collection and reporting to help track progress toward department and citywide goals. A draft contract is currently expected to be before the City Council on June 27, 2023. The annual license fees are expected to exceed the combined total of existing Technology Surcharge revenues and the adopted project budget.
DISCUSSION: Expanding the Technology Surcharge to additional departments and programs using the land management software will more equitably distribute annual software license costs and address the anticipated deficit. In addition to services already subject to the Technology Surcharge, staff recommends the Technology Surcharge include the following departments and programs currently using the existing land management software but that were not included in the original Resolution No. NS-27,559 adopting the Technology Surcharge in 2007:
Planning and Community Development: Code Compliance Cost Recovery and Residential Rental Inspection Program;
Finance Department: Business Licenses;
Public Works Department: Concrete permits, tree damage inspection, street opening permits, sewer repair permits, permanent and temporary encroachment permits, temporary no parking permits, and subdivision review;
Water Department: Conservation services, plan review fees, inspection services, and meter installation;
Fire Department: Fire prevention permits, including fire alarm, fire combo, fire sprinklers residential, fire sprinkler, fire service underground, fire service underground commercial, fire sprinkler tenant improvement; and
Parks and Recreation Department: Tree Removal Permits.
Annual software license fees for the new LMS are expected to be approximately $300,000 for the first five years. The adopted budget for the new LMS software is $100,000 for FY 2024, and the existing Technology Surcharge has generated a five-year average annual revenue of approximately $126,000, leaving an estimated annual deficit of $74,000. Table 1 summarizes the funding sources expected to fund the new LMS upgrade if the Technology Surcharge were to remain at its current five-percent rate.
Table 1: Summary funding sources for new land management system upgrade Funding Sources Department Expected Funds
Adopted budget (i.e., General Fund
contribution) for new Land Management
System (LMS) software
Information Technology $100,000
Existing Technology Surcharge at 5% assessed
on Building and Current Planning fees
Average annual revenue from FY18 – FY22
Planning and Community
Development
$126,000
Expansion of Technology Surcharge Revenue
for new departments and programs
Other Departments $74,000
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Expected annual software license fees $300,000
Maintaining the five-percent rate results in an anticipated 67-percent cost recovery (or 33-percent general fund subsidy). While some general fund subsidy is warranted since the software will be used by members of the public to obtain general information that is not necessarily permit related, staff considered options to raise the surcharge to achieve a greater level of cost recovery that is more in line with the expected general public software usage. The analysis included a review of other central coast jurisdictions that have implemented a Technology Surcharge applying to various permits (Table 2) and considered increases ranging from six- to sevenpercent (Table 3).
Table 2: Summary of jurisdictions with a Technology Surcharge % Jurisdiction Type of Permits
3% County of Santa Cruz Planning and building permits, and all other staff charges (except Code Enforcement)
County of San Mateo Planning and building permits
City of Marina All building plan check and permit fees
4%
City of Scotts Valley Building, Planning, Public Works, and Waste Water Permits 5% City of Salinas Public Works, Code Enforcement, Planning, Public Works
7.04% County of Monterey All permits
Table 3: Summary of potential Technology Surcharge revenue by percentages Potential Technology Surcharge
Revenue
Departments
Average
Potential
Revenue
Collected from
Applicable
Permits
% of
Potential
Revenue 5% 6% 7%
Planning $2,911,149 70% $145,557* $174,669 $203,780
Finance $815,938 20% $40,797 $48,956 $57,116
Public Works $249,347 6% $12,456 $14,947 $17,438
Water $114,768 3% $5,738 $6,886 $8,034
Fire $55,644 1% $2,782 $3,339 $3,895
Parks &
Recreation
$8,234
0%
$412 $494 $576
$4,155,081 100% $207,743 $249,291 $290,840
*Includes proposed revenue from Cost Recovery Program and Rental Program.
A more detailed analysis projecting revenue to be generated by assessing a Technology Surcharge of five- to seven-percent across these six departments (including the Code Compliance Cost Recovery and Residential Rental Inspection Program), is included as Attachment – Detailed Analysis of Assessment of Technology Surcharge on Additional Fees. Based on this analysis, staff is recommending an increase in the Technology Surcharge rate from five-percent to six-percent. Not only will this rate be within the range of other central coast jurisdictions, but it has the potential to increase the average annual revenue from $126,000 to approximately
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$249,000, resulting in a General Fund subsidy of 17-percent. (The Fiscal Impact section below provides additional discussion regarding cost containment in years six through 10.) A sample list of permits from each of the departments that would be subject to the fee and the proposed 6% surcharge is included in Table 4:
Table 4: Sample of permits from each department after assessment of proposed 6% Technology Surcharge
Permit Department Base
Fee
Technology
Surcharge at 6%
Water Irrigation Plan Check
(Up to 5,000 square ft)
Water $206.00 $12.36
Encroachment Permit Public Works $952.00 $57.12
Fire Sprinkler – Residential
(<5,000 square feet)
Fire $252.00 $15.12
Business License (Class A, B and C) Finance $145.15 $8.71 Tree Removal Permit Parks $50.00 $3.00
Annual Rental Inspection Registration Fee
($60) plus Inspection for One Unit ($27)
Planning $87.00 $5.22
Most fees affected by this proposal would result in minimal increases in the overall cost of the permit, license, or plan check. The benefits derived from the software will be significant and beneficial to the customer and include the enhanced abilities to submit applications and pay fees, schedule inspections, and check on the status of a permit online. It should be noted that many of the fees included in the Unified Master Fee Schedule are subject to annual increases based on the Consumer Price Index (CPI). Since the Technology Surcharge is applied to those fees, there is no need for it to be subject to annual CPI increases and the proposed City Council resolution includes language confirming as such. As indicated above, staff recommends that this surcharge be expanded to cover annual license fee costs associated with a contract that is expected to be before the City Council on June 27, 2023. The proposed Council resolution includes a clause confirming that the fee does not take effect unless and until a contract is executed.
Next Steps
If the Technology Surcharge is adopted on June 13, 2023, under State law, the effective date would be 60 days later (approximately August 12, 2023), assuming the new LMS contract is approved before that time. If the proposed resolution is adopted, each impacted Department will inform customers, update forms and website, and monitor the correct application of the Technology Surcharge to the specified fees.
HEALTH IN ALL POLICIES: The goal of Health in All Policies (HiAP) is to ensure that decision-makers are informed about the impacts on the three HiAP pillars of health, equity, and sustainability when reviewing projects and policy options. Expansion of the Technology Surcharge meets the pillars of equity and fiscal sustainability by more evenly distributing the fee across all users of the land management software in a way that attains cost recovery. From an environmental sustainability standpoint, the surcharge is intended to pay for software licenses that will enable users to electronically submit plans and pay fees, thereby reducing vehicle trips necessary to complete business transactions.
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FISCAL IMPACT: Applying the Technology Surcharge to these additional departments and programs at six percent would generate approximately $249,000 of the $300,000 in fees. A special revenue fund will be established for the Technology Surcharge to offset the cost of the annual license fees associated with the new land management system.
As the Technology Surcharge is expanded to the additional departments utilizing the Land Management System, the additional increase in the generated revenue will eventually reduce the current appropriation of $100,000 from the General Fund that the Information Technology Department is putting towards the LMS. The Information Technology Department has increased funding in the first year because it is included in the project implementation cost, but the Information Technology Department cannot absorb the increase in FY 2025 and beyond.
However, the General Fund would still cover a portion of the system since it holds historic records and is used as a research tool by members of the public, examples for which the Technology Surcharge will not be charged.
Additionally, City staff recently issued a request for proposal for a fee study to ensure that existing fees collected by the Planning and Community Development Department, as well as other departments reviewing development permits, are calibrated to capture the full, true costs of public services and to provide an opportunity for City to fully capture said costs of services. An updated fee schedule is expected to be before City Council within a year. As part of that effort, staff expects to evaluate the Technology Surcharge to reduce the General Fund impact in years two through five, as well as increased costs of licenses in years six through ten of the contract.
Prepared By:
Viviane Pearson
Principal Management
Analyst
Submitted By:
Lee Butler
Director of Planning and
Community Development
Approved By:
Matt Huffaker
City Manager
ATTACHMENTS:
1. RESOLUTION
2. DETAILED ANALYSIS OF ASSESSMENT OF TECHNOLOGY SURCHARGE ON
ADDITIONAL FEES
3. SUMMARY ANALYSIS OF POTENTIAL REVENUE FROM ASSESSMENT OF
TECHNOLOGY SURCHARGE BY DEPARTMENT
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RESOLUTION NO. NS-XX
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA CRUZ RESCINDING RESOLUTION NO. NS-27,559, EXPANDING THE APPLICATION OF A SIX PERCENT (6%) TECHNOLOGY SURCHARGE TO CERTAIN FEES CHARGED BY THE PLANNING
AND COMMUNITY DEVELOPMENT, FINANCE, PUBLIC WORKS, WATER, FIRE, AND
PARKS AND RECREATION DEPARTMENTS, AND DIRECTING STAFF TO TAKE
RELATED IMPLEMENTING ACTIONS
WHEREAS, the City of Santa Cruz in 2007 adopted, via Resolution No. NS-27,559, a Technology Surcharge of five-percent (5%) to be assessed on all planning and building permits fees and charges, except duplication, General Plan Maintenance Fees, Traffic Impact Fees, Parkland Dedication Fees, Inclusionary Housing In-Lieu Fees, other development impact fees, and any project with total fees and charges less than $100. These fees were intended to partially offset the costs of the new planning and building technology not currently covered in existing fees, including a permitting system, document imaging, and field access technology; and WHEREAS, since the adoption of the Technology Surcharge, additional departments across the city have begun using the existing land management software, thus incurring additional license fees and additional staff time to maintain the software. Therefore, additional adjustments are required to expand the Technology Surcharge’s application to other departments to recover costs associated with annual license fees; and
WHEREAS, it is the City Council’s intent to now apply a Technology Surcharge of sixpercent (6%) to the departments and programs utilizing the land management software and incorporate said increase into the City Unified Master Fee Schedule, with a footnote indicating that the annual Consumer Price Index does not apply to the fee; and WHEREAS the City Council finds the application of the Technology Surcharge does not exceed the estimated cost to provide the service for which the Technology Surcharge is levied.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Cruz as follows:
(1) City Council hereby rescinds Resolution No. NS-27,559; (2) The Technology Surcharge of six-percent (6%) is hereby adopted as to the fees identified below, including fees and charges less than $100:
a. For the Planning and Community Development Department, the Technology Surcharge will be assessed on all planning and building permits fees and charges, including fees associated with Code Compliance Cost Recovery, and the Residential Rental Inspection Program; and
b. For the Finance Department, the Technology Surcharge will be assessed on all business license taxes, except for those exempted as per Santa Cruz Municipal Code section
5.04.080 (Exemptions); and
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c. For the Public Works Department, the Technology Surcharge will be assessed on concrete permits, tree damage inspection, street opening and sewer repair permits, permanent encroachment permits, temporary encroachment permits, temporary no parking permits, and subdivision fees; and
d. For the Fire Department, the Technology Surcharge will be assessed on fire prevention permits (including fire alarm, fire combo, fire sprinkler residential, fire sprinkler, fire service underground, fire service underground commercial, fire sprinkler tenant improvement, and range hood); and
e. For the Water Department, the Technology Surcharge will be assessed on conservation services, plan review fees, inspection services, and meter installation.; and f. For the Parks and Recreation Department, the Technology Surcharge will be assessed on Tree Removal Permits.
(3) The following fees are exempt from the Technology Surcharge: duplication, General Plan Maintenance Fees, Traffic Impact Fees, Parkland Dedication Fees, Inclusionary Housing InLieu Fees, and other development impact fees; (4) Staff is directed to take related implementing actions. Specifically:
a. The Finance Department shall create a special revenue fund for said Technology Surcharge;
b. The Finance Department shall update and publish the Master Fee Schedule to reflect the contents of this Resolution; and
c. Staff is directed to update all associated department fee schedules and post them online. (5) This surcharge is intended to cover costs associated with annual software license fees, and it does not take effect unless and until an updated land management system contract is executed and no sooner than sixty (60) days after the final adoption of this resolution.
PASSED AND ADOPTED this 13th day of June, 2023, by the following vote:
AYES:
NOES:
ABSENT:
DISQUALIFIED:
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APPROVED: ______________________________
Fred Keeley, Mayor
ATTEST: _________________________________
Bonnie Bush, City Clerk Administrator
This is to certify that the above and
foregoing document is the original of
Ordinance No. 2023-xx and that it has
been published or posted in accordance
with the Charter of the City of Santa Cruz.
________________________________
Bonnie Bush, City Clerk Administrator
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ATTACHMENT –
Detailed Analysis of Assessment of Technology Surcharge on Additional Fees By Department
PLANNING AND COMMUNITY DEVELOPMENT DEPARTMENT
Potential Technology Surcharge Revenue at 6%: $175,000
The Planning and Community Development currently charges a Technology Surcharge of 5% for applicable Building and Current Planning fees collected in the existing land management system. Building and Current Planning generates an average revenue of approximately $2,500,000 annually (FY 2018 to FY 2022). A Technology Surcharge of 6% has the yield of an average annual revenue of approximately $175,000.
There are two additional Planning Department program staff is proposing to apply the Technology Surcharge to: Residential Rental Inspection Program and Code Compliance Cost Recovery. These programs’ management, invoices, and inspections will be facilitated through the new land management system. Furthermore, Staff proposes charging the Technology Surcharge to fees below $100, which differs from current practice. Residential Rental Inspection Program requires owners of short- and long-term rentals to comply with registration and inspection schedules. The Program generates an average revenue of approximately $360,000 annually (FY 2018 to FY 2022). A Technology Surcharge of 6% has the potential yield of an additional average annual revenue of approximately $21,500.
Code Compliance Cost Recovery enforces the City code compliance services provided on properties within the City of Santa Cruz that are in violation of State and/or City law.
The fees are charged to non-compliant property owners to encourage compliance, and the fees help recover costs for providing services of review, inspections, and compliance attainment. Code Compliance Cost Recovery generates an average revenue of approximately $27,000 annually (FY 2018 to FY 2022). A Technology Surcharge of 6% has a potential yield of an additional average annual revenue of approximately $1,600.
FINANCE DEPARTMENT
Potential Technology Surcharge Revenue at 6%: $49,000
The Finance Department currently does not charge a Technology Surcharge for the Finance fees collected in the existing land management system. Staff propose applying the Technology Surcharge to Business Licenses given the application review and issuance of Business Licenses will be facilitated through the new land management system. Business Licenses are required for operation of a business within City limits. Business Licenses generate an average revenue of $815,938 annually (FY 2018 to FY 2022). A Technology Surcharge of 6% has the potential yield of an additional average annual revenue of approximately $49,000.
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ATTACHMENT – DETAILED ANALYSIS OF ASSESSMENT OF TECHNOLOGY SURCHARGE ON ADDITIONAL FEES BY DEPARTMENT
PUBLIC WORKS DEPARTMENT
Potential Technology Surcharge Revenue at 6%: $15,000
The Public Works Department currently does not charge a Technology Surcharge for the Public Works fees collected in the existing land management system. Staff propose applying the Technology Surcharge to the following fees given the permit review and final issuance of these permits will be facilitated through the new land management system:
Concrete Permits are required if sidewalks, curb, gutter, or driveway are being demolished, constructed, or repaired in the public right of way. Tree Damage Inspections are to inspect tree damages.
Street Opening and Sewer Repair Permits are required if the street will be cut open for utility work as part of the project, and the street or sidewalk are to be restored to City Standard Details once work has been completed.
Permanent Encroachment Permits are required for projects that will result in a permanent occupation or alteration of the public right-of-way, such as bike sharing kiosks and outdoor café seating.
Temporary Encroachment Permits are required for projects when a portion of the public right-of-way is temporarily blocked off for construction or staging purposes (such as construction fencing or scaffolding).
Temporary No Parking Permits are provided for special events, construction, utility work, or any other reason to reserve parking.
Subdivision Fees are for reviews of subdivision projects that occur within the City, including parcel map, subdivision map, lot line adjustment, final parcel map, and final subdivision map.
These Public Works fees generate an average revenue of approximately $249,000 annually (FY 2018 to FY 2022). A technology fee of 6% across these Public Works fees would have the potential yield of an additional average annual revenue of approximately $15,000.
WATER DEPARTMENT
Potential Technology Surcharge Revenue at 6%: $6,800
The Water Department currently does not charge a Technology Surcharge for the Water fees collected in the existing land management system. Most of the billing is completed through Utility Billing. Staff propose applying the Technology Surcharge to the following fees given the permit review that will be facilitated through the new land management system:
Conservation Services are plan reviews including landscape/irrigation plan review. Plan Review Fees are charges that are applied for review of construction and development plans or drawings by Water Engineering to ensure compliance with water codes and design standards.
Inspection Services are required for applicant or contractor installed service lines, line extensions, and devices, and
Meter Installations are required when new service connections will require the installation of a new meter by Santa Cruz Water District. The Size and type of meter installed will be according to the approved plans.
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ATTACHMENT – DETAILED ANALYSIS OF ASSESSMENT OF TECHNOLOGY SURCHARGE ON ADDITIONAL FEES BY DEPARTMENT These Water fees generate an average revenue of approximately $61,000 annually (FY 2018 to FY 2022). A Technology Surcharge of 6% across these Water fees would have the potential yield of an additional average annual revenue of approximately $6,800.
FIRE DEPARTMENT
Potential Technology Surcharge Revenue at 6%: $3,300
The Fire Department currently does not charge a Technology Surcharge for the fees collected in the existing land management system. Staff propose applying the Technology Surcharge to the Fire Prevention Permit Fees, which includes fire prevention permits, including fire alarm, fire combo, fire sprinklers residential, fire sprinkler, fire service underground, fire service underground commercial, fire sprinkler tenant improvement, and range hood. Fire Prevention permits generate an average revenue of $56,000 annually (FY 2018 to FY 2022). A Technology Surcharge of 6% has the potential yield of an additional average annual revenue of approximately $3,300.
PARKS AND RECREATION DEPARTMENT
Potential Technology Surcharge Revenue at 6%: $500
The Parks and Recreation Department currently does not charge a Technology Surcharge for the Parks and Recreation fees collected in the existing land management system. Most of the applicable fees are collected through the existing Parks and Recreation system, RecTrac. Staff propose applying the Technology Surcharge to the Tree Permit given the permit review and final issuance these will be facilitated through the new land management system. Tree Permits are required to remove or trim trees on private property if the tree measures 14” in diameter or greater, measured 4.5 feet from the ground, or trimming greater than 25% of the tree. Tree Permits generate an average revenue of $8,200 annually (FY 2018 to FY 2022). A Technology Surcharge of 6% has the potential yield of an additional average annual revenue of approximately $500.
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ATTACHMENT –
Summary Analysis of Potential Revenue from Assessment of Technology Surcharge by Department Departments Proposed Fees to Apply Technology
Surcharge
Average Annual
Revenue Collected
Average
Revenue at 5%
Average
Revenue at 6%
Average
Revenue at 7%
Planning &
Community
Development
BUILDING & CURRENT PLANNING
CODE COST RECOVERY
RESIDENTIAL RENTAL INSPECTION
PROGRAM
$2,911,149 $145,557 $174,669 $203,780
Finance BUSINESS LICENSE $815,938 $40,797 $48,956 $57,116 Public Works Concrete Permits
Tree Damage Inspection
Street Opening & Sewer Repair Permits
Permanent Encroachment Permits
Temporary Encroachment Permits
Temporary No Parking Permits
Subdivision Fees
$249,347 $12,456 $14,947 $17,438
Water CONSERVATION SERVICES
PLAN REVIEW FEES
INSPECTION SERVICES
METER INSTALLATON
$114,768 $5,738 $6,886 $8,034
Fire FIRE PREVENTION
Fire Alarm
Fire Combo
Fire Sprinklers Residential
Fire Sprinkler
Fire Service Underground
Fire Service Underground Commercial
Fire Sprinkler TI
Range Hood
$55,644 $2,782 $3,339 $3,895
Parks & Recreation Tree Removal Permits $8,234 $412 $494 $576 $4,155,081 $207,743 $249,291 $290,840
*EzEden revenue reports were generated from FY 2018 to FY 2022 for each proposed Departments’ fee analysis to determine average transactions captured by EzEden and average revenue.
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City Council
AGENDA REPORT
DATE: 6/8/2023
AGENDA OF: 06/27/2023
DEPARTMENT: Planning and Community Development
SUBJECT: Contract Amendment for Kimley-Horn Associates for Professional Services Related to the Downtown Plan Expansion (PL)
RECOMMENDATION: Motion authorizing the City Manager to execute a contract amendment, in a form approved by the City Attorney, with Kimley-Horn Associates in an amount not to exceed $297,500, based on the attached scope of work and budget.
BACKGROUND: In June of 2021, following a competitive bidding process, the City entered into a contract with Kimley-Horn Associates (KHA) to provide professional planning and design services related to the intended amendments to the City’s Downtown Plan, General Plan, Local Coastal Program, Zoning Ordinance, and other associated documents governing the development allowances in the neighborhood south of Laurel Street and west of the San Lorenzo River. KHA and City staff have been working together to meet the project goals of adding capacity for multifamily housing, creating opportunities for public amenities, better connecting downtown with the river and beach areas, working with the Warriors to establish allowances for a permanent arena, creating new opportunities for businesses and workers, generating new tax revenue, and improving the pedestrian experience while incorporating community input and working with the Santa Cruz Warriors to ensure the needs of all parties can be met to the greatest degree possible.
In January of 2023 the City Council directed staff to adjust the project scope to incorporate the following items:
Revise the building height provisions in the draft Downtown Expansion Area Plan Amendment to provide for a maximum of 1,600 dwelling units, with a 20% affordability requirement on the total number of units and with no single building being more than 12 stories, inclusive of any density bonus incentive.
Continue to study the 1,800 units that have been evaluated in the Environmental Impact Report (EIR) technical analyses since June of 2022, and direct Planning Department staff to study an alternative in the EIR that includes the parameters noted above in Item #1.
Incorporating this direction has required additional staff and consultant work and has resulted in a shift in the project schedule and scope. Further, additional analysis of the change in potential traffic generation relative to the existing planned traffic volumes in the City’s Traffic Impact Fee (TIF)
20.1 Program are necessary. This report will discuss the proposed amendment to the KHA Contract and the revised project schedule for the Downtown Plan Expansion.
DISCUSSION: The attached scope of work details work that will be conducted to complete the expansion of the City’s Downtown Plan, which is a specific plan that covers approximately the area between Cedar Street and the San Lorenzo River, from Water Street down to Laurel Street.
As currently envisioned, this specific plan will be amended to incorporate the project area south of Laurel Street, between approximately the roundabout at Center and Front Streets east to the San Lorenzo River. This 29-acre area includes approximately 11 acres of land that are likely to be redeveloped in the coming years, and the amended Downtown Plan will incorporate land use allowances for a new arena, new commercial and retail uses, and expanded housing potential. The amendment includes costs totaling $259,600 from the Planning Department budget, plus $37,900 that will be paid to the City by potential developers.
Technical Analyses for Santa Cruz Warriors and Development Partners The amendment to the scope includes some work that the City’s consultants are proposing to perform for the Santa Cruz Warriors that will support their future development projects. These tasks are technical analyses, including peer review of archaeological investigations in the study area and historic resources evaluation for structures in need of evaluation for historic significance, that are required by the California Environmental Quality Act (CEQA) for project development and will be funded by the Santa Cruz Warriors and their development partners. Performing these analyses during the preparation of the project-level Environmental Impact Report (EIR) carries some cost efficiencies for the Warriors and will not cause any delay in the EIR schedule for the City’s project. The City will enter into a pass-through contract with the Santa Cruz Warriors and their development partners to cover these expenses, totaling $37,900, and no money from the City budget will be spent on these project-specific tasks.
Utilities
The existing scope of work for the Downtown Plan Expansion and associated EIR did not include scoping for a water supply assessment, based on the understanding that one is not typically required for program-level EIRs such as this one. In an effort to be responsive to community interest and ensure that water needs are fully evaluated, a water supply assessment will be completed by the City of Santa Cruz Water Department. The amended scope would add technical review for that document as well as an increment to incorporate the assessment into the EIR.
Local Traffic Analysis
The vast majority of the cost of the proposed contract amendment comes from the work on the Local Traffic Analysis – a total of $122,800. Because the Downtown Plan Expansion will require amendments to the City’s 2030 General Plan, the traffic volumes that feed into the City’s TIF program must also be updated. The City uses the fees collected through the TIF, which apply on a per-trip basis, to fund planned intersection and roadway improvements in the most relevant areas. By updating the traffic volumes and analyzing the need for new or different roadway improvements, KHA will be providing new baseline data for the City to evaluate other future development projects against and will also be providing the necessary analysis to support development within the project area, not from a CEQA-mandated perspective but from a local policy perspective. The scoped analysis will be sufficiently detailed to allow the planned
20.2 development to take place without triggering the need for further study, which will save time and costs for future developments. The developers will pay TIF fees based on trip generation.
Community Outreach
The attached scope and budget also include additional funds to expand the already-scoped community outreach for the Downtown Plan Expansion to include more focused and robust engagement with surrounding neighborhoods, businesses, and community members.
Extended Project Schedule and Next Steps
The Downtown Plan Expansion was initially scoped to be complete by the middle of 2023, and due to various factors this deadline has not been achieved. The amended scope also reflects additional management costs due to the extended timeline and incorporates sufficient funds to ensure completion of the project by March of 2024. At this time, the approximate project schedule will include another round of community engagement on a range of design and land use topics in late summer or early fall, a draft of the Amended Plan for public review by October or November, and release of the EIR in November or December. Public hearings for the policy amendments and certification of the EIR are targeted for early 2024.
HEALTH IN ALL POLICIES:
In 2019, the City adopted a Health in All Policies strategy in order to eliminate inequities in health and well-being and attain equity for all residents. The Downtown Plan Expansion supports efforts that will lead to the creation of new housing in an area adjacent to a high concentration of jobs and transportation options. This outcome is consistent with promoting health, sustainability, and equity.
ENVIRONMENTAL REVIEW:
The amendment of the contract with KHA carries no environmental impact and is not a project under CEQA. The Downtown Plan Expansion project is being evaluated thoroughly in an EIR which will be reviewed by the City Council prior to approving any proposed policy amendments.
FISCAL IMPACT: The full $259,600 amount of the city obligation in the contract amendment can be funded through the existing budget allocations within the Planning and Community Development Department. The not to exceed $297,500 includes $37,900 that will be paid to the City by potential developers. The primary source of funds will be the Advance Planning Division’s line item for Consultant Services in the FY 2024 budget. All costs associated with the Downtown Plan Expansion, including staff time but less the $300,000 of grant funding, will ultimately be part of a cost-recovery fee applied on a prorated basis to new development proposed in the South of Laurel Area. While the City may recover a significant amount of the funds expended, this recovery will occur over the course of years as projects develop. Further, any parcels that do not redevelop will not contribute to this cost recovery, meaning that the expended funds may not be fully recovered in the event that not all the parcels in the project area pursue redevelopment.
Prepared by:
Sarah Neuse
Senior Planner
Submitted by:
Lee Butler
Director of Planning and
Community Development
Approved by:
Matt Huffaker
City Manager
20.3 ATTACHMENTS:
1. PROPOSED SCOPE OF WORK AND BUDGET FOR KHA AMENDMENT 2.PDF
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Santa Cruz Downtown Plan Expansion
Amendment #2 to the Agreement Between Client and
Kimley-Horn and Associates, Inc.
This is Amendment Number 2, dated June 22, 2023, to the agreement between the City of Santa Cruz ("Client") and Kimley-Horn and Associates, Inc. ("Consultant") dated June 22, 2021 (“the Agreement") concerning the Downtown Plan Expansion Project (the "Project").
The Consultant has entered into the Agreement with Client for the furnishing of professional services, and the parties now desire to amend the Agreement.
The Agreement is amended to include services to be performed by Consultant for compensation as set forth below in accordance with the terms of the Agreement, which are incorporated by reference.
Consultant will perform the following additional services:
Peer Review of Technical Reports
Kimley-Horn will peer review of preliminary geotechnical report and Phase 1 ESA (hazards report), as provided to the City from the Santa Cruz Warriors, and incorporate findings into the Subsequent Environmental Impact Report (SEIR).
Cultural Resources
This scope of work has been prepared to satisfy the CEQA (City of Santa Cruz) requirements.
The present scope does not account for potential U.S. Army Corps of Engineers (USACE) or other federal agency review for compliance with Section 106 of the National Historic Preservation Act (NHPA).
Archaeological Investigation
Dudek will conduct a California Historical Resources Information System (CHRIS) records search for the project area and a 0.25-mile radius around the project area at the Northwest Information Center (NWIC) to obtain information on previously recorded cultural resources and cultural studies.
Dudek will also initiate correspondence with the Native American Heritage Commission (NAHC) to request a search of the Sacred Lands File (SLF) for any known Native American resources identified within the project area. As part of the results of this search, the NAHC will provide a List of Native American tribal contacts who may have additional information concerning resources in the vicinity.
No contact will be made with Native American tribes. It is assumed that Assembly Bill (AB) 52 will be completed by the City of Santa Cruz for compliance with CEQA. Should the City request assistance with this task from Dudek, we will revise this scope and cost to account for the
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additional work.
Following archival research, a qualified Dudek archaeologist will complete an intensive pedestrian survey of the project area to determine the presence of any previously unknown archaeological resources. Dudek assumes that full site/property access will be granted. Dudek assumes the City of Santa Cruz will coordinate access if there are necessary requirements to obtain permission to survey any private properties located within the project site. Dudek assumes that no archaeological resources will be identified through archival research or survey that require recordation. Should resources be identified that require additional study, Dudek will develop a new scope and cost for consideration.
Dudek will document the results of the archaeological investigation in an Archaeological Inventory Report. The report will include an introduction, regulatory framework, CHRIS records search results, NAHC SLF search results, a summary of survey findings, and recommendations for the project moving forward.
Historical Resources Evaluation
Dudek’s professionally qualified built environment cultural resources staff will conduct technical work in support of the proposed project in conformance with CEQA and all applicable local guidelines and regulations. Based on preliminary analysis of the proposed project and the general project site, Dudek assumes that four (4) properties containing buildings and structures over the age of 45 will require formal recordation and evaluation under applicable historic significance criteria. As properties containing buildings constructed more than 45 years ago, they require recordation and evaluation for historical significance in order to determine if the proposed project has the potential to impact historical resources, as defined by CEQA.
