8 Civil Code section 2782.8), then, and only to the extent required by Civil Code section 2782.8, which is fully incorporated herein, Consultant’s indemnification obligation shall be limited to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant, and, upon Consultant obtaining a final adjudication by a court of competent jurisdiction, Consultant’s liability for such claim, including the cost to defend, shall not exceed the Consultant’s proportionate percentage of fault.
13. California Labor Code Requirements.
a. Consultant is aware of the requirements of California Labor Code Sections 1720 et seq. and 1770 et seq., which require the payment of prevailing wage rates and the performance of other requirements on certain “public works” and “maintenance” projects (“Prevailing Wage Laws”). If the services are being performed as part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and if the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its officials, officers, employees and agents free and harmless from any claims, liabilities, costs, penalties or interest arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. It shall be mandatory upon the Consultant and all subconsultants to comply with all California Labor Code provisions, which include but are not limited to prevailing wages (Labor Code Sections 1771, 1774 and 1775), employment of apprentices (Labor Code Section 1777.5), certified payroll records (Labor Code Sections 1771.4 and 1776), hours of labor (Labor Code Sections 1813 and 1815) and debarment of contractors and subcontractors (Labor Code Section 1777.1). The requirement to submit certified payroll records directly to the Labor Commissioner under Labor Code section 1771.4 shall not apply to work performed on a public works project that is exempt pursuant to the small project exemption specified in Labor Code Section 1771.4. b. If the services are being performed as part of an applicable “public works” or “maintenance” project, then pursuant to Labor Code Sections 1725.5 and 1771.1, the Consultant and all subconsultants performing such services must be registered with the Department of Industrial Relations. Consultant shall maintain registration for the duration of the Project and require the same of any subconsultants, as applicable. Notwithstanding the foregoing, the contractor registration requirements mandated by Labor Code Sections 1725.5 and 1771.1 shall not apply to work performed on a public works project that is exempt pursuant to the small project exemption specified in Labor Code Sections 1725.5 and 1771.1. c. This Agreement may also be subject to compliance monitoring and enforcement by the Department of Industrial Relations. It shall be Consultant’s sole responsibility to comply with all applicable registration and labor compliance requirements. Any stop orders issued by the Department of Industrial Relations against Consultant or any subcontractor that affect Consultant’s performance of services, including any delay, shall be Consultant’s sole responsibility. Any delay arising out of or resulting from such stop orders shall be considered Consultant caused delay and shall not be compensable by the City. Consultant shall defend, indemnify and hold the City, its officials, officers, employees and agents free and harmless from any claim or liability arising out of stop orders issued by the Department of Industrial Relations against Consultant or any subcontractor.
14. Safety.
Consultant shall execute and maintain its work so as to avoid injury or damage to any person or property. In carrying out its Services, the Consultant shall at all times be in compliance Agenda Item #10.4.
9 with all applicable local, state and federal laws, rules and regulations, and shall exercise all necessary precautions for the safety of employees appropriate to the nature of the work and the conditions under which the work is to be performed. Safety precautions as applicable shall include, but shall not be limited to: (A) adequate life protection and life-saving equipment and procedures; (B) instructions in accident prevention for all employees and subcontractors, such as safe walkways, scaffolds, fall protection ladders, bridges, gang planks, confined space procedures, trenching and shoring, equipment and other safety devices, equipment and wearing apparel as are necessary or lawfully required to prevent accidents or injuries; and (C) adequate facilities for the proper inspection and maintenance of all safety measures.
15. Verification of Employment Eligibility.
By executing this Agreement, Consultant verifies that it fully complies with all requirements and restrictions of state and federal law respecting the employment of undocumented aliens, including, but not limited to, the Immigration Reform and Control Act of 1986, as may be amended from time to time, and shall require all subconsultants and sub-subconsultants to comply with the same.
16. INTENTIONALLY DELETED
17. Laws and Venue.
This Agreement shall be interpreted in accordance with the laws of the State of California.
If any action is brought to interpret or enforce any term of this Agreement, the action shall be brought in a the Superior Court of California for the County of Napa.
18. Termination or Abandonment
a. City has the right to terminate or abandon any portion or all of the work under this Agreement by giving ten (10) calendar days written notice to Consultant. In such event, City shall be immediately given title and possession to all original field notes, drawings and specifications, written reports and other documents produced or developed for that portion of the work completed and/or being abandoned. City shall pay Consultant the reasonable value of services rendered for any portion of the work completed prior to termination. If said termination occurs prior to completion of any task for the Project for which a payment request has not been received, the charge for services performed during such task shall be the reasonable value of such services, based on an amount mutually agreed to by City and Consultant of the portion of such task completed but not paid prior to said termination. City shall not be liable for any costs other than the charges or portions thereof which are specified herein. Consultant shall not be entitled to payment for unperformed services, and shall not be entitled to damages or compensation for termination of work.
b. Consultant may terminate its obligation to provide further services under this Agreement upon thirty (30) calendar days’ written notice to City only in the event of substantial failure by City to perform in accordance with the terms of this Agreement through no fault of Consultant.
19. Ownership of Documents and Confidential Information. a. All deliverables and other documents generated by Consultant in the performance of the Services, including all work papers, work-in-progress, designs, drawings, Agenda Item #10.4.
10 documents, data, computations, specifications, studies and reports prepared by Consultant as a part of the Services or authorized Additional Services (“Consultant Work Product”) shall belong to and be subject to the sole ownership and use of City. b. Except as otherwise provided in “Termination or Abandonment,” above, all original field notes, written reports, drawings and specifications and other documents, produced or developed for the Project shall, upon payment in full for the services described in this Agreement, be furnished to and become the property of the City. c. During the course of the performance of this Agreement, Consultant may receive written or verbal information from City, its representatives or agents, not in the public domain. Such information may include City’s know how, trade secrets, and other proprietary and confidential information and Consultant agrees to treat such information as confidential information belonging to City. Consultant agrees that neither it, nor its officers, employees, representatives, agents, successors, or assigns, will disclose such information to any third party or use the same in any manner without the prior written consent of City. Moreover, Consultant agrees to safeguard such proprietary and confidential information from unauthorized disclosure and/or use using the same degree of care it uses to protect its own proprietary and confidential information, but not less than a reasonable standard of care. In the event that disclosure of such information is sought pursuant to any law or regulation, Consultant shall promptly notify City of such fact to allow City to assert whatever exclusions or exemptions may be available to it under applicable law or regulation.
20. Organization
Consultant shall assign Colter Andersen as Project Manager. The Project Manager shall not be removed from the Project or reassigned without the prior written consent of the City.
21. Limitation of Agreement.
This Agreement is limited to and includes only the work included in the Project described above.
22. Notice
Any notice or instrument required to be given or delivered by this Agreement may be given or delivered by depositing the same in any United States Post Office, certified mail, return receipt requested, postage prepaid, addressed to:
CITY:
City of St. Helena
1088 College Avenue
St. Helena, CA 94574
Attn: Joseph Leach, Director of Public Works
CONSULTANT:
OTS, LLC.
10250 Constellation Blvd. Ste. 100
Los Angeles, CA 90067
and shall be effective upon receipt thereof.
Agenda Item #10.4.
11 23. Third Party Rights
Nothing in this Agreement shall be construed to give any rights or benefits to anyone other than the City and the Consultant.
24. Equal Opportunity Employment.
Consultant represents that it is an equal opportunity employer and that it shall not discriminate against any employee or applicant for employment because of race, religion, color, national origin, ancestry, sex, age or other interests protected by the State or Federal Constitutions. Such non-discrimination shall include, but not be limited to, all activities related to initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination.
25. Entire Agreement
This Agreement, with its exhibits, represents the entire understanding of City and Consultant as to those matters contained herein, and supersedes and cancels any prior or contemporaneous oral or written understanding, promises or representations with respect to those matters covered hereunder. Each Party acknowledges that no representations, inducements, promises or agreements have been made by any person which are not incorporated herein, and that any other agreements shall be void. This Agreement may not be modified or altered except in writing signed by both Parties hereto. This is an integrated Agreement.
26. Severability
The unenforceability, invalidity or illegality of any provision(s) of this Agreement shall not render the remaining provisions unenforceable, invalid or illegal.
27. Successors and Assigns
This Agreement shall be binding upon and shall inure to the benefit of the successors in interest, executors, administrators and assigns of each Party to this Agreement. However, Consultant shall not assign or transfer by operation of law or otherwise any or all of its rights, burdens, duties or obligations without the prior written consent of City. Any attempted assignment without such consent shall be invalid and void.
28. Non-Waiver
None of the provisions of this Agreement shall be considered waived by either Party, unless such waiver is specifically specified in writing.
29. Time of Essence
Time is of the essence for each and every provision of this Agreement.
30. City’s Right to Employ Other Consultants
City reserves its right to employ other consultants, including engineers, in connection with this Project or other projects.
Agenda Item #10.4.
12 31. Prohibited Interests
Consultant maintains and warrants that it has not employed nor retained any company or person, other than a bona fide employee working solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants that it has not paid nor has it agreed to pay any company or person, other than a bona fide employee working solely for Consultant, any fee, commission, percentage, brokerage fee, gift or other consideration contingent upon or resulting from the award or making of this Agreement. For breach or violation of this warranty, City shall have the right to rescind this Agreement without liability. For the term of this Agreement, no director, official, officer or employee of City, during the term of his or her service with City, shall have any direct interest in this Agreement, or obtain any present or anticipated material benefit arising therefrom.
[SIGNATURES ON FOLLOWING PAGE]
Agenda Item #10.4.
13 SIGNATURE PAGE FOR PROFESSIONAL SERVICES AGREEMENT
BETWEEN CITY OF ST. HELENA
AND OTS, INC.
IN WITNESS WHEREOF, the Parties have executed this Agreement as of the date first written above.
CITY OF ST. HELENA OTS, LLC.
By: By:
Anil Comelo
City Manager Its:
Printed Name:
APPROVED AS TO FORM:
By:
Ethan Walsh, City Attorney
Agenda Item #10.4.
14 EXHIBIT A
Scope of Services
Agenda Item #10.4.
CONFIDENTIAL
424.285.0051• [email protected] • www.getots.com • 10250 Constellation Blvd, Ste 2300 Los Angeles, CA 90067
TASK ORDER
TASK ORDER NO. #01-2025 JOB NAME: Wastewater Treatment
Plant Chief Plant Operator
OTS INFORMATION
NAME: Operational Technical Services, LLC
ADDRESS: 10250 Constellation Blvd, Ste 2300
Los Angeles, CA 90067
CONTACT: David Sibelman, Chief Executive Officer
PHONE: (424) 203-6352
EMAIL: [email protected]
THIS TASK ORDER is issued pursuant to that certain Agreement for Temporary Services by Independent On-Call Contract between City of St. Helena (“Client”) and Operational Technical Services, LLC, also known as OTS dated, July 22, 2025, which is set to expire in one (1) year.
1. Project Name or Description: Recruit and submit a WWTP CPO candidate for City of St. Helena to utilize as a temporary operator.
2. Premises: The Client’s business premises is located at 1572 Railroad Avenue, St. Helena, California, 94574 and shall be defined as the “Premises”
3. Reporting Supervisor Name/Role: Lesley Milton, Assistant Public Works Director
4. Duration of Services:
Start Date/Time: 7/21/2025
End Date: TBD
Work Schedule: Dayshift
5. Scope of Services:
Wastewater Chief Plant Operator position is responsible for supervising the day-to-day operation, development, repair, and maintenance of the City’s wastewater treatment facilities You will take direction from the Wastewater Superintendent and/or Public Works Director. This position will require supervising, evaluating, planning, and participating in the day-to-day operations which includes the following:
• Mechanical maintenance and repairs of the City’s wastewater treatment plant and facilities. • Overseeing processing and water quality laboratory testing. • Assisting in the preparation and administration of the division budget, evaluates and trains assigned staff.
• Interfacing with and coordinates assigned functions with other City services and departments. • Representing plant operations with government regulatory agencies. • Ensuring safe work practices, work quality, and accuracy. • Performing related duties as assigned.
Agenda Item #10.4.
CONFIDENTIAL
424.285.0051• [email protected] • www.getots.com • 10250 Constellation Blvd, Ste 03-115 Los Angeles, CA 90067 ESSENTIAL FUNCTIONS:
• Accepts administrative responsibility for the activities, operations, and services of the Wastewater Division in providing quality treatment service for the City • Plans, supervises, prioritizes, monitors, and participates in the work of staff responsible for the maintenance and operation of the wastewater treatment plant and related collection system; ensures compliance with state, federal, and local mandates for water quality. Makes plant operation modifications as needed; provides monthly/annual reports to state, federal, and local authorities.
• Supervises and performs tasks related to the maintenance, repair, and construction of wastewater treatment plant facilities, lift stations, equipment, and related control systems. • Inspects the maintenance and repair of equipment for quality, compliance with applicable standards, and proper operation.
• Oversees laboratory analysis programs for wastewater, sludge, and effluent and is responsible for operating and systems modification based on test results. • Prepares a variety of water quality and industrial waste reports for regulatory agencies and internal operations.
• Conducts regular inspections to identify maintenance and repair needs; schedules, plans, and supervises the installation, maintenance, and repair of mechanical and electrical systems. • Evaluates and recommends the best use of supplies, materials, and equipment; requisitions, inventories, and supervises the use of all materials, supplies, and equipment used in the operation and maintenance of wastewater facilities.
• Ensures that mechanical equipment receives proper lubrication, overhauling, and inspection; ensures proper calibration of pneumatic instruments; performs plant operation and maintenance assignments, as necessary.
• Evaluates staffing requirements and utilization of staff; supervises, evaluates, trains, and motivates assigned staff
• Develops and directs staff safety training programs; oversees safety of assigned staff and monitors work in progress; schedules staff work assignments. • Assists the Public Works Director with operating and capital improvement budgets • Analyzes annual operating costs and makes recommendations for budget development and improvements in operating costs
• Administers and monitors the approved budget; prepares project cost estimates and analysis. • Attends and participates in organizational and community meetings as necessary • Stays current on issues relative to wastewater treatment technologies; responds to and resolves community and organizational inquiries and complaints regarding treatment system operations.
• Represents the City’s wastewater treatment functions in public relations activities and with regulatory agencies.
• Establishes and maintains a customer service orientation within the division. • Enforces rules, regulations, policies, and procedures relating to the operation of the wastewater treatment system and waste discharge requirements prescribed in all applicable sections of the Clean Water Act and California Water Code. • Performs standby duties for water and wastewater treatment facilities on a routinely scheduled basis.
• Establishes positive working relationships with representatives of community organizations, state/local agencies and associations, City management and staff, and the public.
KNOWLEDGE OF:
Agenda Item #10.4.
CONFIDENTIAL
424.285.0051• [email protected] • www.getots.com • 10250 Constellation Blvd, Ste 03-115 Los Angeles, CA 90067 • Modern principles, practices, and techniques of wastewater treatment plant operations, quality assurance, process controls, and systems maintenance.
• Testing methods and procedures, including qualitative and quantitative analysis. • Principles and practices of wastewater collection.
• Design, planning, and development of wastewater treatment facilities; cost, time, and materials estimating.
• Principles and practices of bacteriological and sampling techniques and mathematical analysis; methods and techniques of supervision, training, and motivation. • Applicable federal, state, and local laws, codes, and regulations, including those governing wastewater treatments, quality monitoring and control.
• Methods and techniques of scheduling work assignments. • Methods and techniques for record keeping and report preparation and writing. • Use proper English, spelling, and grammar.
• Occupational hazards and standard safety practices.
• Proficient with office procedures, methods, and equipment including computers and applicable software applications such as word processing, spreadsheets, and databases.
ABILITY TO:
• Plan, organize, and supervise the operation of a wastewater treatment plant and associated collection systems.
• Ensure equipment is maintained appropriately.
• Accurately supervise and perform water quality laboratory testing and analysis. • Ensure chemical and bacteriological laboratory tests are conducted in accordance with mandates. • Analyze and interpret laboratory tests and make modifications to wastewater treatment plant operations as required; read and interpret plant operations equipment. • Maintain accurate and updated logs, records, and reports; prepare and submit comprehensive and mandated reports.
Perform plant operation and maintenance assignments; represent the City’s wastewater treatment functions with other governmental agencies and community groups. • Plan, organize, train, evaluate, and direct work of assigned staff; interpret, explain, and apply applicable laws, codes, and regulations
• Read, interpret, and record data accurately
• Organize, prioritize, and follow- up on work assignments. • Work independently and as part of a team.
• Make sound decisions within established guidelines; analyze a complex issue and develop and implement an appropriate response.
• Follow written and oral directions.
• Observe safety principles and work in a safe manner.
• Communicate clearly and concisely, both orally and in writing. • Establish and maintain effective working relationships with those contacted in the course of work.
LICENSE AND CERTIFICATION REQUIRED:
SWRCB Grade IV Wastewater Treatment Plant Operator Certification
6. Break Requirement:
California law requires that within an 8 hour shift the Operator is entitled to a 30-minute break. This lunch break may be waived by mutual consent of both the Client and the Operator. If the Operator works over 10 hours in one day, they are entitled to a second lunch Agenda Item #10.4.
CONFIDENTIAL
424.285.0051• [email protected] • www.getots.com • 10250 Constellation Blvd, Ste 03-115 Los Angeles, CA 90067 break of 30 min. The second meal period may not be waived if the first period is waived, however either meal period can be counted as work hours and compensated for at the normal hourly rate.
EXHIBIT A
FEE SCHEDULE
Included Insurance Included Services
● $1M Per Occurrence / $2M Aggregate Unencumbered
Commercial General Liability
● Certified Payroll and Compliance Services
● 1M Commercial Auto Insurance; Non-Owner Vehicle ● Operator Offered Paid Health Insurance ● $5M Professional Liability ● Meals (per diem) on Travel Assignments ● $4M Umbrella Liability Coverage ● Travel Costs (Flight, Mileage and Housing) ● $1M Worker’s Compensation ● Required Safety PPE
● $5M Commercial Pollution Control Liability ● Health and Safety Medical Screening ● $5M Employment Practice Liability Insurance ● Uniforms OTS Fee Schedule
OTS Candidate #1- Wastewater Chief
Plant Operator
Local Regular Rate: $165/hr.
Per Diem: $340/week
Housing: $585/week
Local Bill Rate VS Travel Bill Rate:
OTS recognizes the need to provide highly skilled and certified professionals for all our Clients. Due to staffing shortages throughout the country, OTS will provide our Clients two options for potential operators to use on their projects.
Local Operator – any OTS-certified professional living within a 40-mile radius of the defined project Travel Operator – any OTS-certified professional living outside the 40-mile radius of the defined project shall be deemed a Travel Operator. OTS provides our Travel Operator housing, local per diem rates, and mileage reimbursement. Mileage is travel to and from their domicile to the provided OTS housing and is paid every two weeks.
Minimum Hours- As previously stated, any OTS professional who is a Travel Operator is provided housing, mileage and local per diem. In order to ensure that the travel expenses are covered by the Travel Rate, there is a minimum amount of hours each Travel Operator must work per week. The minimum hours for this position are _3__.
Overtime:
Workweeks are defined as 5 days @ 8 hours per day. Overtime hours, according to the State of California, are defined as any work in excess of eight (8) hours in one normal workday and any work in excess of 40 hours in any one workweek and the first eight hours worked on the seventh day of work in any one workweek. These overtime hours shall be compensated at the rate of no less than one and one-half (1.5) times the regular rate of pay. If Operator works more than 12 hours in any workday or works any time in excess of eight hours on the Agenda Item #10.4.
CONFIDENTIAL
424.285.0051• [email protected] • www.getots.com • 10250 Constellation Blvd, Ste 03-115 Los Angeles, CA 90067 seventh consecutive day of work in a workweek, Operator must be paid two (2.0) times the regular rate. If an operator also works on a holiday OTS will bill the client overtime hours for that day. OTS will charge 1.50 X the regular rate for all hours considered overtime which includes holiday hours. OTS will charge 1.75 X for any hours which are considered Double Time hours.
Holiday Pay:
The Client agrees to pay OTS a rate of 1.5 times the normal Local Bill Rate or Travel Bill Rate for any hours worked on an approved holiday.
Timecard Approval Schedule:
Client has the obligation to review and approve all on site Temporary Employee time cards in a timely manner. All work weeks are from Mondays to Sundays. The Temporary Employee will complete and submit their weekly timesheet via Bullhorn for the previously worked week by Tuesdays. The Client is responsible for approving all timesheets via Bullhorn by Wednesdays at End of Business for the previous week. If the Client does not approve timesheets by Wednesdays at End of Business, OTS will approve the timesheet on behalf of the Client and bill the hours that the candidate submitted. If the Client does not have the ability to approve timesheets by Wednesday at End of Business, they are to reach out to OTS to ask for a written extension or assistance in approving the timesheets.
On-Call Support:
If an Operator is expected to provide On-Call support, they shall be compensated in the following manner:
● Standby On-Call: if OTS’s Operator is expected to remain in the vicinity of the Client system and in a ready-to-respond status during off hours on a day where they have already worked a shift, this time will be compensated as one (1) regular hour of time. On days where they have not worked a shift and are expected to remain in a ready-to-respond status (off days), time will be compensated as two (2) regular hours of time. ● Activated On-Call: If OTS’s Operator is called to respond to a system alarm or emergency after hours to Client’s system, then this time will be charged at a minimum of two (2) hours or for the total duration of time from departure from domicile to return to domicile, whichever is greater. Standard labor laws shall apply if Operator happens to have accrued the appropriate number of hours to constitute overtime.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date first set forth above.
Operational Technical Services, LLC City of St. Helena
For: Operational Technical Services, LLC For Client: City of St. Helena David S Sibelman Joseph Leach
Print Name Print Name
Chief Executive Officer Assistant City Manager
Title Title
Agenda Item #10.4.
CONFIDENTIAL
424.285.0051• [email protected] • www.getots.com • 10250 Constellation Blvd, Ste 03-115 Los Angeles, CA 90067 Signature Signature
Date Date
CLIENT INTAKE PORTION
Invoices must go to the following contacts per position. OTS is only able to bill 2 contacts per Task Order. Please include up to 2 Billing Contacts and their information below:
Billing Contact:
Name: Title:
Email: Phone Number (Direct Line):
Billing Contact (Optional):
Name: Title:
Email: Phone Number (Direct Line):
PO Number (If Applicable):
Number:
Special Requests (Upon Approval):
6/20/25
Agenda Item #10.4.
CONFIDENTIAL
424.285.0051• [email protected] • www.getots.com • 10250 Constellation Blvd, Ste 03-115 Los Angeles, CA 90067 Details:
EXHIBIT A
TEMP TO HIRE CONVERSION FEE SCHEDULE
EARLY CONVERSION OPTION
Client has the right, upon notification to OTS, to hire any Temporary Employee to be a permanent Employee after 25 weeks of service or 1,000 hours worked. Client must provide OTS a copy of the Offer Letter within 10 days of the candidate accepting the offer. In the event Client chooses to convert the Temporary Employee prior to Temporary Employee completing 1,000 straight time hours, or approximately 25 weeks, on assignment, Client will pay OTS a conversion fee for a direct-hire placement fee according to the below schedule:
Number of Hours on
Operational Technical Services Payroll
Percent (%) of Employee’s
Annual Salary
1,000 Hours 25%
1000 – 1250 Hours 20%
1251 – 1400 Hours 15%
1401+ 1600 Hours 10%
1601+ Hours No Fee
Agenda Item #10.4.
INVOICE
Operational Technical Services
10250 Constellation Blvd Ste 2300
Los Angeles, CA 90067
[email protected]
+1 (424) 285-0051
www.getots.com
Bill to
Joseph Leach
City of St. Helena
1088 College Avenue
St Helena, CA 94574
United States
Invoice details
Invoice no.: 500ADJ
Terms: Net 30
Invoice date: 07/07/2025
Due date: 08/06/2025
Date Description Qty Rate Amount
07/07/2025 Starks, Philip - Regular Hours - Rate Adjustment from 02/11/2024 to 05/18/2025
2534 $26.00 $65,884.00
07/07/2025 Starks, Philip - OT - Hours Rate Adjustment from 02/11/2024 to 05/18/2025
21 $12.48 $262.08
07/07/2025 Starks, Philip - DT - Hours Rate Adjustment from 02/11/2024 to 05/18/2025
12 $6.50 $78.00
Thank you for your business!
Total $66,224.08
Agenda Item #10.4.
REG
HOURS
BILLED
RATE
BILLED
CORREC
T RATE
RATE
VARIANCE DOLLAR VARIANCE
OTHOURS
BILLED
RATE
BILLED
CORREC
T RATE
RATE
VARIANC
E
DOLLAR
VARIANCE
DT
HOURS
BILLED
RATE
BILLED
CORREC
T RATE
RATE
VARIANC
E
DOLLAR
VARIANCE TOTAL TO BILL
2/11/2024
PHILIP
STARKS 3973 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 2/18/2024 3979 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 2/25/2024 4005 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 3/3/2024 4008 32 130 156 $26.00 $832.00 0 $0.00 $0.00 0 $0.00 $0.00 $832.00 3/10/2024 4028 35 130 156 $26.00 $910.00 0 $0.00 $0.00 0 $0.00 $0.00 $910.00 3/17/2024 4040 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 3/24/2024 4057 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 3/31/2024 4068 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 4/7/2024 4091 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 4/4/2024 4105 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 4/21/2024 4115 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 4/28/2024 4124 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 5/5/2024 4141 32 130 156 $26.00 $832.00 0 $0.00 $0.00 0 $0.00 $0.00 $832.00 5/12/2024 4149 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 5/19/2024 4162 40 130 156 $26.00 $1,040.00 4 195 207.48 $12.48 $49.92 4 227.5 234 $6.50 $26.00 $1,115.92 5/26/2024 4176 26 130 156 $26.00 $676.00 0 $0.00 0 $0.00 $0.00 $676.00 6/2/2024 4195 32 130 156 $26.00 $832.00 0 $0.00 0 $0.00 $0.00 $832.00 6/9/2024 4208 40 130 156 $26.00 $1,040.00 0 $0.00 0 $0.00 $0.00 $1,040.00 6/16/2024 4223 40 130 156 $26.00 $1,040.00 0 $0.00 0 $0.00 $0.00 $1,040.00 6/23/2024 4238 32 130 156 $26.00 $832.00 8 195 207.48 $12.48 $99.84 0 $0.00 $0.00 $931.84 6/30/2024 4256 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 7/7/2024 4276 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 7/14/2024 4288 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 7/21/2024 4309 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 7/28/2024 4330 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 8/4/2024 4347 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 8/11/2024 4363 38 130 156 $26.00 $988.00 0 $0.00 $0.00 0 $0.00 $0.00 $988.00 8/18/2024 4376 38 130 156 $26.00 $988.00 0 $0.00 $0.00 0 $0.00 $0.00 $988.00 8/25/2024 4394 38 130 156 $26.00 $988.00 0 $0.00 $0.00 0 $0.00 $0.00 $988.00 9/1/2024 4425 37 130 156 $26.00 $962.00 0 $0.00 $0.00 0 $0.00 $0.00 $962.00 9/8/2024 4435 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 9/15/2024 4449 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 9/22/24 4461 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 9/29/24 4481 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 10/06/24 4501 24 130 156 $26.00 $624.00 0 $0.00 $0.00 0 $0.00 $0.00 $624.00 10/13/24 4514 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 10/20/24 4533 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 10/27/24 4545 40 130 156 $26.00 $1,040.00 7 195 207.48 $12.48 $87.36 0 $0.00 $0.00 $1,127.36 11/03/24 4567 36 130 156 $26.00 $936.00 0 $0.00 $0.00 0 $0.00 $0.00 $936.00 11/10/24 4580 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 0 $0.00 $0.00 $1,040.00 11/17/24 4590 32 130 156 $26.00 $832.00 0 $0.00 8 227.5 234 $6.50 $52.00 $884.00 11/24/24 4608 40 130 156 $26.00 $1,040.00 2 195 207.48 $12.48 $24.96 0 $0.00 $0.00 $1,064.96 12/01/24 4620 24 130 156 $26.00 $624.00 0 $0.00 $0.00 $0.00 $0.00 $624.00 12/08/24 4630 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 12/15/24 4640 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 12/22/24 4654 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 12/29/24 4663 32 130 156 $26.00 $832.00 0 $0.00 $0.00 $0.00 $0.00 $832.00 01/05/25 4676 32 130 156 $26.00 $832.00 0 $0.00 $0.00 $0.00 $0.00 $832.00 01/12/25 4678 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 01/19/25 4688 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 01/26/25 4701 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 02/02/25 4707 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 02/09/25 4721 38 130 156 $26.00 $988.00 0 $0.00 $0.00 $0.00 $0.00 $988.00 02/16/25 4728 34 130 156 $26.00 $884.00 0 $0.00 $0.00 $0.00 $0.00 $884.00 02/23/25 4741 32 130 156 $26.00 $832.00 0 $0.00 $0.00 $0.00 $0.00 $832.00 03/02/25 4753 37 130 156 $26.00 $962.00 0 $0.00 $0.00 $0.00 $0.00 $962.00 03/09/25 4763 35 130 156 $26.00 $910.00 0 $0.00 $0.00 $0.00 $0.00 $910.00 03/16/25 4776 38 130 156 $26.00 $988.00 0 $0.00 $0.00 $0.00 $0.00 $988.00 03/23/25 4785 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 03/30/25 4801 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 04/06/25 4812 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 04/13/25 4829 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 04/20/25 4847 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 04/27/25 4859 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 05/04/25 4874 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 05/11/25 4857 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 05/18/25 4905 40 130 156 $26.00 $1,040.00 0 $0.00 $0.00 $0.00 $0.00 $1,040.00 $66,224.08 TOTAL
2,534 21 12
TOTAL $65,884.00 TOTAL $262.08 TOTAL $78.00 $66,224.08 TOTAL Type of HouQTY Rate Adjustment
Regular 2534 26 65,884.00 $
OT 21 12.48 262.08 $
DT 12 6.5 78.00 $
Total $ 66,224.08
Agenda Item #10.4.
Agenda Report to the City Council
Agenda Section: CONSENT ITEMS
Department: Public Works
DATE: August 12, 2025
FROM: Stephanie Killingsworth, Public Works Financial Analyst SUBJECT: Consideration and Adoption of a Resolution: (1) Approving Additional Funding Allocation for Bid Alternate 1 (Crane Parking) under the R25-79 Pavement Restoration Project
Contract with JD General Engineering Corp. in the amount of $177,500 for a total contract not-to-exceed amount of $1,598,140; (2) Authorizing Necessary Budget
Adjustments and Transfers.
RECOMMENDED
ACTION:
Staff recommends approval of the attached Resolution.
PREVIOUS COUNCIL
ACTION:
On April 22, 2025 City Council adopted Resolution 2025- 035 approving plans, specifications, and authorization to solicit bids for the R25-79 Pavement Restoration Project.
On June 24, 2025 City Council awarded the contract for
R25-79 Pavement Restoration Project to JD General
Engineering Corp with Resolution 2025-071 in the amount of $1,420,640, including Bid Alternates 2 and 3.
STATEMENT OF THE
PURPOSE:
The original contract with JD General Engineering Corp. includes Bid Alternate 1 for Crane Parking Pavement
Restoration. While this work was part of the bid package and subsequently completed, it was not specifically called out in the June 24, 2025, staff report. To finalize project accounting and ensure budget alignment, Council approval is required to formally allocate $177,500 to cover the cost of Bid Alternate 1.
FINANCIAL IMPACT: The cost of Bid Alternate 1 is $177,500, in addition to possible change orders in the amount of $26,625. Funding for this work will be allocated from Measure T/U. A budget amendment is requested to transfer the necessary funds
to the R25-79 project.
BACKGROUND:
The R25-79 Pavement Restoration Project is a continuation of the City's efforts to improve and maintain 26 centerline miles of roadway within the City of St. Helena.
On May 27, 2025, the City Council adopted the FY2025-26 to FY2029-30 Capital Improvement Plan (CIP) which includes the R25-79 Pavement Restoration Project; and Agenda Item #10.5.
on June 10, 2025 the City Council adopted the FY2025-26 to FY2026-27 budget which included funding for said project.
On December 12, 2023, the City Council adopted an updated 5-Year Pavement Management Plan (PMP). The R25-79 Pavement Restoration Project represents Year 2 of the updated PMP. This updated PMP project scope includes a focus on roadway maintenance when compared to the FY24 pavement restoration project. The project funding will be supported by the existing Measure T/U funding adopted in the FY2025- 26 to FY2029-30 CIP.
The project plans were developed by Project Manager Mario Traverso. The project plans specifications and contract documents were compiled by City Staff and approved for bid solicitation by City Council on April 22, 2025.
The project includes maintenance treatment of many local roadway segments, rehabilitation of South Crane Avenue, drainage improvements, and significant roadway repairs. Additional elements of this project include restriping traffic lines and crosswalks, various repairs to sidewalk, curb and gutter, and the installation of ADAcompliant curb ramps.
As part of the competitive bid process, JD General Engineering Corp. provided pricing for three bid alternates. Bid Alternate 1, Crane Parking Pavement Restoration, was included in the executed construction contract to leverage cost efficiencies and complete the parking lot work concurrently with the main project. The work was performed as planned and is now complete.
DISCUSSION:
In order to reconcile project funding, staff recommends that the City Council formally approve the allocation of $177,500 for Bid Alternate 1. The work aligns with Council's priorities of improving infrastructure, enhancing public safety, and maintaining City facilities.
Estimated Project Costs
R25-79 - Pavement Restoration - Bid Alternate 1
Construction Contract $177,500
Construction Contingency (15%) $26,625
ENVIRONMENTAL REVIEW:
Staff will be filing a Notice of Exemption for this project, citing a Class 1 Categorical Exemption for existing facilities. The contractor is required to perform standard stormwater pollution prevention measures.
GOAL:
Goal 2: Improve Infrastructure & Further Environmental Sustainability Agenda Item #10.5.
Goal 5: Enhance Quality of Life
Goal 8: Implement Capital Improvement Plans (CIP) Projects Miscellaneous/Other DOCUMENTS ATTACHMENTS:
R25-79 Amendment No. 1 Resolution
JD General Engineering Contract Executed
Agenda Item #10.5.
CITY OF ST. HELENA
RESOLUTION NO. 2025-
RESOLUTION AUTHORIZING 1) ADDITIONAL FUNDING
ALLOCATION FOR BID ALTERNATE 1 (CRANE PARKING LOT)
UNDER THE R25-79 PAVEMENT RESTORATION PROJECT
CONTRACT WITH JD GENERAL ENGINEERING CORP. IN THE
AMOUNT OF $177,500 FOR A TOTAL NOT-TO-EXCEED AMOUNT
OF $1,598,140 AND; (2) AUTHORIZING NECESSARY BUDGET
ADJUSTMENTS AND TRANSFERS.
RECITALS
A. On June 24, 2025, the City Council adopted Resolution 2025-071 awarding a contract to JD General Engineering Corp. for the R25-79 Pavement Restoration Project in the amount of $1,420,640, including Bid Alternates 2 and 3; and B. Bid Alternate 1, for Crane Parking Lot Pavement Restoration, was included in the bid package and performed as part of the project, however it was not specifically called out in the June 24, 2025, staff report.