Dudek’s built environment cultural resources staff will review the CHRIS records search that will be completed at the NWIC as part of the Archaeological Investigation described above. The purpose of the records search is to identify any previously recorded historic built environment resources that may be located within or adjacent to the project site.
As part of the recordation and evaluation of resources within the project site, Dudek will conduct building development research at the City of Santa Cruz and Santa Cruz County to document the construction history of any potential historical resources and understand alterations that have been made to the property over time. Dudek will also conduct archival research to develop the appropriate historic context for the property significance evaluations.
Upon completion of the records search, Dudek will conduct a field survey to record the study area. Dudek assumes no more than four (4) properties containing buildings and structures 45 years old or older will require survey. The survey will be conducted by qualified cultural resources specialists/historians working no more than one (1) field day. This component will entail taking detailed notes and photographs. The survey will be limited to exterior areas of the buildings and properties, and it is assumed that access to the properties will be provided or organized by Kimley-Horn and/or the City of Santa Cruz. The information gathered as part of the survey includes documentation of spatial relationships, landscaping, alterations, and the
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overall existing conditions of the buildings if necessary. The architectural historian cannot make determinations on structural soundness or life-safety. We assume that the built environment study area for the Project will be limited to the proposed project site boundary and adjacent properties have no potential to be impacted by the proposed project and will not require recordation or evaluation.
Preliminary research indicates that the project site encompasses four (4) properties that contain historic age buildings and structures over 45 years of age (Santa Cruz County Assessor):
◼ 131 Front Street (Assessor’s Parcel Number: 007-034-02), commercial property established 1950;
◼ 512 Pacific Avenue (Assessor’s Parcel Number: 007-034-03), commercial property established 1950;
◼ 600 Pacific Avenue (Assessor’s Parcel Number: 007-034-05), commercial property established 1976; and
◼ 690-696 Pacific Avenue (Assessor’s Parcel Number: 007-034-05), residential property established 1976.
These properties require recordation and evaluation for historical significance to determine if the project has the potential to impact historical resources, as defined by CEQA. As such Dudek assumes that the properties will each be recorded on one State of California Department of Parks and Recreation Series 523 Form (DPR form set) and will be evaluated in consideration of National Register of Historic Places (NRHP), California Register of Historical Resources (CRHR), and City of Santa Cruz designation criteria and integrity requirements. As such, Dudek will prepare no more than four (4) property significance evaluations for this project. The DPR form sets will be appended to the applicable technical report described below. Should more than four (4) properties require evaluation and consideration as part of the project, a budget augment will be required.
Dudek will prepare a Built Environment Inventory and Evaluation Report that will summarize the results of the survey, research, and property significance evaluations. The report will discuss the proposed project descriptions, regulatory framework, all sources consulted, research and field methodology, and recommendations for appropriate management. Based on preliminary review of the property and our understanding of the proposed project Dudek assumes that the CEQA finding for historical resources will be no impact and no mitigation will be required.
Should this assumption change over the course of completing technical work, Dudek reserves the right to revisit this scope and associated cost. We assume no more than one (1) draft and one (1) final version of the report will be required. A schedule for project deliverables will be determined upon notice to proceed. Should any additional resources be identified as a result of the survey requiring recordation and evaluation a budget augment may be required to address the resources.
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Utilities
The original scope of work did not include preparation of a Water Supply Assessment, which is being conducted by the City of Santa Cruz. Dudek will coordinate with the Client and City and review the draft to ensure all CEQA requirements are met and to incorporate conclusions into the EIR.
Additionally, Kimley-Horn will prepare a new chapter to the South of Laurel District Area (SOLA) plan (as Appendix 8 to the Downtown Plan) that will address Infrastructure & Public Facilities.
Working with the project team, this chapter will describe the existing and planned infrastructure improvements for the project area, namely; water, recycled water (if available), wastewater, storm drainage, and dry utilities. This chapter will describe connection logistics, rights-of-way/easements, and necessary upgrades to the existing infrastructure system necessary to support redevelopment of the project site. Information to prepare the Utilities section of the project SEIR will be used to prepare this section as appropriate.
Tasks include:
◼ Consistent with the unit demands as identified in the City’s water, wastewater, and storm drainage master plans (and/or other factors as provided by the City), work with the project team to identify demand projections and the conceptual location and sizing of water, recycled water, and storm and sewer facilities, based upon the SOLA District Conceptual Plan.
◼ Conceptually illustrate existing and proposed public infrastructure, including water, sewer, and storm drainage facilities.
◼ Conceptually illustrate stormwater drainage strategies and best management practices that shall/may be required as part of project construction and operation.
This chapter will also address necessary upgrades to the Laurel/Front Pump Station consistent with the SOLA District Conceptual Plan. It will also address improvements to the plan area associated with the potential raising of Spruce Street to match the grade of the San Lorenzo Riverwalk.
Infrastructure, Landscape, & Hardscape Cost Estimate
A rough order-of-magnitude cost estimate will be prepared for these above-described improvements, as well as an estimate for landscape and hardscape improvements to the public realm including the public street right-of-ways and the San Lorenzo Riverwalk. A memorandum will be prepared with an accompanying spreadsheet that identifies the improvement, unit costs, and estimated construction costs. A refence map will be included that identifies the location for each improvement.
This scope of work assumes two draft reviews by City staff.
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Local Transportation Analysis
This task will be completed by Kimley-Horn.
Task 1 – Project Initiation and Data Collection
This task includes general project administration, including management of project staff, quality control, and project accounting. We shall be entitled to rely on the completeness and accuracy of all information provided by the Client. The Client shall provide all information requested by Kimley-Horn during the project.
Kimley-Horn will use available traffic counts provided by the City or already obtained by KimleyHorn. It is understood that some counts are newer (2022/2023) and some older (before 2020).
When traffic counts are unavailable, or were previously collected prior to 2020, Big Data and Caltrans PeMS data may also be used to develop turning movement counts at the study intersections by either obtaining them directly from Big Data or using a combination of Big Data and PeMS to grow historic counts to baseline conditions (assumed to be 2026 per Task 3 below). ) Up to six (6) intersections in the Specific Plan Area will be counted as it is assumed that no historic counts exist, nor can reasonable volumes be developed using Big Data due to the lower existing volumes at those intersections.
If Kimley-Horn is directed by the City to collect additional traffic counts, this will be considered out of scope and will be billed in accordance with the Fee and Billing section below.
Kimley-Horn will complete one field visit to observe the proposed site access locations, intersection lane configurations, vehicle storage lengths, existing traffic control, speed limits, lane utilization, adjacent land uses, and other readily apparent features for the study intersections that are deemed by Kimley-Horn to be relevant to the Scope of Services.
Task 2 – Trip Generation and Distribution
The number of trips anticipated to be generated by the proposed project will be approximated using Trip Generation Manual, 11th Edition, published by the Institute of Transportation Engineers (ITE). The assignment of the project trips to the surrounding transportation network will be based on the Santa Cruz County Travel Demand Model (SCCTDM), existing traffic patterns, and professional judgment. Reductions for accessibility to transit, pedestrian, and/or bike facilities will be considered when estimating the net new project trips, consistent with City guidelines. Trip reductions will be applied consistent with ITE and industry practices to determine the total net new trips on the City’s roadway network.
Kimley-Horn will submit a brief technical memorandum summarizing the proposed project’s trip generation and distribution to the City for review. In addition, Kimley-Horn will summarize the trigger for the study intersections listed in Task 3 as a part of the memorandum. This task assumes that City staff can perform an expedited review of the brief technical memorandum to enable work to be completed for the efforts outlined in Task 3 as concurrence with the assumptions and findings in the memorandum underpin the assumptions used in the analysis summarized in Task 3.
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Task 3 – Traffic Study
A weekday AM and PM peak-hour Level of Service (LOS) and queuing analysis will be conducted for the following scenarios, with exceptions noted below:
A. Existing Conditions
Scenario will be evaluated using counts to be collected/established per Task 1 above for all study intersections. Existing Conditions are assumed to represent conditions in which the Project is being implemented, assumed to be 2026.
B. Existing plus Approved Projects Conditions
Scenario will be evaluated by manually adding the approved project’s trips, as developed and distributed per Task 2 above, to the Existing Conditions (Scenario “A”).
The intersections studied under this scenario are located within the Specific Plan area.
The City will provide the Approved project list and volumes through the study intersections from the previously conducted traffic studies. The following projects are under consideration to be included: Swenson (Front/Soquel), River/Front, Pacific/Front/Laurel, Pacific Station South, Cedar/Center, Pacific Station North, and Santa Cruz Library.
C. Existing plus Approved Projects plus Proposed Project Conditions Scenario will be evaluated by manually adding the proposed project’s trips, as developed and distributed per Task 2 above, to the Existing plus Approved Projects Conditions (Scenario “B”). Consistent with Scenario B, Existing plus Approved Projects Conditions, only a reduced number of intersections will be analyzed as a part of this scenario, as described below.
D. Cumulative General Plan Buildout Conditions (PM peak-Hour only) Scenario will be evaluated using cumulative volumes provided by the City of Santa Cruz based on the City’s General Plan analysis for the PM peak-hour.
E. Cumulative General Plan Buildout Plus Approved Projects Conditions (PM peak-Hour only)
Scenario will be evaluated by manually adding trips associated by approved projects to Cumulative General Plan Buildout Conditions (Scenario “D”), defined as projects that are entitled since 2017 (when the City’s General Plan was last updated). The projects included will follow those assumed to be included in Scenario “B”.
F. Cumulative General Plan Buildout Plus Approved Projects plus Proposed Project Conditions (PM peak-Hour only)
Scenario will be evaluated by manually adding the proposed project’s trips, as developed and distributed per Task 2 above, to the Cumulative General Plan Buildout Plus Approved Projects Conditions (Scenario “E”).
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The LOS analysis will be completed for the following intersections for the specific scenarios outlined.
Existing plus Approved Projects (Scenario “B”) and Existing plus Approved Projects plus Proposed Project (Scenario “C”):
Project Area
A. Pacific Avenue @ Front Street *
B. Pacific Avenue @ Spruce Street *
C. Front Street @ Spruce Street *
D. Laurel Street @ Cedar Street *
E. Laurel Street @ Pacific Avenue *
F. Laurel Street @ Front Street *
G. Front Street @ Laurel Extension (proposed intersection) H. Laurel Extension @ Third Street
The following intersections will also be analyzed for Existing (Scenario “A”) and all Cumulative scenarios (Scenarios “D” through “F”):
1. W Cliff Drive/Center Street @ Pacific Avenue
2. Mission Street @ Center Street
3. Mission Street @ Front Street/Pacific Avenue
4. Water Street @ River Street
5. Water Street @ Ocean Street
6. Ocean Street @ Washburn Avenue
7. Ocean Street @ Plymouth Street
8. Laurel Street @ SR 1/Mission Street
9. Laurel Street @ California Street
10. Laurel Street @ Chestnut Street
11. Laurel Street @ Center Street
12. Laurel Street @ Cedar Street
13. Laurel Street @ Pacific Avenue
14. Laurel Street @ Front Street
15. Laurel Street @ San Lorenzo Boulevard
16. Broadway @ Ocean Street
17. Riverside Avenue @ Soquel Avenue
18. Soquel Avenue @ Ocean Street
19. Soquel Avenue @ Branciforte Avenue
20. Soquel Avenue @ Seabright Avenue
21. Soquel Avenue @ Morrissey Boulevard/Water Street
22. Soquel Avenue @ Frederick Street
23. Soquel Avenue @ Trevethan Avenue/Hagemann Avenue
24. Soquel Avenue @ Park Way
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25. Soquel Avenue @ Capitola Road
26. Morrissey Boulevard @ Fairmount Avenue/SR-1 SB On-Ramp
27. Pacific Avenue @ Second Street
28. Pacific Avenue @ Front Street
29. Pacific Avenue @ Spruce Street
30. Front Street @ Spruce Street
31. Morrissey Boulevard @ SR-1 NB Ramps/Rooney Street/Pacheco Avenue LOS and queuing for study intersections will be determined for the time periods and analysis scenarios listed above. LOS and queuing for each scenario will be determined using methods defined in the most recent edition of the Highway Capacity Manual, using appropriate traffic analysis software (Synchro®).
City policy and Traffic Impact Analysis Guidelines1state that an adverse effect on intersection operations occurs when the analysis demonstrates that the Project would cause the operations standard at a study intersection to fall below acceptable LOS threshold with the addition of project vehicle-trips to baseline conditions and would be more than 3-percent over the existing total volume at the intersection. Intersections adversely impacted by the Project will be evaluated for potential recommendations including but not limited to reducing project vehicletrips, constructing geometric improvements to improve overall capacity, and/or implementing a trip cap with a monitored transportation demand management (TDM) program. In addition, allway stop controlled (AWSC) intersections will be screened for roundabouts or traffic signals as potential mitigation measures.
Mitigations will be identified in either geometric improvements consistent with the TIF, or potentially the reduction of trips through TDM measures that may also require a payment of VMT fees, if available. In addition, mitigation measures for roadway geometric ideas contained within the plan will confirm whether these assumptions are feasible. Appropriate measures will be discussed with City staff and this discussion may result in a recommendation that no improvements be made if nothing feasible is possible. The effort expended on this task will be commensurate with the budget and hours allocated in the fee and billing section below. It is anticipated that the County VMT Banking Fee program may also be used as mitigation, if available and adopted.
Task 3.1 – Concept of Operations
Kimley-Horn will develop a concept of operations for access-controlled two-way operations on Laurel Street Extension to connect Beach Hill Neighborhood/Third and Front Street. In addition, Kimley-Horn will evaluate capacity, queue management, equipment, and maintenance requirements for the connection. Through this effort, it will be assumed that the Boardwalk 1 Transportation Study Requirements for Development. City of Santa Cruz. August 6, 2021.
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Shuttle/Public Transit, Emergency Vehicles, and Residents of Beach Hill/Beach flats would be allowed to use the connection.
Task 5 – Parking Evaluation
Kimley-Horn will complete parking evaluation that will include the following elements:
A. Evaluate the project’s consistency with the City’s Parking Ordinance/Downtown Parking Resolution
B. Determine Parking Demand Estimate using the most recent edition of ITE’s Parking Generation Manual or the Urban Land Institute’s (ULI) Shared Parking, Third Edition C. Complete a Shared Parking Analysis (On-street, parking lot, or garage) D. Determine Site Parking Requirements (Autos and Bikes) E. Evaluate Adjacent Parking Conditions
F. Determine Any Site Modifications Recommended
Task 6 – Administrative and Draft Report
Kimley-Horn will prepare and submit and electronic (PDF) copy of the draft report to the City.
We will address one (1) set of consolidated, non-conflicting comments from the City on the draft memorandum. If the comments require additional analysis or data collection beyond that provided for in this Scope of Services, this work will be considered as an additional service. Any additional comment responses, regardless of origin, will also be considered as an additional service.
Task 7 – Final Memorandum
Kimley-Horn will prepare and submit an electronic (PDF) copy of the final memorandum to the Client.
Schedule
We will provide our services as expeditiously as practicable to meet the mutually agreed upon schedule. We anticipate delivery of the draft technical memorandum within fourteen (14) weeks of receipt of a Notice-to-Proceed and after traffic count data has been collected. Finally, we anticipate delivery of the final memorandum within three (3) weeks following receipt of comments from the City on the draft memorandum.
Additional Community Outreach Meetings
The original scope of work included three community workshops, one of which has occurred.
The second and third workshops are anticipated to occur prior and subsequent to release of the public review draft SOLA District plan.
This task is for additional public outreach on an as-needed basis as requested by the City. This will include up to six focus group/neighborhood meetings and up to four presentations to local stakeholder organizations and/or City commissions. This effort will include meeting preparation
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(PowerPoint presentation) and coordination with City staff, and meeting attendance by one senior Kimley-Horn staff member.
Community Survey #2
Working in coordination with City staff, prepare an on-line community survey using Microsoft Forms to receive community feedback on conceptual design features, functional uses, optional design considerations, and visual preference options for the SOLA District. Topics will include but are not limited to: 1) Mobility and roadway options, 2) Design options for the San Lorenzo Riverwalk, 3) Desired character of the proposed Spruce Street plaza, Pacific Avenue “flex zone”, and Front Street, and 4) Preferences regarding hardscape and landscape features. The survey will present questions in a quantifiable format and include images and graphics to easily communicate potential design features.
The scope of work assumes three draft reviews of the survey by City staff and coordination and input from the Santa Cruz Warriors project team.
Results from the survey will be collated in a report format that will include charts and recordation of all narrative comments received. An executive summary will be prepared to highlight key findings and conclusions. A select number of charts and a brief summary will also be incorporated into a PowerPoint presentation for use in community meetings and public hearings.
Project Visualizations
Dahlin, as a subconsultant to Kimley-Horn, will provide up to seven (7) color renderings showing the overall character of project. The locations and details regarding these renderings will be determined in coordination with City staff but are currently envisioned as:
1. Pacific Avenue looking south
2. Top of Cliff Street stairs (panorama view)
3. Spruce and Front (or Pacific) looking toward the San Lorenzo River
4. Lower Front Street looking toward traffic circle, flex zones on Pacific Avenue, and the proposed Laurel St. Extension
5. Riverwalk looking south toward Beach Hill
6. Laurel St. Bridge looking toward SOLA
7. Looking south through existing downtown into SOLA
Where appropriate, the existing drone footage may be used for one or more of these visualizations.
Based on City staff, community, and Planning Commission and City Council feedback, prepare up to three revisions to the renderings.
All conceptual renderings will be a combination of actual photography and artist depictions of theoretical design and are provided for illustrative purposes only. Actual project designs may vary. All images are provided without any warranty of any kind, either expressed or implied.
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It is expected that any requested rounds of revisions will be relatively minor and will be limited to no more than eight (8) hours per round of revision and includes items such as streetscape, entourage, colors, or materials. Significant changes to architectural concepts, vertical design, or view angle may require additional services.
If available at the time of initiation of this task, Dahlin will incorporate a 3D digital model of the proposed arena and/or other areas within the project area into the renderings as provided by the Santa Cruz Warriors development team. This will help provide better consistency and integration with the SOLA District Plan development standards and design guidelines.
Additional Design Services, Meetings, and Coordination
Kimley-Horn will provide the following:
◼ The project manager will provide up to 40 hours of time for meetings, phone/conference calls, and on-going coordination with City staff and the Santa Cruz Warriors as it relates to their development plans.
◼ Staff from Kimley-Horn will provide up to 60 hours of time for meetings, phone/conference calls, and on-going coordination with City staff as it relates to the preparation of the SOLA District Plan (as an appendix to the Downtown Plan), preparation of the Draft and Final EIR, additional public outreach, and other tasks as requested by the City from June 2023 to June 2024 (extension period from the original schedule).
Dahlin, as a subconsultant to Kimley-Horn, will provide the following:
◼ Up to three (3) additional future development scenario frameworks including spreadsheet analysis and three-dimensional massing models
◼ Up to 40 hours of staff time for revisions to the Draft SOLA District Plan per City comments on the 1st Administrative Draft
◼ Up to 20 hours of staff time for revisions to the Draft SOLA District Plan per City comments on the Public Review Draft
◼ Up to 20 hours of staff time for revisions to the Draft SOLA District Plan per City comments on the Final Administrative Draft
◼ Up to 16 additional project team meetings (assumes up to one per month through June 2024)
◼ In-person attendance at three (3) community outreach / public meetings (travel time included)
Budget Summary
Kimley-Horn and our subconsultants will complete these additional tasks on a time and materials not-to-exceed basis. A summary is provided below.
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Santa Cruz Downtown Plan Expansion Project
Amendment # 2 Fee Estimate
Task City of Santa Cruz SC Warriors Consultant
Peer Review of Technical Reports $5,000 Kimley-Horn
Archaeological Investigation $5,400 Dudek
Historical Resources Evaluation $14,500 Dudek
Utilities
WSA Coordination $3,000 Dudek
Infrastructure & Public Facilities $7,500 Kimley-Horn
Infrastructure, Landscape, & Hardscape Cost Estimate $15,000 Kimley-Horn Local Transportation Analysis $122,800 Kimley-Horn
Additional Community Outreach Meetings $15,000 Kimley-Horn Community Survey $16,000 Kimley-Horn
Project Visualizations $35,000 Dahlin
Additional Design Services, Mtgs. & Coord.
Kimley-Horn $19,500 $13,000 Kimley-Horn
Dahlin $25,800 Dahlin
Total $259,600 $37,900
Total By Consultant
Kimley-Horn $213,800
Dudek $22,900
Dahlin $60,800
Total $297,500
20.16 City Council
AGENDA REPORT
DATE: 06/08/2023
AGENDA OF: 06/27/2023
DEPARTMENT: Public Works
SUBJECT: FreeWire Boost Charger for Medium/Heavy Duty Vehicles (g402301) – Award Contract and Budget Adjustment (PW)
RECOMMENDATION: Motion to:
1) Adopt a resolution to amend the FY 2023 budget to appropriate funds in the amount of $233,745; and
2) Authorize the purchase of FreeWire Boost Charger from FreeWire Technologies (Newark, CA) in the amount of $214,655.
BACKGROUND: In 2020, the City of Santa Cruz (City) successfully secured grant funding to acquire an all-electric refuse hauler, fully funded by $400,000 from Monterey Bay Air Resource District (MBARD) and $200,000 from VW Mitigation Fund. The electric refuse truck was delivered in late 2022.
In April 2022, the City Council authorized the purchase of a FreeWire Boost Charger for the allelectric refuse hauler, funded by a grant from the California Energy Commission (CEC) EnergIIZE program. Additionally, staff received a retroactive $100,000 rebate from Central Coast Community Energy (3CE). These grants from CEC and 3CE covered most of the associated costs.
Actual project charger costs:
- FreeWire DCFC: $190,095
- Installation: $37,785
- Total Project Cost: $227,880
- Grants: CEC: $95,776 and 3CE: $100,000
- Total Grant Awards: $195,776
- City Contribution: $32,104 or 14%
Unlike many grants, the CEC EnergIIZE and 3CE programs allow for stacking of grants and rebates as long as they do not exceed the total project cost.
The decision to select the FreeWire Boost Charger was based on the following: (1) it operates on existing electrical infrastructure avoiding expensive upgrades; (2) it has 160 kWh in battery
21.1 backup; and (3) the charger has the correct voltage for the EV refuse hauler. Additionally, FreeWire secured the CEC grant.
DISCUSSION: Section 3.08.170 of the Municipal Ordinance allows the City to buy from cooperative purchasing agreements when is in the best interest of the City to do so. FreeWire Technologies has the Sourcewell contract 042221-FRE for Electric Vehicle Equipment, such as Ultrafast EV charging stations and energy storage.
To accommodate longer routes, it would be advantageous to install a second charger at the Landfill for the EV refuse hauler to enable quick charging before returning to the Corporation Yard. FreeWire has also secured a second grant under the CEC EnergIIZE program for this purpose.
The total cost of the Freewire Boost Charger is $214,655. A conditional award of $154,739.84 was granted under the EnergIIZE program. Staff will seek additional funding from 3CE to cover the remaining project costs. 3CE’s Electrify Your Fleet rebate program is expected to be renewed August 2023 for their fiscal year pending Board approval. City staff is able to submit for funding in one or two ways: reservation with a purchase order proof of commitment or rebate after project completion. The City has been successful in receiving funding from 3CE for electric vehicles and chargers.
Projected Costs:
- Freewire DCFC: $214,655.00
- Installation: $40,000
- Total Project Cost: $254,655
- Total Grants: CEC: $154,740 and 3CE: $59,915
- Total Expected Grant Awards: $254,655
- City Contribution: $0 or 0%
FISCAL IMPACT: There is no impact to the General Fund. FY 2023 Refuse Fund funding needs to be appropriated in the FreeWire Boost Charger and Installation at the Resource Recovery Facility project (g402301) in the amount of $214,655 to fully fund the Freewire Boost Charger.
Prepared By:
Andy Shatney
Energy Projects Coordinator
Filipina Warren
Public Works Operations
Manager
Submitted By:
Nathan Nguyen, P.E.
Director of Public Works
Approved By:
Matt Huffaker
City Manager
ATTACHMENTS:
1. BUDGET ADJUSTMENT.PDF
2. FREWWIRE QUOTE.PDF
3. ENERGIIZE CONDITIONAL QUOTE.PDF
4. RESOLUTION.PDF
21.2 City of Santa Cruz
BUDGET ADJUSTMENT REQUEST
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2023
06/27/2023
California Energy Commission (CEC) and the Central Coast Community Energy (3CE) is offerings grants for EV Fast-Track incentives.
CEC EnergIIze is authorized to apply for such grants on behalf of the City. This grant will allow the City to purchase the Freewire portable battery to charge Refuse's two EV refuse trucks. Refuse Fund will be purchasing the charger and the grant will be reimbursed to the Refuse Fund.
731-40-63-7303-43363 g402301-149-2272-0 Freewire Boost Charger and Installation at Landfill 154,740 Local capital grants CCCE
731-40-63-7303-43250 g402301-216-1007-0 Freewire Boost Charger and Installation at Landfill 79,005 State Capital Grants CEC EnergllZE
233,745
731-40-63-7303-57402 g402301-100-2020-0 Freewire Boost Charger and Installation at Landfill 233,745 State capital grants and contributions
233,745
0 Christin
a Alberti
Digitally signed by Christina Alberti
DN: cn=Christina Alberti, o=City of Santa
Cruz, ou=Public Works Operations,
[email protected], c=US
Date: 2023.06.07 16:03:46 -07'00'
Digitally signed
by Nathan
Nguyen
Edward
Torres
Digitally signed by Edward Torres
DN: cn=Edward Torres, o=City of Santa Cruz, ou,
[email protected], c=US
Date: 2023.06.09 11:55:26 -07'00'
Elizabet
h Cabell
Digitally signed by Elizabeth Cabell
DN: cn=Elizabeth Cabell, o=City of Santa Cruz,
ou=Finance Department,
[email protected], c=US
Date: 2023.06.09 14:03:57 -07'00'
21.3 Quotation
City of Santa Cruz
809 Center Street
Santa Cruz, CA 95060
United States
Andy Shatney
[email protected]
(831) 251-5665 (Mobile)
Site Location: TBD
Quote ID: 20230213-105913667
Quote created: February 13, 2023
Quote expires: June 30, 2023
FreeWire Technologies
7200 Gateway Blvd
Newark, CA 94560
US
Prepared by: Jordan Baroody
Sales Director, State & Local Gov't
[email protected]
Products & Services
ITEM & DESCRIPTION QUANTITY UNIT PRICE TOTAL PRICE
Boost Charger 200kW with 3 Year Warranty
Ultrafast EV Charger with Integrated Storage
160kWh capacity, 200kW 950V Output
Dual-Port CCS Combo
1 $172,000.00 $172,000.00
200kW On-Site Warranty Extension to 5 years 1 $19,245.00 $19,245.00 Site Assessment (On-site)
Site design preparation and initial plan check submittal 1 $1,500.00 $1,500.00
On-site Commissioning 1 $1,000.00 $1,000.00
21.4 TAXES AND OTHER FEES
Estimated Shipping $5,000.00
Santa Cruz Sales Tax (9.25%) applied to Boost 200 and 3 Year Warranty $15,910.00 Total $214,655.00
Comments
Pricing for Boost 200 with 5 Year Total Warranty, estimated Shipping, and estimated sales tax.
Lead time is 12-16 weeks from PO.
Pricing includes site design and initial plan check submittal.
Purchase terms
Per FreeWire / Santa Cruz Agreement and EnergIIZE program.
21.5 [email protected]
www.Energiize.org
48 S Chester Ave
Pasadena, CA 91106
EnergIIZE Commercial Vehicles Project
Notice of Conditional Award
March 14, 2023
Dear Andy Shatney (City of Santa Cruz – Application ID EVFAST- W1-17102), Congratulations! Your EV Fast Track funding lane application has been reviewed for completeness. As this is a competitive funding lane, all applications were scored using the defined metrics found within the Energy Infrastructure Incentives for Zero-Emission (EnergIIZE) Commercial Vehicles Project Implementation Manual. Your application received one of the top scores, and incentives have been set aside for your infrastructure project.
You have been conditionally approved for the following amount: $154,739.84 Please note, this is a conditional award because payment will not be remitted until Step 3 documents have been received by the EnergIIZE Team. Please reference a recording of the EV Jump Start Application Process Workshop at www.Energiize.org/irc for more information on the entire application process. Additional information is also available on the EnergIIZE website at www.Energiize.org.
Thank you again for your submission and commitment to zero- emission vehicles.
Sincerely,
The EnergIIZE Team
21.6 21.7
City Council
AGENDA REPORT
DATE: 06/08/2023
AGENDA OF: 06/27/2023
DEPARTMENT: Public Works
SUBJECT: Overnight Parking Permit Fees Related to Oversized Vehicle Ordinance (No. 2021-20) Implementation (PW)
RECOMMENDATION: Resolution establishing fees for City-issued oversized vehicle overnight parking permits.
BACKGROUND: The Oversized Vehicle Ordinance (OVO) was approved by the California Coastal Commission (CCC) on May 11, 2023. According to Ordinance No. 2021-20 (Santa Cruz Municipal Code section 10.40.120(j)), permit rates must be set by council resolution.
An oversized vehicle overnight parking permit will be required for motorized vehicles or combination of motorized vehicles and/or non-motorized vehicles or trailers that meet or exceed twenty feet in length or both eight feet in height and seven feet in width per SCMC 10.04.106 (oversized vehicle definition). The permit will be required and must be displayed when oversized vehicles are parked on roadways between the hours of 12:00 AM and 5:00 AM anywhere in the City.
The oversized vehicle permit allows residents to park their qualifying vehicle for up to four periods of up to seventy-two consecutive hours per calendar month. (SCMC 10.40.120(i)(1)).
The oversized vehicle must be absent from the location for a minimum of twenty-four consecutive hours to be lawfully parked overnight at the location again. (SCMC 10.40.120(i)(1)).
There are additional permit guidelines set for guests of residents, hotel guests, and contractor’s oversized commercial vehicles.