C. A budget reallocation and increase are necessary to properly allocate funding for the project identified in the Capital Improvement Plan (CIP)
RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:
1. Approving additional funding allocation for Bid Alternate 1 (Crane Parking) under the R25-79 Pavement Restoration Project contract with JD General Engineering Corp. in the amount of $177,500 for a total not-to-exceed amount of $1,598,140; and
2. Budget Amendments are as follows:
Description Fund GL Account Amount
Transfer to Other Funds –
Budget Increase to
Expense
240 – Measure
T/U 240-40-00-29-99 $204,125
Operating Transfers In –
Budget Increase to
Revenue
741 – Streets
Capital 741-39-98-00-00 $204,125
Agenda Item #10.5.
Budget Increase to CIP
R25-79 Construction
Contract
741 – Streets
Capital 741-5014-3160 $177,500
Budget Increase to CIP
R25-79 Contingency
741 – Streets
Capital 741-5014-3170 $26,625.
3. Funding is as follows:
Description Fund GL Account Amount
R25-79
Construction Contract
741 – Streets
Capital 741-5014-3160 $177,500
R25-79
Contingency
741 – Streets
Capital 741-5014-3170 $26,625.
Approved at a Regular Meeting of the St. Helena City Council on August 12, 2025, by the following vote:
Mayor Dohring:
Vice Mayor Deasy:
Council Member Barak:
Council Member Spadarotto:
Council Member Summers:
APPROVED: ATTEST:
________________________ ________________________
Paul Jamison Dohring, Mayor Erika Opp, Acting City Clerk Agenda Item #10.5.
CONTRACT
CITY OF ST. HELENA
STATE OF CALIFORNIA
THIS CONTRACT is made and entered into by and between the City of St. Helena, a California municipal corporation, hereinafter called "City", and JD General Engineering Corp hereinafter called "Contractor," for the construction of the R25-79 PA VEM E NT RESTORA TIO N PROJECT (the "Project").
RECITALS
City has taken appropriate proceedings to authorize construction of the Project herein provided and execution of this Contract.
A notice was duly published for bids, and bids were received for the Project improvement hereinafter described.
On June 24, 2025 after notice duly given, the City Council of the City of St. Helena awarded the Contract including three bid alternatives for the construction of the Project hereinafter described to Contractor, which the City Council found to be the lowest responsive and responsible bidder for construction of said Project improvement.
City and Contractor desire to enter into this Contract for the construction of said Project improvements.
THE PARTIES HERETO AGREE AS FOLLOWS:
1. ContractDocuments
The complete Contract consists of the following documents (hereinafter, the "Contract Documents"):
A. The Notice to Contractors
B. The Special Provisions
C. The Technical Specifications
D. The Bid Proposal Forms
E. This Contract
F. The Standard Specifications and Standard Plans of the State of California, Dept. of Transportation, dated 2022
G. City of St. Helena General Conditions for City of St. Helena Construction Projects September 1997 (as amended)
H. The BidBond,Faithful Performance Bond, Labor and Material Bond, and Warranty/Maintenance Bond
I. City of St. Helena Standard Specifications and Standard Plans, dated June 1998 J. The Plansfor R25-79 PAVEMENT RESTORATION PROJECT dated April 2025.
K. Approved and fully executed change orders
L. Addenda
All rights and obligations of City and Contractor are fully set forth and described in the Contract Documents.
All of the above-named Contract Documents are intended to cooperate so that any work called for in one and not mentioned in the other, or vice versa, is to be executed the same as if mentioned in all said Contract Documents.
R25-79 PAVEMENT RESTORATION PROJECT
C-1
- - - - --------- --------- -
Agenda Item #10.5.
2. Scopeof Work
The scope of work is described in the Contract Documents.
3. Performanceof Work
Contractor shall furnish all tools, equipment, apparatus, facilities, labor and materials necessary to perform and complete in a good and workmanlike manner the work of construction as called for, and in the time and manner designated in, and in strict conformity with, the Contract Documents for said work.
The equipment, apparatus, facilities, labor and material shall be furnished, and said work performed and completed, as required in said plans and specifications under the direction and supervision, and subject to the approval, of the City Engineer of the City of St. Helena, or his or her designated assistant or assistants.
4. Contract Price
City shall pay, and Contractor shall accept, in full payment for the work agreed to be done, the dollar amounts shown on the attached Bid Schedule. Increases or decreases in the quantities shall operate in the manner provided for in the Contract Documents. Payment in installments shall be as provided for in the Contract Documents.
5. Extra and/orAdditional Work and Changes
Should City at any time during the progress of said work request any alterations, deviations, additions or omissions from said plans, specifications or other Contract Documents, it shall be at liberty to do so and the same shall in no way affect or make void the Contract. The value of such will be added to, or deducted from, the contract price, as the case may be, in accordance with the provisions for such contained in the Contract Documents.
6. Liquidated Damages
In accordance with Government Code section 53069.85, it is agreed that the Contractor will pay the City the sum set forth in Section 4-1.02 of the Special Provisions for each and every calendar day of delay beyond the time prescribed in the Contract Documents for finishing the Work, as Liquidated Damages and not as a penalty or forfeiture. In the event this is not paid, the Contractor agrees the City may deduct that amount from any money due or that may become due the Contractor under the Contract. This Section does not exclude recovery of other damages specified in the Contract Documents
7. Indemnification
Contractor shall provide indemnification and defense as set forth in the Special Provisions.
8. Provisions Cumulative
The provisions of this Contract are cumulative and in addition to, and not in limitation of, any other rights or remedies available to City.
9. Notices
All notices shall be in writing and delivered in person or transmitted by certified mail, postage prepaid.
Notices required to be given to City shall be addressed as follows:
City of St. Helena
1088 College Avenue
St. Helena, Ca 94574
Attn: Public Works Department
R25-79 PAVEMENT RESTORATION PROJECT
C-2
Agenda Item #10.5.
Notices required to be given to Contractor shall be addressed as follows:
JD General Engineering Corp
390 W. Standley St.
Ukiah, CA 95482
Notices required to be given to Sureties of Contractor shall be addressed as follows:
Name ~Y-lA.If\.'& W\G'c... ~V"\.i es
C/O SI;v,..,_\..."-' V"\. v..J e.. ~\ ~ V\
Address ~fi.)q I \t""ZA,V\..~ fOy~ fy(y\. BI\J J
City Cv.ve.)(J.~ 0\-\ J y4 \2- 5"
DATED this day of ,2025
A, a Municipal Corporation RACTOR: JD General Engineering Corp (\)rLAn' , City Manager
oSCf)f ]"l. ~.
kn~ 6i-1 ~1r6-GEST:
ractor's License No. 1040595
By:,_0\~\_'"\'v. \/ (2'''''-_' __Ge 0
Name and Title
APPROVED AS TO FORM:
~nle
Project Code: CIP No. R25-79
R25-79 PAVEMENT RESTORATION PROJECT
C-3
- ---- --- ------------------ - --------
Agenda Item #10.5.
BASE BID SCHEDULE
R24-79 PAVEMENT RESTORATION PROJECT
Item Item Description Estimated
No. Unit Unit Price Total Cost Quantity
1 Mobilization 1 LS $25,000
2 Temporary Traffic Control 1 LS $32,000
3 Thermoplastic Pavement 2230 SF $62,440 Markings
4 Concrete Sidewalk 75 SF $6,500
5 Concrete Curb & Gutter 13 LF $5,500
6 Blue Hydrant Markers 10 EA $ 750
7 Adjust Clean Out to Grade 1 EA $3,000
8 Adjust Manhole to Grade 1 EA $4 500
9 Adjust Valve to Grade 9 EA $6~750
10 Adjust Monument to Grade 2 EA $ 750
11 Utility Trench Repair 46 SY $12,000
12 Speed Cushions 25 EA $12,000
13 Dig-Out Repair 544 SY 538 000
14 Tank Microsurface Type II 1254 SY $10,050
15 Lake Dorhing - Pipe 500 LF $25,000
16 Lake Dorhing - 01 1 EA $10,000
17 Lake Dorhing - Pothole 10 EA $4,100
18 Lake Dorhing - Restoration 1 LS $32,000
19 Lake Dorhing - Concrete 30 SF 1 LS $ 5,000
20 Lake Dorhing - Connections 1 LS $ 5,500
21 Lake Dorhing - Driveway 140 SF 1 LS $ 8,000
22 Manhole Cover Replacement 1 LS $ 4,500
23 2020 Howell Mtn Road - 135 TON $18,000 Removals
24 Microsurface Type II 22971 SY $215,000
25 Detail 21 4279 LF $22,000
26 Detail 41 368 LF $ 460
27 Detail 39 11292 LF $20,000
28 Modified CRamp 161 SF EA 2 EA $25,000
29 Crane - Drywell 1 LS $18,000
30 Crane - Grind 2.5" 7000 SY $45,000
31 Crane - New Road Section 1531 SY $90,000
32 Crane - AC 2.5" 1250 TON $314,000
33 Edwards Ped Improvements 1 LS $38,340
R25-79 PAVEMENT RESTORATION PROJECT
Unit Price Equals Total Cost Divided By Unit C-4 REVISED Agenda Item #10.5.
Item Item Description Estimated
No. Unit Unit Price Total Cost Quantity
34 2020 Howell Mtn Road - Blocks 25 EA $ 9,500
35 WWfP - AC Speed Humps 2 EA $ 5,000
36 WWfP - Farm Road 490 Cy $66,000
• Note. In case of error In extension of pnce Into the total price column. the unit pnce will govern.
BID SCHEDULE- BID ALTERNATE 1
R25-79 - PAVEMENT RESTORATION PROJECT
Item Item Description Estimated
No. Unit Unit Price Total Cost Quantity
37 Crane Parking - Grind 4444 SY $18,000
38 Crane Parking - AC 2" 500 TON $125,000
39 Crane Parking - 4" Parking Line 2380 LF $10,000
40 Crane Parking - Accessable Marking 1 EA $2,000
41 Crane Parking - Infiltration Area 1 LS $10,000
42 Crane Parking - Grading 1 LS $12,500
BID SCHEDULE - BID ALTERNATE 2
R25-79 - PAVEMENT RESTORATION PROJECT
Item Item Description Estimated Unit Unit Price Total Cost No. Quantity 43 IfNITP - Grading 1 LS $9,000
44 IfNITP - Grind 1 LS $8,000
45 IfNITP - AC 2" 285 TON $84,000
BID SCHEDULE - BID ALTERNATE 3
R25-79 - PAVEMENT RESTORATION PROJECT
Item Item Description Estimated Unit Unit Price Total Cost No. Quantity 46 Corp Yard - Grinding 1829 SY $15,000
47 Corp Yard - Drainage 1 LS $10,000
48 Corp Yard - 2.5"AC 275 TON $80,000
49 Corp Yard - Pipeline 40 LF $15,000
R25·79 PAVEMENT RESTORATION PROJECT
Unit Price Equals Total Cost Divided By Unit
C-4A REVISED
Agenda Item #10.5.
Total Amount of BASE Bid (written in words) is: ,q'1L rn 1/;"15 ''J Q h.Q h (1 h.c/v-c_c{ n Illg)y/ hi /10. ti](D L&C(vyj DIX- hu yvy( I'-e 10LA. V+-(j; Dollars and e .~ Cents,
In the event of discrepancy between words and figures, the words shall prevail. $ \.)' q~ llo Y D
Total in Fi ures
Notes:
• The Contract will be compared and awarded on the basis of the Total Base Bid. • The City reserves the right to increase or decrease quantities as deemed necessary, with the unit prices bid above.
BID SCHEDULE, continued
Address of Bidder
City Name of Bidder (Print)
707- L/%;C)- .
Telephone Number of Bidder Fax Number of Bidder
\(2'105"'\ sContractor's License Number License's Expiration Date
ADDENDUM ACKNOWLEDGMENT
Bidder acknowledges receipt of the following addenda, which are attached to the proposal, signed addendums to be included in bid submission:
R25-79 PAVEMENT RESTORATION PROJECT
P-5 REVISED
Agenda Item #10.5.
Surety may be liable. The term "balance of the contract price" as used in this paragraph shall mean the total amount payable to Contractor by the City under the Contract and any modification thereto, less any amount previously paid by the City to the Contractor and any other set offs pursuant to the Contract Documents.
iii. Permit the City to complete the Project in any manner consistent with California law and make available as work progresses sufficient funds to pay the cost of completion of the Project, less the balance of the contract price, including other costs and damages for which Surety may be liable. The term "balance of the contract price" as used in this paragraph shall mean the total amount payable to Contractor by the City under the Contract and any modification thereto, less any amount previously paid by the City to the Contractor and any other set offs pursuant to the Contract Documents.
Surety expressly agrees that the City may reject any contractor or subcontractor which may be proposed by Surety in fulfillment of its obligations in the event of default by the Contractor.
Surety shall not utilize Contractor in completing the Project nor shall Surety accept a bid from Contractor for completion of the Project if the City, when declaring the Contractor in default, notifies Surety of the City's objection to Contractor's further participation in the completion of the Project.
The Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract Documents or to the Project to be performed thereunder shall in any way affect its obligations on this bond, and it does hereby waive notice of any such change, extension of time, alteration or addition to the terms of the Contract Documents or to the Project.
By their signatures hereunder, Surety and Contractor hereby confirm under penalty of perjury that surety is an admitted surety insurer authorized to do business in the State of California. [REMAINDER OF PAGE LEFT INTENTIONALLY BLANK]
R25-79 PAVEMENT RESTORATION PROJECT
C-6
Agenda Item #10.5.
Bond # GSA 02500221
FAITHFUL PERFORMANCE BOND
(Construction)
KNOWALL PERSONSBY THESE PRESENTS:
THAT WHEREAS, the City of St. Helena, (hereinafter referred to as "City") has awarded to JD General Engineering Corp, (hereinafter referred to as the "Contractor") an agreement for Contract No. R25-79 Pavement Restoration Project, (hereinafterreferredto as the "Project").
WHEREAS, the work to be performed by the Contractor is more particularly set forth in the Contract Documentsfor the ProjectdatedJune 24, 2025, (hereinafterreferredto as "Contract Documents"),the terms andconditionsof whichare expressly incorporatedhereinby reference;and WHEREAS,the Contractoris requiredby said Contract Documentsto performtheterms thereof andtofurnish a bondfor the faithful performanceof said Contract Documents.
NOW, THEREFORE, we, JD General Engineering Corporation , the undersigned Contractor and The Gray Casualty & Surety Company as Surety, a corporationorganizedandduly authorizedto transacbb~iiQe~s~d~rW~e la~~pMhe §tate of California, are held and firmly bound untothe City in the sum of og:H~~d';ed:OOF~rty Inely 19t ou00t1QQ DOLLARS, ($1,598,140.00 ), said sum being not less than one hundred percent (100%) of the total amount of the Contract, for which amount well andtruly to be made,we bindourselves,our heirs,executorsandadministrators,successorsandassigns, jointly andseverally,firmly by these presents.
THE CONDITION OF THIS OBLIGATION IS SUCH, that, if the Contractor, his or its heirs, executors, administrators,successors or assigns, shall in all things stand to and abide by, and well and truly keep and performthecovenants,conditionsandagreementsinthe ContractDocumentsandany alterationthereof made as thereinprovided,on its part, to bekept and performedat the timeand inthe mannerthereinspecified, and inall respects accordingto their intent and meaning; and shall faithfully fulfill all obligations includingthe one (1) year guarantee of all materials and workmanship; and shall indemnify and save harmless the City, its officials, officers, employees, and authorizedvolunteers, as stipulated in said Contract Documents,then this obligationshall becomenull and void; otherwiseit shall beand remaininfull force and effect.
As a part of the obligationsecured hereby and in additionto the face amount specifiedtherefore, there shall be includedcosts and reasonableexpensesandfees includingreasonableattorney's fees, incurredby City in enforcingsuchobligation.
As a conditionprecedenttothesatisfactorycompletionof the Contract Documents,unlessotherwiseprovided for in the Contract Documents, the above obligation shall hold good for a period of one (1) year after the acceptanceof the work by City,duringwhichtimeif Contractorshallfail to makefull, complete,andsatisfactory repairandreplacementsandtotally protectthe City from loss or damageresultingfrom or causedby defective materialsor faulty workmanship. The obligationsof Surety hereundershall continueso longas any obligation of Contractorremains.Nothinghereinshall limitthe City's rightsor the Contractoror Surety'sobligationsunder the Contract, law or equity, including, but not limitedto, California Codeof Civil ProcedureSection337.15.
Whenever Contractorshall be, and is declaredby the City to be, indefault underthe Contract Documents,the Surety shall remedythe default pursuantto the Contract Documents,or shall promptly,at the City's option:
i. Takeover andcompletethe Projectinaccordancewithall terms andconditionsinthe Contract Documents;or
ii. Obtaina bidor bids for completingthe Project in accordancewith all terms and conditions in the Contract Documents and upon determination by Surety of the lowest responsive and responsiblebidder, arrangefor a Contract betweensuch bidder, the Surety and the City, and make available as work progresses sufficient funds to pay the cost of completion of the Project, less the balanceof the contract price, includingother costs and damages for which R25-79 PAVEMENT RESTORATION PROJECT
C-5
Agenda Item #10.5.