DISCUSSION: The oversized vehicle permit is part of the implementation of the OVO but requires additional city effort. Charging a fee for the permit helps the City recoup some of the administrative costs. Based on the current rate of $30 a year for the residential parking permit program, staff propose the following rates for oversized vehicle overnight parking permits:
- Residential Permits: $12.00 per year (allows a resident to park an oversized vehicle for four periods of up to seventy-two consecutive hours per calendar month) - Residential Guest Permits: $5.00 per (72 hour) permit - Hotel Guest Permits: $5.00 per (72 hour) permit
- Contractor Permits: $30.00 per year (allows a qualifying resident and vehicle to park nightly)
22.1 The implementation of the OVO is a multidisciplinary effort across many city departments. The implementation cost and demand for permits are both difficult to quantify at this time. As the program is evaluated and costs are better understood, it is recommended to review the permit fee.
FISCAL IMPACT: The implementation of the OVO will cost the General Fund. By recouping some of that cost through permits, it will reduce the impact.
Prepared By:
Heather Sawyer
Parking Program Manager
Submitted By:
Nathan Nguyen, P.E.
Director of Public Works
Approved By:
Matt Huffaker
City Manager
ATTACHMENTS:
1. DRAFT RESOLUTION SETTING THE FEE FOR PARKING OF OVERSIZED VEHICLES.DOCX
2. OVERSIZED VEHICLE ORDINANCE NO. 2021-20.PDF
3. OVERSIZED VEHICLE PERMIT EXAMPLE.DOCX
4. MUNICIPAL CODE 10.40.120 PARKING OF OVERSIZED VEHICLES.DOCX
5. MUNICIPAL CODE 10.41 CITYWIDE PERMIT PARKING.DOCX
22.2 RESOLUTION NO. NS-XX,XXX
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA CRUZ
ESTABLISHING FEES FOR CITY ISSUED OVERSIZED VEHICLE OVERNIGHT
PARKING PERMITS
WHEREAS, on November 9, 2021, the City Council adopted Ordinance No. 2021-20 (“Oversized Vehicle Ordinance”), which, subject to some exceptions, prohibits the overnight parking of oversized vehicles on any public highway, street, alley, or city parking lot (see Santa Cruz Municipal Code (SCMC) section 10.40.120(a)); and
WHEREAS, on May 11, 2023, the California Coastal Commission approved the Coastal Permit authorizing implementation of the ordinance for a period of one year; and WHEREAS, the ordinance contemplates an overnight parking permit program for oversized vehicles owned by City residents and their visitors, hotel visitors, and contractors, which will allow them to legally park overnight on City streets by displaying of a City-generated oversized vehicle parking permit, subject to various limitations; and WHEREAS, the ordinance authorizes the City Council by resolution to create a permit fee to recover administrative costs associated with providing each such permit (SCMC 10.40.120(j)); and
WHEREAS, the Finance Department is directed to update and publish the Master Fee Schedule to reflect the contents of this Resolution.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Cruz establishes the following rate structure for oversized vehicle overnight parking permits:
- Residential Permits: $12.00 per year (allows a resident to park an oversized vehicle for four periods of up to seventy-two consecutive hours per calendar month) - Guest Permits: $5.00 per (72 hour) permit
- Hotel Guest Permits: $5.00 per (72 hour) permit
- Contractor Permits: $30.00 per year (allows a qualifying resident and vehicle to park nightly)
PASSED AND ADOPTED this 27th day of June, 2023 by the following vote:
AYES:
NOES:
ABSENT:
DISQUALIFIED:
22.3 RESOLUTION NO. NS-XX,XXX
2 APPROVED: ______________________________
Fred Keeley, Mayor
ATTEST: _________________________________
Bonnie Bush, City Clerk Administrator
22.4 22.5
22.6 22.7
22.8 22.9
22.10 22.11
22.12 22.13
22.14 10.40.120 PARKING OF OVERSIZED VEHICLES.
(a) No person shall stop, stand, park, or leave standing any oversized vehicle on any public highway, street, alley, or city parking lot at any time between the hours of midnight and 5:00 a.m. unless explicitly permitted by subsection (g).
(b) No person shall permit, cause, or allow any electrical, water, gas, telephone, or other utility connection (such as electrical cords, extension cords, hoses, cables, or other items) to encroach into any public right-of-way including across or above any street or sidewalk from a residential or commercial property to an oversized vehicle or trailer parked on a public highway, street, or city parking lot.
(c) No person shall establish or maintain an open fire on any public highway, street, alley or city parking lot (such as camp fires, bonfires, BBQs, recreational fires, burning of garbage, or portable outdoor fireplaces) without a permit from the city. In addition, it shall be unlawful to intentionally or negligently set fire to or cause the burning of combustible material on any public highway, street, alley or city parking lot in such a manner as to endanger the safety of persons or property. A violation of this subsection is a misdemeanor.
(d) No person, who owns or maintains an oversized vehicle, shall permit the area surrounding the oversized vehicle to be maintained in an unsafe, untidy, and/or unsanitary/unhygienic fashion.
Surrounding areas must be kept free from litter, debris, waste, discarded food products, discarded hypodermic needles, discarded property, improperly disposed gray or black water, unleashed animals, and garbage. A violation of this subsection shall be a misdemeanor, and may subject the vehicle to towing pursuant to Vehicle Code Section 22651(h)(1). (e) Unattached trailers are prohibited from being parked on any city street or alley at any time, unless in the process of actively being loaded or unloaded. (f) Oversized vehicles shall not be parked at any place within one hundred feet of a crosswalk, intersection, boulevard, stop sign, official electric flashing device or approach to any traffic signal. (g) The prohibitions contained in subsection (a) shall not apply to any of the following:
(1) Oversized vehicles owned by a resident or out-of-town visitor displaying a permit for overnight parking issued by the city manager or their designee in accordance with this section.
The issuance of a permit shall not allow any other activity otherwise prohibited by law. (2) Oversized vehicles displaying a permit issued by the city manager to a hotel as defined in Sections 24.22.450 and 24.22.550, respectively, for the exclusive use of its registered guests. (3) Oversized vehicles involved in an emergency or being repaired under emergency conditions. Emergency parking may be allowed for twenty-four consecutive hours where an oversized vehicle is left standing at the roadside because of mechanical breakdown or because of the driver’s physical incapacity to proceed. (4) Oversized vehicles belonging to federal, state, or local authorities or public utilities that are temporarily parked while the operator of the oversized vehicle is conducting official business.
22.15 (5) Oversized commercial vehicles actively engaged in the loading and unloading and deliveries of persons, merchandise, wares, supplies, goods, or other materials in the course of construction or other work from or to any adjacent building or structure. (6) Parking of any oversized vehicle during the pendency of a nonpandemic-related state of emergency declared to exist within the city of Santa Cruz by the city council, city manager or governor.
(7) A person and oversized vehicle that are, collectively, registered and participating in a safe parking program or other safe sleeping or transitional shelter program operated or sanctioned by the city, but do not have access to a safe parking space or other shelter options under such programs due to a lack of capacity.
(8) Any oversized commercial vehicle that has been issued and is displaying a contractor’s oversized vehicle parking permit.
(h) Any resident may obtain an oversized vehicle overnight parking permit to park an oversized vehicle registered to them adjacent to their residence. Any resident may obtain an oversized vehicle overnight parking permit to park an oversized vehicle belonging to an out-of-town visitor. The city manager or their designee may issue a permit for overnight parking of an oversized vehicle to any resident or out-of-town guest of a resident subject to the following provisions:
(1) The oversized vehicle shall be owned, leased, rented by, or registered to a resident or out-of-town visitor.
(2) The oversized vehicle shall park at the street curb immediately adjacent to the address for which the oversized vehicle parking permit has been granted, or within four hundred feet of that address if the area immediately adjacent to the address is not available for parking due to curb configuration; due to the adjacent parking spaces being occupied by vehicles belonging to someone other than the owner, permittee, or a visitor of the owner or permittee; or due to the immediately adjacent parking resulting in a violation of subsection (f). (3) The oversized vehicle overnight parking permit shall be prominently displayed in the lower driver’s side of the windshield or the nearest window of the vehicle. The permit shall be clearly visible from the exterior of the oversized vehicle and shall not cover the vehicle identification number. Attached trailers shall display the permit on the side of the trailer so that the permit is visible from the street.
(4) Any oversized vehicle present in conjunction with a short-term rental shall need a valid permit to park and shall park immediately adjacent to the short-term rental if that space complies with subsection (f), or, if the immediately adjacent space is unavailable, within four hundred feet of the short-term rental.
(5) The city manager or their designee may deny or revoke an oversized vehicle overnight parking permit if, upon a review of the location where the oversized vehicle will be parked, the city manager or their designee determines that it would create a traffic hazard or otherwise would adversely affect public safety, traffic flow, bike lanes, or access. Upon the filing of the application, the city may make such an investigation as necessary to determine whether such a permit should be issued. The application for a permit must contain:
22.16 a. Name, current address, phone number, and current valid driver’s license number of the resident applicant;
b. The vehicle license plate number, make, model and type of vehicle for which an overnight parking permit is requested;
c. The name and current address of the registered owner of the vehicle; d. Proof of ownership and current registration of said vehicle; e. The dates for which the permit is requested;
f. A statement that the applicant declares under penalty of perjury that all statements in the application are true; and
g. The signature of the applicant and date of application.
In addition, the application shall include:
a. Valid California driver’s license for the vehicle’s owner. b. Proof of current registration.
c. Proof of current utility bill which matches the resident’s address indicated in the permit application.
(6) Permits are not transferable. Individuals who are found to have sold or transferred their permit will lose future permit privileges.
(i) Overnight Parking Permit Duration.
(1) Each resident oversized vehicle overnight parking permit shall be valid for one year. A resident oversized vehicle permit allows a resident to park an oversized vehicle for four periods of up to seventy-two consecutive hours per calendar month. The oversized vehicle must be absent from the location authorized by subsection (h)(2) for a minimum of twenty-four consecutive hours to be lawfully parked overnight at the location again. (2) Each oversized vehicle overnight parking permit issued to an out-of-town visitor shall be valid for a maximum of seventy-two hours.
(3) No more than six out-of-town visitor permits shall be issued in respect of any address in a calendar year. No more than one resident oversized vehicle overnight parking permit shall be issued in respect of any address at one time.
(j) Parking Permit Fee. The parking permit fee for oversized vehicles shall be established by city council resolution.
(k) Fraudulent Permit Penalty. Every person who displays a fraudulent, forged, altered or counterfeit oversized vehicle parking permit or permit number is guilty of an infraction for the first
22.17 offense. Any subsequent offense committed within twelve months of a previous citation is a misdemeanor. Pursuant to Section 4.04.010(3), any misdemeanor offense may be charged and prosecuted as an infraction or a misdemeanor.
(l) Overnight Parking Permit Denial. The city shall deny the issuance of an oversized vehicle overnight parking permit for up to one year if the city manager or his/her designee finds that any of the following conditions exist:
(1) The applicant or the person the applicant is visiting is not a bona fide resident, as defined by Section 10.04.165.
(2) The resident or out-of-town visitor guests of a resident have been issued five or more citations for violations in the twelve calendar months prior to application. (3) The out-of-town visitor is not a guest of the resident applicant. (4) An owner of an oversized vehicle has procured any oversized vehicle parking permit through fraud or misrepresentation; for example, the information submitted by the applicant is materially false.
(5) The hotel or motel establishment is issuing oversized vehicle permits to nonpaying guests of the commercial establishment and/or the guests are camping in the vehicle rather than residing in the commercial establishment.
(m) City-Operated or City-Sponsored Safe Parking Programs. In addition to the private property allowances authorized through Section 6.36.030, the city may operate, sponsor, or authorize safe parking programs for vehicles on any city-owned or city-leased properties in the city, or any citysanctioned private parking lots. The city manager shall develop a policy that establishes operational criteria for safe parking programs.
(n) A person may obtain a contractor’s oversized vehicle parking permit for a specific oversized commercial vehicle if he or she demonstrates in writing to the satisfaction of the public works director or his or her designee, on an application form prepared by the public works director and upon payment of a fee prescribed by resolution of the city council, that they meet and agree to each the following conditions:
(1) The person owns or lawfully possesses an oversized commercial vehicle which is registered with the Department of Motor Vehicles as a commercial vehicle and displays identifiable California commercial license plates;
(2) The person possesses a valid business license issued pursuant to Chapter 5.04 and has paid all other applicable city taxes;
(3) The oversized commercial vehicle is necessary for use in the business for which the city business license has been issued;
(4) The oversized commercial vehicle will at no time be parked unattended in any location that creates or exacerbates a dangerous traffic safety condition; and
22.18 (5) The contractor’s oversized commercial vehicle shall bear a clearly visible notice in the driver’s side window which includes contact information which would allow city safety or enforcement personnel to contact the vehicle operator.
(o) A violation of any of the provisions of this chapter, except those provisions specifically identified as misdemeanors and/or provisions related to parking or standing vehicles, shall be punishable as an infraction. Violations of any of the provisions of this chapter related to parking or standing vehicles shall be subject to a fifty dollar civil penalty (parking ticket), the enforcement of which shall be governed by the civil administrative procedures set forth in Division 17, Chapter 1, Article 3 (commencing with Section 40200) of the California Vehicle Code. (p) The city manager is authorized to promulgate and publish rules and regulations to interpret and implement this section.
(Ord. 2021-20 § 2, 2021).
22.19 10.41.010 PERMIT PARKING PROGRAM AUTHORITY.
The City of Santa Cruz, under the authority of California Vehicle Code Section 22507, hereby establishes the City of Santa Cruz as a preferential permit parking zone. Preferential permit parking controls in the city’s permit zone will be confined to specific permit parking zone program areas.
Program areas shall be defined in the master list maintained by the public works department.
Parking is limited to persons holding permits issued by the City of Santa Cruz as provided for in this chapter.
(Ord. 2003-12 § 2 (part), 2003).
10.41.020 DEFINITIONS.
For the purpose of this chapter these terms shall have the following meaning:
(a) “Annual start date” means the day that parking enforcement begins in the program area. The annual start date shall be stated in the master list for each individual program area. (b) “Local authority” means the city engineer (assistant director of public works) or the city engineer’s delegated subordinates.
(c) “Motor vehicle” shall include any licensed automobile, truck, motorhome, trailer, motorcycle, or other motor-driven or drawn form of transportation weighing over fifty pounds. (d) “Readily identifiable vehicle” means any commercial, delivery, service, utility, or construction vehicle that displays commercial license plates, business advertising on the vehicle, and where appropriate, is equipped with tools for work in the permit parking zone. (e) “Residence” means a legal single-family dwelling unit, efficiency unit, condominium, or multifamily dwelling unit intended to be used for combined living, dining, and sleeping purposes. An accessory dwelling unit is part of the primary residence for this section and will not be granted additional permits.
(f) “Resident” means the principal occupant or occupants of a residence. (g) “Guest of a resident” means the bona fide visitors to a residence located within the program area.
(h) “Parking permit” means any valid resident, guest, or daily parking permit issued by the City of Santa Cruz. These parking permits are to be used only by residents who live in the program area or their bona fide guests or assigned commuters.
(i) “Street segment” encompasses both sides of the street between two intersections and includes those parcels that front and/or gain access from the street. (j) “Partial street segment” refers to a portion of a street segment where the parcels represent continuous property frontage along the street where permit parking controls are proposed to be added or removed.
22.20 (k) “Specialty permit” means any parking permit that relates only to a specific program area. Such specialty parking permit shall be defined in the master list kept by the public works department. (l) “Master list” means the list of all street segments in any program area. The master list shall be maintained and kept current by the department of public works. The master list shall contain the following information: (1) a list of street segments that comprise the existing program areas where parking restrictions apply (including address ranges), (2) the program area’s parking restrictions, (3) any special permit availability that applies only to a specific program area, (4) a list of block faces where commuter parking permits are available, (5) a list of block faces where permits may be used to park at metered parking spaces, and (6) the annual start date upon which permit will be valid for an individual program area.
(m) “Block face” means one side of a specified street segment. (n) “Commuter parking permit” means any parking permit sold to a non-resident for purposes of parking at a specified street segment or block face in a specific program area. (o) “Permit zone” means that area as defined in Section 10.41.030 giving the City of Santa Cruz the authority to designate certain streets upon which preferential parking privileges may be given to residents and merchants for their use, and the use of their guests. Parking restrictions in said permit zone will be defined by a program area that will allow for the issuance of parking permits to residents and merchants that exempt them from the parking restrictions. Preferential parking permits may also be authorized for commuters, members of organizations or other designated groups to park on specified street segments or block faces in the permit zone’s program areas. (p) “Program area” means a subset of street segments in the city’s permit zone that are defined by a master list reflecting unique parking restrictions and enforcement conditions managed by a permit system and enforced by the city.
(q) “Permit parking restrictions” means those on-street parking controls governing the use of the on-street public parking by time of day, day of week, and/or season of the year. (r) “Spill over parking” means those street segments that may be impacted by the implementation of parking restrictions on an adjacent street segment.
(s) “Occupant” means the resident collectively representing the household and residing at a residential address, or the business owner at a commercial address in the permit zone where parking restrictions are proposed.
(t) “Qualified petition” means a City of Santa Cruz provided petition that represents sixty-seven percent of the households or occupants on a block segment. Each household gets one vote whether owner or renter occupied.
(Ord. 2015-02 § 3, 2015; Ord. 2003-12 § 2 (part), 2003).
10.41.030 PERMIT PARKING ZONE.
All public street segments within the City of Santa Cruz city limits are hereby included in the city’s preferential permit parking zone. Establishment or changes to individual program areas or street segments adjacent to an existing program area shall be dependent on the condition of this chapter.
22.21 (Ord. 2003-12 § 2 (part), 2003).
10.41.040 ADMINISTRATIVE PROCEDURE TO ADD OR REMOVE
PROGRAM AREAS FROM THE CITY’S PERMIT PARKING ZONE
OR ADD OR REMOVE STREET SEGMENTS FROM INDIVIDUAL
PROGRAM AREAS.
The city department of public works authorizes the director of public works or the director’s delegated subordinates to establish and maintain a master list for each program area. (a) Citizen Requests to Add or Remove Program Areas. Residents or merchants may petition the City of Santa Cruz department of public works to add or remove program areas from the city’s permit parking zone. To add or remove a program area, residents and/or merchants must submit a general petition of interest to the department of public works representing neighborhood support for a permit parking program. Based on this petition staff will evaluate the city’s ability to serve the area with parking management services. Staff may include a wider range of adjacent street segments in the program area that represent potential spill over parking impacts. Requests for permit parking shall generally reflect on-street parking occupancies of seventy-five percent or more when out of area parking demand is the highest. The public works department will have the authority to implement the program or bring it to the city transportation commission for review. Occupants will be notified about the proposed permit parking program thirty days prior to implementation. Occupants will be given the opportunity to opt out of the permit parking program area during this notification period. When new program areas are established, individual street segments may opt out of the permit parking restrictions by submitting a qualified petition to the department of public works. Those qualified street segments shall not be allowed to rejoin the program area for a period of two years once they have opted out of the program area by petition.
(b) Citizen Requests to Add or Remove Street Segments to an Existing Program Area. Residents and/or occupants may petition the City of Santa Cruz department of public works to add or remove a street segment to an existing program area. To add or remove streets segments to an existing program area, residents and/or occupants must submit a general petition of interest to the department of public works representing neighborhood support for permit parking. The department of public works will evaluate the city’s ability to provide additional parking management services.
Staff may include a wider range of adjacent street segments in the proposed request that represent potential spill over parking impact areas. Requests for permit parking shall generally reflect on-street parking occupancies of seventy-five percent or more when out of area parking demand is highest.
The department shall have the authority to implement the parking restrictions for individual street segment requests or bring the request to the city transportation commission for review. The department of public works shall give occupants thirty days’ notice prior to implementation.
Occupants will be given the opportunity to opt out of the permit parking program during this notification period by submitting a qualified petition to the department of public works. Those qualified street segments shall not be allowed to rejoin the program for a period of two years once they have opted out of the program by petition. Occupants on a proposed street segment shall have the ability to request public review of the proposed parking program at the city transportation commission by requesting such review in writing during the thirty-day notification period. (c) Public Review. The department of public works shall amend the master list upon proceeding with program implementation. The public works department may also schedule all general petitions to add or remove program areas, or qualified petitions to add or remove street segments to a program area, for the city transportation commission’s review. Occupants may also request public review by the city transportation commission during the thirty-day notice period. Residents living on
22.22 streets where there are proposed permit parking changes will be notified of any city transportation commission public meeting. The city transportation commission will have the authority to review and approve or deny the addition or removal of program areas, or the addition or deletion of street segments to an existing program area.
(d) Appeal Procedure. Residents may appeal the city transportation commission’s recommendation to the city department of public works as outlined in Chapter 1.16 of the Santa Cruz Municipal Code.
(e) Park Land and Public Facility Access. When a city street section has been included in a program area, and is adjacent to city parkland or other public facilities, the department of public works will facilitate the following review process:
(1) Residents or occupants must qualify for review of permit parking requests as specified in this chapter;
(2) Qualified permit parking requests shall be forwarded to the city parks and recreation commission for comment; and
(3) Comments received by the parks and recreation department shall be forwarded to the city transportation commission;
(4) The city transportation commission will hold a public meeting per subsection (c) of this section; and
(5) The city transportation commission will make a recommendation to the city department of public works for final action.
(Ord. 2004-12 § 1, 2004: Ord. 2003-12 § 2 (part), 2003).
10.41.050 POSTING OF PERMIT PROGRAM AREAS.
The local authority shall cause appropriate signs and/or markings to be placed adjacent to and/or at the beginning and end of the street segment in the program area. Said signage and/or markings shall describe the permit parking restrictions.
(Ord. 2003-12 § 2 (part), 2003).
10.41.060 AUTHORITY TO ISSUE PARKING PERMITS.
The local authority shall be authorized to issue parking permits for the city’s permit parking programs, pursuant to the requirements of this chapter, for vehicles that do not fall within the definition of “oversized vehicles” as defined by Section 10.04.106. (Ord. 2021-20 § 3, 2021; Ord. 2003-12 § 2 (part), 2003).
10.41.070 APPLICATION FOR PARKING PERMITS
22.23 Each application or reapplication for a parking permit shall contain information sufficient to identify the following: (1) the applicant (valid photo identification); (2) the applicant’s address within the permit zone; (3) the current vehicle registration; and (4) other such information as deemed necessary by the local authority.
(Ord. 2003-38 (part), 2004: Ord. 2003-12 § 2 (part), 2003).
10.41.080 RESIDENT PARKING PERMITS.
The local authority may issue a maximum of three resident parking permits to each residence for which an application is made. Resident parking permits are issued to the resident for the resident’s vehicle. The resident parking permit is not transferable between vehicles. The resident parking permit is only valid when used adjacent to the holder’s residence. “Adjacent” is defined as within three blocks of the residence address. The resident permit is valid for one year after the annual start date of the permit parking program. For properties with accessory dwelling units that are located in a permit parking program district, the primary residence and the accessory dwelling unit combined shall qualify only for the number of residential parking permits that would have been available to the primary residence. No additional permits will be granted for the accessory dwelling unit. (Ord. 2015-02 § 2, 2015: Ord. 2005-17 § 1 (part), 2005: Ord. 2003-12 § 2 (part), 2003).
10.41.090 GUEST PARKING PERMITS.
The local authority may issue a maximum of two guest parking permits to each residence for which application is made. The guest parking permits are transferable between the resident’s guest vehicles. Residents who do not possess a driver’s license, and who do not qualify for the resident parking permit, may purchase guest parking permits. The guest parking permit is only valid when used adjacent to the holder’s residence. Adjacent is defined as within three blocks of the residence address. The guest permit is valid for one year after the annual start date of the permit parking program.
(Ord. 2005-17 § 1 (part), 2005: Ord. 2003-12 § 2 (part), 2003).
10.41.100 DAILY PARKING PERMITS.
The local authority may issue a maximum of thirty daily parking permits per year to each residence for which application is made. The daily permit is valid on the day that it is activated and used. The daily parking permit is only valid when used adjacent to the holder’s residence. Adjacent is defined as within three blocks of the residence address.
(Ord. 2005-17 § 1 (part), 2005: Ord. 2003-38 (part), 2004: Ord. 2003-12 § 2 (part), 2003).
10.41.105 COMMUTER PARKING PERMITS.
The local authority may, upon proof that sufficient street parking is available for residents in the area, sell permits to commuters who may pay to park on a specified street segment or block face. (Ord. 2003-12 § 2 (part), 2003).
22.24 10.41.110 ADDITIONAL PARKING PERMITS.
The local authority may, upon an analysis of on-street and off-street parking supply and demand, make a finding that sufficient on-street parking is available to issue additional resident, and/or daily parking permits. The issuance of more than the allotment of permits per this ordinance will follow a finding that a special situation applies and warrants an exception. (Ord. 2003-38 (part), 2004: Ord. 2003-12 § 2 (part), 2003).
10.41.120 REPLACEMENT PARKING PERMITS.
The local authority may issue a duplicate resident, guest, commuter or specialty parking permit to any person who has qualified for a parking permit under the guidelines of this chapter. The permit holder must furnish proof that said permit has been lost, destroyed or the vehicle to which the original permit was affixed has been disposed of. The duplicate parking permit will be reissued at the standard cost of the original parking permit that it replaces. The cost of the replacement permit will not be pro-rated.
(Ord. 2003-12 § 2 (part), 2003).
10.41.130 DIRECT SERVICE PROVIDER PARKING PERMITS.
The local authority may, upon written request, issue a maximum of five guest permits to a public agency, nonprofit organization or volunteer group that provides direct services to residents or occupants in a program area. These parking permits may be limited to specific days of the week and times of the day. Requests for more than five guest permits will be addressed on a daily, weekly, or monthly basis at the discretion of the local authority. (Ord. 2003-12 § 2 (part), 2003).
10.41.140 NON-RESIDENT PARKING PERMITS.
The local authority may issue parking permits to the following non-residents:
(a) Non-resident Property Owner. A parking permit may be issued to a non-resident property owner within the permit parking program area. The requester must provide proof of property ownership in the program area.
(b) Border Resident. The local authority, upon having acceptable proof, may issue parking permits to residents living within 300 feet of a program area when they do not have access to on-street parking fronting their property’s address.
(c) Specialty Parking Permit. The local authority, upon having acceptable proof that the need exists, may issue specialty parking permits that are unique to a specific program area. Such specialty parking permits shall be defined in the appropriate master list kept by the public works department.
(Ord. 2003-38 (part), 2004: Ord. 2003-12 § 2 (part), 2003).
22.25 10.41.150 PERMIT PARKING AT METERED PARKING ZONES.
The local authority may designate specific areas where parking permits are valid at metered parking zones. These areas will be defined in the master list for each program area where this is appropriate.
(Ord. 2003-12 § 2 (part), 2003).
10.41.160 BEACH AREA MERCHANT PARKING PERMITS.
The local authority may designate specific street segments in the Beach Area where merchants may purchase and display parking permits. The street segments will be defined in the master list for the Beach Area’s program area. The master list will also stipulate the type and quantity of parking permits to be sold to Beach Area merchants.
(Ord. 2003-38 (part), 2004: Ord. 2003-12 § 2 (part), 2003).
10.41.170 PERMIT PARKING ZONE PENALTY PROVISIONS.
This chapter provides for specific penalty provisions. It is unlawful and a violation of this chapter to:
(a) Stand or park a motor vehicle in any permit parking program area within the city’s permit zone unless permitted pursuant to this chapter.
(b) Copy or produce a counterfeit or facsimile parking permit. It is also a violation to knowingly use or display a counterfeit or facsimile parking permit.
(c) Furnish false information to the local authority while applying for a parking permit. It is also a violation for an applicant to falsely represent himself/herself as eligible for a parking permit. (d) Hold a valid permit and allow the use or display of such permit on a motor vehicle other than that for which the permit was issued. Such conduct shall constitute an unlawful act both by the person who holds the valid parking permit and the person who displays the parking permit.
The fines assessed for violation of this section shall be established by city council resolution. (Ord. 2008-11 § 1 (part), 2008: Ord. 2005-02 § 1, 2005: Ord. 2003-12 § 2 (part), 2003).
10.41.180 PARKING PERMIT VALIDITY.
Parking permits issued pursuant to this chapter shall be valid on a year-round basis. Residents may reapply for permit renewal on an annual basis in the manner required by the local authority. To coincide with peak parking demand, local authority may begin the annual cycle of permit validity for different program areas at different times of the year. The date of the annual cycle of permit validity will be stated in the master list for each permit zone. (Ord. 2003-12 § 2 (part), 2003).
22.26 10.41.190 PARKING PERMIT RESTRICTIONS.
A parking permit shall not guarantee or reserve any on-street parking space within the designated program area for the permit holder. Permit holders shall not be exempt from parking restrictions or prohibitions established pursuant to authority other than this chapter. (Ord. 2003-12 § 2 (part), 2003).
10.41.200 PARKING PERMIT EXEMPTIONS.
Vehicles identified by parking control deputies as emergency, government or disabled persons’ vehicles shall be exempt from the parking restrictions of this chapter. Vehicles readily identifiable as commercial, delivery, service, utility or construction vehicles, while actually engaged in providing maintenance, repair, or service work to the property in the program area, shall be exempt from the non-metered time limited parking restrictions of this chapter. (Ord. 2003-12 § 2 (part), 2003).
10.41.210 PARKING PERMIT REVOCATION.
The city Engineer, the Chief of Police, and their delegated subordinates are authorized to revoke the parking permits of any person found to be in violation of this chapter. Upon written notification, the permit holder shall surrender such permit to the requesting authority. Failure to surrender a revoked parking permit when requested shall constitute a violation of this chapter. Upon revocation, parking permit fees will not be refunded.
(Ord. 2003-12 § 2 (part), 2003).
10.41.220 CAPITAL ENFORCEMENT.
The city engineer, the chief of police, and their delegated subordinates are authorized under California Penal Code Section 836.5 to arrest a person without a warrant upon reasonable cause to believe that a violation of this chapter has taken place in the presence of the person making the arrest. Upon making the arrest, a citation shall be prepared and the offending party shall be released. The person to whom the parking permit is issued may file an appeal with the local authority within twenty-one days to request the return of their parking permit. The appeal must state why the parking permit should be returned. The local authority must respond within ten working days. (Ord. 2003-12 § 2 (part), 2003).
10.41.230 PARKING PERMIT FEES.
The parking permit fees for all city permit parking programs shall be established by a city council resolution. Separate rates may be established for different permit types and/or permit locations. (Ord. 2003-12 § 2 (part), 2003).