IN WITNESS WHEREOF, we have hereunto set our hands and seals this 25th 20l§_.
day of JUNE
(C-orporateSeal)" JD General Engineering Corporation
contr.t:rnt
By .M' t=:
I
Title C€.O i <~()\..-.'" .~-(? Y'-
(CorporateSeal) The Gray Casualty & Surety Company
:~rety 7iiI&J;;;--
Attorney-in-Fact - Todd Stein
(AttachAttorney-in-FactCertificate) Title.LA.!!tt.t.llour.!..!n~es-y..!.!inu...L.F.lI!a~c:Lt _ The rateof premium on this bondis per thousand. The total amount of premium charges is $35985.00
(Theabove must befilled in by corporateattorney.)
THIS ISA REQUIREDFORM
Any claims underthis bond may be addressedto:
(Nameand Address of Surety) The Cincinnati Insurance Comany 6200 South Gjlmore Road
Fairfield, OH 45014
(Nameand Address of Agent or
Representativefor serviceof
process in California,if different
from above)
Brunswick Companies
5309 Transportation Boulevard
Cleyeland, OH 44125
(Telephonenumberof Surety
andAgent or Representativefor
serviceof process in California)
1 (800) 686-8080
R25-79 PAVEMENT RESTORATION PROJECT
Please see attached
Notary Certificate
C-7
Agenda Item #10.5.
CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT
A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this cerificate is attached, and not the truthfulness, accuracy, or validity of that document.
State of California
County of Mendocino
On 0 ( z_.b ['-02$ beforeme,ELDONANTHONYHOLLJR.,NotaryPublic, DATE
personally appeared .2.:?~t\ V;')r~..... ('\
NAME¢) OF SIGNER(il)
who proved to me on the basis of satisfactory evidence to be the person(~ whose name(~re subscribed to the within instrument and acknowledged to me that @she they executed the same i~ her their authorized capacity~, and that by C@i) her their signature~ on the instrument the person~: or the entity upon behalf of which the person~ acted, executed the instrument. I certify under PENALTYOF PERJURY underthe laws of the State of California that the foregoing paragraph is true and correct.
WITNESS my hand and official seal.
~R'OFNOTARY
THIS CERTIFICATE MUST BE ATTACHED TO THE DOCUMENT DESCRIBED BELOW:
TITLE OR TYPE OF DOCUMENT h'..\-h~\) t P~+QfN'-''-~L<-~J-'c(' NUMBER OF PAGES _ DATE OF DOCUMENT (.{z.l, (?6'k5
SIGNER(S) OTHER THAN NAMED ABOVE _
Agenda Item #10.5.
Bond # GSA 02500221
LASOR AND MATERIALS SOND
(Construction)
KNOW ALL MEN BY THESE PRESENTS That
WHEREAS, the City of St. Helena (hereinafter designated as the "City"), by action taken or a resolution passed June 24, 2025 has awarded to JD General Engineering Corp hereinafter designated as the "Principal," a contract for the work described as follows: Contract No. R25-79 Pavement Restoration Project (the "Project"); and
WHEREAS, said Principal is required to furnish a bond in connection with said contract; providing that if said Principal or any of its Subcontractors shall fail to pay for any materials, provisions, provender, equipment, or other supplies used in, upon, for or about the performance of the work contracted to be done, or for any work or labor done thereon of any kind, or for amounts due under the Unemployment Insurance Code or for any amounts required to be deducted, withheld, and paid over to the Employment Development Department from the wages of employees of said Principal and its Subcontractors with respect to such work or labor the Surety on this bond will pay for the same to the extent hereinafter set forth.
NOW THEREFORE, we, the Principal and The Gray Casualty & Surety Company as Surety, are held and firmly bound unto the City in the penal sum of One Million Five HundredNinety Eight ThousandOne Hundred and Forty -00/100 Dollars ($ 1,598,140.00 ) lawful money of the United States of America, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents.
THE CONDITION OF THIS OBLIGATION IS SUCH that if said Principal, his or its subcontractors, heirs, executors, administrators, successors or assigns, shall fail to pay any of the persons named in Civil Code Section 9100, fail to pay for any materials, provisions or other supplies, used in, upon, for or about the performance of the work contracted to be done, or for any work or labor thereon of any kind, or amounts due under the Unemployment Insurance Code with respect to work or labor performed under the contract, or for any amounts required to be deducted, withheld, and paid over to the Employment Development Department or Franchise Tax Board from the wages of employees of the contractor and his subcontractors pursuant to Revenue and Taxation Code Section 18663, with respect to such work and labor the Surety or Sureties will pay for the same, in an amount not exceeding the sum herein above specified, and also, in case suit is brought upon this bond, all litigation expenses incurred by the City in such suit, including reasonable attorneys' fees, court costs, expert witness fees and investigation expenses.
This bond shall inure to the benefit of any of the persons named in Civil Code Section 9100 so as to give a right of action to such persons or their assigns in any suit brought upon this bond.
C-8
It is further stipulated and agreed that the Surety on this bond shall not be exonerated or released from the obligation of this bond by any change, extension of time for performance, addition, alteration or modification in, to, or of any contract, plans, specifications, or agreement pertaining or relating to any scheme or work of improvement herein above described, or pertaining or relating to the furnishing of labor, materials, or equipment therefore, nor by any change or modification of any terms of payment or extension of the time for any payment pertaining or relating to any scheme or work of improvement herein above described, nor by any rescission or attempted rescission or attempted rescission of the contract, agreement or bond, nor by any conditions precedent or subsequent in the bond attempting to limit the right of recovery of claimants otherwise entitled to recover under any such contract or agreement or under the bond, nor by any fraud practiced by any person other than the claimant seeking to recover on the bond and that this bond be construed most strongly against the Surety and in favor of all persons for whose benefit such bond is given, and under no circumstances shall Surety be released from liability to those for whose benefit such bond has been given, by reason of any breach of contract between the owner or City and original contractor or on the part of any obligee named in such bond, but the sole conditions of recovery shall be that claimant is a person described in Civil Code Section 9100, and has not been paid the full amount of his claim and that Surety does hereby waive notice of any such change, extension of time, addition, alteration or modification herein mentioned, including but not limited to the provisions of sections 2819 and 2845 of the California Civil Code.
R25-79 PAVEMENT RESTORATION PROJECT
Agenda Item #10.5.
By their signatures hereunder, Surety and Principal hereby confirm under penalty of perjury that surety is an admitted surety insurer authorized to do business in the State of California.
IN WITNESS WHEREOF, we have hereunto set our hands and seals this 25th day of JUNE DIX.292&.. ----- (COrporale--SeaJ)
(Corporate Seal) The Gray Casualty & Surety Company
Surety
By ~d~/ __
(Attach Attorney-in-Fact Certificate)
Attorney-in-Fact TODD STEIN
Title Attorney in Fact
Please see attachec
Notary Certificate
R25-79 PAVEMENT RESTORATION PROJECT
C-9
Agenda Item #10.5.
CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT
A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this cerificate is attached, and not the truthfulness, accuracy, or validity of that document.
State of California
County of Mendocino
personally appeared _j_C9...:....~..:...;f'~\)__:__,_.)"_CV'\-=-__ -+- --t--------- NAME<¢)OF SIGNERi,i)
who proved to me on the basis of satisfactory evidence to be the person(.s'5whose ~e~re subscribed to the within instrument and acknowledged to me that ~she they executed the same i@ her their authorized capacitytles], and that by ®her their siqnaturejs) on the instrument the person(j5, or the entity upon behalf of which the person(,91acted, executed the instrument. I certify under PENALTYOF PERJURY underthe laws of the State of California that the foregoing paragraph is true and correct.
WITNESS my hand and official seal. !0 .0 e e ~LDo;A;r:ON°y;O~ J; ! 0:. COMM.#2462151 m
UJ NOTARYPUBLIC- CALIFORNIA =!'
., MENDOCINOCOUNTY ...
, My Conm. Expires Sept. 4. 2027 {
••• 0'0904'0'4040
SIGNATURE OF NOTARY
THIS CERTIFICATE MUST BE ATTACHED TO THE DOCUMENT DESCRIBED BELOW:
TITLE OR TYPE OF DOCUMENT ~",-'.\lL\?U},"""",,".A.CP--== I6QAC~ NUMBER OF PAGES _ DATE OF DOCUMENT (, ( 1.('('2-02 "S
SIGNER(S) OTHER THAN NAMED ABOVE. _
Agenda Item #10.5.
Bond # GSA 02500221
WARRANTY/MAINTENANCE BOND
WHEREAS, the City Council of the CITY OF ST. HELENA, State of California (hereinafter designated as "City"), and JD General Engineering Corporation (hereinafter designated as "Principal"), have entered into an agreement ("Contract") dated June 24th , 2025, whereby Principal guaranteed that all improvements (as defined therein) constructedby or on behalf of Principal shall be free from defects of materials or work quality and shall perform satisfactorilyfor a periodof at least one (1) year from the date of final acceptance of all work performed under the Contract and further, the principal agreedto repair defects and replaceimprovementswhichcannot berepairedwithinsaidone(1) year period; and
WHEREAS, said Principal is required to furnish a bond for the faithful performance of its responsibilityto maintainrepair and replacesaid improvements.
NOW, THEREFORE, we the Principal and THE GRAY CASUALTY & SURETY COMPANY as surety are heldandfirmly bounduntothe City inthe penal sum of $1,598,140.00 lawful money of the United States, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, successors,executorsandadministrators,jointly andseverally,firmlybythesepresents.
The condition of this obligation is such that if the above-bounded Principal, his, her or its heirs, executors,administrators,successorsor assigns, shall inall things standto andabideby, and well andtruly keep and perform the covenants, conditions and provisions in the said Contract and any alterationthereof made as therein provided, on this or their part, to be kept and performedby Principal as requiredtherein and in all respects accordingto their true intent and meaning, and shall indemnify and save harmless the City and its officers, agents and employees,as thereinstipulated,then this obligationshall becomenull and void; otherwiseit shallbe andremaininfull forceand effect.
As a part of the obligation secured hereby and in addition to the face amount specifiedtherefore, there shall be included costs and reasonable expenses and fees, including reasonable attorney's fees, incurred by City in successfully enforcing such obligation, all to be taxed as costs and included in any judgmentrendered.
The surety hereby stipulates andagrees that nochange, extensionof time, alterationor additionto the terms of the agreementor to the work to be performedthereunderor the specificationsaccompanying the sameshall in any wise affect its obligationson this bond,and it does herebywaive noticeof any such change, extensionof time, alterationor additionto the terms of the Contract or to the work or to the specifications.
In witness hereof, this instrument has been duly executed by the Contractor and surety above namedon JUNE 25th, 2025
NOTE: To be signed by Principal,
and Admitted Surety and
acknowledgement and notarial
seal for both attached. Attach
copy of authority for surety agent
and County Clerk certificate
under CCP §995.660)
[SEAL]
JD General Engineering Corporation
(PrincipalSignature)
[Clickand insert Principal Nameand Title]
[Clickand insert PrincipalBusiness Name]
The Gray Casualty & Surety Company
(SuretySignature) ~/ ~--
TODD STEIN - Attorney in Fact
R25-79 PAVEMENT RESTORATION PROJECT
C-10
Agenda Item #10.5.
Brunswick Insurance Agency
06/25/202510:10 510450008551
THE GRAY INSURANCE COMPANY
THE GRAY CASUALTY & SURETY COMPANY
GENERAL POWER OF ATTORNEY
Bond Number: GSA0250022I Principal: JD General Engineering Corp Project: CITY OF ST. HELENA - STATE OF CALIFORNIA - R2 5 -79 PAVEMENT RESTORA nON PROJECT KNOW ALL BY THESE PRESENTS, THAT The Gray Insurance Company and The Gray Casualty & Surety Company, corporations duly organized and existing under the laws of Louisiana, and having their principal offices in Metairie, Louisiana, do hereby make, constitute, and appoint: Todd Stein and Mark Levinson of Cleveland, Ohio jointly and severally on behalf of each of the Companies named above its true and lawful Attorney(s)-in-Fact, to make, execute, seal and deliver, for and on its behalf and as its deed, bonds, or other writings obligatory in the nature of a bond, as surety, contracts of suretyship as are or may be required or permitted by law, regulation, contract or otherwise, provided that no bond or undertaking or contract of suretyship executed under this authority shall exceed the amount of $25,000,000.00.
This Power of Attorney is granted and is signed by facsimile under and by the authority of the following Resolutions adopted by the Boards of Directors of both The Gray Insurance Company and The Gray Casualty & Surety Company at meetings duly called and held on the 26th day of June, 2003.
"RESOLVED, that the President, Executive Vice President, any Vice President, or the Secretary be and each or any of them hereby is authorized to execute a power of Attorney qualifying the attorney named in the given Power of Attorney to execute on behalf of the Company bonds, undertakings, and all contracts of surety, and that each or any of them is hereby authorized to attest to the execution of such Power of Attorney, and to attach the seal of the Company; and it is
FURTHER RESOLVED, that the signature of such officers and the seal of the Company may be affixed to any such Power of Attorney or to any certificate relating thereto by facsimile, and any such Power of Attorney or certificate bearing such facsimile signature or facsimile seal shall be binding upon the Company now and in the future when so affixed with regard to any bond, undertaking or contract of surety to which it is attached.
IN WITNESS WHEREOF, The Gray Insurance Company and The Gray Casualty & Surety Company have caused their official seals to be hereinto affixed, and these presents to be signed by their authorized officers this 4th day of November, 2022.
By:
~~
Michael T. Gray
President
The Gray Insurance Company
Cullen S. Piske
President
The Gray Casualty & Surety Company
State of Louisiana
ss:
Parish of Jefferson
On this 4th day of November, 2022, before me, a Notary Public, personally appeared Michael T. Gray, President of The Gray Insurance Company, and Cullen S. Piske, President of The Gray Casualty & Surety Company, personally known to me, being duly sworn, acknowledged that they signed the above Power of Attorney and affixed the seals of the companies as officers of, and acknowledged said instrument to be the voluntary act and deed, of their companies.
9 ......·LeiGh Anne Henican
Notary Public
Notary 10 No.92653
Orleans Parish, Louisiana
Leigh Anne Henican
Notary Public, Parish of Orleans State of Louisiana
My Commission is for Life
I, Mark S. Manguno, Secretary of The Gray Insurance Company, do hereby certify that the above and forgoing is a true and correct copy of a Power of Attorney given by the companies, which is still in full force and effect. IN WITNESS WHEREOF, I have set my hand and affixed the seals of the Company this 25th day of JUNE , 2025 I, Leigh Anne Henican, Secretary of The Gray Casualty & Surety Company, do hereby certify that the above and forgoing is a true and correct copy ofa Power of Attorney given by the companies, which is stift in full force and effect. IN WITNESS WHEREOF, I have set my hand and affixed the seals of the Company this 25th day of JUNE ,2025 Agenda Item #10.5.
Bond # GSA 02500221
INDMDUAL ORPARTNERSHIP ACKNOWLEDGEMENT
STATEOF __
COUNTY OF 88
On the dayof , 2O___. beforeme, a Notary Public
within and fOr said county, personally appeared,
to me known to be the pel'IIDn Cal deacribed inand who _uted the I:IrecoiDI in8tr1lment. aa Pr:IJICipa) (e), aDd ac1mowledpd to me that they 8%ecuted the same 88 then free act and deed. (Notarial Seal)
Notary Public
County, ~ " _"_
My commissionexpires
CORPORATE ACKNOWLEDGEMENT
STATE OF
COUNTY OF _...) ss
On~e ~of------------ , 20....._--0, before me, penronallyappeared, ___ to me known, who being by me duly sworn, did deposeand say, ~t he resides in and that he is the of the _
the CCJl'I)oratioD described in,aDd which eJeCut.edthe fimIaoiDg instrument: that he kn0lP8the aeal ofsaid cmporation; that the aeal afibed to lIid inatrument issuch corpCl.'ataseat that itwas 80aflixed by order ofthe boaJd of direatma ~ lIid corporation; and that he siped his name theretn by Jike order.
(Notarial Seal)
N~Pub~'~ __
County, __
My commiaeion expiree
ACKNOWLEDGEMENT OF CORPORATE SURETY
STATEOF~Q~h~Q~ ~---------
COUNTY OF Cuvah2Q! 88
Onthe - ~ti ---4ay at June 2025befo%eme,
appeared,
TOdd StaIn
to me per8OJI8lly known, who heiDI by me daly norn, did.., that he is the dmlaaid otIicer or atllOrDey-in-faetof the eU1"et;y ~ that the...x'_ iDtha~iDatrum..Jltia tha C01"pOrat:eaaal oftha ._~ ee_paD", _dthat.aid iDatrument wae eill18Ci and eealedin behallofthe aurety com~ by the a1b:reeaidoftlcer.by authoriv ofitaboard of __ uAOd.- ---~~~ ...~b--~()
. ~~k_
TlNAK.~ N ~ h~~ __
Notary PubUc County. Summit -
O__ l~te a1 Ohio My commisstonexpires September 6, 2fJ27 CCMYComm. bphs Sapttlllber 6, 2027
Agenda Item #10.5.
3/6/25, 1:34 PM SireonPlatform
Insurance Producer
Casualty
Qualification Effective Dates
01/06/2003 Property 01/06/2003
Life 03/22/2022
TODD A STEIN
NPN: 246251
5309 TRANSPORTATION BLVD
CLEVELAND, OH 44125-5333
is authorized to transact business as described above
License No: 0078790 Issue Date: 01/06/2003 Expiration Date: 01/31/2027 Generated by Sireon 341331889
California Department of ~
THIS IS TO CERTIFY THAT
IS HEREBY AUTHORIZED TO TRANSACT BUSINESS IN
ACCORDANCE TO THE LICENSE DESCRIPTION SHOWN
BELOW:
Insurance Producer
Casualty, Property, Life TODDA STEIN
5309 TRANSPORTATIONBLVD
CLEVELAND, OH 44125-5333
Issue Date: 01/06/2003 Expiration Date: 01/31/2027
LICENSE NUMBER: 0078790 NPN: 246251 Generatedby Sircon 341331889 https:/lplatform.sircon.com/#/license-print 1/8
Agenda Item #10.5.
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Agenda Item #10.5.
STATE OF CALIFORNIA
DEPARTMENT OF INSURANCE
SAN FRANCISCO
NQ 09002
Certificate of Authority
THIs Is To CERTIFY THAT. Pursuant to the Insurance Code of the State of California, The Gray Casualty & Surety Company
Louisiana • organized under the
, subject to its Articles of Incorporation or
of
laws of Louisiana
otherfundamenml organizational documents, is hereby authorized to transact within the State, subject to all provisions of this Certificate, the following classes of insurance:
Surety
as such classes are now or may hereafter be defined in the Insurance Laws of the State of California.
THIs CERTIFICATE is expressly conditioned upon the holder hereof now and hereafter being in full compliance with ail, and not in violation of an)" of the applicable laws and lawful requirements made under authority of the laws of the State of California as long as such laws or requirements are in effect and applicable, and as such laws and requirements now are, or may hereafter be changed or amended.
IN WITNESS WHEREOF, effective as of the 14th
dayof __~M~a~r~e~h~ __ 2012 .Lhave hereunto
set my hand and caused my official seal to be affixed this __ ....;1=-4:...:t:.:;h=-- __ day of ~M~a..:..r~ch~ _ 2012 Dave Jones
Insurance Commissioner
By
NOTICE:
Qualification with the Secretary of Slate must be accomplished as required by the California Corporations Code promptly after issuance of this Certificate of Authority. Failure to do so will be a violation of Insurance Code Secuon 701 and will be grounds for revoking this Certificate of Authority pursuant to the coovenants made in the apphcation therefor and the conditions contained herein.
Agenda Item #10.5.
DURANJ0002 MGOMES
ACORD CERTIFICATE OF LIABILITY INSURANCE 1
DATE (MM/DD/vyvy)
~ 6/24/2025
THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLYAND CONFERSNO RIGHTSUPONTHE CERTIFICATEHOLDER.THIS
CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTEA CONTRACT BETWEEN THE ISSUINGINSURER(S),AUTHORIZED REPRESENTATIVEOR PRODUCER,AND THE CERTIFICATEHOLDER.
IMPORTANT: If the certificate holder is an ADDITIONAL INSURED,the policy(ies) must have ADDITIONAL INSUREDprovisions or be endorsed.
If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s).
PRODUCER ~2~I~CT Menthie Gomes
Team Insurance & Financial Services, Inc. rlJgN,:'o, Ext): (707) 961-1250 I rffc, No):{707) 462-3763 PO Box 1472 Ukiah, CA 95482 ~~DA~~SS:[email protected]
INSURER(S) AFFORDING COVERAGE I NAIC#
-----
INSURERA: Evanston Insurance Company 135378
INSURED INSURER B : Mercury Insurance Services LLC ,
JD General Engineering Corp I INSURER C : ICW Grouf:J Holdings, Inc [9229 PO Box 178 INSURERD: ! Ukiah, CA 95482
i INSURER E: i
INSURER F: 1
COVERAGES CERTIFICATE NUMBER' REVISION NUMBER'
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
I~~: TYPE OF INSURANCE t~J>J-~~I POLICY NUMBER POLICY EFF .(~g~~~;.gl LIMITS
A lX ! COMMERCIAL GENERAL LIABILITY I
1 1$ 1,000,000 U EACH OCCURRENCE
I CLAIMS-MADE [RJ OCCUR X 13AA820074 9/13/2024 9/13/2025 ~~~~~~JOE~~~~~?ence) i $ 100,000
MED EXP (Anyone person) $
5,000
_j PERSONAL & ADV INJURY ! $ 1,000,000
~'L AGGREGATE LIMIT APPLIES PER:
I
GENERAL AGGREGATE $
2,000,000
POLICY ~nPROJECT- DLOC 2,000,000 PRODUCTS - COMPlOP AGG $ OTHER: ,
'$
B AUTOMOBILE LIABILITY
I I
fiOMBINED SINGLE LIMIT 1,000,000
~ ANY AUTO
Ea accident $
BA040000062227 9/30/2024 9/30/2025 BODILY INJURY (Per person) I $ Fx' OWNED X SCHEDULED AUTOS ONLY _ AUTOS BODILY INJURY (Per accident) $
HIRED X NON-OWNED
I AUTOS ONLY AUTOS ONLY rp~7~;C~d~t?AMAGE $
IX~~"gdAuto Phys
-
I
$
A UMBRELLA LlAB M OCCUR !
I 9/13/2024 I 9/13/2025
EACH OCCURRENCE $
2,000,000
-
X EXCESS LlAB CLAIMS-MADEi EZXS3170767 AGGREGATE $
2,000,000
I DED 1 1RETENTION $ I i $
C I ~ORKERS COMPENSATION I
4/1/2025 I
X 1 ~ffTUTE 1
IOTHAND EMPLOYERS' LIABILITY ER
I ANY PROPRIETOR/PARTNER/EXECUTIVE
YIN WSA5076772-01 4/1/2026 1,000,000 [!] E.L. EACH ACCIDENT $ OFFICER/MEMBEREXCLUDED? N/A (Mandatory in NH) I E.L. DISEASE - EA EMPLOYEE $
1,000,000
If yes, describe under
DESCRIPTION OF OPERATIONS below 1,000,000 : E.L. DISEASE - POLICY LIMIT $ [
I
I
DESCRIPTIONOF OPERATIONS I LOCATIONS I VEHICLES ~ACORD 101, Additional Remarks Schedule, may be attached if more ffiace is required) Certificate is to provide evidenceof insurance to namethe City of St. Helena,its agents,officials, 0 icers, employees,and volunteers as additionally insured.
ExcessLiability follows form with the GeneralLiability & Auto Liability
CERTIFICATE HOLDER CANCELLATION
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE City of St. Helena THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS.
1480Main St.
St Helena, CA 94574
AUTHORIZED REPRESENTATIVE
I,
I
ACORD 25 (2016/03) © 1988-2015 ACORD CORPORATION. All rights reserved.
The ACORD name and logo are registered marks of ACORD
Agenda Item #10.5.
-
MARKEL®
COMMERCIAL GENERAL LIABILITY
POLICY NUMBER: 3AA820074
EVANSTON INSURANCE COMPANY
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY.
BLANKET ADDITIONAL INSURED
This endorsement modifies insurance provided under the following:
COMMERCIAL GENERAL LIABILITY COVERAGE FORM
LIQUOR LIABILITY COVERAGE FORM
OWNERS AND CONTRACTORS PROTECTIVE LIABILITY COVERAGE FORM
PRODUCTS/COMPLETED OPERATIONS LIABILITY COVERAGE FORM
SCHEDULE
Additional Premium: $Included (Check box if fully earned 1:8:1) Pleaserefer to each Coverage Form to determine which terms are defined. Words shown inquotations onthis endorsement mayor may not be defined in all Coverage Forms.
A. Who Is An Insured is amended to include as an additional insured any person or entity to whom you are required by valid written contract or agreement to provide such coverage, but only with respect to "bodily injury", "property damage" (including "bodily injury" and "property damage" included inthe "products-completedoperations hazard"), and"personal and advertising injury" caused, in whole or in part, by the negligent acts or omissions of the Named Insured and only with respect to any coverage not otherwise excluded in the policy.
However:
1. The insurance afforded to such additional insured only applies to the extent permitted by law; and
2. The insurance afforded to such additional insured will not be broader than that which you are required by the valid written contract or agreement to providefor such additional insured.
Our agreement to accept an additional insured provision in a valid written contract or agreement is not an acceptance of any other provisions of such contract or agreement or the contract or agreement in total.
When coverage does not apply for the Named Insured, no coverage or defense will apply for the additional insured.
Nocoverageapplies to such additional insuredfor injury or damageof any typeto any "employee" of the Named Insured or to any obligation of the additional insured to indemnify another because of damages arisinq out of such injury or damage.
B. With respect to the insurance afforded to these additional insured, the following is added to limits of insurance:
The most we will pay on behalf of the additional insured is the amount of insurance:
1. Required by the valid written contract or agreement; or
2. Available under the applicable limits of insurance shown in the Declarations; whichever is less.
This endorsement shall not increasethe applicable limits of insurance shown in the Declarations.
All other terms and conditions remain unchanged.
MEGL 0009-01 09 18 Includes copyrighted material of Insurance Services Office, Inc., with its permission.
- - - -- - --------------------
Agenda Item #10.5.
Agenda Report to the City Council
Agenda Section: CONSENT ITEMS
Department: Public Works
DATE: August 12, 2025
FROM: Eric Janzen, Assistant Public Works Director
SUBJECT: Request for Authorization to Publish the Bid
Announcement for the Main Street St. Helena Pedestrian
Improvements Project.
RECOMMENDED
ACTION:
To adopt the Resolution Authorizing the Public Works
Department to Publish the Bid Announcement for the Main Street St. Helena Pedestrian Improvements Project (CIP
R18-81).
PREVIOUS COUNCIL
ACTION:
Council re-approved this project with the adoption of the Five-Year CIP on May 27, 2025.
STATEMENT OF THE
PURPOSE:
Consideration and possible approval of Resolution
Authorizing the Public Works Department to Publish the
Bid Announcement for the Main Street St. Helena
Pedestrian Improvements Project (R18-81).
FINANCIAL IMPACT: Approval of the Resolution will result in an expenditure estimated at $1.8M of which $1.2M will be provided by
OBAG3 grant funding. Match funding in the amount of
about $600,000 to be provided by a combination of
Measure T/U and TFCA program funds.
BACKGROUND:
The Main Street St. Helena Pedestrian Improvements Project (R18-81) was originally approved by Council in 2018 with the adoption of the 2018 Capital Improvement Plan (CIP). The Council re-approved this project with the adoption of the Five-Year CIP on May 27, 2025. Metropolitan Transportation Commission (MTC), on January 11, 2023, issued Resolution 4505 which authorized OBAG Grant funding to the project. Caltrans issued the NEPA certification on April 24, 2021. Caltrans' approval of the project design is nearly complete, and Public Works anticipates that Caltrans will issue the Authorization to Proceed (aka the "E76") later this month.
DISCUSSION:
The project will replace sidewalks on Main Street between Pine Street and Adams Street. Public Works seeks to complete the project by December 31, 2025 and is seeking Council approval to advertise the project in advance of Caltrans approval.
Doing so will enable staff to move forward expeditiously to advertise the project as soon as Caltrans approval (E76) is received. Public Works consulted with Caltrans Local Assistance and received guidance for seeking Council authorization in advance of E76 issuance. Public Works has incorporated this guidance into the attached resolution.
Agenda Item #10.6.
Actual publication would occur after the E76 is issued in accordance with the funding rules for the OBAG program.
ENVIRONMENTAL REVIEW:
Caltrans issued the NEPA certification for the project on April 24, 2021. Project is exempt from CEQA under Sections 15301 (Existing Facilities) and 15302 (Replacement or Reconstruction).
GOAL:
Goal 2: Improve Infrastructure & Further Environmental Sustainability Goal 5: Enhance Quality of Life
Goal 8: Implement Capital Improvement Plans (CIP) Projects Miscellaneous/Other DOCUMENTS ATTACHMENTS:
R18-81 CIP Sheet
Resolution
Agenda Item #10.6.
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Agenda Item #10.6.
CITY OF ST. HELENA
RESOLUTION NO. 2025-__
RESOLUTION AUTHORIZING THE PUBLIC WORKS DEPARTMENT
TO PUBLISH THE BID ANNOUNCEMENT FOR THE MAIN STREET
ST. HELENA PEDESTRIAN IMPROVEMENTS PROJECT
(CIP R18-81)
RECITALS
A. The Main Street St. Helena Pedestrian Improvements Project (R18-81) was originally approved by Council in 2018 with the adoption of the 2018 Capital Improvement Plan (CIP); and
B. Council re-approved the Project with the Five-Year CIP on May 27, 2025; and C. The Metropolitan Transportation Commission (MTC) authorized OBAG Grant funding to the project with Resolution 4505 on January 11, 2023; and D. Caltrans' approval of the project design is nearly complete and Public Works anticipates that Caltrans will issue the Authorization to Proceed (aka the "E76") later this month; and
E. Public Works consulted with Caltrans Local Assistance and received guidance for seeking Council authorization in advance of E76 issuance which has been incorporated into this resolution.
RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:
1. Authorize authorizes the Public Works Department to publish the project for bid immediately following issuance of the E76 by Caltrans.
2. Funding is as follows:
Description Fund GL Account Amount
One Bay Area Grant,
Round 3 (OBAG3) Grant 741-50-14-31-10 $1,206,000
Measure T/U 240 741-50-14-31-10 $113,822
TFCA Program Funds 741-50-14-31-10 $149,344
Agenda Item #10.6.
Approved at a Regular Meeting of the St. Helena City Council on August 12, 2025, by the following vote:
Mayor Dohring:
Vice Mayor Deasy:
Council Member Barak:
Council Member Spadarotto:
Council Member Summers:
APPROVED: ATTEST:
________________________ ________________________
Paul Jamison Dohring, Mayor Erika Opp, Acting City Clerk Agenda Item #10.6.
Agenda Report to the City Council
Agenda Section: CONSENT ITEMS
Department: Administration
DATE: August 12, 2025
FROM: Andrew Bradley, Program Manager, Erika Opp,
Administrative Analyst
SUBJECT: Consideration and proposed approval of a resolution amending the City of St. Helena Conflict of Interest Code pursuant to the Political Reform Act of 1974.
RECOMMENDED
ACTION:
It is recommended that the City Council adopt a Resolution approving and adopting the amended Conflict of Interest Code pursuant to the Political Reform Act of 1974, and
rescind the previous Conflict of Interest, resolution 2022-
84. PREVIOUS COUNCIL
ACTION:
The City last updated the Conflict of Interest Code
pursuant to the Political Reform Act of 1974 on September 27, 2022. Prior to that it was completed in September 8, 2020 and April 11, 2017.
STATEMENT OF THE
PURPOSE:
Update the Conflict of Interest Code, as required by the Political Reform Act of 1974 (Government Code Section
81000 et seq.).
FINANCIAL IMPACT: There is no financial impact.
BACKGROUND:
The Political Reform Act of 1974, Government Code Section 81000 et seq. (the "Act"), requires all public agencies to adopt and maintain a conflict of interest code. The Act mandates that all public agencies adopt and maintain a Conflict of Interest Code to identify designated positions that make or participate in making governmental decisions and to establish appropriate disclosure requirements for those positions. In accordance with Government Code Sections 87306 and 87306.5, the City is required to conduct a biennial review of its Code and update it as necessary to reflect organizational or staffing changes.
The Act further requires that agencies, including cities, regularly review and update their codes as necessary as directed by their code-reviewing bodies or when change is necessitated by changed circumstances. (Gov. Code §§ 87306, 87306.5.) The Act provides that no later than July 1 of each even-numbered year, code-reviewing bodies shall direct the review of all agency codes under their jurisdiction and requires that the agency head, no later than October 1, shall file a statement regarding the results of that review. The City Council is the code-reviewing body for the City's Code Agenda Item #10.7.
and on or below July 1 it must direct the biennial review of the City's Conflict of Interest Code ("Code"). (Gov. Code §§ 87306, 87306.5.).
The Act also requires that the City Manager file a statement regarding the results of the review no later than October 1 of the same year. If a change in the Code is necessitated by this review, it must be submitted to the City Council for approval within ninety (90) days of the filing of the Local Agency Biennial Notice with the City Clerk. (Gov. Code §§ 87306, 87306.5.).
DISCUSSION:
The City's current Conflict of Interest Code was adopted on September 27, 2022, by resolution No. 2022-84 (attached) and is overdue for updating. Specifically, there are some new positions that may need to be added as a designated position.
Removal of the following positions:
Assistant Fire Chief
Associate Planner
Title update of the following positions to Community Services:
Parks and Recreation Director to Community Services Director Library Director to Deputy Director of Community Services, Library Addition of the following positions:
Deputy City Manager
Finance Manager
Program Manager
Human Resources Manager
Senior Management Analyst
Project Manager
The proposed action is pursuant to the requirements set forth in section 87306.5 of the Political Reform Act and placed upon the City Council as the City's code-reviewing body.
GOAL:
Goal 7: Enhance Organizational Effectiveness
Miscellaneous/Other
DOCUMENTS ATTACHMENTS:
2025_Resolution_Conflict of Interest
2022-84 RESCINDING RESOLUTION 2020-89 ADOPT REVISED CONFLICT OF
INTEREST CODE
Attachment 3 - St Helena - CIC - 2025 (Legislative) - REDLINED Attachment 3 - St Helena - CIC - 2025 CLEAN
Agenda Item #10.7.
CITY OF ST. HELENA
RESOLUTION NO. 2025-__
RESOLUTION RESCINDING RESOLUTION 2022-84 AND ADOPTING A REVISED
CONFLICT OF INTEREST CODE PURSUANT TO THE POLITICAL REFORM ACT OF 1974 FOR THE CITY OF ST. HELENA
RECITALS
A. The City of St. Helena is required to adopt a Conflict of Interest Code by the Political Reform Act of 1974 (Government Code section 81000 et. seq.) (hereinafter referred to as "Act").
B. The Fair Political Practices Commission (hereinafter referred to as "FPPC") has adopted a regulation (2 California Code of Regulations section 18730) containing a model Conflict of Interest Code ("Model Code"), which if adopted by reference along with a list of designated employees required to file Statements of Economic Interest and a list of what types of economic interests those designated employees are required to disclose, will constitute the Conflict of Interest Code required by the Act.