22.27 City Council
AGENDA REPORT
DATE: 06/08/2023
AGENDA OF: 06/27/2023
DEPARTMENT: Public Works
SUBJECT: West Cliff Drive Stabilization Project (c401501) - Ratification of Plans and Specifications, Authorization to Advertise for Bids and Award Contract, and Authorize Professional Service Agreement for Construction Support Services (PW)
RECOMMENDATION: Motions to:
1) Ratify the plans and specifications for the West Cliff Drive Stabilization Project (c401501), authorize an exemption from local employment requirements, and bid and award the contract.
Per Resolution No. NS-27,563, the City Manager is hereby authorized and directed to execute the contract, in a form approved by the City Attorney. The Director of Public Works is authorized to execute change orders within the approved project budget. 2) Approve and authorize the City Manager to execute a Professional Service Agreement with Mesiti Miller Engineering (Santa Cruz, CA) for Construction Support Services for the West Cliff Drive Stabilization Project (c401501), in a form approved by the City Attorney. The Director of Public Works is authorized to execute contract amendments within the approved project budget.
BACKGROUND: West Cliff Drive between Columbia Road and David Way was severely damaged by large swells during the January 2023 storms, causing portions of the roadway and path to fail, along with impacts to public access points, utility infrastructure, and the surrounding neighborhood. Protective and stabilization measures are in place, and the next priority is to restore damaged path and roadway areas as soon as possible to reduce the potential for additional damage in the winter of 2023/2024.
As provided in the May 23 update to Council, various repair projects are contemplated, including placement of additional rip-rap, targeted construction of infill walls at acute erosion points, and potentially full reconstruction and elevation of the roadway at Bethany Culvert location. Due to a number of factors such as timelines to design repairs, size and type of projects, and funding sources - the Federal Highway Administration (FHWA) or Federal Emergency Management Agency (FEMA) - the various projects are currently grouped into 3 packages.
Infill Walls:
- 920, 932, 1016, and 1030 West Cliff Dr.
- Estimated Cost: $5,000,000
- Anticipated Funding: FHWA
23.1 Bethany Curve Culvert:
- Estimated Cost: $10,000,000
- Anticipated Funding: FHWA
Armoring/Rip-rap repair:
- Various locations
- Estimated Cost: $2,000,000
- Anticipated Funding: FEMA
DISCUSSION: In January 2023, the City contracted with Mesiti-Miller Engineering (MME) to assist with initial damage assessment, cost estimating for repair and conceptual designs at various damage sites. The informal contract with MME was awarded on a sole source basis due to the urgency of the required work, and because MME was previously contracted to provide design services for West Cliff stabilization measures in related areas. After conducting site assessments, MME and staff identified infill walls instead of rip-rap placement as the most costeffective and resilient repair solution, in four locations. The proposed infill wall project consists of drilling several concrete piers into competent material, placement of concrete and other structural fill, anchored in place by new piers, restoration of the path and roadway, and relocation of existing riprap at the toe of slope of the new infill wall.
In accordance with section 3.08.160 of the Municipal Code- Emergency Procurement, to support rapid advancement of the infill wall project, staff recommends approval to authorize a professional service agreement on a sole source basis with MME to provide bidding support, and engineering services during construction and is currently estimated to be $200,000.
City staff is actively engaged with the Coastal Commission staff to obtain an Emergency Coastal Development Permit (ECDP) and anticipates its issuance at the end of June.
The FHWA emergency relief program will fund 100% of cost incurred through September 23, 2023, after which FHWA cost share drops to 88.5% and the City cost share will be 11.5%.
Because time is of the essence, conceptual designs, bid quantities, and contract documents were packaged and released for bidding on an accelerated basis to enable the start of bidding process in parallel to council approval.
Plans and specifications for the project can be found online at:
https://www.cityofsantacruz.com/government/city-departments/public-works/engineering/publicworks-projects The target infill wall project schedule is as follows:
- Receive Bids - second week of July 2023
- Start Construction - early August
- Construction Complete - end of October dependent on material/resource availability Official approval of emergency relief funding is pending FHWA review. Award of project and execution of a construction agreement would be conditioned on formal notice that City will receive FHWA emergency funds.
23.2 FISCAL IMPACT: The engineer’s estimate of construction cost is $5,000,000 for the four infill wall sites. Based on assumed approval of FHWA emergency relief funding, and the above schedule, the City estimated cost share is approximately $575,000 from the emergency reserve funds in the General Fund.
Prepared By:
Kevin Crossley, P.E.
City Engineer/Assistant
Director
Submitted By:
Nathan Nguyen, P.E
Director of Public Works
Approved By:
Matt Huffaker
City Manager
ATTACHMENTS:
None.
23.3 City Council
AGENDA REPORT
DATE: 06/08/2023
AGENDA OF: 06/27/2023
DEPARTMENT: Public Works
SUBJECT: Award Contract for Vapex Micro Odor Control Units (m409659) (PW) RECOMMENDATION: Motion to award a contract for the purchase of four Vapex Micro Odor Control Units from Vapex Environmental Technologies, LLC (Cocoa, FL) in the amount of $634,242.12.
BACKGROUND: The Wastewater Treatment Facility (WWTF) operates eight Vapex Odor Control Units in compliance with Monterey Bay Unified Air Pollution Control District (MBUAPCD) regulations. The Vapex units inject ionized components into the foul air recovery systems of both primary and secondary treatment areas to capture and neutralize odors produced in the treatment system. This purchase replaces four Vapex units at the end of their service life.
DISCUSSION: The four Vapex units that serve the Primary Treatment side of the WWTF were purchased in 2013 and are no longer serviceable. This replacement contract includes the purchase of four new Micro units with extended mechanical warranty, certified technician for on- site installation, spare parts kits for each unit, freight and applicable taxes.
Vapex Environmental is the original inventor and patent holder of the ion producing odor control units. There is no competitor or alternative source. Section 3.08.150 of the Purchasing Ordinance allows the Purchasing Manager to award a contract without competition when there is only one source for the required item/service. The Purchasing Manager concurs that Vapex Environmental is the only company able to provide Vapex Micro Odor Control Units.
FISCAL IMPACT: There are adequate funds in the Wastewater Fund Capital Investment Program (CIP) WWTF Equipment Replacement (m409659) budget for this purchase. The Santa Cruz County Sanitation District will pay 8/17 of the cost. There is no impact to the General Fund.
Prepared By:
Anne Hogan
Wastewater System Manager
Submitted By:
Nathan Nguyen, P.E.
Director of Public Works
Approved By:
Matt Huffaker
City Manager
ATTACHMENTS:
None.
24.1 City Council
AGENDA REPORT
DATE: 06/08/2023
AGENDA OF: 06/27/2023
DEPARTMENT: Water
SUBJECT: Beltz Well 9 Aquifer Storage and Recovery Pilot Testing – Approval of California Environmental Quality Act Exemption, Plans and Specifications, and Authorization to Advertise and Award Contract (WT) RECOMMENDATION: Motion to approve plans and specifications for construction of the Beltz Well 9 Aquifer Storage and Recovery Pilot Testing Program (Project), authorize staff to advertise for bids, find the Project exempt under the California Environmental Quality Act (CEQA), and award the contract. Per Resolution No. NS-27,563, the City Manager is hereby authorized and directed to execute the contract, in a form approved by the City Attorney. The Water Director is authorized to execute change orders within the approved project budget.
BACKGROUND: As part of the recommendations of the Water Supply Advisory Committee (WSAC, 2016) and more recently the Securing Our Water Future policy (2022) that directs the ongoing evaluation, selection and construction of supplemental water supplies, the Water Department is continuing to implement Aquifer Storage and Recovery (ASR) in the Mid-County Groundwater Basin (MGB) underlying the Live Oak area of the Water Department’s service area.
ASR is a groundwater replenishment and storage approach where water is injected into the ground from an external source (such as surface water) when available and later recovered from the ground as needed to meet customer demands. The City is looking at the feasibility of ASR in both the Santa Margarita Groundwater Basin (SMGB) underlying the Scotts Valley area and the Mid-County Groundwater Basin (MGB) underlying the Live Oak area.
The City operates four groundwater production wells (Beltz Wells 8, 9, 10 and 12) in the MCB and is taking a stepwise approach towards converting these existing wells to ASR wells. ASR implementation consists of the following three phases:
• Phase 1 – Technical Feasibility Analyses
• Phase 2 – ASR Pilot Testing
• Phase 3 –Implementation
Phase 1 work at all four Beltz Wells is complete and was favorable leading to Phase 2 pilot testing at Beltz 8 and 12 conducted between January 2019 and May 2021. In 2022 and 2023,
25.1 staff conducted additional testing at Beltz 8 and 12 to inform long-term planning for permanent use, including assessing the impacts to the distribution and treatment systems and operational challenges that might be encountered during full-scale ASR operations. Plans are underway for Phase 3 implementation to convert Beltz 8 and 12 Wells into permanent ASR facilities. Plans for Beltz 9 will be proceeding to Phase 2 pilot testing with approval of this item, and Beltz 10 will follow next year.
DISCUSSION: Construction of the Beltz Well 9 Aquifer Storage and Recovery Pilot Test program involves preparing the existing production well for ASR pilot testing by installing temporary equipment in the well and above-ground. Installation of a monitoring well at the site is also required for the collection of water level and water quality data in the aquifer system during the ASR testing of the well. The information developed during the ASR pilot test program will be utilized by the City to evaluate the Beltz 9 well as a potential permanent ASR well to increase community water supplies.
The bidding period for this project will occur between June 29, 2023, and July 27, 2023.
Construction will begin in August 2023 and pilot testing will occur between November 2023 through June 2024. The Engineer’s cost estimate, including a ten percent contingency, is $492,223.
The project is statutorily exempt from further environmental review under the California Environmental Quality Act Section 15306, Information Collection; a Notice of Exemption will be filed by staff following City Council approval. This project is in the coastal zone and will be in compliance with the California Coastal Zone Act.
FISCAL IMPACT: Funds are available in the Water Department’s Capital Investment Program FY 2024 budget in c701609 (ASR and In‐Lieu Feasibility Study) and c702101 (ASR - Mid County Existing Infrastructure).
Prepared By:
Heidi Luckenbach
Engineering Manager/Deputy
Water Director
Submitted By:
Rosemary Menard
Water Director
Approved By:
Matt Huffaker
City Manager
ATTACHMENTS:
1. INVITATION FOR BID, PLANS AND SPECIFICATIONS, AND BIDDING AND CONTRACT REQUIREMENTS.PDF
25.2 WATER DEPARTMENT
INVITATION FOR BID,
PLANS AND SPECIFICATIONS, AND BIDDING AND CONTRACT REQUIREMENTS FOR
Aquifer Storage and Recovery Beltz 9 Pilot Test
Site Preparation and Monitoring Well
CWO # 2023-005
SANTA CRUZ CITY COUNCIL
Fred Keeley, Mayor
Renee Golder, Vice Mayor
Sandy Brown
Sonja Brunner
Shebreh Kalantari-Johnson
Scott Newsome
Martine Watkins
Matt Huffaker, City Manager
Bonnie Bush, City Clerk Administrator
Anthony P. Condotti, City Attorney
Rosemary Menard, Water Department Director
Bids Opening August 1, 2023 at 11:30 AM
Closing time to receive bids will be according to
Water Department Engineering Counter wall clock.
Deputy Director / Engineering Manager
25.3 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 01 07 - 1 Seals and Signatures SECTION 00 01 07
SEALS AND SIGNATURES
Owner Name: City of Santa Cruz
Facility or Site Name: 730 30th Ave, Santa Cruz, CA 95062 Project Name: Aquifer Storage and Recovery Beltz 9 Pilot Test Site Preparation and Monitoring Well Project or Contract Designation: 2023-005
Engineer: Heidi Luckenbach
Heidi Luckenbach, PE, Santa Cruz Water
Department
Civil, License No. C58091
License Expiration Date: 06/30/2024
The seal and signature to the left applies to the
following Specifications divisions and sections
of this Bidding Document:
Division 00
· 00 01 07
· 00 01 10
· 00 11 13
· 00 21 13
· 00 41 13
· 00 43 13
· 00 43 33
· 00 43 36
· 00 43 38
· 00 45 19
· 00 45 46.1
· 00 45 46.4
· 00 45 46.6
· 00 45 46.8
· 00 52 13
· 00 54 63
· 00 61 13.13
· 00 61 13.16
· 00 62 91
· 00 62 92
· 00 72 13
· 00 73 01
· 00 73 43
· 00 73 46
· 00 73 74
Division 01
· 01 14 00
· 01 22 00
· 01 35 23
· 01 35 45
Engineer’s seal and signature does not apply to the documents that comprise Division 00 – Bidding and Contracting Requirements.
It is a violation of applicable laws and regulations governing professional licensing and registration for any person, unless acting under the direction of the licensed and registered design professional(s) indicated above, to alter in any way the Specifications in this Bidding Document.
END OF SECTION
25.4 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 01 10 - 1 Table of Contents SECTION 00 01 10
TABLE OF CONTENTS
DIVISION 00 – BIDDING AND CONTRACTING REQUIREMENTS
Section Number Section Title
00 01 07 Seals and Signatures
00 01 10 Table of Contents
00 11 13 Advertisement for Bids
00 21 13 Instructions to Bidders
00 41 13 Bid Form
00 43 13 Bid Security Form
00 43 33 Proposed Suppliers Form
00 43 36 Proposed Subcontractors Form
00 43 38 Good Faith Effort Statement for Local Hire
00 45 19 Non-Collusion Declaration
00 45 46.1 Anti-Lobbying Certification
00 45 46.4 Certifications of Compliance with WIFIA Conditions 00 45 46.6 Good Neighbor Commitment
00 45 46.8 SAM Registration Requirements
00 52 13 Agreement
00 54 63 Escrow Agreement in Lieu of Retainage
00 61 13.13 Performance Bond
00 61 13.16 Payment Bond
00 62 91 Division of Apprenticeship Standards Form 140
00 62 92 Request for Dispatch of an Apprentice
00 72 13 General Conditions
00 73 01 Supplementary Conditions
00 73 43 Copeland Anti-Kickback Act
00 73 46 Wage Determination Schedules
00 73 74 Water Infrastructure Finance Innovation Act Program Requirements DIVISION 01 – GENERAL SPECIFICATIONS
Section Number Section Title
01 14 00 Work Restrictions
01 22 00 Measurement and Payment
01 35 23 Safety Requirements
01 41 33 Environmental Regulatory Requirements
25.5 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 01 10 - 2 Table of Contents
EXHIBITS
Exhibit Number Exhibit Title
Exhibit A Technical Provisions - Santa Cruz Water Department Beltz 9 ASR Pilot Test Project;
Exhibit B CEQA Notice of Exemption (to be included prior to Contract Award) Exhibit C Procedure for Hydrant Meter Installation
Exhibit D City of Santa Cruz Water Department Hydrant Meter Checkout/Permit Exhibit E City Safety Policies
Exhibits F through W Not Used
Exhibit X-1 DAS Form 140
Exhibit X-2 DAS Form 142
Exhibit X-3 Santa Cruz Local Hire Residency Compliance Form Exhibit X-4 Application for Payment
Exhibit X-5 Field Order Form
Exhibit X-6 Change Order Form
Exhibit X-7 Certificate of Substantial Completion
Exhibit X-8 Notice of Completion
Exhibit Y Good Neighbor Commitment, Section 00 45 46.6 (to be Agreement Exhibit)
Exhibit Z Contract Price Exhibit (to be included prior to Contract Award)
END OF SECTION
25.6 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 11 13 - 1 Advertisement for Bids SECTION 00 11 13
ADVERTISEMENT FOR BIDS
NOTICE IS HEREBY GIVEN that the City of Santa Cruz, California, invites sealed Bids for the following Project:
Aquifer Storage and Recovery Beltz 9 Pilot Test Site Preparation and Monitoring Well CWO #2023-005
Sealed bids for the construction of the Project will be received at the Santa Cruz Water Department, 212 Locust Street, Suite A, Santa Cruz, CA 95060, until August 1, 2023, at 11:30 AM local time. At that time the Bids received will be publicly opened and read.
Bids will be received for a single prime contract for preparing the existing Beltz 9 municipal production well for Aquifer Storage and Recovery (ASR) pilot testing, installing temporary equipment in the well and an above-ground injection piping system at the site to allow ASR pilot testing to be performed, and installing a monitoring well at the well site
The Engineer’s estimate anticipates that the total bid price will be $447,475 and the Contract Time for the completion of all the Work of the Project is 75 calendar days. The proposed Work is generally described as follows:
1. Installation of a monitoring well at the Beltz 9 well site
2. Preparation of the Beltz 9 municipal production well for ASR pilot testing
3. Installation of temporary ASR facilities in the well and at the site to facilitate the ASR pilot test
Bidding Documents, as defined in the General Conditions, may be downloaded, without charge, from the designated website (indicated below). The designated website will be updated periodically with Addenda, lists of registered holders of the Bidding Documents, reports, and other information relevant to submitting a Bid for the Project. All official notifications, Addenda, and other Bidding Documents will be offered only through the designated website. Neither City or City Representatives will be responsible for Bidding Documents, including Addenda, if any, obtained from sources other than the designated website or the City. Those downloading the Bidding Documents from any other source assume responsibility and risk for completeness of those Bidding Documents.
All Bidders shall verify if the City has issued any Addenda for this Project via the designated website. It is the Bidder’s responsibility to ensure that all requirements of Addenda are inserted in the bid.
The designated website is: http://www.cityofsantacruz.com/business/bidding-information.
Paper Bidding Documents may be examined, by appointment only, at the City of Santa Cruz Water Department, 212 Locust Street, Suite A, Santa Cruz, CA 95060 (“Issuing Office”). Contact Katy Fitzgerald, Management Analyst, [email protected], to schedule an appointment.
A mandatory pre-bid conference will be held at the time, date, and location indicated in Article 4 of the Instructions to Bidders. All Prospective Bidders must sign in on the City-provided sign-in sheet at this conference to be eligible to bid for the Project. Bids for this Project will not be accepted from Bidders that did not attend and sign in to the mandatory pre-bid conference.
25.7 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 11 13 - 2 Advertisement for Bids The Contract will be awarded to the lowest responsible responsive bidder. The City reserves the right to reject any or all Bids, including for any minor irregularities or defects. The City may reject a Bid if the City determines that any of the bid prices are materially unbalanced to the potential detriment of the City.
Each bid shall be accompanied by one of the following forms of Bidder’s security: cash, certified or cashier’s check drawn upon a responsible bank, or Bid Bond executed by an admitted surety insurer, made payable to the City of Santa Cruz. The Bidder’s security shall be in an amount equal to at least ten percent (10%) of the total bid price, and shall be conditioned to be forfeited to the City in the event that the Bidder, if their bid is accepted, does not execute the Contract for the Project and provide the required bonds, certificates of insurance, and endorsements as required. A bid will not be considered unless one of the approved forms of Bidder’s security is enclosed with it.
Bidders and their proposed subcontractors shall hold such licenses as may be required by the laws of the State of California for the performance of the Project, as specified in the Contract Documents. Bidders bidding as the Prime Contractor shall possess a valid Class C-57 California Contractor’s License at the time of contract bid and throughout the contract term until Notice of Final Acceptance has been issued.
The Contractor will also be required to ensure that all subcontractors working on this Project are holding valid licenses suitable for their trade throughout the contract term until Notice of Final Acceptance has been issued. Failure to possess the specified license at the time the bid is submitted shall render the bid non-responsive.
The successful Contractor awarded a contract from this solicitation will be required to obtain and maintain a City of Santa Cruz Business Tax Certificate until completion of the Work. For additional information and licensing requirements, view the City’s Business Licenses and Permits webpage or call the Revenue and Taxation division at 831/420-5070.
The Project will be financed through the Water Infrastructure Finance Innovation Act (WIFIA) and the City’s capital improvement budget. Contractual requirements of the funding-financing entity are in the proposed Contract Documents. Such requirements include but are not limited to, Disadvantaged Business Enterprise good faith efforts, Davis-Bacon and California prevailing wage rates, and American Iron and Steel requirements. Additionally, the General Contractor and all Subcontractors must make good faith efforts to hire qualified individuals who are residents of Santa Cruz County as required by Santa Cruz Municipal Code (SCMC) Chapter 3.10, and to employ apprentices who are enrolled and participate in a viable apprenticeship program approved by the Division of Apprenticeship Standards.
This Project is subject to compliance monitoring and enforcement by the DIR pursuant to the California Labor Code section 1771.4. No General Contractor or subcontractor may be listed on a bid proposal for a public works project unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5 (with limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1(a)).
No contractor or subcontractor may be awarded a contract for public work on a public works project unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5.
Progress payments are subject to 5% retention withholding until thirty five (35) calendar days after recording the notice of completion. Pursuant to California Public Contract Code Section 22300, for monies earned by the General Contractor and withheld by the City to ensure the performance of the Contract.The General Contractor, may, at its option, choose to substitute securities meeting the requirements of California Public Contract Code Section 22300, or have the retained, earned monies deposited in an escrow account at a federal or state chartered bank.
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Test Site Preparation and Monitoring Well 00 11 13 - 3 Advertisement for Bids For all further requirements regarding Bid submittal, qualifications, procedures, and contract award, refer to the Instructions to Bidders that are included in the Bidding Documents.
Technical questions and requests for information related to this Invitation for Bids should be directed to Jillian Brown, Water Resources Engineer, [email protected]. All questions shall be in writing and received a minimum of 5 business days prior to the bid opening date.
This Advertisement is issued by:
Owner: City of Santa Cruz, California
By: _____________________________________ Dated: __________________ Matt Huffaker, City Manager
END OF SECTION
25.9 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 21 13 - 1 Instructions to Bidders SECTION 00 21 13
INSTRUCTIONS TO BIDDERS
These Instructions to Bidders establish the basic procedures and requirements for preparing and submitting a Bid, evaluation of Bids and criteria for award of the Contract, and requirements for the signing of the Contract.
TABLE OF ARTICLES
ARTICLE 1— Defined Terms ................................................................................................... 1 ARTICLE 2— Bidding Documents ........................................................................................... 2 ARTICLE 3— Qualifications of Bidders ................................................................................... 3 ARTICLE 4— Pre-Bid Conference ........................................................................................... 4 ARTICLE 5— Site and Other Areas .......................................................................................... 5 ARTICLE 6— Bidder’s Representations and Responsibilities .................................................. 7 ARTICLE 7— Interpretations and Addenda .............................................................................. 8 ARTICLE 8— Bid Security ....................................................................................................... 9 ARTICLE 9— Substitutes and “Or-Equals” During Bidding .................................................. 10 ARTICLE 10— Subcontractors and Suppliers .......................................................................... 10 ARTICLE 11— Preparation of Bid ............................................................................................ 11 ARTICLE 12— Submittal of Bid ............................................................................................... 12 ARTICLE 13— Withdrawal of Bids .......................................................................................... 13 ARTICLE 14— Bids to remain Subject to Acceptance ............................................................. 13 ARTICLE 15— Evaluation of Bids and Basis for Award ......................................................... 13 ARTICLE 16— Contract Bonds and Evidence of Insurance ..................................................... 15 ARTICLE 17— Notice of Award and Signing of Contract ....................................................... 16 ARTICLE 18— Security Deposit Option in Lieu of Retention ................................................. 17 ARTICLE 19— Pre-Construction Conference………………………………………………... 17 ARTICLE 1— DEFINED TERMS
1.01 Defined terms, indicated in these Instructions to Bidders with initial capital letters, are as set forth in the General Conditions and Supplementary Conditions, available at the Designated Website indicated on the Advertisement for Bids. Proper nouns and the titles of documents and statutes are also indicated with initial capital letters. Additional defined terms used in the Bidding Requirements have the meaning set forth below:
A. Designated Website – The website designated by the Issuing Office for obtaining Bidding Documents, Addenda, and all official notifications and where to register as a holder of
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Test Site Preparation and Monitoring Well 00 21 13 - 2 Instructions to Bidders the Bidding Documents. The identity of the Designated Website is indicated in the Advertisement for Bids.
B. Issuing Office—The office from which the Bidding Documents are issued. The identity of the Issuing Office is indicated in the Advertisement for Bids.
ARTICLE 2— BIDDING DOCUMENTS
2.01 Obtaining Bidding Documents
A. The City’s Standard Specifications, together with the Project’s Bidding Documents, may be obtained at the Designated Website or address indicated on the Advertisement for Bids.
2.02 Obtain and Use Complete Bidding Documents
A. Bidder shall obtain a complete set of the Bidding Requirements and proposed Contract Documents (together, the Bidding Documents). See the Agreement for a list of the Contract Documents. It is Bidder’s responsibility to determine that it is using a complete set of documents in the preparation of a Bid. Bidder assumes sole responsibility for errors or misinterpretations resulting from the use of incomplete documents, by Bidder itself or by its prospective Subcontractors and Suppliers.
2.03 Restrictions on Use of Bidding Documents
A. Bidding Documents are made available for the sole purpose of obtaining Bids for completion of the Project and permission to download or distribution of the Bidding Documents does not confer a license or grant permission or authorization for any other use. Authorization to download documents, or other distribution, includes the right for Bidding Documents holders to print documents solely for their use, and the use of their prospective Subcontractors and Suppliers, provided the plan holder pays all costs associated with printing or reproduction. Printed documents may not be re-sold under any circumstances.
2.04 Bidding Documents Website
A. City has established a Designated Website as indicated in the Advertisement for Bids.
Bidders may rely that sets of Bidding Documents obtained from the Designated Website are complete, unless an omission is blatant. The Designated Website will be updated with any Addenda, Bidding Documents, reports, and other information relevant to submitting a Bid for the Project. All official notifications, Addenda, and other Bidding Documents will be offered only through the Designated Website.
2.05 Bidding Documents Obtained from Issuing Office
A. Bidder obtaining Bidding Documents from the Issuing Office shall confirm that they are using a complete set of documents consistent with the Bidding Documents on the Designated Website.
2.06 Plan Rooms
A. Plan rooms (including construction information subscription services, and electronic and virtual plan rooms) may distribute the Bidding Documents or make them available for examination. Those prospective bidders that obtain an electronic (digital) copy of the Bidding Documents from a plan room are encouraged to confirm that the documents are consistent with Bidding Documents Website or Issuing Office. City is not responsible for
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Test Site Preparation and Monitoring Well 00 21 13 - 3 Instructions to Bidders omissions in Bidding Documents or other documents obtained from plan rooms, or for a Bidder’s failure to obtain Addenda from a plan room.
2.07 Electronic Documents
A. When the Bidding Requirements indicate that electronic (digital) copies of the Bidding Documents are available, such documents will be made available to the Bidders as Electronic Documents in the manner specified.
1. Bidding Documents will be provided in Adobe PDF (Portable Document Format) (.pdf) files readable by edition of Adobe Reader or Adobe Acrobat current at the time the Bidding Documents are issued. Other software capable of opening and displaying .pdf files may also properly display the Bidding Documents issued as Electronic Documents. It is the intent of the Engineer and City that such Electronic Documents are to be exactly representative of the paper copies of the Bidding Documents.
However, because the City cannot totally control the transmission and receipt of Electronic Documents nor Bidders’ and the Contractor’s means of reproduction of such documents, the City cannot and do not guarantee that Electronic Documents and reproductions prepared from those versions are identical in every manner to the paper copies.
B. Unless otherwise stated in the Bidding Documents, the Bidder may use and rely upon complete sets of Electronic Documents of the Bidding Documents, described in Paragraph 2.07.A above, obtained via the City’s Designated Website. However, Bidder assumes all risks associated with differences arising from transmission/receipt of Electronic Documents versions of Bidding Documents and reproductions prepared from those versions and, further, assumes all risks, costs, and responsibility associated with use of the Electronic Documents versions to derive information that is not explicitly contained in printed paper versions of the documents, and for Bidder’s reliance upon such derived information.
ARTICLE 3— QUALIFICATIONS OF BIDDERS
3.01 Bidder’s Qualification
A. Competency of Bidder:
1. As required by Title 5, Chapter 5.04 of the City of Santa Cruz Municipal Code, the Contractor and Subcontractors must obtain and maintain a current City of Santa Cruz Business License for the duration of the Work. Proof of application(s) and payment of Business License(s) shall be required prior to Work beginning.
2. Bidder shall be licensed under the applicable provisions of the Business and Professions Code of the State of California to do the Work contemplated in the Project.
3. No General Contractor or subcontractor may be listed on a bid proposal for a public works project unless registered with the Department of Industrial Relations as stated in Paragraph 3.02 of this Article.
B. Bidder shall be skilled and regularly engaged in the general class or type of work called for under the Project.
C. It is the City’s intent to award the Contract to a Bidder that furnishes satisfactory evidence that Bidder has the requisite experience, resources, and ability and that Bidder has sufficient capital and facilities, or can demonstrate to City’s satisfaction that Bidder
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Test Site Preparation and Monitoring Well 00 21 13 - 4 Instructions to Bidders has prompt access to construction equipment and facilities, to enable Bidder to prosecute the Work in accordance with the Contract Documents (including the Contract Times established therein).
D. To determine the degree of responsibility to be credited to a Bidder, any relevant evidence will be considered that the Bidder, or personnel guaranteed to be employed in responsible charge of the Work, has satisfactorily performed other projects similar in scope, type of work, and complexity at similar rates of progress required for the Project.
3.02 DIR Registration
A. No prospective Contractor or prospective Subcontractor may be indicated in a submitted Bid, for public works, unless registered with the California Department of Industrial Relations (DIR) pursuant to California Labor Code Section 1725.5. A prospective Contractor and Subcontractor is not qualified to bid on, be listed in the Bid, or enter into any contract for public work in California unless currently registered and qualified to perform public work pursuant to Labor Code Section 1725.5. By submitting its Bid to the City, Bidder is certifying that Bidder itself is listed by the DIR, and Bidder has verified that all Subcontractors to be employed on the Project, if Bidder is awarded the Contract, are registered with the DIR in compliance with Labor Code Sections 1771.1 and 1725.5, and Contractor shall submit proof of registration to the City with the Bid.
B. Bidder’s or Contractor’s inadvertent error in listing a Subcontractor, whether prospective or under a subcontract with Contractor, who is not registered pursuant to Labor Code Section 1725.5 in response to the Advertisement for Bids shall not be grounds for filing a bid protest or grounds for considering the Bid nonresponsive, provided that one or more of the following apply: (1) the Subcontractor is registered prior to Bid opening; (2) within twenty-four hours after the Bid opening, the prospective Subcontractor is registered and has paid the penalty registration fee specified in Labor Code Section 1725.5; or (3) the Subcontractor is replaced by another registered Subcontractor pursuant to Public Contract Code Section 4107.