C. The City Council has adopted a Conflict of Interest Code for the City, which is reviewed biennially to determine whether amendments are required and has been amended over time to incorporate changes in regulations, departmental organizational structure and changes in job classifications.
D. The current Conflict of Interest Code for the City was adopted by the City Council on September 27, 2022, via Resolution No. 2022-84.
E. Resolution No. 2022-84 adopted the Model Code by reference, as it may be amended from time to time by the FPPC, and a list of designated employees and disclosure categories attached as Appendix "A" to the resolution.
F. The Council desires to revise the list of designated employees and disclosure categories required to file a Statement of Economic Interest contained in Appendix "A" to Resolution No. _______.
Agenda Item #10.7.
RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:
1. The recitals above are incorporated herein by this reference, and the adoption of the Model Code, as it may be amended from time to time by the FPPC, is hereby confirmed.
2. Appendix “A” to Resolution No. 2022-84 is hereby rescinded and replaced by Exhibit “A” to this Resolution.
Approved at a Regular Meeting of the St. Helena City Council on August 12, 2025, by the following vote:
Mayor Dohring:
Vice Mayor Deasy:
Council Member Barak:
Council Member Spadarotto:
Council Member Summers:
APPROVED: ATTEST:
_____________________________ _____________________________ Paul Jamison Dohring, Mayor Erika Opp, Acting City Clerk Agenda Item #10.7.
RESOLUTION NO. 2022-84
RESOLUTION RESCINDING RESOLUTION 2020-89 AND ADOPTING A REVISED
CONFLICT OF INTEREST CODE PURSUANT TO THE POLITICAL REFORM ACT OF 1974 FOR THE CITY OF ST. HELENA
RECITALS
. The City of St. Helena is required to adopt a Conflict of Interest Code by the Politi cal Reform Act of 1974 (Government Code section 81000 et. seq.) (hereinafter referr ed to as "Act").
. The Fair Political Practices Commission (hereinafter referred to as "FPPC") h a
s
adopted a regulation (2 California Code of Regulations section 18730) containinga model Conflict of Interest Code ("Model Code"), which if adopted by reference alo ng with a list of designated employees required to file Statements of Economic Inter est and a list of what types of economic interests those designated employees required to disclose, willconstitute the Conflict of Interest Code required by the . The CityCouncil has adopted a Conflict of Interest Code for the City, which is review ed biennially to determine whether amendments are required and has been amend ed over time to incorporate changes in regulations, departmental organizational structu re and changes in job classifications.
. The current Conflict of Interest Code for the City was adopted by the City Council September 8, 2020 via Resolution No. 2020-89.
. Resolution No. 2020-89 adopted the Model Code by reference, as it may be amend ed from time to time by the FPPC, and a list of designated employees and disclos ure categories attached as Appendix "A"to the resolution. . The Council desires to revise the list of designated employees and disclos ure categories required to file a Statement of Economic Interest contained in Appendix to Resolution No. 2022-84.
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6306
Agenda Item #10.7.
§/\_A(W
RESOLUTION
The City Council of the City of St. Helena hereby resolves as follo ws:
1. The Recitals above are incorporated herein by this reference, the of adoptio n Model Code, as it may be amended from time to time bytishereby FPPC , confirmed.
2. Appendix "A"to Resolution No. 2020-89 is hereby rescinded byExhibit repl ace
d
"A"to this Resolution.
Approved at a Regular Meeting of the St. Helena City Council on Sep tem
ber
by27,022,
the followingvote:
Mayor Ellsworth: Yes
Vice Mayor Dohring: Yes
Councilmember Chouteau: Yes
Councilmember Hall: Yes
Councilmember Hardy: Yes
APPROVED: ATTEST:
G
eo
ff
Mayor Ells
wor
th,
C
in
d
y
Tza oulos,
8 3
5 7
8. 0
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0 0
Agenda Item #10.7.
Appendix A
Conflict of Interest Code
Of the City of St. Helena
(Amended September 27, 2022)
The Political Reform Act (Government Code section 81000 et seq.) requires state and loc al government agencies to adopt and promulgate conflict of interest codes. The Fair Politic al Practices Commission adopted 2 Cal. Code of Regulations, Section 18730, which contain s the terms of a standard conflict of interest code that can be incorporated by reference i an agency's code. After public notice and hearing, Section 18730 may be amended by th e Fair Political Practices Commission to conform to amendments in the Political Reform Ac t. Therefore, the terms of 2 California Code of Regulations Section 18730 and an y amendments to it duly adopted by the Fair Political Practices Commission are hereb y incorporated by reference. This regulation (attached) and the attached Appendi x designating officials and employees and establishing disclosure categories, shall constitut e the conflict of interest code of the City of St. Helena ("City").
The Mayor, Members of the City Council and Planning Commission, the City Manager, th e CityAttorney, the CityTreasurer, all other officials and designated positions required to subm it a statement of economic interests shall file their statements using St. Helena Ci ty eDisclosureDocs system. The City Clerk shall make all statements available for publi c inspection on the City's website and reproduction during regular business hours. (Gov. Cod e § 81008.)
Allofficials and designated positions required to submit a statement of economic interest s shall receive ethics training every two years as required pursuant to Government Cod e section 53235 (AB 1234). The City Clerk, as the City's Filing Officer, shall provide all filer s with information on training available to meet the requirements of Section 53235, an d maintain required records indicating the dates that filers satisfied the training requirement s and the entity that provided the training. These records shall be retained for five years afte r the date of training and are public records subject to disclosure under the California Publi c Records Act. (Gov. Code § 53235.2.)
83 57
8 000 l63l7.3
00 \407
Agenda Item #10.7.
APPENDIX
CONFLICT OF INTEREST COD
E
OF THE
CITY OF ST. HELENA
PART “A"
The Mayor, Members of the City Council and Planning Commissi on,
the Manager, City
City Attorney, the City Treasurer, and all other city officials who m a
n
a
g
e
public investments,
as defined by 2 Cal. Code of Regs, section 18700.3(b), are NOT the City'sode to but must file disclosure statements under Government Cod e
se87200 etseq.
ct
io
n
(Regulation § 18730(b)(3)).
OFFICIALS WHO MANAGE PUBLIC INVEST
MENTS
It has been determined that the positions listed below are "other who manage offi cial
s" public investments.‘ These positions listed here for informational only.
Administrative Services Director
Finance Director
' Individuals hold
ing
may above-listed the Fair contact the Political Practices onf positions Commission e for assistance or regarding obligations they filing advice their beleve thateir has been position if categorized inco
rrect
ly.
Fair Political The Practices makes the determination whether Commission final a position is covere
d
b87200. §
y
83578.00000W07l6317
Agenda Item #10.7.
DESIGNATED POSITIONS
GOVEFINED BYTHE CONFLICT OF INTEREST CODE
Note: Electronic Statements of Economic Interest for the following are electronically sent
DESIGNATED POSITIONS' DISCLOSURE CATEGORIES
TITLE OR FUNCTION ASSIGNED
Assistant Administrative Services Director 4
Assistant CityManager 1, 2
Assistant to the CityManager 4
Asst. CityAttorney I 1, 2
Chief of Police 5
Police Lieutenant 5
Fire Chief 5
Assistant Fire Chief 5
Fire Cagtain 5
Community Development Director 1, 2
Senior Planner 2, 3, 6
Associate Planner 2, 3, 6
Chief BuildingOfficial 2, 3, 6
CityClerk 5
Public Works Director and CityEngineer 1, 2
Parks & Recreation Director 5
Recreation Manager 5
LibraryDirector 5
Assistant Public Works Director 5
Management Analyst 5
Public Works Operations Manager 5
Public Works Assistant Operations Manager 5
Senior CivilEngineer 2, 3, 5
Consultants
2 to the Fair Political Practices Commission: City Manager, City Attorney, City Treasurer, Finance Director, Mayor and City Council, and Planning Commissioners. 1Consultants.Contract con
sul
tan
ts
shall discose their material ?nancial interests regard of all the disclosure toIn categories, subject to the fo
ll
ow
in
g
limitati
on:
The City Manager may dete
rmi
ne
basis that ona"designated case-by-case particular although consultant, ainwriting position" is hired to perfor
m
of duties that islimited and thus acomply with ran inscope not fully the required to ge disclosure requirements de
sc
ri
be
d
this Such written Appendix. determination shall include of inthe adescription consultant's duties and, bas
ed
that of the adescription, disclosure City upstatement extent The requirements. on Manager's determination is record and shall beretained for public inspetion the and location same manner In u
b
li
c
as this con?ict of interest c
o
d
e
.
83578.00000\407l6317 3
Agenda Item #10.7.
w
PART "B"
DISCLOSURE CATEGORIES
The disclosure categories listed below identify the types of investments, business entities, sources of income, including gifts, loans and travel payments, or real property that the designated employee must disclose for each disclosure category to which the designated is assigned3 "Investment" means financial interest in any business entity (including a consulting business or other independent contracting business) and are reportable if they are either located in or doing business in the jurisdiction. are planning to do business in the jurisdiction, or have done business during the previous two years in the jurisdiction of the City.
Category 1: All investments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that are located in, do business in, or own real property within the jurisdiction of the City.
Category 2: Allinterests in real property that are located in whole or in part within, or not more than two (2) miles outside, the jurisdiction of the City, including any leasehold, beneficial or ownership interest or option to acquire property.
Category 3: All investments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that are engaged in land development, construction, or the acquisition or sale of real property within the jurisdiction of the City.
Category 4: Allinvestments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that provide services, supplies, materials, machinery, vehicles, or equipment of a type purchased or leased by the City.
Category 5: Aliinvestments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that provide services, products, supplies, materials, machinery, vehicles, or equipment of a type purchased or leased by the designated employee's department, unit, or division. of income, including gifts, loans and travel payments from business entities subject to the regulatory, permit, or licensing authority of the designated employee's department, unit, or division. 3 This Con?ictgifts City's jurisdiction oInter Code does the of from outstde the source Ifnot reporting require fest does not hav
e
§Regulatlon duties of the functions 18730.1. Wllh, sor bearing connecti upon, postuon. ono 8357800000 3
Agenda Item #10.7.
Conflict of Interest Code
Of the City of St. Helena
(Amended September 27, 2022August 12, 2025)
The Political Reform Act (Government Code section 81000 et seq.) requires state and local government agencies to adopt and promulgate conflict of interest codes. The Fair Political Practices Commission adopted 2 Cal. Code of Regulations, Section 18730, which contains the terms of a standard conflict of interest code that can be incorporated by reference in an agency's code. After public notice and hearing, Section 18730 may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act.
Therefore, the terms of 2 California Code of Regulations Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission are hereby incorporated by reference. This regulation (attached) and the attached Appendix designating officials and employees and establishing disclosure categories, shall constitute the conflict of interest code of the City of St. Helena ("City").
The Mayor, Members of the City Council and Planning Commission, the City Manager, the City Attorney, the City Treasurer, all other officials and designated positions required to submit a statement of economic interests shall file their statements using St. Helena City eDisclosureDocs system. The City Clerk shall make all statements available for public inspection on the City's website and reproduction during regular business hours. (Gov. Code § 81008.)
All officials and designated positions required to submit a statement of economic interests shall receive ethics training every two years as required pursuant to Government Code section 53235 (AB 1234). The City Clerk, as the City's Filing Officer, shall provide all filers with information on training available to meet the requirements of Section 53235, and maintain required records indicating the dates that filers satisfied the training requirements and the entity that provided the training. These records shall be retained for five years after the date of training and are public records subject to disclosure under the California Public Records Act. (Gov. Code § 53235.2.)
Agenda Item #10.7.
APPENDIX
CONFLICT OF INTEREST CODE
OF THE
CITY OF ST. HELENA
PART “A"
The Mayor, Members of the City Council and Planning Commission, the City Manager, the City Attorney, the City Treasurer Administrative Services Director, and all other city officials who manage public investments, as defined by 2 Cal. Code of Regs, section 18700.3(b), are NOT subject to the City's Code but must file disclosure statements under Government Code section 87200 et seq. (Regulation § 18730(b)(3)).
OFFICIALS WHO MANAGE PUBLIC INVESTMENTS
It has been determined that the positions listed below are "other city officials" who manage public investments.1 These positions listed here for informational purposes only.
Administrative Services Director
Finance Director
1 Individuals holding one of the above-listed positions may contact the Fair Political Practices Commission for assistance or written advice regarding their filing obligations if they believe that their position has been categorized incorrectly. The Fair Political Practices Commission makes the final determination whether a position is covered by § 87200.
Agenda Item #10.7.
DESIGNATED POSITIONS
GOVERNED BY THE CONFLICT OF INTEREST CODE
DESIGNATED POSITIONS'
TITLE OR FUNCTION
DISCLOSURE CATEGORIES
ASSIGNED
Assistant Administrative Services Director 4
Assistant City Manager 1, 2
Assistant to the City Manager 4
Asst. City Attorney 1, 2
Chief of Police 5
Police Lieutenant 5
Fire Chief 5
Assistant Fire Chief 5
Fire Captain 5
Community Development Director 1, 2
Senior Planner 2, 3, 6
Associate Planner 2, 3, 6
Chief Building Official 2, 3, 6
City Clerk 5
Public Works Director and City Engineer 1, 2
Parks & Recreation DirectorCommunity Services Director 5 Recreation Manager 5
Library DirectorDeputy Director of Community Services - Library
5 Assistant Public Works Director 5
Management Analyst 5
Public Works Operations Manager 5
Public Works Assistant Operations Manager 5
Senior Civil Engineer 2, 3, 5
Deputy City Manager 1,2
Finance Manager 1,2
Program Manager 5
Human Resources Manager 5
Senior Management Analyst 5
Treatment Plant Manager 4
Project Manager 4
Consultants 2
Note: Electronic Statements of Economic Interest for the following are electronically sent to the Fair Political Practices Commission: City Manager, City Attorney, City Treasurer, Finance DirectorAdministrative Services Director, Mayor and City Council, and Planning Commissioners.
2 Consultants. Contract consultants shall disclose their material financial interests in regard to all of the disclosure Agenda Item #10.7.
categories, subject to the following limitation:
The City Manager may determine in writing on a case-by-case basis that a particular consultant, although a "designated position" is hired to perform a range of duties that is limited in scope and thus not required to fully comply with the disclosure requirements described in this Appendix. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The City Manager's determination is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code.
Agenda Item #10.7.
PART "B"
DISCLOSURE CATEGORIES
The disclosure categories listed below identify the types of investments, business entities, sources of income, including gifts, loans and travel payments, or real property that the designated employee must disclose for each disclosure category to which the designated is assigned 3 . "Investment" means financial interest in any business entity (including a consulting business or other independent contracting business) and are reportable if they are either located in or doing business in the jurisdiction, are planning to do business in the jurisdiction, or have done business during the previous two years in the jurisdiction of the City.
Category 1: All investments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that are located in, do business in, or own real property within the jurisdiction of the City.
Category 2: All interests in real property that are located in whole or in part within, or not more than two (2) miles outside, the jurisdiction of the City, including any leasehold, beneficial or ownership interest or option to acquire property.
Category 3: All investments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that are engaged in land development, construction, or the acquisition or sale of real property within the jurisdiction of the City.
Category 4: All investments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that provide services, supplies, materials, machinery, vehicles, or equipment of a type purchased or leased by the City.
Category 5: Ali investments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that provide services, products, supplies, materials, machinery, vehicles, or equipment of a type purchased or leased by the designated employee's department, unit, or division.
Category 6: All investments and business positions in business entities and sources of income, including gifts, loans and travel payments from business entities subject to the regulatory, permit, or licensing authority of the designated employee's department, unit, or division.
3 This Conflict of Interest Code does not require the reporting of gifts from outside the City's jurisdiction if the source does not have some connection with, or bearing upon, the functions or duties of the position. Regulation § 18730.1.
Agenda Item #10.7.
Conflict of Interest Code
Of the City of St. Helena
(Amended August 12, 2025)
The Political Reform Act (Government Code section 81000 et seq.) requires state and local government agencies to adopt and promulgate conflict of interest codes. The Fair Political Practices Commission adopted 2 Cal. Code of Regulations, Section 18730, which contains the terms of a standard conflict of interest code that can be incorporated by reference in an agency's code. After public notice and hearing, Section 18730 may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act.
Therefore, the terms of 2 California Code of Regulations Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission are hereby incorporated by reference. This regulation (attached) and the attached Appendix designating officials and employees and establishing disclosure categories, shall constitute the conflict of interest code of the City of St. Helena ("City").
The Mayor, Members of the City Council and Planning Commission, the City Manager, the City Attorney, the City Treasurer, all other officials and designated positions required to submit a statement of economic interests shall file their statements using St. Helena City eDisclosureDocs system. The City Clerk shall make all statements available for public inspection on the City's website and reproduction during regular business hours. (Gov. Code § 81008.)
All officials and designated positions required to submit a statement of economic interests shall receive ethics training every two years as required pursuant to Government Code section 53235 (AB 1234). The City Clerk, as the City's Filing Officer, shall provide all filers with information on training available to meet the requirements of Section 53235, and maintain required records indicating the dates that filers satisfied the training requirements and the entity that provided the training. These records shall be retained for five years after the date of training and are public records subject to disclosure under the California Public Records Act. (Gov. Code § 53235.2.)
Agenda Item #10.7.
APPENDIX
CONFLICT OF INTEREST CODE
OF THE
CITY OF ST. HELENA
PART “A"
The Mayor, Members of the City Council and Planning Commission, the City Manager, the City Attorney, the Administrative Services Director, and all other city officials who manage public investments, as defined by 2 Cal. Code of Regs, section 18700.3(b), are NOT subject to the City's Code but must file disclosure statements under Government Code section 87200 et seq. (Regulation § 18730(b)(3)).