3.03 Further Evaluations
A. No requirement in this Article 3 to submit information will prejudice the right of City to seek additional pertinent information regarding Bidder’s qualifications.
ARTICLE 4— PRE-BID CONFERENCE
4.01 Pre-Bid Conference
A. A mandatory pre-bid conference is scheduled for 10:00 AM local time, on Thursday, July 13, 2023 at the Beltz 9 well site, 730 30th Ave, Santa Cruz, CA 95062. The purpose of this conference is to give prospective Bidders the opportunity to familiarize themselves with the City’s requirements for bidding, pose questions to the City and Construction Manager, review of the scope of the Work, and visit the Site.
B. All Prospective Bidders must sign in on the City-provided sign-in sheet at this conference to be eligible to bid for the Project.
C. Attendees will be limited to two representatives per organization.
D. Photos and videotaping will be allowed.
E. Personal Protective Equipment Required for Site Visit
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Test Site Preparation and Monitoring Well 00 21 13 - 5 Instructions to Bidders
1. To visit the Site, each attendee of the pre-bid conference must bring and wear to the site visit the following: (1) sturdy, closed-toed shoes and (2) reflective safety vest for high visibility in traffic areas. Attendees without the required equipment will not be allowed on the tour.
2. City, Construction Manager, or Engineer will not have extra protective equipment available.
F. During the pre-bid conference, a tour of the accessible areas of the Work will be conducted by representatives of City and Engineer.
4.02 Interpretations and Oral Statements at Pre-Bid Conference A. Information presented at the pre-bid conference does not alter the Contract Documents.
City (via Designated Website) will issue any necessary Addenda to make any changes to the Bidding Documents that result from discussions at the pre-bid conference.
Information presented, and statements made at the pre-bid conference will not be binding or legally effective unless incorporated in an Addendum.
4.03 Non-Attendance of Mandatory Pre-Bid Conference
A. Bids will be accepted only from Bidders who attend the pre-bid conference.
B. Bidders arriving at the pre-bid conference more than 10 minutes after the scheduled starttime will not be admitted to the mandatory pre-bid conference.
C. Bidders must attend the entire pre-bid conference. Registering on the sign-in and sign-out sheets at the conference will be the responsibility of each attendee.
ARTICLE 5— SITE AND OTHER AREAS
5.01 Examination of Site
A. Contractor will not be entitled to a change in the Contract Price or Contract Times, nor any associated payment, because of error on Bidder’s part or of Bidder’s negligence or failure to acquaint itself with the existing conditions, limitations, or features of the Site or requirements of the Bidding Documents; or by reason of any estimate, tests, or representations of any officer, employee or agent of the City or the City’s representatives and consultants. Bidder is advised to read and understand the Bidder’s representations in the Bid Form, which are repeated as the Contractor’s representations in the Agreement.
B. Where investigation of subsurface conditions has been made by City regarding design of foundation(s) or other subsurface Work, Bidders should inspect the records of the City as to such investigation, including examination of samples and drill cores, if any. Refer to Paragraph 5.02 of these Instructions to Bidders and to the Supplementary Conditions for identification of reports and drawings of existing physical and subsurface conditions at the Site. The General Conditions and Supplementary Conditions set forth the extent, if any, to which Bidders and Contractor may rely on such data.
C. Investigations by City or City’s consultants of subsurface conditions are made for the purpose of design, and the City assumes no responsibility whatsoever in regard to the sufficiency of test borings or other information for Bidder’s purposes for pricing or Contractor’s purposes for means, methods, procedures, and sequences of construction.
City and City’s consultants make no representation that subsurface data available and investigations performed by the City or City’s consultants are adequate for Contractor’s purposes for construction.
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Test Site Preparation and Monitoring Well 00 21 13 - 6 Instructions to Bidders D. Making such information available to prospective Bidders is not to be construed in any way as a waiver of the provisions of the first paragraph of this provision.
E. Records of such preliminary investigations as may have been made by the City may be inspected at the City of Santa Cruz Water Department, Engineering Office, 212 Locust Street, Suite C, Santa Cruz CA 95060, by appointment. Email Katy Fitzgerald, Management Analyst, [email protected] to make an appointment.
5.02 Supplemental Information Available to Bidders
A. Subsurface and Physical Conditions; Hazardous Environmental Conditions
1. The supplementary information identifies the following regarding existing conditions at or adjacent to the Site:
a. Those reports of explorations and tests of subsurface conditions at or adjacent to the Site that contain Technical Data.
b. Those drawings known to City of existing physical conditions at or adjacent to the Site, including those drawings depicting existing surface or subsurface structures at or adjacent to the Site (except Underground Facilities), that contain Technical Data.
c. Reports and drawings known to City relating to Hazardous Environmental Conditions (if any) that have been identified at or adjacent to the Site. d. Technical Data contained in such reports and drawings.
2. City will make copies of reports and drawings referenced above available to any Bidder on request. These reports and drawings are not part of the Contract Documents, but the Technical Data contained therein upon whose accuracy Bidder is entitled to rely, as provided in the General Conditions, has been identified and established in the Supplementary Conditions. Bidder is responsible for any interpretation or conclusion Bidder draws from any Technical Data or any other data, interpretations, opinions, or information contained in such reports or shown or indicated in such drawings.
B. Underground Facilities: Underground Facilities are shown or indicated on the Drawings, pursuant to Paragraph 5.05 of the General Conditions, and not in the drawings referred to in Paragraph 5.02.A of these Instructions to Bidders. Information and data regarding the presence or location of Underground Facilities are not intended to be categorized, identified, or defined as Technical Data.
5.03 Other Site-Related Documents
A. Other reports, drawings, and information (if any) about the Site that do not constitute Technical Data are Supplementary Information. Such documents are not part of the Contract Documents. Bidders and Contractor are not entitled to rely on reports, drawings, or information furnished by City, Construction Manager (if applicable), or Engineer (if applicable) that are not Technical Data.
B. Such information is available at the Issuing Office and may be posted on the Designated Website.
5.04 Site Visit and Testing by Bidders
A. Bidder is required to visit the Site and conduct a thorough visual examination of the Site and adjacent areas before submitting its bid. During the visit the Bidder must not disturb any ongoing operations at the Site.
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Test Site Preparation and Monitoring Well 00 21 13 - 7 Instructions to Bidders B. Bidders visiting the Site are required to arrange their own transportation to the Site.
C. All access to the Site other than during the scheduled Site visit/tour indicated above, must be coordinated in advance by contacting Water Engineering (831) 420-5210 and scheduled at least 10 business days prior to the bid opening date. Bidder must conduct the required Site visit during normal working hours. Refer to Paragraph 4.01.E of these Instructions to Bidders regarding requirements for personal protective equipment required for all personnel visiting the Site.
D. Bidder is not required to conduct any subsurface testing, or exhaustive investigations of Site conditions.
E. On request, and to the extent City has control over the Site, and schedule permitting, the City will provide Bidder general access to the Site to conduct such additional examinations, investigations, explorations, tests, and studies as Bidder deems necessary for preparing and submitting a successful Bid. City will not have any obligation to grant such access if doing so is not practical because of existing operations, security or safety concerns, or restraints on City’s authority regarding the Site. Bidder is responsible for establishing access needed to reach specific selected test sites.
F. Bidder must comply with all applicable Laws and Regulations regarding excavation and location of utilities, obtain all permits, and comply with all terms and conditions established by City or by property owners or other entities controlling the Site with respect to schedule, access, existing operations, security, liability insurance, and applicable safety programs.
G. Bidder must fill all holes and clean up and restore the Site to its former condition upon completion of such pre-Bid explorations, investigations, tests, and studies.
5.05 Site Safety
A. Site visits and work at the Site are governed by the safety requirements as stated in the General Conditions, Section 00 72 13.
5.06 Other Work at the Site
A. Reference is made to Exhibit A Technical Provisions, for the identification of the general nature of other work of which City is aware (if any) that is to be performed at the Site by City, contractors retained by City, or others (such as utilities and transportation facility owners) and relates to the Work contemplated by these Bidding Documents. If City is party to a written contract for such other work, then on request, City will provide to each Bidder access to examine such contracts (other than portions thereof related to price and other confidential information, if any.
ARTICLE 6— BIDDER’S REPRESENTATIONS AND RESPONSIBILITIES
6.01 Bidder’s Responsibilities and Representations
A. Bidder shall examine carefully the Site and the Bidding Documents. The submission of a Bid will be conclusive evidence that Bidder has investigated and is fully aware of the conditions and difficulties to be encountered, of the character, quality and quantities of Work to be performed, and of the requirements of the Bidding Documents as to the nature and location of the Work, the general and local conditions at and adjacent to the Site, particularly those bearing upon transportation, disposal, handling and storage of material, availability of labor, water, electric power, roads and uncertainties of weather, and environmental and physical conditions at and adjacent to the Site; the conformation
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Test Site Preparation and Monitoring Well 00 21 13 - 8 Instructions to Bidders and conditions of the ground, the character and quality and quantity of surface and subsurface materials, facilities, and structures, including groundwater, to be encountered; the character of equipment and facilities needed preliminary to, and during the, prosecution of the Work; and all other matters which can in any way affect the Work or the cost thereof under this Contract. Any failure by the Contractor to acquaint themselves with all available information concerning these conditions will not relieve Bidder from responsibility for estimating properly the difficulty or cost of successfully performing the Work.
B. Also refer to Bidder’s representations set forth in the Bid Form.
6.02 Bidder Certifications
A. The following certifications shall be included with the Bid:
1. Anti-Lobbying Certification form (Section 00 45 46.1) required by section 1352, title 31, United States Code;
2. Certification of Compliance with WIFIA Conditions (Section 00 45 46.4); and
6.03 Other Attachments to the Bid
A. In addition to the certifications listed in Paragraph 6.02 above, other documents shall be submitted with the Bid as stated in Article 2 of the Bid Form, Section 00 41 13.
ARTICLE 7— INTERPRETATIONS AND ADDENDA
7.01 Interpretations
A. If there is any doubt as to the true meaning of any part of the Bidding Documents, or the proposed Contract Documents, or if discrepancies in, or omissions from, the Bidding Documents are found, Bidder shall submit written request for interpretation or clarification to the contact person indicated in Paragraph 7.02 of these Instructions to Bidders.
B. Interpretations and clarifications, if any, will be issued in the form of one or more Addenda. Otherwise, in evaluating the intended Work and preparing its Bid, Bidder shall consider that any discrepancies or conflict in the Bidding Documents shall be governed by the Precedence of Documents provision, Paragraph 6.02 of the Agreement, Section 00 52 13.
7.02 Contact for Interpretations of the Bidding Documents A. Questions regarding interpretation of the Specifications or Drawings or any other portion of the Bidding Documents or Addenda thereto shall be submitted in writing to Jillian Brown, Water Resources Engineer, [email protected]. No interpretation of the meaning of the Specifications, Drawings, or other Bidding Documents will be made orally. Only interpretations made via Addendum will be binding.
7.03 Addenda
A. Addenda may be issued by the Issuing Office prior to the deadline established for the receipt and opening of Bids. Addenda become part of the Bidding Documents. The additions or changes contained in such Addenda shall be considered by Bidders in preparation of the Bid. Addenda will be posted only on the Designated Website. A copy of each Addendum shall be attached to the Bid submitted by the Bidder.
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Test Site Preparation and Monitoring Well 00 21 13 - 9 Instructions to Bidders B. Neither City, Issuing Office, nor Engineer is responsible for distributing Addenda to any entity interested in the bidding of the Project.
C. To be considered for interpretations or clarifications made via Addendum, Bidder requests for clarifications or interpretations must be received by the person designated in Paragraph 7.02 hereof not later than five (5) days prior to the deadline for receipt of the Bids , as indicated in the Advertisement for Bids.
D. Issuing Office will endeavor to post Addenda to the Designated Website by three days prior to the deadline established in the Bidding Documents for receipt of the Bids.
However, City and Issuing Office reserve the right to issue Addenda that, in the sole opinion of the City, do not constitute major changes (except possibly for delays in the deadline for receipt of Bids) closer to the deadline for receipt of Bids.
ARTICLE 8— BID SECURITY
8.01 Required Form and Amount of Bid Security
A. Each Bid shall be submitted accompanied by bid security in the form of one of the following: (1) a certified check, (2) cashier's check or (3) bid bond executed by surety (surety to comply with the qualifications requirements set forth in Paragraph 6.01 of the General Conditions).Checks shall be made payable to the City of Santa Cruz and bid bonds shall indicate the City of Santa Cruz as obliged. The bid security must be in an amount of not less than 10 percent of the Bidder’s maximum Bid price, including alternates (if any). A Bid will be rejected if not accompanied by acceptable bid security.
8.02 Default of Successful Bidder
A. The bid security of the apparent Successful Bidder will be retained until City awards the Agreement to such Bidder, and such Bidder has signed the Agreement, furnished the required bonds, and met the other conditions of the Notice of Award, whereupon the bid security will be released. If the Successful Bidder fails to sign and deliver the Agreement and furnish the required bonds within the time indicated in Paragraph 17.02.C of these Instructions to Bidders, City may consider Bidder to be in default, annul the Notice of Award, and the bid security of that Bidder will be forfeited, to the extent of City’s damages (including not less than the difference between: (1) the amount of the Contract as awarded to the initially-Successful Bidder, and (2) the amount of the next lowestpriced Bid of a Bidder whose Bid has not been rejected or disqualified and who is deemed responsible by the City; to this amount may also be added other damages incurred by the City, amount of which shall be documented by the City and furnished to surety upon request). Such forfeiture will be City’s exclusive remedy if Bidder defaults.
8.03 Release of Bid Security
A. Within 10 days after the Notice of Intent to Award, City will release the bid security for such Bids that will not be further considered for award.
B. Retained bid security for Bidders that City believes have a reasonable chance for award will be held until the Agreement is signed and is effective, after which all bid security, except bid bonds and bid security that has been forfeited, will be released to Bidder(s).
C. Release of Bid Security:
1. When bid security is furnished as a certified or cashier’s check, City will return the bid security to the associated Bidder via certified mail.
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Test Site Preparation and Monitoring Well 00 21 13 - 10 Instructions to Bidders
2. When bid bond is furnished as bid security, at City’s option, City may either (a) destroy the bid bond and advise the associated Bidder in writing of such release, or (b) return the bid bond to the associated Bidder via certified mail.
ARTICLE 9— SUBSTITUTES AND “OR-EQUALS” DURING BIDDING
9.01 Bids to be Based on Specified Items
A. The Contract for the Work, as awarded, will be on the basis of materials and equipment specified or described in the Bidding Documents without consideration during the bidding and Contract award process of possible substitute or “or-equal” items. In cases in which the Contract allows the Contractor to request the use of a substitute or “or-equal” item of material or equipment, application for such acceptance may not be made to and will not be considered until after the Effective Date of the Contract.
9.02 Substitute Construction Methods
A. While certain provisions of the Specifications may require certain means, methods, techniques, sequences, or procedures of construction, the Bid shall be based solely on the requirements of the Bidding Documents, without consideration of substitute or “or-equal” means, methods, techniques, sequences, or procedures of construction. Application for substitute methods, where specified, will be considered after the Effective Date of the Contract, as set forth in the Contract Documents.
B. Where the Contract Documents do not require using a specific means, method, technique, sequence, or procedure of construction, Bidder shall identify and base its Bid on such means, methods, techniques, sequences, and procedures of construction deemed appropriate by Bidder to provide Work that complies with the Contract Documents.
ARTICLE 10— SUBCONTRACTORS AND SUPPLIERS
10.01 Proposed Subcontractors and Suppliers
A. Proposed Subcontractors: Bidder shall indicate, with the Bid on the form provided in the Bidding Documents, the identity and other information (as expressly required by the Bidding Documents) on each Subcontractor that Bidder proposes will perform Work in excess of the threshold amount indicated in Section 00 43 36 – Proposed Subcontractors Form.
1. In accordance with California Public Contract Code Sections 4100 et seq. (“Subletting and Subcontracting Fair Practices Act”), each Bid shall indicate on the “Proposed Subcontractors” form furnished with the Bidding Documents: (a) the name, physical address of business, California contractor license number, and public works contractor registration number issued pursuant to California Labor Code Section 1725.5, and, (b) the portion of the Work which will be performed by each proposed Subcontractor.
2. City reserves the right to (a) require Bidder to furnish qualifications information for any or all proposed Subcontractors, (b) perform City’s own investigation of proposed Subcontractors, and (c) to reject the Bid of a Bidder that proposes to use one or more Subcontractors unacceptable to the City and where Bidder, after being notified of City’s rejection of such proposed Subcontractor(s), refuses to provide a substitute Subcontractor acceptable to the City.
25.19 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 21 13 - 11 Instructions to Bidders
3. If a Bidder fails to indicate a proposed Subcontractor for any portion of the Work for which identification of the proposed Subcontractor is required by these Instructions to Bidders, Bidder shall perform that portion of the Work with Bidder’s own employees unless a substitute Subcontractor, acceptable to City, is promptly proposed. When Bidder fails to identify in the Bid a required, proposed Subcontractor, City has no obligation to approve or accept any substitute Subcontractor proposed and may require Contractor to perform such Work with Contractor’s own employees.
10.02 Self-Performance of Work
A. Refer to the General Conditions, as may be modified by the Supplementary Conditions, for limitations on the amount of the Work that may be subcontracted.
ARTICLE 11— PREPARATION OF BID
11.01 Completion of Bid Form
A. Prospective Bidders will be furnished the required Bid Form and attachments (all of which are included in the Bidding Documents) from the sources listed in Article 2.
B. Prospective Bidders must complete all blanks on the Bid Form and attachments in ink and sign in ink. Erasures or corrections must be initialed in ink by the person submitting the Bid. A Bid price must be indicated for each section, Bid item, alternate, adjustment unit price item, and unit price item listed therein.
C. If the Bid Form expressly indicates that submitting pricing on a specific alternate item is optional, and Bidder elects to not furnish pricing for such optional alternate item, then Bidder may enter the words “No Bid” or “Not Applicable.” D. Requirements for signature of Bids are indicated in this Article 11.
11.02 Bid Form and Attachments to Bid
A. Required attachments to the Bid are set forth in the Bid Form, Section 00 41 13. Forms and certifications required as attachments to the Bid Form are bound with the Bidding Documents.
B. Bidders are advised that attaching any document or condition to the Bid that is not expressly required by the Bidding Documents may be considered by the City to be a submittal of a conditioned Bid, which is subject to rejection by the City.
11.03 Bids Prepared from Bidding Documents Issued as Electronic documents A. If Bidder has obtained the Bidding Documents as Electronic Documents, then Bidder shall prepare its Bid on a paper copy of the Bid Form, together with the Bid Form attachments, printed from the Electronic Documents version of the Bidding Documents.
The printed copy of the Bid Form and Bid Form supplements must be clearly legible, printed on 8.5-inch by 11-inch white paper and as closely identical in appearance to the Electronic Document version of the Bid Form as may be practical. The City reserves the right to accept Bid Forms or Bid Form supplements which nominally vary in appearance from the original paper version of the Bid Form, providing that all required information and submittals are included with the Bid.
11.04 Bid Items
A. The Bid Form apportions the Work among one or more bid items that may be lump sums or unit price items.
25.20 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 21 13 - 12 Instructions to Bidders B. Where unit price items are included in the Bid Form and the contemplated Contract, the quantities of Unit Price Work are estimates only and the final Contract Price will be adjusted via Change Order to the actual quantities required. The amount bid for each bid item shall be sufficient for all the Work included therein, as indicated in the Bidding Documents.
C. The unit prices and lump sum amounts indicated in the Bid shall include full compensation for providing all Work associated therewith, including overhead and profit, in accordance with the Bidding Documents, including but not limited to in accordance with the percentages required in the Bidding Documents.
D. Pricing for individual bid items shall be submitted as numbers, as indicated on the Bid Form. The total bid price (total of all lump sums and unit price items, including alternates, if any) shall be indicated in both words and numbers in the respective spaces provided in the Bid Form. All prices shall be in current United States dollars. In the event of a discrepancy between words and numbers, the words will govern. For Unit Price Work, unit prices will govern over extended total amounts that are mathematically incorrect. In the event of a discrepancy between the amount indicated and a mathematically correct amount, the mathematically correct amount will govern.
11.05 Bid Package
A. The Bid shall include the signed and completed Bid Form included in the Bidding Documents, the bid security and all other attachments to the Bid Form as required by the Bidding Documents.
11.06 Signature
A. The Bid Form shall be signed by an officer of Bidder authorized by Bidder’s organization to sign binding contracts.
11.07 Joint Bids
A. If two or more entities desire to jointly submit a Bid for the Project, or desire to combine their assets for submitting a Bid, they shall file an affidavit of joint venture with the City and such affidavit of joint venture will be valid only for the Project for which it is filed. If such affidavit of joint venture is not filed as aforesaid and approved by the City prior to the time established in the Bidding Documents for receipt of the Bids, a Bid submitted by such joint venture participants may be disqualified by the City.
ARTICLE 12— SUBMITTAL OF BID
12.01 Sealed Bids
A. Each Bid shall be submitted in an opaque, sealed envelope plainly marked, “BID ENCLOSED,” and state the Project name.
12.02 Due Date, Delivery Location, And Public Bid Opening A. Sealed Bids are due by the date, time, and location as stated in the Advertisement for Bids.
B. No Bids will be accepted after the date and time indicated in the Advertisement for Bids, as may be modified by Addenda. Time for receipt of Bids will be based on the City’s wall clock at the bid opening location indicated in the Advertisement for Bids. Bids will be opened and read publicly at the time and place indicated in the Advertisement for Bids.
25.21 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 21 13 - 13 Instructions to Bidders
12.03 Escrow Bid Documentation
A. NOT USED
12.04 Relief of Bidders in the Event of Inadvertent Error, Mistake, or Omission in the Bid A. California Public Contract Code Sections 5100 et seq. is incorporated herein by reference, concerning relief of Bidders and in particular to the requirement therein that if Bidder claims a mistake was made in its Bid, the Bidder shall give City written notice within five days after the opening of the Bids. Such notice shall clearly indicate the nature, extent, and cause of the alleged mistake; Bidder shall furnish with the notice details and documentation sufficient to clearly indicate the error, omission, or mistake in the Bid.
ARTICLE 13— WITHDRAWAL OF BIDS
13.01 Withdrawal of Bids Prior to Bid Opening
A. A Bid may be withdrawn at any time prior to the time fixed in the Advertisement for Bids for the receipt of Bids only by Bidder’s written request for the withdrawal of the Bid delivered to the Issuing Office as stated in the Advertisement for Bids. Withdrawal request shall be signed by an officer of Bidder’s organization authorized to sign binding contracts on behalf of Bidder.
B. Withdrawal of a Bid does not prejudice the right of Bidder to submit a new or revised Bid. Submittal of a new or revised Bid shall be in accordance with the procedures for all Bids as set forth in the Bidding Documents.
13.02 Withdrawal of Bid After Bid Opening
A. This provision does not authorize the withdrawal of any Bid after the time fixed in the Bidding Documents for the receipt and opening of Bids.
ARTICLE 14— BIDS TO REMAIN SUBJECT TO ACCEPTANCE
14.01 Bid Acceptance
A. All Bids will remain subject to acceptance for the period of time stated in Paragraph 5.01 of the Bid Form, but City may, in its sole discretion, release any Bid and return the Bid security prior to the end of this period.
ARTICLE 15— EVALUATION OF BIDS AND BASIS FOR AWARD
15.01 City Rights
A. City reserves the right, in its sole discretion, to determine whether a bidder is qualified, responsive, or responsible in the evaluation and award of the Contract.
15.02 Rejection of Bids
A. The City reserves the right, acting in its sole discretion, to waive immaterial bid irregularities or inconsequential defects in the bids, to accept or reject any and all bids, to re-bid the Project, or to abandon the Project entirely.
15.03 Disqualification of Bidders
A. More than one Bid from an individual, firm, partnership, corporation, or a combination thereof under the same or different names will not be considered.
25.22 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 21 13 - 14 Instructions to Bidders B. If City has reason for believing that collusion exists among Bidders, none of the participants in such collusion will be considered for award for the Project.
C. Bidders and proposed Subcontractors ineligible under California Labor Code Sections 1777.1 and 1777.7 are prohibited from working on the Project.
15.04 Bid Protest
A. Any Bidder (i.e., as defined in the General Conditions) may, following City’s issuance of a Notice of Intent to Award, in accordance with the provisions of the Santa Cruz Municipal Code (SCMC), Chapter 3.08, or any trade association representing workers who would have potentially been employed by such Bidder, may submit a bid protest.
Bid protests will not be accepted from others.
B. Bid protests shall be in writing and submitted to the City Clerk within five days of the date of the City’s written Notice of Intention to Award the Contract. The City Council will hear the bid protest prior to award of the Contract. The protesting entity may protest the Contract award for the City’s or Successful Bidder’s failure to comply with the requirements of SCMC, Chapter 3.08, the Bidding Documents, or other applicable provision of the SCMC.
C. The bid protest shall clearly set forth the basis for the bid protest. The responsibility to substantiate the bid protest resides solely with the entity submitting the bid protest.
D. Grounds not set forth in the written bid protest may not be considered by the City Council at the bid protest hearing. City Council will sustain a bid protest if the protesting entity demonstrates by clear and convincing evidence that, as specified above, the City would act improperly in awarding the Contract. The decision of the City Council will be final and binding concerning award of the Contract.
E. Bidders are instructed that, irrespective of any changes to the information contained in the Notice of Intent to Award, there is a single protest period, and any and all protests must be delivered by the deadline specified above, regardless of whether or not the protest is directed at the Bid of the proposed awardee or at the Bid of another Bidder.
F. Failure to provide such notice within the five (5) business day period will constitute waiver of any and all rights, claims, damages or causes of action against the City arising out of the award of the Contract.
G. The procedures and time limits set forth in this Section 15.04 are mandatory and the Bidder’s sole and exclusive remedy in the event of a protest. Failure to comply with these procedures shall constitute a waiver of any and all right to further pursue the protest, including filing a Government Code claim or legal proceedings.
15.05 Consideration of Bids
A. After the Bid opening, City (in cooperation with City’s consultants, if any) will tabulate and evaluate the Bids, including an evaluation of Bid’s responsiveness to the requirements of the Bidding Documents.
B. Discrepancies in the Bids between amounts indicated in words and numbers, and between amounts indicated and mathematically correct amounts, will be resolved as set forth in Paragraph 11.04.D of these Instructions to Bidders.
C. For items of Unit Price Work, Bids will be compared on the basis of the quantities indicated on the Bid Form as furnished by the City, subject to revisions via Addendum.
25.23 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 21 13 - 15 Instructions to Bidders D. In evaluating the Bids, City may consider Bidder’s qualifications and qualifications of proposed Subcontractors and Suppliers. City may perform whatever investigations City believes are necessary in the evaluation of the Bids and in evaluating Bidders.
15.06 Basis for Award of Contract
A. The Contract, if awarded, will be awarded to the Bidder submitting the lowest-priced, responsive Bid that has not been disqualified or rejected by the City. To be eligible for award of the Contract, Bidder must be appropriately licensed in accordance with law and as set forth in these Instructions to Bidders.
B. For the determination of the apparent low Bidder when unit price bids are submitted, Bids will be compared on the basis of the total of the products of the estimated quantity of each item and unit price Bid for that item, together with any lump sum items.
C. In the comparison of Bids, alternates will be applied in the same order of priority as listed in the Bid Form. To determine the Bid prices for purposes of comparison, City will announce to all bidders a “Base Bid plus alternates” budget after receiving all Bids, but prior to opening them. For comparison purposes alternates will be accepted, following the order of priority established in the Bid Form, until doing so would cause the budget to be exceeded. After determination of the Successful Bidder based on this comparative process and on the responsiveness, responsibility, and other factors set forth in these Instructions, the award may be made to said Successful Bidder on its base Bid and any combination of its additive alternate Bids for which City determines funds will be available at the time of award.
15.07 Investigations
A. City may conduct such investigations as City deems necessary to establish the responsibility, qualifications, and financial ability of Bidders and any proposed Subcontractors or Suppliers.
15.08 Default by Successful Bidder
A. If the Successful Bidder fails to sign the Agreement and furnish acceptable bonds, insurance documentation, and all other information as required by the Bidding Documents within the time indicated in these Instructions to Bidders, the City may annul the award to the initial Successful Bidder and award the Contract to the Bidder that submitted the next-lowest-priced, responsive Bid that was not disqualified or rejected. If the second Successful Bidder fails to sign the Agreement, the City may annul such award and subsequently award the Contract to the Bidder that submitted the lowest-lowestpriced, responsive Bid that was not disqualified or rejected.
15.09 Release of bid security is addressed in Article 8 of these Instructions to Bidders.
ARTICLE 16— CONTRACT BONDS AND EVIDENCE OF INSURANCE
16.01 Insurance Documentation
A. Requirements for the Contractor’s insurance are set forth in Article 6 of the General Conditions and in the corresponding provisions of the Supplementary Conditions.
B. When Successful Bidder submits to City the originals of the Agreement and other Contract Documents signed by Successful Bidder (as provided in Article 17 of these Instructions to Bidders), they shall be accompanied by insurance documentation compliant with the provisions set forth in the Contract Documents.
25.24 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 21 13 - 16 Instructions to Bidders
16.02 Bonds
A. Requirements for all required bonds, and requirements for qualifications for sureties, are indicated in Paragraphs 2.01 and 6.01 of the General Conditions, as may be modified by corresponding provisions of the Supplementary Conditions.
B. When Successful Bidder submits to City the originals of the Agreement and other Contract Documents signed by Successful Bidder (as provided in Article 17 of these Instructions to Bidders), they shall be accompanied by bonds as required by the proposed Contract Documents. Successful Bidder shall furnish such bonds on the forms bound in the proposed Contract Documents.
ARTICLE 17— NOTICE OF AWARD AND SIGNING OF CONTRACT
17.01 Bid Protest Provision Location
A. Provisions on bid protests are in Paragraph 15.04 of these Instructions to Bidders.
17.02 Award Process and Signing of Agreement
A. During its evaluation of the Bids, the City will determine whether any Bid(s) will be disqualified or rejected. Promptly after City completes evaluating the Bids, thus determining the Successful Bidder (if any) to which the Contract will be awarded, City will issue the Successful Bidder a Notice of Intent to Award, and provide a copy via priority U.S. Mail to all Bidders. The Notice of Intent to Award is the only notice of award issued by the City. Issuance of the Notice of Intent to Award commences the period for potential bid protests, as set forth in Paragraph 15.04 of these Instructions to Bidders.
B. After the City’s five (5) business day bid protest period and Council action of any bid protests received, a Notice of Award shall be transmitted to the Successful Bidder with unsigned originals of the Agreement and all other Contract Documents required by the Agreement.
C. Two original Agreements shall be signed by the Successful Bidder and the signed Agreements and Contract Documents shall be delivered to City within 10 days (excluding Saturdays, Sundays, and City’s holidays) of Successful Bidder’s receipt of the Notice of Award.
D. Within 10 days of City’s receipt of the Agreement signed by Successful Bidder, accompanied by acceptable bonds, insurance documentation, and other documents listed in the Notice of Award, City will sign the Agreement and return to Contractor one fullysigned Agreement, together with the number of paper and electronic copies of the Contract Documents required by Paragraph 2.02 of the General Conditions, Section 00 72
13. E. Issuance by City of a Notice to Proceed is addressed in Paragraph 4.01 of the General Conditions, Section 00 72 13.
F. Commencement of Work – Refer to Paragraph 4.02 of the General Conditions, Section 00 72 13, for requirements regarding commencement of the Work.
17.03 Completion of Good Faith Statement for Local Hire Form A. The Successful Bidder must comply with Paragraph 19.03 of the General Conditions, Section 00 72 13, regarding completion of the form, “Good Faith Statement for Local Hire”, prior to City’s issuance of a Notice to Proceed.
25.25 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 21 13 - 17 Instructions to Bidders
17.04 Failure to Sign Agreement
A. Failure of the Successful Bidder to sign the Agreement and furnish acceptable bonds and insurance documentation within the time indicated in Paragraph 17.02.C of these Instructions to Bidders shall be sufficient cause for both (1) City to annul the award to said Bidder and (2) forfeiture of the bid security of such Bidder. Forfeiture of bid security will be in accordance with Article 8 of these Instructions to Bidders.
ARTICLE 18— SECURITY DEPOSIT OPTION IN LIEU OF RETENTION
18.01 Securities in Lieu of Retainage
A. In accordance with California Public Contract Code Section 22300, except where federal regulations or polices do not allow substitution of securities, Contractor may substitute securities for any moneys withheld by City as retainage or other set-off under the Contract to which the City is entitled. At the Successful Bidder’s request and expense (such request to be submitted to City in writing concurrent with or prior to Successful Bidder’s submittal to the City of the signed Agreement), securities equivalent to the amount withheld shall be deposited with the City, or with a state or federally chartered bank in California, as the escrow agent, who will then pay those moneys to the Contractor under the terms of an Escrow for Security Deposit Agreement (“Escrow Agreement”). The form of Escrow Agreement is part of the proposed Contract Documents. Upon satisfactory completion of the Work, the securities will be returned to Contractor.
B. Alternatively, at the request of Successful Bidder (such request to be received by City in writing concurrent with or before Successful Bidder’s submittal to City of the signed Contract) and expense, City will pay retentions earned directly to the escrow agent designed in the signed Escrow Agreement. At Contractor’s expense, Contractor (Successful Bidder) may direct investment of the payments into securities. Upon satisfactory completion of the Work, Contractor will receive from the escrow agent all securities, interest, and payments received by the escrow agent from City pursuant to this provision and the terms of the Escrow Agreement. Contractor will, within 20 days of receipt of payment, pay to each Subcontractor the respective amount of interest earned, less costs of retention withheld from each Subcontractor, on monies withheld to ensure Contractor’s performance of the Work.
C. Securities eligible for investment in accordance with this provision include those listed in Government Code Section 16430, bank or savings and loan certificates of deposit, interest bearing demand deposit accounts, standby letters of credit, or any other security mutually agreed to by the Contractor and the City.
D. Contractor will be the beneficial owner of any securities substituted for moneys withheld and will receive any interest thereon.
ARTICLE 19— PRE-CONSTRUCTION CONFERENCE
19.01 Pre-Construction Conference
A. Upon receipt of the Notice to Proceed, or at an earlier time if mutually agreeable, the CM will arrange a preconstruction conference to be attended by the Successful Bidder's project representative authorized to commit on the behalf of the Contractor and to direct the performance of the Work by others as well as the Contractor's superintendent, the CM, City Representatives, major subcontractors, and others involved in the
25.26 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 21 13 - 18 Instructions to Bidders execution of the Work. This pre-construction conference shall be held at the Site unless otherwise indicated by the City.
B. The purpose of this conference will be to establish a working relationship and understanding between the parties and to discuss project organization, job communications, the Construction Schedule, shop drawing submittals and processing, cost breakdown payment applications and their processing, extra work procedures, safety requirements, permits and inspections, and such other subjects as may be pertinent for the execution of the Work.
END OF SECTION
25.27 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 41 13 - 1 Bid Form SECTION 00 41 13
BID FORM
(To be submitted with bid)
City of Santa Cruz, California
Aquifer Storage and Recovery Beltz 9 Pilot Test
Site Preparation and Monitoring Well
CWO # 2023-005
The terms used in this Bid with initial capital letters have the meanings stated in the Instructions to Bidders, the General Conditions, and the Supplementary Conditions.
ARTICLE 1—CITY AND BIDDER
1.01 This Bid is submitted to: City of Santa Cruz, California, care of the City Water Department, 212 Locust Street, Suite A, Santa Cruz, CA 95060.
1.02 The undersigned Bidder proposes and agrees, if this Bid is accepted, to enter into an Agreement with City in the form included in the Bidding Documents to perform all Work as specified or indicated in the Bidding Documents for the prices and within the times indicated in this Bid and in accordance with the other terms and conditions of the Bidding Documents.
ARTICLE 2—ATTACHMENTS TO THIS BID
2.01 The following documents are made a condition of this Bid:
A. The following shall be submitted with the Bid Form (Section 00 41 13):
1. Bid security (for bid bond, use Section 00 43 13);
2. Proposed Suppliers Form (Section 00 43 33);
3. Proposed Subcontractors Form (Section 00 43 36);
4. Non-Collusion Declaration (Section 00 45 19);
5. Anti-Lobbying Certification (Section 00 45 46.1); and
6. Certification of Compliance with WIFIA Conditions (Section 00 45 46.4) B. The following shall be submitted by the Successful Bidder within 10 days of the Award Notice:
1. Two original signed Agreements;
2. Acceptable bonds;
25.28 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 41 13 - 2 Bid Form
3. Proper evidence of insurance;
4. Good Faith Effort Statement For Local Hire (Section 00 43 38);
5. (optional) Escrow Agreement For Security Deposits In Lieu of Retainage (Section 00 54 63);
6. DAS Form 140 (Section 00 62 91);
7. Good Neighbor Commitment (Section 00 45 46.6) and
8. Any other forms or documentation identified in the Notice of Award.
ARTICLE 3—BASIS OF BID—LUMP SUM BID AND UNIT PRICES
3.01 Basis of Bid
A. Bidder will perform the following Work at the indicated prices on the pricing schedule attached as Contract Price Exhibit (Exhibit Z). Contractor will include a PDF of its final pricing schedule in the Contract Documents to be used as the basis for its contract price. Filename should be “Agreement Exhibit – Contract Price Exhibit.”
25.29 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 41 13 - 3 Bid Form Name of Bidder: _____________________________________
Item
No. Item Description Unit
Estimated
Quantity
Unit Price
($)
Unit Price
Extension /
Lump Sum ($)
MONITORING WELL
1 Mobilization LS 1
2 Conductor (Surface) Casing FT 20
3 Pilot Bore Drilling FT 215
4 Geophysical Logging LS 1
5 2-in-dia PVC Blank Casing FT 110
6 2-in-dia PVC Well Screen FT 90
7 2-in-dia PVC Cellar and Cap FT 10
8 Gravel Pack FT 125
9 Cement Grout FT 90
10 Fluid and Cuttings Containment and
Disposal LS 1
11 Development of Well HR 8
12 Wellhead Completion LS 1
13 Site Cleanup LS 1
14 Standby Time HR 5
DOWNHOLE PREPARATION / REHABILITATION OF BELTZ 9 WELL
15 Mobilization LS 1
16 Existing Pump Assembly Removal LS 1
17 Pre-Rehab Video Survey LS 1
18 Nylon Brushing HR 3
19 Bailing LS 1
20 Temporary Tanks, Piping, etc. LS 1
21 1st Pass Simultaneous Air-Lift
Pumping/Swabbing HR 4.5
22 2nd Pass Simultaneous Air-Lift
Pumping/Swabbing HR 4.5
23 Bailing LS 1
24 Post-Rehab Video Survey LS 1
25 Demobilization and Site Cleanup LS 1
ASR PILOT TEST SETUP
26 Mobilization LS 1
27 Fabrication of Temporary Well Head
Seal Plate LS 1
28 Installation of Temporary Pump
Assembly, Injection Drop Pipe and
Sounding Tubes
LS 1
29 Installation of Temporary MCC LS 1
30 Installation of Temporary Piping,
Valving, Metering, etc. LS 1
25.30 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 41 13 - 4 Bid Form 31 Well Disinfection and Chlorine Flushing LS 1
32 Installation of Temporary BFP and PVC
Pipeline at Beltz WTP Site LS 1
33 Rental of Temporary Equipment MONTH 6
34 Removal of Temporary Pump Assembly,
Injection and Sounding Tubes LS 1
35 Downhole Video Survey LS 1
36 Reinstallation of City Pump Assembly LS 1
37 Well Disinfection and Chlorine Flushing LS 1
38 Demobilization LS 1
SUBTOTAL BASE BID PRICE
10% CONTINGENCY ALLOWANCE
TOTAL BID PRICE
B. Bidder acknowledges that:
1. Each bid price includes an amount considered by Bidder to be adequate to cover Contractor’s overhead and profit for each separately identified item, and
2. Estimated quantities are not guaranteed, and are solely for the purpose of comparison of Bids, and final payment for all Price Work will be based on actual quantities, determined as provided in the Contract Documents.
3.02 Total Bid Price (Lump Sum and Unit Prices)
Total of All Lump Sums and Unit Price Bid Items (number): $_______________ Total of All Lump Sums and Unit Price Bid Items (words): __________________ __________________________________________________________________ __________________________________________________________________.
ARTICLE 4—TIME OF COMPLETION
4.01 Bidder agrees that the Work will be substantially complete and will be completed and ready for final payment in accordance with Paragraph 15.06 of the General Conditions on or before the dates or within the number of calendar days indicated in the Agreement.
4.02 Bidder accepts the provisions of Article 3 of the Supplementary Conditions regarding liquidated damages.
ARTICLE 5—BIDDER’S ACKNOWLEDGEMENTS: ACCEPTANCE PERIOD,
INSTRUCTIONS, AND RECEIPT OF ADDENDA
5.01 Bid Acceptance Period
A. This Bid will remain subject to acceptance for 60 days after the Bid opening, or for such longer period of time that Bidder may agree to in writing upon request of City.
25.31 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 41 13 - 5 Bid Form
5.02 Instructions to Bidders
A. Bidder accepts all of the terms and conditions of the Instructions to Bidders, Section 00 21 13, including without limitation those dealing with the disposition of bid security.
5.03 Receipt of Addenda
A. Bidder hereby acknowledges receipt of the following Addenda:
Addendum Number Addendum Date
ARTICLE 6—BIDDER’S REPRESENTATIONS AND CERTIFICATIONS
6.01 Bidder’s Representations
A. In submitting this Bid, Bidder represents the following:
1. Bidder has examined and carefully studied the Bidding Documents, including Addenda.
2. Bidder has visited the Site, conducted a thorough visual examination of the Site and adjacent areas, and become familiar with the general, local, and Site conditions that may affect cost, progress, and performance of the Work.
3. Bidder is familiar with all Laws and Regulations that may affect cost, progress, and performance of the Work.
4. Bidder has carefully studied the reports of explorations and tests of subsurface conditions at or adjacent to the Site and the drawings of physical conditions relating to existing surface or subsurface structures at the Site that have been identified in the Supplementary Conditions, with respect to the Technical Data in such reports and drawings.
5. Bidder has carefully studied the reports and drawings relating to Hazardous Environmental Conditions, if any, at or adjacent to the Site that have been identified in the Supplementary Conditions, with respect to Technical Data in such reports and drawings.
6. Bidder has considered the information known to Bidder itself; information commonly known to contractors doing business in the locality of the Site; information and observations obtained from visits to the Site; the Bidding Documents; and the Technical Data identified in the Supplementary Conditions
25.32 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 41 13 - 6 Bid Form or by definition, with respect to the effect of such information, observations, and Technical Data on (a) the cost, progress, and performance of the Work; (b) the means, methods, techniques, sequences, and procedures of construction to be employed by Bidder, if selected as Contractor; and (c) Bidder’s (Contractor’s) safety precautions and programs.
7. Based on the information and observations referred to in the preceding paragraph, Bidder agrees that no further examinations, investigations, explorations, tests, studies, or data are necessary for the performance of the Work at the Contract Price, within the Contract Times, and in accordance with the other terms and conditions of the Contract.
8. Bidder is aware of the general nature of work to be performed by City and others at the Site that relates to the Work as indicated in the Bidding Documents.
9. Bidder has given City written notice of all conflicts, errors, ambiguities, or discrepancies that Bidder has discovered in the Bidding Documents, and of discrepancies between Site conditions and the Contract Documents, and the written resolution thereof by City is acceptable to Contractor.
10. The Bidding Documents are generally sufficient to indicate and convey understanding of all terms and conditions for performance and furnishing of the Work.
11. The submission of this Bid constitutes an incontrovertible representation by Bidder that without exception the Bid and all prices in the Bid are premised upon performing and furnishing the Work required by the Bidding Documents.
6.02 Bidder’s Certifications
A. The Bidder certifies the following:
1. This Bid is genuine and not made in the interest of or on behalf of any undisclosed individual or entity and is not submitted in conformity with any collusive agreement or rules of any group, association, organization, or corporation.
2. Bidder has not directly or indirectly induced or solicited any other Bidder to submit a false or sham Bid.
3. Bidder has not solicited or induced any individual or entity to refrain from bidding.
4. Bidder has not engaged in corrupt, fraudulent, collusive, or coercive practices in competing for the Contract. For the purposes of this Paragraph 6.02.A:
a. Corrupt practice means the offering, giving, receiving, or soliciting of anything of value likely to influence the action of a public official in the bidding process.
25.33 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 41 13 - 7 Bid Form b. Fraudulent practice means an intentional misrepresentation of facts made (a) to influence the bidding process to the detriment of City, (b) to establish bid prices at artificial non-competitive levels, or (c) to deprive City of the benefits of free and open competition.
c. Collusive practice means a scheme or arrangement between two or more Bidders, with or without the knowledge of City, a purpose of which is to establish bid prices at artificial, non-competitive levels. d. Coercive practice means harming or threatening to harm, directly or indirectly, persons or their property to influence their participation in the process or affect the execution of the Contract.
ARTICLE 7—BIDDER’S SIGNATURE
BIDDER hereby submits this Bid as set forth above:
The undersigned declares under penalty of perjury that the information contained in this proposal and all accompanying documents are true and correct. A Notary Acknowledgment is required.
Bid submitted on , 20____.
This Bid is submitted by:
Legal Company Name and Corporate Seal (if applicable):
_______________________________________________________________________________ Indicate Type of Entity: ___________________________________________________________ (Sole Proprietor, Partnership, Corporation, LLC, Joint Venture, etc.) CSLB No.: _________________ Classification: ____________ Expire Date: _____________ DIR Registration No.: ____________________________________ Expire Date: _____________ Federal ID Number: ___________________________
Address for giving notices: _________________________________________________________ _______________________________________________________________________________ Telephone: __________________________ Fax: ______________________________________ Email of Authorized Representative: __________________________________________________ Signature of Authorized Representative, Managing Partner, or Officer:
___________________________________
(If other than sole proprietor, attach evidence of authority to sign) (If LLC, attach evidence of authority to bind the LLC under the LLC’s articles of organization)
25.34 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 41 13 - 8 Bid Form Name (PRINT): ______________________________ Title: ______________________________ If Joint Venture, each party to the joint venture whether an individual, partnership, or corporation must sign. The signature above is the First Joint Venturer and other Venturers must sign in the manner indicated below and attach evidence of authority to sign for each:
Second Joint Venturer:
Signature of Authorized Representative: ______________________________________________ Name (PRINT): ______________________________ Title: ______________________________ Third Joint Venturer:
Signature of Authorized Representative: ______________________________________________ Name (PRINT): ______________________________ Title: ______________________________
END OF SECTION
25.35 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 43 13 - 1 Bid Security Form SECTION 00 43 13
BID SECURITY FORM
(To be submitted with bid)
KNOW ALL PERSONS BY THESE PRESENT:
THAT WE, ___________________________________________________________________ ,
AS PRINCIPAL, AND _________________________________________________________ , AS SURETY, are held and firmly bound unto the City of Santa Cruz in the penal sum of TEN PERCENT (10%) OF THE TOTAL AMOUNT OF THE BID of the Principal above named, submitted by said Principal to the City of Santa Cruz (CITY) for the work described below, for the payment of which sum in lawful money of the United States, well and truly to be made to the City of Santa Cruz to which said bid was submitted, we bind ourselves, our heirs, executors, administrators, and successors, jointly and severally, firmly by these presents. In no case shall the liability of the surety hereunder exceed the sum of $___________________________________.
THE CONDITION OF THIS OBLIGATION IS SUCH THAT, WHEREAS, the Principal has submitted the above-mentioned bid to the City of Santa Cruz, aforesaid, for certain construction specifically described as follows, for which bids are to be opened at 11:30 AM / July 26, 2023 / 212 Locust Street, Suite A, Santa Cruz, CA 95060 For:
“Aquifer Storage and Recovery Beltz 9 Pilot Test Site Preparation and Monitoring Well, CWO # 2023-005”
NOW, THEREFORE, if the aforesaid Principal does not withdraw said bid within the time period specified in the Bidding Documents, and if selected as the apparent lowest responsible bidder, Principal shall, within the time period specified in the Bidding Documents, do the following:
(1) Enter into a written contract in the prescribed form, in accordance with the bid, (2) File two bonds with the City, one to guarantee faithful performance, and the other to guarantee payment for labor and materials as required by law, and (3) Furnish the certificate of insurance and all other items as required by the Bidding Documents.
In the event of the withdrawal of said bid within the time period specified in the Bidding Documents, or the disqualification of said bid due to a failure of Principal to enter into such agreement and furnish such bonds, certificates of insurance, and all other items as required by the Bidding Documents, if Principal shall pay to the City an amount equal to the difference, not to exceed the amount hereof, between the amount specified in said bid and such larger amount for which the City procures the work covered by said bid, if the later be in excess of the former, then this obligation shall be null and void, otherwise to remain in full force and effect.
In the event suit is brought upon this bond by the City, Surety shall pay all reasonable attorneys’ fees and costs incurred by the City in such suit.
25.36 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 43 13 - 2 Bid Security Form IN WITNESS WHEREOF, we have hereunto set our hands and seals on this _________day of____________, 20 ___.
PRINCIPAL SURETY
__________________________________ (Seal) ___________________________ (Seal)
__________________________________ ________________________________ Signature Signature
_____________________________________ ___________________________________ Title Title
__________________________________ _________________________________ Address Address
(Note: Signatures of those executing for the surety as an Attorney-in-Fact must include a Notary Acknowledgement.)
END OF SECTION
25.37 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 43 33 - 1 Proposed Suppliers Form SECTION 00 43 33
PROPOSED SUPPLIERS FORM
(To be submitted with bid)
Name of Bidder: ______________________________________
The following materials and equipment to be incorporated into the Work will be furnished by the following Suppliers of engineered equipment including valves and instrumentation/controls to be incorporated into the work (where only a local or regional manufacturer’s representative is the entity with which Contractor or Subcontractor will enter into a purchase order for the associated materials or equipment, also indicate below the manufacturer of such items):
Section of Work (e.g.
monitoring well, pump
assembly, etc.)
Material or Equipment Name Supplier’s Name
(Attach additional sheets, if necessary)
END OF SECTION
25.38 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 43 36 - 1 Proposed Subcontractors Form SECTION 00 43 36
PROPOSED SUBCONTRACTORS FORM
(To be submitted with bid)
Name of Bidder: __________________________________
Bidder shall indicate on this form the legal/contracting entity name, location of place of business, the California contractor’s license number, the public works contractor registration number issued pursuant to California Labor Code Section 1725.5, and the dollar amount and proportion (in percent) of the Work of each Subcontractor (of any tier) to whom a portion of the Work will be awarded via one or more subcontracts. Indicate all proposed Subcontractors to whom the total awarded amount of subcontracts for the Work will be in excess of 0.5 percent of the total amount of the Bid (or a total value of all subcontracts awarded to the Subcontractor is $10,000, when $10,000 is less than 0.5 percent of the total bid price).
Subcontractor’s
Legal/contractual
Entity Name
Location of Place
of Business
CSLB License
Number
Public Works
Contractor DIR
Registration Number
Subcontract
Amount and
Proportion of
Total Bid Price
(Attach additional sheets, if necessary)
END OF SECTION
25.39 Aquifer Storage and Recovery Beltz 9 Pilot Good Faith Effort Test Site Preparation and Monitoring Well 00 43 38 Statement For Local Hire SECTION 00 43 38
GOOD FAITH EFFORT STATEMENT FOR LOCAL HIRE
(To be completed by Successful Bidder prior to NTP)
In conformance with Chapter 3.10 of the Municipal Code, each Contractor and subcontractor shall complete and submit this Statement following Award of Contract and prior to issuance of the Notice to Proceed.
Project Title:
Name and Title of Person Completing Statement:
Name of Contractor or Subcontractor:
Date Statement Completed:
Address:
Contractor (or Subcontractor) estimates that fifty percent (50%) or more of its workforce for this project meets the local hire requirements of this contract: Yes No* *If no, complete the following table:
Name & Address of Local
Recruitment Source
Date of Recruitment
Contact
Person Contacted & Phone
#
Trade & Classification
# of Hire Referrals
Requested
# of Local Hire(s) Made as
Result of Contact
Name & Address of Local
Hire(s), as a Result of
Contact
(Additional Sheets May Be Attached As Needed)
END OF SECTION
25.40 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 45 19 - 1 Non-Collusion Declaration SECTION 00 45 19
NON-COLLUSION DECLARATION
(Public Contract Code §7106)
(Non-Collusion Affidavit to be Executed by Bidder and Submitted with Bid) The undersigned declares:
I am the _______________________ of ___________________________________________, the party making the foregoing bid.
The bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation. The bid is genuine and not collusive or sham. The bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid. The bidder has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or anyone else to put in a sham bid, or to refrain from bidding. The bidder has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the bidder or any other bidder, or to fix any overhead, profit, or cost element of the bid price, or of that of any other bidder. All statements contained in the bid are true. The bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, to any corporation, partnership, company, association, organization, bid depository, or to any member or agent thereof, to effectuate a collusive or sham bid, and has not paid, and will not pay, any person or entity for such purpose.
Any person executing this declaration on behalf of a bidder that is a corporation, partnership, joint venture, limited liability company, limited liability partnership, or any other entity, hereby represents that he or she has full power to execute, and does execute, this declaration on behalf of the bidder.
I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct and that this declaration is executed on ______________[date], at ______________[city], ______________[state].
________________________
Contractor/Bidder
25.41 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 45 19 - 2 Non-Collusion Declaration
JURAT CERTIFICATE
State of _____________________________)
County of ___________________________)
Subscribed and sworn to (or affirmed) before me on this __________ day of _______________, by _______________________________________________________, proved to me on the basis of satisfactory evidence to be the persons who appeared before me.
(This area for official notary seal)
Signature ______________________________
END OF SECTION
A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document.
25.42 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 45 46.1 - 1 Anti-Lobbying Certification SECTION 00 45 46.1
ANTI-LOBBYING CERTIFICATION
(To be submitted with bid)
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents of all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under grants, loans, and cooperative agreements) and that all sub- recipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, United States Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
Organization: _____________________________________________________________ Street address: _______________________________________________________________ ___________________________________________________________________________ City, State, Zip: _____________________________________________________________ Printed Name of Person Signing for Organization: __________________________________ Title of Person Signing for Organization: _________________________________________ Signature of Person Signing for Organization: _____________________________________
END OF SECTION
25.43 SECTION 00 45 46.4
CERTIFICATION OF COMPLIANCE
WITH WIFIA CONDITIONS
(To be submitted with bid)
This certification relates to the construction contract proposed by the City which expects to finance the proposed construction contract with assistance from the Water Infrastructure Finance and Innovation Act (WIFIA) loan program supported with funds directly made available by the United States Environmental Protection Agency. I am the undersigned prospective construction contractor or subcontractor.
I certify that I have read the WIFIA Program Requirements and agree to incorporate the following into the bid and/or contract:
· FEDERAL LABOR STANDARDS PROVISIONS: COMPLIANCE WITH DAVIS-BACON
AND RELATED ACTS
· DEBARMENT AND SUSPENSION (EXECUTIVE ORDER 12549)
· RESTRICTIONS IN LOBBYING
· CIVIL RIGHTS, NONDESCRIMINATION EQUAL EMPLOYMENT OPPORTUNITY
AUTHORITIES
· EQUAL EMPLOYMENT OPPORTUNITY (EXECUTIVE ORDER 1246)
· CONTRACT WORK HOURS AND SAFETY STANDARDS
· CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT · SYSTEM FOR AWARD MANAGEMENT (SAM) REGISTERATION REQUIREMENT I agree that I will obtain identical certifications from prospective lower-tier construction subcontractors prior to the award of any lower-tier construction subcontracts with a price exceeding $10,000. I also agree that I will retain such certifications in my files.
____________________________________________________ _________________ (Signature of Authorized Official) (Date)
__________________________________________________________________________ (Name and Title of Authorized Official [Print or Type]) __________________________________________________________________________ (Name of Prospective Construction Contractor or Subcontractor [Print or Type]) __________________________________________________________________________ (Address and Telephone Number of Prospective Construction Contractor or Subcontractor [Print or Type]) __________________________________
(Employer Identification Number of Prospective Construction Contractor or Subcontractor)
END OF SECTION
Aquifer Storage and Recovery Beltz 9 Pilot Certification of Compliance Test Site Preparation and Monitoring Well 00 45 46.4-1 with WIFIA Conditions 25.44 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 45 46.6 - 1 Good Neighbor Commitment SECTION 00 45 46.6
GOOD NEIGHBOR COMMITMENT
(To be Agreement Exhibit Y)
When the Santa Cruz Water Department undertakes construction projects in a neighborhood we are committed to being the best neighbor we can be. That means that our neighbors should expect:
Work to be conducted safely
· Staff, consultants and contractors will be properly trained in equipment use. · Staff, consultants and contractors will at all times comply with Cal OSHA requirements. · Work will adhere to all CEQA mitigations and any other permit requirements. · Traffic control measures will be provided when normal traffic flow is impacted. · Equipment and the project site overall will be secured outside of regular construction hours.
Construction to begin and end at scheduled times
· Work hours to be observed are identified in Section 3.02 of the Agreement. Violation of the Construction Work Hours violates the noise ordinances in Santa Cruz Municipal Code (SCMC) sections 4.14.070 and 9.36.010. Violations of the SCMC can result in administrative or criminal citations, and financial penalties. · Construction hours will be posted.
· Construction activity, including operating heavy equipment and utilizing backup alarms on vehicles is not permitted without prior approval from SCWD. · Advance notice will be given for work that must be done outside of regularly scheduled hours.
· Non-construction activities outside of working hours will be kept to a minimum.
Staff and contractors working on projects to behave professionally · Appropriate language will be used at all times in public. · Non project-related noise will be kept to a minimum.
Project questions or concerns to be responded to
· Dedicated project hotlines and email will be available. · Staff and contractors will be provided with cards with SCWD contact information that they can share with neighbors.
· Calls or emails made to project hotlines will be returned within 2 business days.
To receive regular project communication
· Regular and ongoing project communication with SCWD community relations staff is required.
· Project descriptions and timelines will be provided by SCWD to neighbors in advance.
25.45 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 45 46.6 - 2 Good Neighbor Commitment · Notification of regular (non-emergency) service disruptions will be given 48 hours in advance.
· Unforeseen changes will be shared as timely as possible. · Bi-weekly project updates will be given by SCWD to neighbors for projects lasting longer than six weeks.
The neighborhood will be left in the same condition as when we arrived · Debris will be removed.
· Project sites will be swept and cleaned.
· Excavations will be filled and patched when the project is complete.
I certify that I have read the above Good Neighbor Commitment and agree to perform the Work according to these commitments.
Name: _______________________________________
Signature: ____________________________________
Date: ________________________________________
END OF SECTION
25.46 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 45 46.8-1 SAM Registration Requirement SECTION 00 45 46.8
SYSTEM FOR AWARD MANAGEMENT (SAM)
REGISTERATION REQUIREMENT
(To be submitted with bid)
The undersigned acknowledges the following:
This project is federally funded by the _______________ Grant. A requirement for the use of federal funds is that prime contractors be actively registered with the federal System for Award Management (SAM). Registration with SAM is free at www.sam.gov. The following information is required to register your business with SAM:
· Your Unique Entity Identifier (Unique Identity ID), and the name and address associated with that Unique Identity ID. Go to SAM.gov, to:
Get your Unique Entity ID and register your entity to do business with the U.S. government.
Make any updates to your legal business name and physical address associated with the Unique Entity ID.
Find customer support at a single helpdesk for all Unique Entity ID and entity registration issues.
· Your Taxpayer Identification Number and the name associated with that TIN (from your W-2 or W-9)
· Your Contractor and Government Entity (CAGE) Code, if you already have one (if you don't, one will be assigned to you during registration) All prime contractors will be verified for SAM registration upon bid evaluation. Bids received without active SAM registration may be rejected.
Company Name Unique Entity ID (SAM)
Prime
Attach proof of “active” SAM.gov registration for prime contractor.
Signature__________________________________________________________ Name (Print or Type)________________________________________________ Title______________________________________________________________ Date____________________________
END OF SECTION
25.47 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 52 13 - 1 Agreement SECTION 00 52 13
AGREEMENT
This Agreement, made and entered into this ___ day of ______________________, 20____ (“Effective Date of the Contract”), is by and between: __________________________________ (“Contractor”), and the City of Santa Cruz, a municipal corporation (“City); WHEREAS, City requires performance of all work (“Work”) required by the Contract Documents (as defined in Article 5 of this Agreement) to fulfill the City’s mission to its ratepayers and residents and the City’s obligations to authorities having jurisdiction; and WHEREAS, City has selected Contractor to perform the Work and Contractor is ready, willing, and able to perform the Work in accordance with the Contract Documents.