OFFICIALS WHO MANAGE PUBLIC INVESTMENTS
It has been determined that the positions listed below are "other city officials" who manage public investments.1 These positions listed here for informational purposes only.
Administrative Services Director
1 Individuals holding one of the above-listed positions may contact the Fair Political Practices Commission for assistance or written advice regarding their filing obligations if they believe that their position has been categorized incorrectly. The Fair Political Practices Commission makes the final determination whether a position is covered by § 87200.
Agenda Item #10.7.
DESIGNATED POSITIONS
GOVERNED BY THE CONFLICT OF INTEREST CODE
DESIGNATED POSITIONS'
TITLE OR FUNCTION
DISCLOSURE CATEGORIES
ASSIGNED
Assistant Administrative Services Director 4
Assistant City Manager 1, 2
Assistant to the City Manager 4
Asst. City Attorney 1, 2
Chief of Police 5
Police Lieutenant 5
Fire Chief 5
Fire Captain 5
Community Development Director 1, 2
Senior Planner 2, 3, 6
Chief Building Official 2, 3, 6
City Clerk 5
Public Works Director and City Engineer 1, 2
Community Services Director 5
Recreation Manager 5
Deputy Director of Community Services - Library 5
Assistant Public Works Director 5
Management Analyst 5
Public Works Operations Manager 5
Public Works Assistant Operations Manager 5
Senior Civil Engineer 2, 3, 5
Deputy City Manager 1,2
Finance Manager 1,2
Program Manager 5
Human Resources Manager 5
Senior Management Analyst 5
Treatment Plant Manager 4
Project Manager 4
Consultants 2
Note: Electronic Statements of Economic Interest for the following are electronically sent to the Fair Political Practices Commission: City Manager, City Attorney, Administrative Services Director, Mayor and City Council, and Planning Commissioners. 2 Consultants. Contract consultants shall disclose their material financial interests in regard to all of the disclosure categories, subject to the following limitation:
The City Manager may determine in writing on a case-by-case basis that a particular consultant, although a "designated Agenda Item #10.7.
position" is hired to perform a range of duties that is limited in scope and thus not required to fully comply with the disclosure requirements described in this Appendix. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The City Manager's determination is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code.
Agenda Item #10.7.
PART "B"
DISCLOSURE CATEGORIES
The disclosure categories listed below identify the types of investments, business entities, sources of income, including gifts, loans and travel payments, or real property that the designated employee must disclose for each disclosure category to which the designated is assigned 3 . "Investment" means financial interest in any business entity (including a consulting business or other independent contracting business) and are reportable if they are either located in or doing business in the jurisdiction, are planning to do business in the jurisdiction, or have done business during the previous two years in the jurisdiction of the City.
Category 1: All investments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that are located in, do business in, or own real property within the jurisdiction of the City.
Category 2: All interests in real property that are located in whole or in part within, or not more than two (2) miles outside, the jurisdiction of the City, including any leasehold, beneficial or ownership interest or option to acquire property.
Category 3: All investments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that are engaged in land development, construction, or the acquisition or sale of real property within the jurisdiction of the City.
Category 4: All investments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that provide services, supplies, materials, machinery, vehicles, or equipment of a type purchased or leased by the City.
Category 5: Ali investments and business positions in business entities and sources of income, including gifts, loans and travel payments, from business entities that provide services, products, supplies, materials, machinery, vehicles, or equipment of a type purchased or leased by the designated employee's department, unit, or division.
Category 6: All investments and business positions in business entities and sources of income, including gifts, loans and travel payments from business entities subject to the regulatory, permit, or licensing authority of the designated employee's department, unit, or division.
3 This Conflict of Interest Code does not require the reporting of gifts from outside the City's jurisdiction if the source does not have some connection with, or bearing upon, the functions or duties of the position. Regulation § 18730.1.
Agenda Item #10.7.
Agenda Report to the City Council
Agenda Section: CONSENT ITEMS
Department: Human Resources
DATE: August 12, 2025
FROM: Mandy Kellogg, Administrative Services Director
SUBJECT: Approval of a Resolution authorizing the City Manager to execute Amendment No. 1 to the Professional Services
Agreement with Beauchaine Consulting Group, LLC to
provide public management consulting services related to labor negotiations for an additional $50,000 for a total amount not-to-exceed $100,000, which is included in the FY 2025-26 Operating Budget.
RECOMMENDED
ACTION:
Staff recommends approval of the attached resolution.
PREVIOUS COUNCIL
ACTION:
July 23, 2024 - Authorized the City Manager to execute a Professional Services Agreement in an amount not-toexceed $50,000.
STATEMENT OF THE
PURPOSE:
The purpose is the execute an agreement with
Beauchaine Consulting Group to provide services to the
City of St. Helena related to labor relations, including negotiations for the labor contracts that expire on June 30, 2026.
FINANCIAL IMPACT: The total Financial Impact of $50,000 has been included in the approved FY 2025-26 Operating Budget utilizing
General Fund in GL Account 101-43-10-21-45.
BACKGROUND:
The City of St. Helena currently has three formally recognized bargaining groups, which include the following:
St. Helena Employees Association (SHEA)
St. Helena Police Officers' Association (POA)
St. Helena Professional Firefighters Association (SHPFA) The City negotiated a collective bargaining agreement or Memorandum of Understanding with each of the bargaining groups that establishes an agreement on topics such as wages, hours, and terms and conditions of employment.
In addition to the formally recognized groups, the City has one additional full-time employee group that is unrepresented, which consists of Department Heads and MidManagers. Wages, hours, and terms and conditions of employment for the unrepresented group our outlined in the Unrepresented Compensation Program.
Agenda Item #10.8.
Each of the existing agreements were negotiated for a specific term during Spring of 2025 for a one-year term and are due to expire on June 30, 2026. In order to make amendments to the existing conditions of the agreements, which includes updating the term of the agreement, the City is required to engage in discussions ("meet and confer") with each of the bargaining groups involved to reach mutual agreements on proposed updates.
DISCUSSION:
As the City enters into the last year of the memorandums of understandings for each of the bargaining groups, the City is recommending amending the Professional Services Agreement with Beauchaine Consulting Group, LLC (BCG) to continue to provide public management consulting services related to labor negotiations.
Labor negotiations can involve complex legal issues and regulatory requirements.
External negotiators are often well-versed in these areas, helping to ensure that the organization remains compliant with relevant laws and regulations. In addition, experienced negotiators have insights to industry trends and best practices. This can provide valuable benchmarks and strategic guidance during negotiations.
BCG will act as the City's Chief Labor Negotiator to negotiate a new term for the existing memorandum of understandings, as well as assist with labor relations that require meet and confer with the collective bargaining groups.
BCG has extensive experience in major Human Resources functions with a special emphasis on employee & labor relations, negotiations, memorandum of understanding and collective bargaining agreement draft review, police & fire, as well as policy & personnel rules review and updating.
ENVIRONMENTAL REVIEW:
None.
GOAL:
Goal 6: Improve Employee Recruitment, Retention, & Morale DOCUMENTS ATTACHMENTS:
Resolution Beauchaine Consulting Group PSA
Beauchaine Consulting Group Amendment #1
STH Contract FY2025-002 Public Management Consulting
Agenda Item #10.8.
CITY OF ST. HELENA
RESOLUTION NO. 2025 -
Authorizing the City Manager execute Amendment No. 1 to the Professional Services Agreement with Beauchaine Consulting Group, LLC for public management consulting services related to labor negotiations for an additional amount of $50,000 and a total amount not-to-exceed $100,000.
RECITALS
A. The City of St. Helena currently has three formally recognized bargaining groups, which include, St. Helena Employees Association, St. Helena Police Officers’ Association, and St. Helena Professional Firefighters Association; and B. The City negotiated a collective bargaining agreement or Memorandum of Understanding with each of the bargaining groups that establishes an agreement on topics such as wages, hours, and terms and conditions of employment; and C. The City has one additional full-time employee group that is unrepresented, which consists of Department Heads and Mid-Managers. Wages, hours, and terms and conditions of employment for the unrepresented group our outlined in the Unrepresented Compensation Program; and
D. Each of the existing agreements were negotiated for a specific term during Spring of 2025 for a one-year term and are due to expire on June 30, 2026; and E. In order to make amendments to the existing conditions of the agreements, which includes updating the term of the agreement, the City is required to engage in discussions ("meet and confer") with each of the bargaining groups involved to reach mutual agreements on proposed updates; and
F. Beauchaine Consulting Group, LLC (BCG) has extensive experience in major Human Resources functions with a special emphasis on employee & labor relations, negotiations, memorandum of understanding and collective bargaining agreement draft review, police & fire, as well as policy & personnel rules review and updating G. The City of St. Helena and BCG now desire to amend the Professional Services Agreement to continue to provide public management consulting services related to labor negotiations in the amount of $50,000 for a total amount not-to-exceed $100,000.
RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:
1. Authorizes the City Manager to execute Amendment No. 1 to the Professional Services Agreement with Beauchaine Consulting Group, LLC (BCG) to continue Agenda Item #10.8.
to provide public management consulting services related to labor negotiations in the amount of $50,000 for a total amount not-to-exceed $100,000.
2. Funding is provided as follows:
Funding Details Fund GL Account Amount
Previously authorized in FY
2025-26 Operating Budget General Fund 101-43-10-21-45 $50,000 Approved at a Regular Meeting of the St. Helena City Council on August 12, 2025, by the following vote:
Mayor Dohring: __________
Vice Mayor Deasy: __________
Councilmember Barak: __________
Councilmember Spadarotto: __________
Councilmember Summers: __________
APPROVED: ATTEST:
________________________ ________________________
Paul Jamison Dohring, Mayor Erika Opp, Acting City Clerk Agenda Item #10.8.
AMENDMENT NO. 1 TO STH CONTRACT FY2025-002 FOR PROFESSIONAL SERVICES WITH BEAUCHAINE CONSULTING GROUP, LLC.
This Amendment No. 1 to Professional Services Agreement dated July 1, 2024 ("Agreement") is made as of this 1st day of July 2025 by and between the City of St. Helena, a municipal corporation ("City"), and Beauchaine Consulting Group, LLC. ("Consultant").
RECITALS
A. On July 1, 2024, the City and Beauchaine Consulting Group, LLC (Consultant) entered into the Professional Services Agreement (“Agreement”) to provide public management consulting services related to labor negotiations for an amount not to exceed $50,000; and B. The City negotiated a collective bargaining agreement or Memorandum of Understanding with each of the bargaining groups that establishes an agreement on topics such as wages, hours, and terms and conditions of employment and completed the process in Spring 2025; and
C. Each of the existing agreements were negotiated for a one-year term and are due to expire on June 30, 2026; and
D. The City Council desires to enter into this Amendment No. 1 in the amount of $50,000 to the Agreement for Consultant Services with Beauchaine Consulting Group, LLC to provide public management consulting services.
E. The total amended contract not-to-exceed $100,000.
AGREEMENT
NOW, THEREFORE, in consideration of the promises and of the mutual covenants and agreements herein contained, for good and valuable consideration, the adequacy of which is hereby acknowledged, the parties agree to amend the Agreement as follows:
1. Section 4. Compensation of the Agreement is hereby amended to increase the authorized compensation under the Agreement by the amount of $50,000, for a total amended contract not to exceed $100,000; and
2. Section 2. The Scope of Services for the Agreement is hereby amended to provide that Consultant will serve as the City’s Labor Negotiations Advisor and Labor Negotiator through June 30, 2026 and to include updated hourly fees as indicated in Exhibit A included in Amendment No. 1; and
3. All other terms of the Agreement shall remain in full force and effect.
Agenda Item #10.8.
Entered as of the day and year first above stated.
CONSULTANT:
Signatures of Authorized Persons:
By: _____________________________
Print Name:_______________________
Title: ____________________________
CITY OF ST. HELENA
a Municipal Corporation
By:_________________________________
Print Name: Anil Comelo
Title: City Manager
APPROVED AS TO FORM:
____________________________
City Attorney
ATTEST:
____________________________
City Clerk
Agenda Item #10.8.
EXHIBIT A
Hourly Fees
Generally, our fees for services are calculated based upon the applicable hourly rates for those professionals who perform the work at hand. Our schedule of hourly rates for such personnel is based on experience, education, training, and skill. Our 2025 schedule for the City of St. Helena is as follows, which represents a discounted rate for local and current clients after our July 1, 2024 increases:
Agenda Item #10.8.
STH Contract FY2025-002 Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Item #10.8.
Agenda Report to the City Council
Agenda Section: CONSENT ITEMS
Department: Finance
DATE: August 12, 2025
FROM: Mandy Kellogg, Administrative Services Director
SUBJECT: Approval of a Resolution Updating the City of St. Helena Authorized Signatories with the Local Agency Investment Fund (LAIF) of the California State Treasury.
RECOMMENDED
ACTION:
Staff recommends approval of the attached resolution.
PREVIOUS COUNCIL
ACTION:
None.
STATEMENT OF THE
PURPOSE:
The purpose is the approve a resolution authorizing
signatories with LAIF to allow certain individuals to transfer funds.
FINANCIAL IMPACT: There is no financial impact associated with this report.
BACKGROUND:
Section 16429.1 of the California Government Code established the Local Agency Investment Fund (LAIF) in 1977 as an investment option for California local governments. Administered by the State Treasurer, LAIF offers a secure and convenient way for agencies to invest public funds. One of LAIF's key advantages is its high liquidity, funds can be deposited or withdrawn on a daily basis, while still earning competitive yields.
For the City, LAIF serves as a vital tool for managing cash flow, ensuring 24-hour access to operating funds. Access to LAIF accounts is governed by the LAIF Authorization for Transfer of Funds form, which requires each agency to identify individuals authorized to initiate deposits and withdrawals on behalf of the agency. The form also requires verification of the agency's banking information.
Any updates to authorized personnel or banking details must be accompanied by the agency's most recent resolution approving participation in LAIF, along with documentation confirming the appointees' identities and positions. These materials must be submitted together with the request form to ensure proper authorization and account security.
DISCUSSION:
The City recently contacted LAIF to verify the individuals currently authorized to conduct transactions on its behalf after the Administrative Services Director was informed they did not have authority. According to LAIF, the most recent resolution they have on file is Resolution 82-15. However, City records show that Resolution 82-15 was rescinded on Agenda Item #10.9.
April 8, 1985, and replaced by Resolution 85-17, which was subsequently rescinded and replaced by Resolution 87-19 on August 10, 1987.
As a result, the City must adopt a new resolution in the format required by LAIF to ensure accurate and up-to-date authorization records. The purpose of this resolution is to formally update the list of individuals authorized to initiate deposits and withdrawals on behalf of the City, aligning LAIF's records with current City management. The proposed authorized signatories are: (1) City Manager, (2) Assistant City Manager, (3) Administrative Services Director, (4) Finance Manager. Updating the resolution will safeguard the City's access to its LAIF account and maintain compliance with state investment requirements.
The City recognizes the importance to generating additional revenue through investment earnings while prioritizing the safety and liquidity of public funds. One underutilized opportunity with the City's investment strategy is the Local Agency Investment Fund (LAIF), which offers a secure and liquid option for idle cash.
Preliminary estimates suggest that if the City had invested an additional $8 million in LAIF beginning July 1, 2022, it could have earned an average of approximately $310,000 annually or roughly $924,000 over a three-year period. The estimated investment earnings of approximately $924,000 over a three-year period (July 1, 2022 – June 30, 2025) are based on a simple compounding interest calculation using actual quarterly LAIF interest rates and assuming an initial additional investment of $8 million.
The calculation applies the following assumptions:
Interest is calculated quarterly using the actual LAIF quarterly apportionment rates published by the State Treasurer’s Office.
Interest earned each quarter is reinvested and added to the principal for the subsequent quarter, effectively compounding the investment. No additional contributions or withdrawals occur during the period. Calculations do not include fees or external factors affecting fund balances.
These earnings reflect a conservative, but realistic scenario based on historical LAIF performance and demonstrate the potential fiscal benefit of a more strategic approach to short-term cash investments. The earnings would have been distributed proportionally across all funds eligible to receive interest income, thereby improving the overall financial position of the City.
Moving forward, the City will collaborate closely with its Municipal Advisor and the Finance Committee to develop policy recommendations aimed at optimizing investment returns while maintaining the safety and liquidity of public funds. This proactive approach will ensure the City's investment strategy is both fiscally responsible and aligned with best practices, ultimately enhancing long-term financial sustainability.
ENVIRONMENTAL REVIEW:
Agenda Item #10.9.
None.
GOAL:
Miscellaneous/Other
DOCUMENTS ATTACHMENTS:
Resolution Local Agency Investment Fund (Fund)
Agenda Item #10.9.
CITY OF ST. HELENA
RESOLUTION NO. 2025 -
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ST.
HELENA, CALIFORNIA, AUTHORIZING INVESTMENT OF
MONIES IN THE LOCAL AGENCY INVESTMENT FUND (LAIF) IN
ACCORDANCE WITH GOVERNMENT CODE SECTION 16429.1
AND APPROVING A LIST OF DESIGNATED CITY OFFICERS
AUTHORIZED TO ORDER DEPOSITS AND WITHDRAWALS OF
FUNDS IN THE LOCAL AGENCY INVESTMENT FUND.