NOW, THEREFORE, IT IS AGREED by and between the City and Contractor as follows:
ARTICLE 1— THE PROJECT; THE WORK.
1.01 The Work
That for and in consideration of the covenants and agreements herein, Contractor shall complete all Work for the Project in strict conformity and compliance with the Contract Documents and this Agreement.
1.02 The Project
The Project, of which the Work under the Contract Documents is a part, is identified as follows: Aquifer Storage and Recovery Beltz 9 Pilot Test Site Preparation and Monitoring Well , CWO #2023-005 (the “Project”).
1.03 The Project is part of the City’s Water Improvements Program.
ARTICLE 2— CITY’S REPRESENTATIVES.
2.01 City is designating the following as City’s representatives to perform services to assist the City relating to this Project, and who shall assume the duties and responsibilities of the assigned position listed below in accordance with the Contract Documents and General Conditions, Section 00 72 13, Article 10:
Program Manager:
Leah Van Der Maaten, Professional Associate Engineer
City of Santa Cruz Water Department
212 Locust Street, Suite C, Santa Cruz, CA 95060
Telephone number: (949) 257-6139
Construction Manager & Engineer (also referred to as Owner’s Technical Representative):
Robert Marks, Principal Hydrogeologist
Pueblo Water Resources Inc.,
25.48 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 52 13 - 2 Agreement 4478 Market St., Ste. 705, Ventura, CA 93003
Telephone number: (805) 644-0470
Any person or entity, listed above, who is not a City employee, cannot act on behalf of the City and cannot authorize changes in the Work, use of allowances (if any), or Contract Price or Contract Times.
ARTICLE 3— CONTRACT TIMES
3.01 Time of Start and Work Days
A. The Contractor shall promptly start the Work within fourteen (14) calendar days from the date specified in the Notice to Proceed (NTP), and substantially complete the Work within 200 calendar days. Work shall not begin until after Sept 1, 2023.
B. Bid items 1-32, are to be completed within 60 calendar days of NTP.
1. Completion of the monitoring well must be accomplished within thirty-five (35) calendar days following receipt of NTP and well rehabilitation completed within fifty (50) calendar days of NTP.
C. The Contractor shall start work on Bid items 34-38 within 30 calendar days notification by the City and shall be completed by the Contractor within 200 calendar days of the NTP.
3.02 Time of the Essence
Contractor represents that the Contract Time is reasonable for completion of the Work and that Contractor will complete the Work within the Contract Times. All time limits for Milestones, if any, Substantial Completion, and completion and readiness for final payment as stated in the Contract Documents are of the essence to this Agreement.
3.03 Time of Completion
The Work shall be completed and ready for final payment in accordance with Paragraph
15.06 of the General Conditions within 200 calendar days of NTP.
ARTICLE 4— CONTRACT PRICE
4.01 Contract Price
City shall pay Contractor for all Work, at the prices stated in the Contractor’s Bid, attached hereto as Contract Price Exhibit (Exhibit Z).
Payment by City at the prices indicated herein shall be considered as full compensation for the Work performed in accordance with the Contract Documents.
ARTICLE 5— CONTRACT DOCUMENTS
5.01 Contents
The Contract Documents are comprised of the following which are bound herewith or included herewith unless otherwise indicated below:
1. Applicable Laws and Regulations
2. Duly issued Agreement modifications, and allowance authorization(s) signed by City, in chronological order by effective date of each;
25.49 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 52 13 - 3 Agreement
3. This Agreement, including:
a. Exhibit Z – Contract Price from Contractor’s Bid;
b. Exhibit Y - Good Neighbor Commitment (Section 00 45 46.6);
4. Maintenance Bond, if issued (Section 00 61 19);
5. Performance Bond (Section 00 61 13.13) and Payment Bond (Section 00 61
13.16);
6. Escrow Agreement in Lieu of Retainage, when signed by the parties (Section 00 54 63);
7. Addenda, in the reverse order of date of issuance;
8. Div 00 Supplementary Conditions (Section 00 73 01);
9. General Conditions (Section 00 72 13);
10. Instructions to Bidders (Section 00 21 13);
11. Water Infrastructure Finance Innovation Act (WIFIA) Program Requirements (Section 00 73 74);
12. Div 01 General Specifications;
13. Exhibit A Technical Provisions – Santa Cruz Water Department Beltz 9 ASR Pilot Test Project;
14. The following, which may be issued after the Effective Date of the Contract and are not bound herewith:
a. Notice to Proceed.
b. Change Order(s).
c. Work Change Directive(s).
d. Field Order(s).
e. Allowance authorization(s) signed by the City.
There are no Contract Documents other than those indicated above in Paragraph
5.01.A. Supplemental project information available to bidders, and the information supplied therein, are not Contract Documents.
The Contract Documents may be amended, supplemented, or modified only as provided in Article 11 of the General Conditions.
5.02 Precedence of Documents
The Contract Documents are intended to permit the parties to complete the Work and all obligations required by the Contract Documents within the Contract Time(s) for the Contract Price. The Contract Documents are intended to be complementary and interpreted in harmony so as to avoid conflict, with words and phrases interpreted in a manner consistent with construction standards.
In the event inconsistencies, conflicts, or ambiguities between or among the Contract Documents are discovered, the parties shall attempt to resolve any ambiguity, conflict, or inconsistency informally, recognizing that the Contract Documents shall take precedence in the order in which they are listed in Section 5.01 and consistent with Article 3 of the General Conditions.
25.50 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 52 13 - 4 Agreement Inclusion of an order of precedence provision in the Contract Documents does not in any way negate or reduce Contractor’s obligation to report conflicts, discrepancies, apparent omissions, and similar matters as required by Paragraphs 3.03 and 3.04 of the General Conditions and obtain interpretations or clarifications from Engineer or Construction Manager, as set forth in Article 3 of the General Conditions.
ARTICLE 6— REPRESENTATIONS AND CERTIFICATIONS
6.01 Contractor’s Representations
In order to induce City to enter into this Agreement, Contractor makes the following representations:
1. Contractor has examined and carefully studied the Contract Documents, including Addenda.
2. Contractor has visited the Site, conducted a thorough visual examination of the Site and adjacent areas, and become familiar with the general, local, and Site conditions that may affect cost, progress, and performance of the Work.
3. Contractor is familiar with all Laws and Regulations that may affect cost, progress, and performance of the Work.
4. Contractor has carefully studied the reports of explorations and tests of subsurface conditions at or adjacent to the Site and the drawings of physical conditions relating to existing surface or subsurface structures at the Site that have been identified in the Supplementary Conditions, with respect to the Technical Data in such reports and drawings.
5. Contractor has carefully studied the reports and drawings relating to Hazardous Environmental Conditions, if any, at or adjacent to the Site that have been identified in the Supplementary Conditions, with respect to Technical Data in such reports and drawings.
6. Contractor has considered the information known to Contractor itself; information commonly known to contractors doing business in the locality of the Site; information and observations obtained from visits to the Site; the Contract Documents; and the Technical Data identified in the Supplementary Conditions or by definition, with respect to the effect of such information, observations, and Technical Data on (a) the cost, progress, and performance of the Work; (b) the means, methods, techniques, sequences, and procedures of construction to be employed by Contractor; and (c) Contractor’s safety precautions and programs.
7. Based on the information and observations referred to in the preceding paragraph, Contractor agrees that no further examinations, investigations, explorations, tests, studies, or data are necessary for the performance of the Work at the Contract Price, within the Contract Times, and in accordance with the other terms and conditions of the Contract Documents.
8. Contractor is aware of the general nature of work to be performed by Owner and others at the Site that relates to the Work as indicated in the Contract Documents.
9. Contractor has given City and Engineer written notice of all conflicts, errors, ambiguities, or discrepancies that Contractor has discovered in the Contract Documents, and of discrepancies between Site conditions and the Contract
25.51 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 52 13 - 5 Agreement Documents, and the written resolution thereof by City, Construction Manager, or Engineer is acceptable to Contractor.
10. The Contract Documents are generally sufficient to indicate and convey understanding of all terms and conditions for performance and furnishing of the Work.
11. Contractor’s entry into this Agreement constitutes an incontrovertible representation by Contractor that without exception all prices in the Agreement are premised upon performing and furnishing the Work required by the Contract Documents.
6.02 Contractor’s Certifications
Contractor certifies that it has not engaged in corrupt, fraudulent, collusive, or coercive practices in competing for or in executing the Agreement. For the purposes of this Paragraph 6.02:
1. “corrupt practice” means the offering, giving, receiving, or soliciting of anything of value likely to influence the action of a public official in the bidding process or in the Contract execution;
2. “fraudulent practice” means an intentional misrepresentation of facts made (a) to influence the bidding process or the execution of the Contract to the detriment of City, (b) to establish Bid or Contract prices at artificial non-competitive levels, or (c) to deprive City of the benefits of free and open competition;
3. “collusive practice” means a scheme or arrangement between two or more Bidders, with or without the knowledge of City, a purpose of which is to establish Bid prices at artificial, non-competitive levels; and
4. “coercive practice” means harming or threatening to harm, directly or indirectly, persons or their property to influence their participation in the bidding process or affect the execution of the Agreement.
ARTICLE 7— MISCELLANEOUS
7.01 Definitions
Terms, words and phrases used in this Agreement, unless specified otherwise, shall have the meanings given them in the General Conditions (Section 00 72 13).
7.02 Amendments
This Agreement may not be amended except by way of a written instrument which expressly references and identifies this Agreement, which expressly states that its purpose is to amend this particular Agreement, and which is duly executed by City and Contractor. Contractor acknowledges that no such amendment shall be effective until approved and authorized by the City.
7.03 City Council Action Required
It is agreed by the parties hereto that the acceptance of the Contractor’s performance will be made only by an affirmative action by the City’s City Council in session, evidenced by resolution, and upon the filing by the Contractor of a Release of all Claims of every nature on account of the Work done under this Agreement, together with an affidavit that all Claims have been fully paid. The acceptance by the Contractor of said final payment
25.52 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 52 13 - 6 Agreement shall constitute a waiver of all Claims against the City arising out of or in connection with this Agreement and Contract Documents.
7.04 Contract Interpretation
Each party acknowledges that it has reviewed this Agreement and that the normal rule of construction to the effect that any ambiguities are to be resolved against the drafting party shall not be employed in the interpretation of this Agreement.
7.05 Complete Agreement
This Agreement, along with the terms and conditions in the Contract Documents, are the full and complete integration of the Parties’ agreement with respect to the matters addressed herein, and that the Contract Documents supersede any previous written or oral agreements between the Parties with respect to the matters addressed herein. Unless otherwise stated, to the extent there is a conflict between this Agreement and any other agreement (written or oral) not specified herein, the terms of this Agreement and Contract Documents shall control in accordance with Article 5.
7.06 MacBride Principles/Peace Charter
City of Santa Cruz Resolution NS-19,378 (7/24/90) encourages all companies doing business in Northern Ireland to abide by the MacBride Principles and Peace Charter.
7.07 Assignment
Contractor shall not assign this Agreement or any portion of it to a third party to provide services required by Contractor under this Agreement without the prior written consent of the City, the Director of Water Department or her designee. Any such assignment without City’s prior written consent shall give City the right to automatically and immediately terminate this Agreement without penalty.
7.08 Severability
In the event that any term or portion of this Agreement is held invalid by a court of competent jurisdiction, the Agreement shall be construed as not containing that term or portion, and the remainder of this Agreement shall remain in full force and effect.
7.09 Governing Law
The interpretation, validity, and enforcement of this Agreement shall be governed by and construed under the laws of the State of California. Any suit, claim, or legal proceeding of any kind relating to this Contract shall be filed and heard in a court of competent jurisdiction in the County of Santa Cruz.
7.10 Counterparts
The Parties may execute this Agreement in two or more counterparts, which shall, in the aggregate, be deemed an original but all of which, together, shall constitute one and the same instrument. A scanned, electronic, facsimile, or copy of a Party’s signature shall be accepted and valid as an original.
[SIGNATURES ON FOLLOWING PAGE]
25.53 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 52 13 - 7 Agreement ARTICLE 8— SIGNATURES
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the day and year first hereinabove written.
Approved As To Form:
By: _____________________________ Date: __________________ Office of the City Attorney
CITY OF SANTA CRUZ
By: _____________________________ Date: __________________ Matt Huffaker, City Manager
CONSULTANT
By: _____________________________ Date: __________________ Printed: ___________________________ Title: __________________ Technical Review By:
By: _____________________________ Date: __________________ Heidi Luckenbach, Deputy Water Director/ Engineering Manager
WATER DEPARTMENT
By: _____________________________ Date: __________________ Rosemary Menard, Water Director
CONSULTANT
By: _____________________________ Date: __________________ Printed: ___________________________ Title: __________________
25.54 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 52 13 - 8 Agreement NOTE: *NEED 2 SIGNATURES FROM CORPORATE OFFICERS: 1) PRES/VP; AND 2) SECRETARY/CFO/
TREASURER
1. Check if corporate entity is in good standing on CA Secretary of State website:
https://www.secstates.com/CA_California_Secretary_of_State_Corporation_Search#:~:text=Corporation% 20%26%20Business%20Entity%20Search,where%20that%20corporation%20is%20registered.
2. Corporation - Signature of two (2) officers required: 1) Pres/VP; and 2)Secretary/CFO/Treasurer (unless 1 person holds two officer positions in both categories (1) and (2)
3. General Partnership, Limited Partnership, Limited Liability Partnership, Limited Liability Corp:
See, City’s Signature Requirements for corporate entities.
END OF SECTION
25.55 Aquifer Storage and Recovery Beltz 9 Pilot Escrow Agreement in Lieu Test Site Preparation and Monitoring Well 00 54 63 - 1 of Retainage SECTION 00 54 63
ESCROW AGREEMENT FOR
SECURITY DEPOSITS IN LIEU OF RETAINAGE
(Optional, can be submitted by Successful Bidder with Agreement) This Escrow Agreement is made and entered into by and between the City of Santa Cruz, (“City”), 809 Center Street, Santa Cruz CA 95060; and
(“Contractor”), ; and
, hereinafter called “Escrow Agent”, whose address is
.
For the consideration hereinafter set forth, the City, Contractor, and Escrow Agent agree as follows:
(1) Pursuant to §22300 of the Public Contract Code of the State of California, Contractor has the option to deposit securities with Escrow Agent as a substitute for retention earnings required to be withheld by City pursuant to the Construction Contract entered into between the City and Contractor for: Aquifer Storage and Recovery Beltz 9 Pilot Test Site Preparation and Monitoring Well in the amount of ($ ), dated: , 20___, (hereinafter referred to as the
“Contract”). Alternatively, on written request of the Contractor, the City will make payments of the retention earnings directly to the Escrow Agent. When Contractor deposits the securities as a substitute for Contract earnings, the Escrow Agent will notify the City within ten (10) days of the deposit. The market value of the securities at the time of the substitution will be at least equal to the cash amount then required to be withheld as retention under the terms of the Contract between the City and the Contractor.
Securities will be held in the name of the City of Santa Cruz and will designate the Contractor as the beneficial owner.
(2) The City will make progress payments to the Contractor for such funds which otherwise would be withheld from progress payments pursuant to the Contract provisions, provided that the Escrow Agent holds securities in the form and amount specified above. (3) When the City makes payment of retentions earned directly to the Escrow Agent, the Escrow Agent will hold them for the benefit of the Contractor until such time as the escrow created under this contract is terminated. The Contractor may direct the investment of the payments into securities. All terms and conditions of this agreement and the rights and responsibilities of the parties will be equally applicable and binding when the City pays the Escrow Agent directly.
(4) Contractor will be responsible for paying all fees for the expenses incurred by Escrow Agent in administering the Escrow Account and all expenses of the City. These expenses and payment terms will be determined by the City, Contractor, and Escrow Agent. (5) The interest earned on the securities or the money market accounts held in escrow and all interest earned on that interest will be for the sole account of Contractor and will be subject to withdrawal by Contractor at any time, and from time to time, without notice to the City.
25.56 Aquifer Storage and Recovery Beltz 9 Pilot Escrow Agreement in Lieu Test Site Preparation and Monitoring Well 00 54 63 - 2 of Retainage (6) Contractor will have the right to withdraw all or any part of the principal in the Escrow Account only by written notice to Escrow Agent accompanied by written authorization from the City to the Escrow Agent that the City consents to the withdrawal of the amount sought to be withdrawn by Contractor.
(7) The City will have a right to draw upon the securities in the event of default be the Contractor. Upon seven (7) days written notice of the default to the Escrow Agent from the City, the Escrow Agent will immediately convert the securities to cash and will distribute the cash as instructed by the City.
(8) Upon receipt of written notification from the City certifying that the Contract is final and complete, and that the Contractor has complied with all requirements and procedures applicable to the Contract, Escrow Agent will release to Contractor all securities and interest on deposit less escrow fees and charges of the Escrow Account. The escrow will be closed immediately upon disbursement of all moneys and securities on deposit and payment of fees and charges.
(9) Escrow Agent will rely on the written notifications from the City and the Contractor pursuant to Sections (5) to (8), inclusive, of this agreement and the City and Contractor will hold Escrow Agent harmless from Escrow Agent’s release and disbursement of the securities and interest as set forth above.
(10) The names of the persons who are authorized to give written notice or to receive written notice on behalf of the City and on behalf of the Contractor in connection with the foregoing, and exemplars of their respective signatures are as follows:
On behalf of City: On behalf of Contractor:
Water Director
Title Title
Rosemary Menard
Name Name
Signature Signature
809 Center Street, Room 102
Santa Cruz, CA 95060
Address Address
END OF SECTION
25.57 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 61 13.13 - 1 Performance Bond SECTION 00 61 13.13
PERFORMANCE BOND
WHEREAS, the City of Santa Cruz, a municipal corporation, in the County of Santa Cruz, State of California, has awarded to _______________________, hereinafter designated as the "Principal," a contract for constructing the work or improvement described in the contract documents entitled:
“Aquifer Storage and Recovery Beltz 9 Pilot Test Site Preparation and Monitoring Well” adopted by the City Council of the City of Santa Cruz on the _________ day of _________, ______, and, WHEREAS, said Principal is about to enter into the annexed contract with the City of Santa Cruz:
NOW, THEREFORE, we, the Principal, and ____________________________________, a corporation organized and existing under and by virtue of the laws of the State of California, as surety, are held and firmly bound unto the City of Santa Cruz, a municipal corporation in the County of Santa Cruz, State of California, in the sum of _____________________________ ______________________________dollars ($____________) being not less than one hundred percent (100%) of the estimated contract costs of the work, to be paid to the City of Santa Cruz, for the payment of which sum, well and truly to be paid, we hereby jointly and severally bind ourselves, our heirs, administrators, executors, successors and assigns; NOW, THEREFORE THE CONDITION OF THIS OBLIGATION IS SUCH, that if the Principal, his/her heirs, executors, administrators, successors, or assigns shall in all things abide by and well and truly keep and perform the covenants, conditions and agreements in the said contract and any alteration thereof made as herein provided, on his/her or their part, to be kept and performed at the time and in the manner therein specified, and in all respects according to the true intent and meaning, and shall indemnify and save harmless the City of Santa Cruz, its officers and agents as therein stipulated, that this obligation shall be discharged, otherwise it shall be and remain in full force and effect.
As a condition precedent to the satisfactory completion of the said contract, the above obligation in the amount of dollars ___________________________________________dollars ($_________), being not less than 10 percent of the estimated contract cost, shall remain in force for a period of one (1) year after the completion and acceptance of the said work, during which time if the Principal, his/her or its heirs, executors, administrators, successors or assigns shall fail to make full, complete and satisfactory repairs and replacements or totally protect the City of Santa Cruz from loss or damage made evident during said period of one (1) year from the date of official acceptance of said work and resulting from or caused by defective materials or faulty workmanship in the prosecution of the work done, the above obligation in the sum of ___________________________________________________________________ dollars ($_________), shall remain in full force and effect, otherwise the obligation shall be discharged.
However, notwithstanding any other provisions of this paragraph, the obligation of the surety hereunder shall continue so long as any obligation of the Principal remains.
The surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration, or addition to the terms of the contract or to the work to be performed thereunder or the specifications shall in any way effect its obligation on this bond, and it does hereby waive notice of any such changes,
25.58 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 61 13.13 - 2 Performance Bond extensions of time, alterations, or additions to the terms of the contract or to the work or to the specifications, and the surety does hereby waive its rights under California Civil Code Section 2819.
IN WITNESS whereof, the parties have executed this instrument under their seals, this ____ day of__________________, 20____, by its undersigned representative, pursuant to the authority of its governing body, the day and year first hereinabove written. ________________________________
PRINCIPAL
________________________________
SURETY
CITY ATTORNEY
Approved as to Form
END OF SECTION
25.59 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 61 13.16 - 1 Payment Bond SECTION 00 61 13.16
PAYMENT BOND
WHEREAS, the City of Santa Cruz, a municipal corporation in the County of Santa Cruz, State of California, has awarded to _______________________, hereinafter designated as the "Principal," a contract for constructing the work or improvement described in the contract documents entitled:
“Aquifer Storage and Recovery Beltz 9 Pilot Test Site Preparation and Monitoring Well” adopted by the City Council of the City of Santa Cruz on the _________ day of _________, ______, and,
WHEREAS, said Principal is required under the terms of said contract to furnish a Labor and Material Bond, the surety of this bond will pay the same to the extent hereinafter set forth; and WHEREAS, the said Principal is about to enter into the annexed contract with the City of Santa Cruz to complete the work or improvement referred to above for the City of Santa Cruz, County of Santa Cruz, State of California, all as more particularly and in detail as shown upon the Standard Specifications and Bid Documents filed in the Office of the City Clerk of the City of Santa Cruz;
NOW, THEREFORE, we the Principal, and a
corporation organized and existing under and by virtue of the laws of the State of California, as surety, are held and firmly bound unto the City of Santa Cruz in the sum of _________________________________dollars ($________) such sum being not less than one hundred percent (100%) of the estimated contract cost of the work, lawful money of the United States of America, to be paid to the City of Santa Cruz, for the payment of which sum, well and truly to be made, we hereby bind ourselves, our heirs, administrators, executors, successors and assign jointly and severally.
THE CONDITION OF THIS OBLIGATION IS SUCH, that if said Principal or its heirs, executors, administrators, successors or assigns, shall fail to pay for any materials, provisions, vendor supplies, or equipment as provided in the contract documents, upon, for, or about the performance of the work contracted to be done, or for any work or waiver thereon of any kind, or for amounts due under the Unemployment Insurance Code with respect to work or labor performed by any such claimant, or fails to pay any of the persons authorized under Civil Code Section 9100 to assert a claim against a payment bond, or fails to pay for any amounts required to be deducted, withheld, and paid over to the Franchise Tax Board for the wages of employees of the Principal or his/her subcontractor pursuant to Section 18806 of the Revenue and Taxation Code, or fails to pay for any amounts required to be deducted, withheld, and paid over to the Employment Development Department from the wages of employees of the principal and all subcontractors with respect to such work and labor that the surety or sureties will pay for the same, in an amount not exceeding the sum specified in this bond, and also, in case suit is brought upon the bond, will pay, in addition to the face amount hereof, a reasonable attorney's fee, to be fixed by the Court.
25.60 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 61 13.16 - 2 Payment Bond The condition of this obligation is such that its terms inure to the benefit of any of the persons and entities authorized in Civil Code Section 9100 to assert a claim against a payment bond so as to give a right of action to such persons or entities or their assigns in any suit brought upon or action to enforce liability on the bond.
The surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration, or addition to the terms of the contract or to the work to be performed thereunder shall in any manner affect its obligation upon this bond, and it does hereby explicitly waive notice of any such change, extension of time, alteration or addition to the terms of the contract or to the work to be performed thereunder, and further explicitly hereby waives its rights under Civil Code Section 2819.
IN WITNESS WHEREOF, the above parties have executed this instrument under their seals this_____ day of____________________, 20__, and duly signed by its undersigned representation, pursuant to authority of its governing body. __________________________________
PRINCIPAL
__________________________________
SURETY
_________________________
CITY ATTORNEY
Approved as to Form
END OF SECTION
25.61 Aquifer Storage and Recovery Beltz 9 Pilot Division of Apprenticeship Test Site Preparation and Monitoring Well 00 62 91 - 1 Standards Form SECTION 00 62 91
DIVISION OF APPRENTICESHIP STANDARDS FORM –
DAS FORM 140
(To be submitted by Successful Bidder with Agreement)
Form Follows
25.62 PUBLIC WORKS CONTRACT AWARD INFORMATION
Contract award information must be sent to your Apprenticeship Committee if you are approved to train. If you are not approved to train, you must send the information (which may be this form) to ALL applicable Apprenticeship Committees in your craft or trade in the area of the site of the public work. Go to: http://www.dir.ca.gov/databases/das/pwaddrstart.asp for information about programs in your area and trade. You may also consult your local Division of Apprenticeship Standards (DAS) office whose telephone number may be found in your local directory under California, State of, Industrial Relations, Division of Apprenticeship Standards.
Do not send this form to the Division of Apprenticeship Standards. NAME OF YOUR COMPANY CONTRACTOR'S STATE LICENSE NO MAILING ADDRESS- NUMBER & STREET, CITY, ZIP CODE AREA CODE & TELEPHONE NO.
NAME & ADDRESS OF PUBLIC WORKS PROJECT DATE YOUR CONTRACT EXECUTED
DATE OF EXPECTED OR ACTUAL START OF PROJECT
NAME & ADDRESS OF PUBLIC AGENCY AWARDING CONTRACT ESTIMATED NUMBER OF JOURNEYMEN HOURS
OCCUPATION OF APPRENTICE
THIS FORM IS BEING SENT TO: (NAME & ADDRESS OF APPRENTICESHIP PROGRAM(S)) ESTIMATED NUMBER OF APPRENTICE HOURS
APPROXIMATE DATES TO BE EMPLOYED
This is not a request for dispatch of apprentices.
Contractors must make a separate request for actual dispatch, in accordance with Section 230.1(a) California Code of Regulations Check One Of The Boxes Below
1. We are already approved to train apprentices by the
Apprenticeship Committee. We will employ and train under their Standards. Enter name of the Committee
2. We will comply with the standards of
Apprenticeship Committee for the duration of this job only. Enter name of the Committee
3. We will employ and train apprentices in accordance with the California Apprenticeship Council regulations, including § 230.1 (c) which requires that apprentices employed on public projects can only be assigned to perform work of the craft or trade to which the apprentice is registered and that the apprentices must at all times work with or under the direct supervision of journeyman/men.
Signature Date
Typed Name
Title
State of California - Department of Industrial Relations DIVISION DAS 140 (REV. 1/04) OF APPRENTICESHIP STANDARDS
25.63 Explanation to box 1 ‐ 3 on form DAS 140
• Box 1 is for contractors who are already approved to train by an apprenticeship program (signatory/member).
• Box 2 indicates that a contractor is willing to comply with a program's Standards for the current project only. This generally means that the fringe benefits and the training funds will be paid to that Committee's Trust Fund. It also allows a contractor to take advantage of a more generous maximum ratio than the CAC Standards, but does not affect the minimum ratio of 1 apprentice hour for every 5 journeyman hours.
• Box 3 means that a contractor will be governed by the regulations of the California Apprenticeship Council. Generally this means that the minimum and maximum ratio for apprentices is the same – 1 apprentice hour for every 5 journeyman hours per each craft, totaled at the end of the project. It also means the Training Fund Contribution is usually paid to the California Apprenticeship Council.
25.64 Aquifer Storage and Recovery Beltz 9 Pilot Division of Apprenticeship Test Site Preparation and Monitoring Well 00 62 91 - 2 Standards Form
END OF SECTION
25.65 Aquifer Storage and Recovery Beltz 9 Pilot Request for Dispatch Test Site Preparation and Monitoring Well 00 62 92 - 1 of an Apprentice SECTION 00 62 92
REQUEST FOR DISPATCH OF AN APPRENTICE
(Do not send this form to DAS)
Form follows
25.66 REQUEST FOR DISPATCH OF AN APPRENTICE – DAS 142 FORM
DO NOT SEND THIS FORM TO DAS
You may use this form to request dispatch of an apprentice from the Apprenticeship Committee in the craft or trade in the area of the public work. Go to: http://www.dir.ca.gov/databases/das/pwaddrstart.asp for information about programs in your area and trade. You may also consult your local Division Apprenticeship Standards (DAS) office whose telephone number may be found in your local directory under California, State of, Industrial Relations, Division of Apprenticeship Standards. Except for projects with less than 40 hours of journeyworkers work, you must request and employ apprentices in no less than 8 hour increments.
List one occupation/craft per form
Date:
_____________________
To Applicable Apprenticeship Committee:
Name:
Address:
Tel. No. Fax No.
Contractor Requesting Dispatch:
Name:
Address:
License No.
PWC Registration Number:
Tel. No. Fax No.
Project Information: PWC Project Number _________________ Contract Number __________________________ Total Contract Amount. _____________________________ Sub-Contract Amount ___________________________ Name ofthe Project:
Address:
Dispatch Request Information:
Number of Apprentice(s) Needed: Craft or Trade:
Date Apprentice(s) to Report: (72 hrs. notice required) Timeto Report:
Name of Person to Reportto:
Address to Reportto:
You may use this form to make your written request for the dispatch of an apprentice. Requests for dispatch must be in writing and submitted at least 72 hours in advance (excluding weekends and holidays) via first class mail, fax or email. Proof of submission may be required. Please take note of California Code of Regulations, Title 8, § 230.1 (a) for all applicable requirements regarding apprenticeship requests and/or
visit https://www.dir.ca.gov/das/PublicWorksForms.htm
DAS 142 (Revised 10/18)
25.67 Aquifer Storage and Recovery Beltz 9 Pilot Request for Dispatch Test Site Preparation and Monitoring Well 00 62 92 - 2 of an Apprentice
END OF SECTION
25.68 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 72 13- 1 General Conditions SECTION 00 72 13
GENERAL CONDITIONS
TABLE OF CONTENTS FOR GENERAL CONDITIONS
ARTICLE 1— Definitions and Terminology ................................................................................ 5
1.01 Defined Terms .................................................................................................................... 5
1.02 Terminology ..................................................................................................................... 10 ARTICLE 2— Preliminary Matters ............................................................................................. 12
2.01 Delivery of Bonds and Insurance ..................................................................................... 12
2.02 Copies of Documents ....................................................................................................... 12
2.03 Before Starting Construction ............................................................................................ 12
2.04 Preconstruction Conference; Designation of Authorized Representatives ....................... 12
2.05 Acceptance of Schedules .................................................................................................. 13
2.06 Electronic Transmittals ..................................................................................................... 13 ARTICLE 3— Contract Documents: Intent, Requirements, Reuse ............................................ 13
3.01 Intent ................................................................................................................................. 13
3.02 Reference Standards ......................................................................................................... 14
3.03 Reporting and Resolving Discrepancies ........................................................................... 14
3.04 Requirements of the Contract Documents ........................................................................ 15
3.05 Reuse of Documents ......................................................................................................... 16 ARTICLE 4— Commencement and Progress of the Work ......................................................... 16
4.01 Commencement of Contract Times .................................................................................. 16
4.02 Starting the Work ............................................................................................................. 16
4.03 Reference Points ............................................................................................................... 17
4.04 Progress Schedule............................................................................................................. 17
4.05 Delays in Contractor’s Progress ....................................................................................... 17
4.06 Notice of Delays ............................................................................................................... 20 ARTICLE 5— Site conditions; Hazardous Environmental Conditions ....................................... 21
5.01 Availability of Lands ........................................................................................................ 21
5.02 Use of Site and Other Areas ............................................................................................. 21 appl
5.04 Differing Subsurface or Physical Conditions ................................................................... 23
5.05 Underground Facilities ..................................................................................................... 24
5.06 Hazardous Environmental Conditions at Site ................................................................... 25 ARTICLE 6— Bonds and Insurance ........................................................................................... 27
25.69 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 72 13- 2 General Conditions
6.01 Performance, Payment, and Other Bonds ......................................................................... 27
6.02 Insurance—General Provisions ........................................................................................ 29
6.03 Contractor’s Insurance ..................................................................................................... 29
6.04 Property Insurance ............................................................................................................ 29
6.05 Losses; Subrogation ......................................................................................................... 29
6.06 Receipt and Application of Property Insurance Proceeds ................................................ 29 ARTICLE 7— Contractor’s Responsibilities .............................................................................. 30
7.01 Contractor’s Means and Methods of Construction ........................................................... 30
7.02 Supervision and Superintendence..................................................................................... 30
7.03 Labor; Working Hours ..................................................................................................... 31
7.04 Services, Materials, and Equipment ................................................................................. 32
7.05 “Or-Equals” ...................................................................................................................... 33
7.06 Substitutes ........................................................................................................................ 34
7.07 Concerning Subcontractors Suppliers, and Others Performing Work .............................. 36
7.08 Patent Fees and Royalties ................................................................................................. 37
7.09 Permits .............................................................................................................................. 38
7.10 Taxes ................................................................................................................................ 38
7.11 Laws and Regulations ...................................................................................................... 38
7.12 Record Documents ........................................................................................................... 39
7.13 Safety and Protection ........................................................................................................ 39
7.14 Hazard Communication Programs ................................................................................... 42
7.15 Emergencies ..................................................................................................................... 42
7.16 Submittals ......................................................................................................................... 42
7.17 Contractor’s General Warranty and Guarantee ................................................................ 45
7.18 Indemnification ................................................................................................................ 46
7.19 Delegation of Professional Design Services ..................................................................... 47 ARTICLE 8— Other Work at the Site ......................................................................................... 48
8.01 Other Work ....................................................................................................................... 48
8.02 Coordination ..................................................................................................................... 49
8.03 Legal Relationships .......................................................................................................... 49 ARTICLE 9— City’s Responsibilities ......................................................................................... 50
9.01 Communications to Contractor ........................................................................................ 50
9.02 Replacement of City’s Consultants .................................................................................. 50
9.03 Furnish Data ..................................................................................................................... 50
9.04 Pay When Due .................................................................................................................. 50
9.05 Lands and Easements; Reports, Tests, and Drawings ..................................................... 50
25.70 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 72 13- 3 General Conditions
9.06 Insurance .......................................................................................................................... 51
9.07 Change Orders .................................................................................................................. 51
9.08 Inspections, Tests, and Approvals .................................................................................... 51
9.09 Limitations on City’s Responsibilities ............................................................................ 51
9.10 Undisclosed Hazardous Environmental Condition ......................................................... 51
9.11 Evidence of Financial Arrangements ............................................................................... 51
9.12 Safety Programs ............................................................................................................... 51 ARTICLE 10— City’s consultants During Construction .............................................................. 51
10.01 City’s Representatives ...................................................................................................... 51
10.02 Program Manager ............................................................................................................. 52
10.03 Construction Manager ...................................................................................................... 52
10.04 Engineer ........................................................................................................................... 55
10.05 Limitations on City’s Consultants’ Authority .................................................................. 56
10.06 Compliance with Safety Program ..................................................................................... 57 ARTICLE 11— Changes to the Contract ...................................................................................... 57
11.01 Amending and Supplementing the Contract ..................................................................... 57
11.02 Change Orders .................................................................................................................. 57
11.03 Work Change Directives .................................................................................................. 58
11.04 Field Orders ...................................................................................................................... 58
11.05 City-Authorized Changes in the Work ............................................................................. 58
11.06 Unauthorized Changes in the Work ................................................................................. 59
11.07 Change of Contract Price ................................................................................................. 59
11.08 Change of Contract Times ................................................................................................ 60
11.09 Change Proposals ............................................................................................................. 60
11.10 Notification to Surety and Insurance Carrier .................................................................... 62 ARTICLE 12— Initial Claims for Contract Disputes .................................................................... 62
12.01 Claims Under the Public Contract Code .......................................................................... 62
12.02 Prerequisite to Legal Action ............................................................................................ 62
12.03 Claim Submittal ............................................................................................................... 62
12.04 City's Response .............................................................................................................. 64
12.05 Meet and Confer ............................................................................................................. 64
12.06 Mediation ....................................................................................................................... 64
12.07 Claims for $375,000 or Less .......................................................................................... 65 ARTICLE 13— Cost of the Work; Allowances; Unit price work .. Error! Bookmark not defined.
13.01 Cost of the Work or “Force Account Work” .................................................................... 65
13.02 Allowances ....................................................................................................................... 71
25.71 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 72 13- 4 General Conditions
13.03 Unit Price Work................................................................................................................ 71 ARTICLE 14— Tests and Inspections; Correction, Removal or Acceptance of Defective Work 72
14.01 Quality Control ............................................................................................................... 72
14.02 Access to Work ................................................................................................................ 72
14.03 Tests, Inspections, and Approvals .................................................................................... 72
14.04 Defective Work ................................................................................................................ 73
14.05 Acceptance of Defective Work ........................................................................................ 73
14.06 Uncovering Work ............................................................................................................. 73
14.07 City May Stop the Work .................................................................................................. 74
14.08 City May Correct Defective Work ................................................................................... 74 ARTICLE 15— Payments to Contractor; Set-Offs; Completion; Correction Period .................... 75
15.01 Progress Payments ............................................................................................................ 75
15.02 Contractor’s Warranty of Title ......................................................................................... 79
15.03 Substantial Completion .................................................................................................... 79
15.04 Partial Use or Occupancy ................................................................................................. 81
15.05 Final Inspection ................................................................................................................ 81
15.06 Final Payment. .................................................................................................................. 82
15.07 Waiver of Claims.............................................................................................................. 83
15.08 Correction Period ............................................................................................................. 84 ARTICLE 16— Suspension of Work and Termination ................................................................. 85
16.01 City May Suspend Work .................................................................................................. 85
16.02 City May Terminate for Cause ......................................................................................... 85
16.03 City May Terminate for Convenience .............................................................................. 86
16.04 Contractor May Stop Work or Terminate ........................................................................ 87 ARTICLE 17— Final Resolution of Disputes ............................................................................... 87
17.01 Methods and Procedures .................................................................................................. 87
17.02 Arbitration ...................................................................................................................... 88
17.03 Government Code Claim ................................................................................................ 88
17.04 Legal Action ................................................................................................................... 88
17.05 Duty to Continue Performance ....................................................................................... 88 ARTICLE 18— Miscellaneous ...................................................................................................... 89
18.01 Giving Notice ................................................................................................................... 89
18.02 Computation of Times ...................................................................................................... 89
18.03 Cumulative Remedies ....................................................................................................... 89
18.04 Limitation of Damages ..................................................................................................... 89
18.05 No Waiver ........................................................................................................................ 89
25.72 Aquifer Storage and Recovery Beltz 9 Pilot
Test Site Preparation and Monitoring Well 00 72 13- 5 General Conditions
18.06 Survival of Obligations .................................................................................................... 89
18.07 Controlling Law ............................................................................................................... 90
18.08 Assignment of Contract .................................................................................................... 90
18.09 Successors and Assigns .................................................................................................... 90
18.10 Publicity and Publications ................................................................................................ 90
18.11 City’s Right to Access Contractor’s Records ................................................................... 90
18.12 Headings ........................................................................................................................... 90 ARTICLE 19— Statutory provisions ............................................................................................. 91
19.01 Compliance ....................................................................................................................... 91
19.02 Labor Discrimination ....................................................................................................... 91
19.03 Local Hiring ..................................................................................................................... 91
19.04 Department of Industrial Relations Requirements ........................................................... 91
19.05 DIR Registration............................................................................................................... 92
19.06 Prevailing Wages .............................................................................................................. 93
19.07 Payroll Records ................................................................................................................ 93
19.08 Apprenticeship.................................................................................................................. 93
19.09 Assignment of Unfair Business Practice Claims .............................................................. 94 ARTICLE 1— DEFINITIONS AND TERMINOLOGY
1.01 Defined Terms
A. Wherever used in the Bidding Requirements or Contract Documents, a term printed with initial capital letters, including the term’s singular and plural forms, will have the meaning indicated in the definitions below. In addition to terms specifically defined, terms with initial capital letters in the Contract Documents include references to identified articles and paragraphs, and the titles of other documents or forms
1. Addenda—Written or graphic instruments issued prior to the opening of Bids which clarify, correct, or change the Bidding Requirements or the proposed Contract Documents.
2. Agreement—The written instrument, executed by City and Contractor, that sets forth the Contract Price and Contract Times, identifies the parties, and designates the specific documents that are Contract Documents.
3. Allowance— Is for materials or work that is known to definitely be required, but which cannot be specified with adequate detail. Such materials or work are describable in general terms and their cost can be estimated. Each Allowance requires the City approval and authorization prior to any progress payments for the Allowance.
4. Application for Payment—The document prepared by Contractor, in a form acceptable to City, to request progress or final payments, and which is to be accompanied by such supporting documentation as is required by the Contract Documents.
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5. Bid—The offer of a Bidder submitted on the prescribed form setting forth the prices for the Work to be performed.
6. Bidder—An individual or entity that submits a Bid to City.
7. Bidding Documents—The Bidding Requirements, the proposed Contract Documents, and all Addenda.
8. Bidding Requirements—The Advertisement or invitation to bid, Instructions to Bidders, Bid Bond or other Bid security, if any, the Bid Form, and the Bid with any attachments.
9. Change Order—A document which is signed by Contractor and City and authorizes an addition, deletion, or revision in the Work or an adjustment in the Contract Price or the Contract Times, or other revision to the Contract, issued on or after the Effective Date of the Contract.
10. Change Proposal—A written request by Contractor, duly submitted in compliance with the procedural requirements set forth herein, seeking an adjustment in Contract Price or Contract Times; contesting an initial decision by Construction Manager concerning the requirements of the Contract Documents or the acceptability of Work under the Contract Documents.
11. City—The City of Santa Cruz, California, which is the entity with which Contractor has contracted regarding the Work, and which has agreed to pay Contractor for the performance of the Work, pursuant to the terms of the Contract. The terms “City” and “Owner” have the same meaning. The term “City Council” means the duly elected governing board of the City.
12. City Representative-The Program Manager, Construction Manager or Engineer acting on behalf of the City during the construction period with duties, responsibilities and limitations of authority as set forth in the Agreement and Contract Documents.
13. Claim - Any request by Contractor, duly submitted in compliance with the requirements set forth in Article 12 and Article 17, seeking an adjustment of Contract Price and/or Contract Times; or seeking other relief related to the Project
14. Constituent of Concern—Asbestos, petroleum, radioactive materials, polychlorinated biphenyls (PCBs), lead-based paint (as defined by the HUD/EPA standard), hazardous waste, and any substance, product, waste, or other material of any nature whatsoever that is or becomes listed, regulated, or addressed pursuant to Laws and Regulations regulating, relating to, or imposing liability or standards of conduct concerning, any hazardous, toxic, or dangerous waste, substance, or material.
15. Construction Manager (CM)— The individual or entity so designated in the Agreement and with the roles and responsibilities as set forth in Article 10 of these General Conditions.
16. Contingency— Is for the sole use of City to cover unanticipated costs for specific items of Work not completely defined in the Contract Documents. Use of Contingency requires the City approval and authorization prior to any progress payments for the additional work.
17. Contract—The entire and integrated written contract between City and Contractor concerning the Work.
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18. Contract Documents—Those items so designated in the Agreement, and as modified by Change Order, including but not limited to Drawings and Specifications, and which together comprise the Contract.
19. Contract Price—The money that City has agreed to pay Contractor for completion of the Work in accordance with the Contract Documents.
20. Contract Times—The number of days or the dates by which Contractor shall: (a) achieve Milestones, if any; (b) achieve Substantial Completion; and (c) complete the Work.
21. Contractor—The party that has entered into a contract with the City for performance of the Work provided for in the Contract Documents.
22. Cost of the Work—As defined in Article 13.
23. Director—The Water Department Director for the City of Santa Cruz, acting either directly or through properly authorized agents acting within the scope of the particular duties delegated to them, including those designated as the City’s Representative.
24. Deputy Water Director—Engineering Manager for City of Santa Cruz Water Department.
25. Drawings—The part of the Contract that graphically shows the scope, extent, and character of the Work to be performed by Contractor.
26. Effective Date of the Contract—The date, indicated in the Agreement, on which the Contract becomes effective.
27. Electronic Document—Any Project-related correspondence, attachments to correspondence, data, documents, drawings, information, or graphics, including but not limited to Shop Drawings and other Submittals, that are in an electronic or digital format.
28. Electronic Means—Electronic mail (email), upload/download from a secure Project website, or other communications methods that allow: (a) the transmission or communication of Electronic Documents; (b) the documentation of transmissions, including sending and receipt; (c) printing of the transmitted Electronic Document by the recipient; (d) the storage and archiving of the Electronic Document by sender and recipient; and (e) the use by recipient of the Electronic Document for purposes permitted by this Contract. Electronic Means does not include the use of text messaging, or of Facebook, Twitter, Instagram, or similar social media services for transmission of Electronic Documents.
29. Engineer—The individual or entity named as such in the Agreement.
30. Field Order—A written order issued by Construction Manager which requires minor changes in the Work but does not change the Contract Price or the Contract Times.
31. Final Completion—The time at which the entire Work is complete, including completion and acceptance of all punch list corrections, as deemed by the City.
32. Hazardous Environmental Condition—The presence at the Site of Constituents of Concern in such quantities or circumstances that may present a danger to persons or property exposed thereto.
a. The presence at the Site of materials that are necessary for the execution of the Work, or that are to be incorporated into the Work, and that are controlled and
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Test Site Preparation and Monitoring Well 00 72 13- 8 General Conditions contained pursuant to industry practices, Laws and Regulations, and the requirements of the Contract, is not a Hazardous Environmental Condition. b. The presence of Constituents of Concern that are to be removed or remediated as part of the Work is not a Hazardous Environmental Condition. c. The presence of Constituents of Concern as part of the routine, anticipated, and obvious working conditions at the Site, is not a Hazardous Environmental Condition.
33. Laws and Regulations; Laws or Regulations—Any and all applicable laws, statutes, rules, regulations, ordinances, codes, and binding decrees, resolutions, and orders of any and all governmental bodies, agencies, authorities, and courts having jurisdiction.
34. Liens—Charges, security interests, or encumbrances upon Contract-related funds, real property, or personal property.
35. Milestone—A principal event in the performance of the Work that the Contract requires Contractor to achieve by an intermediate completion date, or by a time prior to Substantial Completion of all the Work.
36. Notice of Award—The written notice by City to a Bidder of City’s acceptance of the Bid.
37. Notice of Completion - A document executed by the Director, as authorized by the City Council, and filed with the County Recorder, signifying the date that the entire Work has been completed and accepted by the City.
38. Notice to Proceed—A written notice by City to Contractor fixing the date on which the Contract Times will commence to run and on which Contractor shall start to perform the Work.
39. Program Manager—The entity so designated in the Agreement.
40. Progress Schedule—A schedule, prepared and maintained by Contractor, describing the sequence and duration of the activities comprising Contractor’s plan to accomplish the Work within the Contract Times.
41. Project—The total undertaking to be accomplished for City by engineers, contractors, and others, including planning, study, design, construction, materials, equipment, testing, commissioning, and start-up, and of which the Work to be performed.
42. Samples—Physical examples of materials, equipment, or workmanship that are representative of some portion of the Work and that establish the standards by which such portion of the Work will be judged.
43. Schedule of Submittals—A schedule, prepared and maintained by Contractor, of required submittals and the time requirements for Construction Manager’s and Engineer’s review of the Submittals.
44. Schedule of Values—A schedule, prepared and maintained by Contractor, allocating portions of the Contract Price to various portions of the Work and used as the basis for reviewing Contractor’s Applications for Payment.
45. Shop Drawings—All drawings, diagrams, illustrations, schedules, and other data or information that are specifically prepared or assembled by or for Contractor and submitted by Contractor to illustrate some portion of the Work. Shop Drawings, whether approved or not, are not Drawings and are not Contract Documents.
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46. Site—Lands or areas indicated in the Contract Documents as being furnished by City upon which the Work is to be performed, including rights-of-way and easements, and such other lands or areas furnished by City which are designated for the use of Contractor.
47. Specifications—The part of the Contract that consists of written requirements for materials, equipment, systems, standards, and workmanship as applied to the Work, and certain administrative requirements and procedural matters applicable to the Work.
48. State Specifications— Current edition of the California Department of Transportation (Caltrans) Construction Contract Standards. Where the terms “State” or the “Engineer” are used within the State Specifications, they shall be considered as meaning the “City” or “Director” as defined in these General Conditions.
49. Subcontractor—An individual or entity having a direct contract with Contractor or with any other Subcontractor for the performance of a part of the Work. Trucking firms, testing laboratories, and consultants, whether employed by Contractor or any Subcontractor, are considered Subcontractors.
50. Submittal—A written or graphic document, prepared by or for Contractor, which the Contract Documents require Contractor to submit to Construction Manager or Engineer, or that is indicated as a Submittal in the Schedule of Submittals accepted by Engineer. Submittals may include Shop Drawings and Samples; schedules; product data; City-delegated designs; sustainable design information; information on special procedures; testing plans; results of tests and evaluations, source qualitycontrol testing and inspections, and field or Site quality-control testing and inspections; warranties and certifications; Suppliers’ instructions and reports; records of delivery of spare parts and tools; operations and maintenance data; Project photographic documentation; record documents; and other such documents required by the Contract Documents. Submittals, whether or not approved or accepted by Construction Manager or Engineer, are not Contract Documents. Change Proposals, Change Orders, Claims, notices, Applications for Payment, and requests for interpretation or clarification are not Submittals.
51. Substantial Completion—The time at which the Work (or a specified part thereof) has progressed to the point where, in the opinion of the City, the Work (or a specified part thereof) is sufficiently complete, in accordance with the Contract Documents, so that the Work (or a specified part thereof) can be utilized for the purposes for which it is intended. The terms “substantially complete” and “substantially completed” as applied to all or part of the Work refer to Substantial Completion of such Work.
52. Successful Bidder—The Bidder to which the City makes an award of the Contract.
53. Supplementary Conditions—The terms and conditions that amend or supplement these General Conditions.
54. Supplier—A manufacturer, fabricator, supplier, distributor, or vendor having a direct contract with Contractor or with any Subcontractor to furnish materials or equipment to be incorporated in the Work by Contractor or a Subcontractor. Firms that rent construction equipment or machinery used in the Work are considered Suppliers when such rental firm does not operate the equipment or machinery for performance of the Work.
55. Technical Data
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Test Site Preparation and Monitoring Well 00 72 13- 10 General Conditions a. Those items expressly identified as Technical Data in the Instructions to Bidders, with respect to either (1) existing subsurface conditions at or adjacent to the Site, or existing physical conditions at or adjacent to the Site including existing surface or subsurface structures (except Underground Facilities) or (2) Hazardous Environmental Conditions at the Site.
b. If no such express identifications of Technical Data have been made with respect to conditions at the Site, then Technical Data is defined, with respect to conditions at the Site under Paragraphs 5.03, 5.04, and 5.06, as the data contained in boring logs, recorded measurements of subsurface water levels, assessments of the condition of subsurface facilities, laboratory test results, and other factual, objective information regarding conditions at the Site that are set forth in any geotechnical, environmental, or other Site or facilities conditions report prepared for the Project and made available to Contractor.
c. Information and data regarding the presence or location of Underground Facilities are not intended to be categorized, identified, or defined as Technical Data, and instead Underground Facilities are shown or indicated on the Drawings.
56. Underground Facilities—All active or not-in-service underground lines, pipelines, conduits, ducts, encasements, cables, wires, manholes, vaults, tanks, tunnels, or other such facilities or systems at the Site, including but not limited to those facilities or systems that produce, transmit, distribute, or convey telephone or other communications, cable television, fiber optic transmissions, power, electricity, light, heat, gases, oil, crude oil products, liquid petroleum products, water, steam, waste, wastewater, storm water, other liquids or chemicals, or traffic or other control systems. An abandoned facility or system is not an Underground Facility.
57. Unit Price Work—Work to be paid for on the basis of unit prices.
58. Work—The entire construction or the various separately identifiable parts thereof required to be provided under the Contract Documents. Work includes and is the result of performing or providing all labor, services, and documentation necessary to produce such construction; furnishing, installing, and incorporating all materials and equipment into such construction; and may include related services such as testing, start-up, and commissioning, all as required by the Contract Documents.
59. Work Change Directive—A written directive to Contractor issued on or after the Effective Date of the Contract, signed by City and recommended by Construction Manager, ordering an addition, deletion, or revision in the Work, or responding to differing or unforeseen subsurface or physical conditions under which the Work is to be performed or to emergencies. A Work Change Directive will not change the Contract Price or the Contract Times but is evidence that the parties expect that the change ordered or documented by a Work Change Directive will be incorporated in a subsequently issued Change Order following negotiations by the parties as to its effect, if any, on the Contract Price or Contract Times.
1.02 Terminology
A. The words and terms discussed in Paragraphs 1.02.B, C, D, and E are not defined terms that require initial capital letters, but, when used in the Bidding Requirements or Contract Documents, have the indicated meaning.
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Test Site Preparation and Monitoring Well 00 72 13- 11 General Conditions B. Intent of Certain Terms or Adjectives: The Contract Documents include the terms “as allowed,” “as approved,” “as ordered,” “as directed” or terms of like effect or import to authorize an exercise of professional judgment by City, Engineer or Construction Manager. In addition, the adjectives “reasonable,” “suitable,” “acceptable,” “proper,” “satisfactory,” or adjectives of like effect or import are used to describe an action or determination of Engineer as to the Work. It is intended that such exercise of professional judgment, action, or determination will be solely to evaluate, in general, the Work for compliance with the information in the Contract Documents and with the design concept of the Project as a functioning whole as shown or indicated in the Contract Documents (unless there is a specific statement indicating otherwise). The use of any such term or adjective is not intended to and shall not be effective to assign to Construction Manager any duty or authority to supervise or direct the performance of the Work, or any duty or authority to undertake responsibility contrary to the provisions of Article 10 or any other provision of the Contract Documents.
C. Day: The word “day” means a calendar day of 24 hours measured from midnight to the next midnight.
D. Defective Work: The term “Defective Work,” refers to Work that is unsatisfactory, faulty, omitted, incomplete, or deficient in that it:
1. does not conform to the Contract Documents;
2. does not meet the requirements of any applicable inspection, reference standard, test, or approval referred to in the Contract Documents; or
3. has been damaged prior to Engineer’s recommendation of final payment (unless responsibility for the protection thereof has been assumed by Owner at Substantial Completion in accordance with Paragraph 15.03 or Paragraph 15.04).
E. Furnish, Install, Perform, Provide
1. The word “furnish,” when used in connection with services, materials, or equipment, means to supply and deliver said services, materials, or equipment to the Site (or some other specified location) ready for use or installation and in usable or operable condition.
2. The word “install,” when used in connection with services, materials, or equipment, means to put into use or place in final position said services, materials, or equipment complete and ready for intended use.
3. The words “perform” or “provide,” when used in connection with services, materials, or equipment, means to furnish and install said services, materials, or equipment complete and ready for intended use.
4. If the Contract Documents establish an obligation of Contractor with respect to specific services, materials, or equipment, but do not expressly use any of the four words “furnish,” “install,” “perform,” or “provide,” then Contractor shall furnish and install said services, materials, or equipment complete and ready for intended use.
F. Unless stated otherwise in the Contract Documents, words or phrases that have a wellknown technical or construction industry or trade meaning are used in the Contract Documents in accordance with such recognized meaning.
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Test Site Preparation and Monitoring Well 00 72 13- 12 General Conditions ARTICLE 2— PRELIMINARY MATTERS
2.01 Delivery of Bonds and Insurance
A. Performance, Payment, Other Bonds: When Contractor delivers the signed counterparts of the Agreement to City, Contractor shall also deliver to City the performance bond, payment bond, and other bonds (as applicable) on forms provided by the City..
B. Evidence of Contractor’s Insurance: When Contractor delivers the signed counterparts of the Agreement to City, Contractor shall also deliver to City, with copies to each additional insured (as identified in the Contract), the certificates, endorsements, and other evidence of insurance required to be provided by Contractor in accordance with Article 6 of the General Conditions (as may be modified by the Supplementary Conditions).
2.02 Copies of Documents
A. City (or Construction Manager, acting on behalf of City) shall furnish to Contractor one printed copy of the Contract (including one fully signed counterpart of the Agreement), and one copy in electronic portable document format (PDF). Additional paper copies will be furnished upon request at the City’s cost of reproduction.
B. City shall maintain and safeguard an official version of the Contract, including Drawings and Specifications signed and sealed by Engineer and other design professionals, according to the City’s record retention policies.
2.03 Before Starting Construction
A. Preliminary Schedules: Within 10 days after the Effective Date of the Contract (or as otherwise required by the Contract Documents), Contractor shall submit to Construction Manager for timely review:
1. a preliminary Progress Schedule indicating the times (numbers of days or dates) for starting and completing the various stages of the Work, including any Milestones specified in the Contract;
2. a preliminary Schedule of Submittals; and
3. a preliminary Schedule of Values for all of the Work which includes quantities and prices of items which when added together equal the Contract Price and subdivides the Work into component parts in sufficient detail to serve as the basis for progress payments during performance of the Work. Such prices will include an appropriate amount of overhead and profit applicable to each item of Work.
2.04 Preconstruction Conference; Designation of Authorized Representatives A. Before any Work at the Site is started, a conference attended by City, Construction Manager, Engineer, Contractor, and others as appropriate will be held to establish a working understanding among the parties as to the Work, and to discuss the schedules referred to in Paragraph 2.03.A, procedures for handling Shop Drawings, Samples, and other Submittals, processing Applications for Payment, electronic or digital transmittals, and maintaining required records.
B. At this conference, City and Contractor each shall designate, in writing, a specific individual to act as its authorized representative with respect to the services and responsibilities under the Contract. Such individuals shall have the authority to transmit and receive information, render decisions relative to the Contract, and otherwise act on behalf of each respective party.
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2.05 Acceptance of Schedules
A. At least 10 days before submission of the first Application for Payment a conference, attended by Contractor, Construction Manager, Engineer, and others as appropriate, will be held to review the schedules submitted in accordance with Paragraph 2.03.A. No progress payment will be made to Contractor until acceptable schedules are submitted to Construction Manager.
1. The Progress Schedule will be acceptable to Construction Manager if it provides an orderly progression of the Work to completion within the Contract Times. Such acceptance will not impose responsibility on Construction Manager for the Progress Schedule, for sequencing, scheduling, or progress of the Work, nor interfere with or relieve Contractor from Contractor’s full responsibility therefor.
2. Contractor’s Schedule of Submittals will be acceptable to Construction Manager and Engineer if it provides a workable arrangement for reviewing and processing the required Submittals. Schedule of Submittals will be jointly accepted by both Construction Manager and Engineer.
3. Contractor’s Schedule of Values will be acceptable to Construction Manager as to form and substance if it provides a reasonable allocation of the Contract Price to the component parts of the Work.
4. If a schedule is not acceptable, Contractor will have an additional 10 days to revise and resubmit the schedule.
2.06 Electronic Transmittals
A. Except as otherwise stated elsewhere in the Contract, the City, Construction Manager, Engineer, and Contractor may send, and shall accept, Electronic Documents transmitted by Electronic Means.
B. If the Contract does not establish protocols for Electronic Means, then City, Construction Manager, Engineer, and Contractor shall jointly develop such protocols.
C. Subject to any governing protocols for Electronic Means, when transmitting Electronic Documents by Electronic Means, the transmitting party makes no representations as to long-term compatibility, usability, or readability of the Electronic Documents resulting from the recipient’s use of software application packages, operating systems, or computer hardware differing from those used in the drafting or transmittal of the Electronic Documents.
ARTICLE 3— CONTRACT DOCUMENTS: INTENT, REQUIREMENTS, REUSE
3.01 Intent
A. The Contract Documents are complementary; what is required by one Contract Document is as binding as if required by all.
B. Any part of the Work not mentioned or expressly addressed in the Contract Documents but is reasonably inferable or ordinarily implied by the Contract Documents shall be provide by Contractor as if fully described and set forth in the Contract Documents.
C. It is the intent of the Contract Documents to describe a functionally complete Project (or part thereof) to be constructed in accordance with the Contract Documents.
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Test Site Preparation and Monitoring Well 00 72 13- 14 General Conditions D. Unless otherwise stated in the Contract Documents, if there is a discrepancy between the electronic versions of the Contract Documents (including any printed copies derived from such electronic versions) and the printed record version, the printed record version will govern.