RECITALS
A. The Local Agency Investment Fund is established in the State Treasury under Government Code section 16429.1 et. seq. for the deposit of money of a local agency for purposes of investment by the State Treasurer; and B. The City Council hereby finds that the deposit and withdrawal of money in the Local Agency Investment Fund in accordance with Government Code section 16429.1 et. seq. for the purpose of investment as provided therein is in the best interests of the City; and
C. That the City Council hereby authorizes the deposit and withdrawal of the City of St.
Helena monies in the Local Agency Investment Fund in the State Treasury in accordance with Government Code section 16429.1 et. Seq. for the purpose of investment as provided herein.
RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:
1. The following City officers holding the title(s) specified hereinbelow or their successors in office are each hereby authorized to order the deposit or withdrawal of monies in the local Agency Investment Fund and may execute and deliver any and all documents necessary or advisable in order to effectuate the purposes of this resolution and the transactions contemplated hereby:
Anil Comelo Joseph Leach Mandy Kellogg Martin Beltran
City Manager
Assistant City
Manager
Administrative
Services Director Finance Manager
(signature) (signature) (signature) (signature)
Agenda Item #10.9.
2. This resolution shall remain in full force and effect until rescinded by City Council by resolution and a copy of the resolution rescinding this resolution is filed with the State Treasurer’s Office.
Approved at a Regular Meeting of the St. Helena City Council on August 12, 2025, by the following vote:
Mayor Dohring: __________
Vice Mayor Deasy: __________
Councilmember Barak: __________
Councilmember Spadarotto: __________
Councilmember Summers: __________
APPROVED: ATTEST:
________________________ ________________________
Paul Jamison Dohring, Mayor Erika Opp, Acting City Clerk Agenda Item #10.9.
Agenda Report to the City Council
Agenda Section: CONSENT ITEMS
Department: Finance
DATE: August 12, 2025
FROM: Mandy Kellogg, Administrative Services Director
SUBJECT: Authorizing a resolution approving a three-year Professional Services Agreement for Professional Auditing Services with Harshwal & Company, LLP in the amount
not-to-exceed of $29,600 in the first year, $30,880 in the second year, and $32,230 in the third year for a total
$92,710 over the three-year term.
RECOMMENDED
ACTION:
Staff recommends approval of the attached resolution.
PREVIOUS COUNCIL
ACTION:
None.
STATEMENT OF THE
PURPOSE:
The purpose is to execute an agreement to provide
Professional Auditing Services for a three-year period to audit and assist financial statements for the fiscal years ending June 30, 2025, June 30, 2026, and June 30, 2027.
FINANCIAL IMPACT: The total Financial Impact is $29,600 in FY 2025-26, $30,880 in FY 2026-27, and $32,230 in FY 2027-28 for a
total not-to-exceed $92,710 over the three-year term. Year 1 and Year 2 funding has been included in the Adopted FY 2025-26 and FY 2026-27 Biennial Operating Budget.
BACKGROUND:
State law requires local governments to publish a complete set of audited financial statements by December 31st of each year. The Annual Comprehensive Financial Report (ACFR) is published annually to fully disclose the City’s financial information, as well as to comply with state and federal requirements and bond covenants.
The financial audit and the preparation of the financial statements takes place over several months, beginning just after the end of the fiscal year and continuing through the time the books are closed and the ACFR is published. Staff coordinates with the auditors to ensure that the work is completed accurately and timely.
DISCUSSION:
The City contracts for an annual independent audit of its financial statements. The City has contracted with Brown Armstrong Accountancy Corporation for audit services for the past five years. Although the City has been satisfied with the services of the previous auditor, the contract expired after completion of the FY 2023-24 audit.
Agenda Item #10.10.
The Government Finance Officers Assocation (GFOA) best practices for audit procurement recommends periodically rebidding audit services to maintain auditor independence and to ensure competitive pricing. In addition, GFOA recommends awarding contracts for at least five years, which are often structures as a three-year contract with options to renew, which allows auditors to gain a better understanding of the entity while still enabling periodic competition.
A request for proposals for Professional Auditing Services was issued on May 23, 2025, with responses due to the City on or before June 20, 2025. The City of St. Helena requested proposals from qualified firms of certified public accountants for a three-year contract to prepare and audit its financial statements for fiscal years ending June 30, 2025, 2026, and 2027. An option to extend the contract for fiscal years ending June 30, 2028, and 2029 may be exercised by the City through an approved amendment.
A total of three proposals were received by the deadline of June 20, 2025. During the week of July 28, 2025, proposals were reviewed, and all three firms were interviewed by the Administrative Services Director, Finance Manager, and a qualified member of the public.
After conducting the interviews, it was determined that Harshwal & Company, LLP would be recommended as the firm to prepare and audit the City's Financial statements for the upcoming cycles. Harshwal & Company, LLP selection was based on a variety of factors including:
Comprehensive Audit Team which will be assigned to St. Helena Technical experience and professional qualification
Extensive partner involvement throughout the audit process Understanding of reporting requirements and deadlines Staff anticipated an annual cost for professional audit services at $50,000 per year, which was included and approved in the FY 2025-26 and FY 2026-27 Biennial Operating Budget. Harshwal & Company, LLP, included the All-Inclusive Maximum costs per year being audited as follows:
Description FY 2024-
25 FY 2025-26 FY 2026-27 FY 2027-28 FY 2028-29
SCO Reports 2,600 2,730 2,870 3,010 3,160
City
Audit/ACFR 23,000 24,150 25,360 26,625 27,955
Single Audit 4,000 4,000 4,000 4,000 4,000
Total 29,600 30,880 32,230 33,635 35,115
ENVIRONMENTAL REVIEW: None.
Agenda Item #10.10.
GOAL:
Miscellaneous/Other
DOCUMENTS ATTACHMENTS:
Resolution - Professional Audit Services
PSA Harshwal Professional Auditing Services 2025.08.12
City of St. Helena - Proposal to Provide Professional Auditing Services (HCLLP) Agenda Item #10.10.
CITY OF ST. HELENA
RESOLUTION NO. 2025-__
Resolution approving a three-year Professional Services Agreement with Harshwal & Company, LLP in the amount of $29,600 for the first year, $30,880 for the second year, and $32,230 for the third year for a total not-to-exceed of $92,710 over a threeyear term for professional audit services.
RECITALS
A. The City desires to hire a Consultant to furnish professional auditing services for the preparation of a complete set of audited financial statements; and B. Harshaw & Company LLP has represented that they have the necessary expertise, experience, and qualifications to perform the required duties.
C. Therefore, the City desires to enter into a three-year agreement to prepare and audit its financial statements for fiscal years ending June 30, 2025, 2026, and 2027, with an option for fiscal years ending June 30, 2028, and 2029 that may be exercised by the City through an approved amendment, for an amount not-to-exceed $92,710 for the three-year period.
RESOLUTION
NOW, THEREFORE, the City Council of the City of St. Helena resolves as follows:
1. Authorize the City Manager to execute the Professional Services Agreement with Harshwal & Company, LLP, in the amount of $29,600 for the first year, $30,880 for the second year, and $32,230 for the third year for a total not-toexceed of $92,710 over a three-year term for professional audit services.
2. Funding is as follows:
Description Fund GL Account Amount
Previously Authorized in
the FY 2025-26 Operating
Budget
General Fund 101-43-00-21-45 29,600
Previously Authorized in
the FY 2026-27 Operating
Budget
General Fund 101-43-00-21-45 30,880
Budget will be Requested General Fund 101-43-00-21-45 32,230 Agenda Item #10.10.
in FY 2027-28 Operating
Budget
Total Cost for Three-Year Agreement 92,710
Approved at a Regular Meeting of the St. Helena City Council on August 12, 2025, by the following vote:
Mayor Paul Dohring:
Vice Mayor Deasy:
Council Member Barak:
Council Member Spadarotto:
Council Member Summers:
APPROVED: ATTEST:
________________________ ________________________
Paul Jamison Dohring, Mayor Erika Opp, Acting City Clerk Agenda Item #10.10.
Harshwal & Company, LLP August 12, 2025
AGREEMENT FOR PROFESSIONAL SERVICES
THIS AGREEMENT, made and entered into on August 12, 2025 by and between the City of St. Helena, located in the County of Napa, State of California (City), and Harshwal & Company, LLP (Consultant).
RECITALS:
A. City desires to employ Consultant to furnish professional services in connection with the project described as Professional Auditing Services.
B. Consultant has represented that Consultant has the necessary expertise, experience, and qualifications to perform the required duties.
NOW, THEREFORE, in consideration of the mutual premises, covenants, and conditions herein contained, the parties agree as follows:
SECTION 1 – BASIC SERVICES
Consultant agrees to perform the services set forth in Exhibit A, “Scope of Services” and made part of this Agreement.
SECTION 2 – ADDITIONAL SERVICES
Consultant shall not be compensated for any services rendered in connection with its performance of this Agreement that are in addition to or outside of those set forth in this Agreement or Exhibit A, “Scope of Services” (the “Services”), unless such additional Services and compensation are authorized in advance and in writing by the City Council or City Manager of the City.
SECTION 3 – TIME FOR COMPLETION
The time for completion of Services shall be as identified in Exhibit A, “Scope of Services”. The parties expressly agree that time is of the essence in the performance of this Agreement.
SECTION 4 – COMPENSATION AND METHOD OF PAYMENT
A. Subject to any limitations set forth in this Agreement, City agrees to pay consultant the amount specified in Exhibit A, “Compensation” attached hereto and made a part hereof. Total compensation shall not exceed $29,600 for Year 1, $30,880 for Year 2, and $32,230 for Year 3, for a total not-to-exceed of $92,710 over a three-year term for professional auditing services with an option two extend for two additional years, unless additional compensation is approved in accordance with Section 2.
B. Consultant shall furnish to City an original invoice for all work performed and expenses incurred during the preceding month. The invoice shall detail charges by the following categories if applicable: labor (by sub-category), travel, materials, equipment, supplies, Agenda Item #10.10.
Harshwal & Company, LLP August 12, 2025
subconsultant contracts, and miscellaneous expenses. Each original invoice furnished shall include the expenses incurred during the preceding month, the cumulative Agreement amount, and the amount remaining on the Agreement. City shall independently review each invoice submitted to determine whether the work performed and expenses incurred are in compliance with the provisions of this Agreement. If no charges or expenses are disputed, the invoice shall be approved, and City will use its best efforts to cause Consultant to be paid within 30 days of receipt of invoice. If the City disputes any charges or expenses, the City will return the original invoice to Consultant for correction and resubmission. If the City reasonably determines, in its sole judgment, that the invoiced charges and expenses exceed the value of the Services performed to date and that it is probable that the Agreement will not be completed satisfactorily within the contract price, City may retain all or a portion of the invoiced charges and expenses.
Within thirty (30) days of satisfactory completion of the project, City shall pay the retained amount, if any, to Consultant.
C. Payment to the Consultant for work performed pursuant to this Agreement shall not be deemed to waive any defects in work performed by Consultant.
SECTION 5 – STANDARD OF PERFORMANCE
A. Consultant represents and warrants that it has the qualifications, experience and facilities necessary to properly perform the Services required under this Agreement in a thorough, competent and professional manner. Consultant shall at all times faithfully, competently and to the best of its ability, experience and talent, perform all Services described herein. In meeting its obligations under this Agreement, Consultant shall employ, at a minimum, generally accepted standards and practices utilized by persons in the same or similar geographical area engaged in providing Services similar to those required of Consultant under this Agreement.
B. In order to induce City to enter into this Agreement, Consultant represents that it is duly organized, existing and in good standing under applicable state law; Consultant is licensed to perform all aspects of the Services; Consultant will employ only persons and Subconsultants with all required licenses and certifications; that Consultant is duly qualified to conduct business in the State; that Consultant has duly authorized the execution, delivery and performance of this Agreement and the Services to be performed herein; and that the Agreement does not violate or create a default under any instrument, agreement, order or decree binding on Consultant.
SECTION 6 – INSPECTION AND FINAL ACCEPTANCE
City may inspect and accept or reject any of Consultant’s work under this Agreement, either during performance or when completed. City shall reject or finally accept Consultant’s work within sixty (60) days after submitted to City, unless the parties mutually agree to extend such deadline. City shall reject work by a timely written explanation, otherwise Consultant’s work shall be deemed to have been accepted. City’s acceptance shall be conclusive as to such work except with respect to latent defects and fraud. Acceptance of any of Consultant’s work by City shall not constitute a waiver of any of the provisions of this Agreement including, but not limited to, the sections pertaining to indemnification and insurance.
Agenda Item #10.10.
Harshwal & Company, LLP August 12, 2025
SECTION 7 – INSURANCE REQUIRED
Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees, as indicated:
A. Minimum Scope of Insurance. Coverage shall be at least as broad as:
1. Insurance Services Office Commercial General Liability coverage (occurrence form CG 0001).
2. Insurance Services Office form number CA 0001 (Ed. 1/87) covering Automobile Liability, code 1 (any auto).
B. Minimum Limits of Insurance. Consultant shall maintain limits no less than:
1. General Liability: $2,000,000 per occurrence for bodily injury, personal injury and property damage including operations, products and completed operations, as applicable. If Commercial General Liability Insurance or other form with a General Liability Insurance or other form with a general aggregate limit is used, either the general aggregate limit shall apply separately to this project/location or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: $1,000,000 per accident for bodily injury and property damage.
C. Professional Liability Insurance. When Consultant under this Agreement is duly licensed under California Business and Professions Code as an architect, landscape architect, environmental engineer or other professional engineer, or land surveyor (“design professional”), Consultant shall maintain at least $1,000,000 of professional liability insurance. When Consultant is not a design professional, Consultant shall maintain at least $1,000,000 of professional liability insurance combined single limit for each occurrence, insuring against professional errors and omissions in the Services performed by Consultant under this Agreement, including, without limitation, claims for negligence, misrepresentation, violation of good faith and fair dealing, and inaccurate advise arising out of, resulting from, or in connection with Services performed by Consultant under this Agreement.
D. Excess Limits. If Consultant maintains higher limits than the minimums shown above, City requires and shall be entitled to coverage for the higher limits maintained by Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City.
E. Primary Coverage. For any claims related to this contract the Consultants insurance coverage shall be primary insurance as respects to City, its officers, officials, employees and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of Consultants insurance and shall not contribute with it.
Agenda Item #10.10.
Harshwal & Company, LLP August 12, 2025
F. Deductibles and Self-Insured Retentions. Any deductibles or self-insured retentions of $25,000 or greater must be declared to and approved by the City.
G. Other Insurance Provisions. The commercial general liability and automobile liability policies are to contain, or be endorsed to contain, the following provisions:
1. The City, its agent, officers, officials, employees, and volunteers are to be covered as additional insured as respects: liability arising out of work or operations performed by the Consultant or Consultant’s subconsultants; or automobile owned, leased, hired or borrowed by the Consultant.
2. For any claims related to Consultant’s conduct while performing the work of this project, the Consultant’s insurance coverage shall be primary insurance as respects the City, its agents, officers, officials, employees and volunteers. Any insurance or self-insurance maintained by the City, its agents, officers, officials, employees or volunteers shall be excess of the Consultant’s insurance and shall not contribute with it.
3. Each insurance policy required by this clause shall be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30) days prior written notice by certified mail, return receipt requested, has been given to the City.
4. Coverage shall not extend to any indemnity coverage for the active negligence of the additional insured in any case where an agreement to indemnify the additional insured would be invalid under Subsection (b) of Section 2782 of the Civil Code.
H. Waiver of Subrogation. Consultant’s commercial general liability, automobile liability, workers’ compensation, and employer’s liability policies shall be endorsed with a waiver of subrogation. The insurance company, in its endorsement, agrees to waive all rights of subrogation against the City, its agents, officers, officials, employees and volunteers for losses paid under the terms of this policy which arises from the work performed by the named insured for the City.
I. The Acceptability of Insurers. Insurance is to be placed with insurers with a current A.M. Best’s rating of no less than A: VII, unless otherwise acceptable to the City.
J. Verification of Coverage. Consultant shall furnish the City with original certificates and amendatory endorsements effecting coverage required by this clause. The endorsements should be on forms provided by the City or on forms that conform to City requirements. All certificates and endorsements are to be received and approved by the City before work commences. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements affecting the coverage required by these specifications at any time.
SECTION 8 – INDEMNIFICATION
The Consultant shall be responsible for its acts of negligence, and the City shall be responsible for its acts of negligence. The Consultant agrees to indemnify and hold the City harmless from any and all claims, demands, actions and causes of action to the extent caused by the negligent acts of the Consultant, its officers, agents and employees, by reason of the performance of this agreement. This indemnity shall not be construed to require indemnification of others.
Agenda Item #10.10.
Harshwal & Company, LLP August 12, 2025
SECTION 9 – INDEPENDENT CONTRACTOR STATUS
A. Consultant is and shall at all times remain a wholly independent contractor and not an officer, employee or agent of City. Consultant shall have no authority to bind City in any manner or to incur an obligation, debt or liability of any kind on behalf of or against City, whether by contract or otherwise, unless such authority is expressly conferred under this Agreement or is otherwise expressly conferred in writing by City.
B. The personnel performing the Services under this Agreement on behalf of Consultant shall at all times be under Consultant’s exclusive direction and control. Neither City, nor any elected or appointed boards, officers, officials, employees or agents of City, shall have control over the conduct of Consultant or any of Consultant’s officers, employees or agents, except as set forth in this Agreement. Consultant shall not at any time or in any manner represent that Consultant or any of Consultant’s officers, employees or agents are in any manner officials, officers, employees or agents of City.
C. Neither Consultant, nor any of Consultant’s officers, employees or agents, shall obtain any rights to retirement, health care or any other benefits which may otherwise accrue to City’s employees. Consultant expressly waives any claim Consultant may have to any such rights.
SECTION 10 – CONFLICTS OF INTEREST AND ANTI-FRAUD AND ANTICORRUPTION POLICIES A. Consultant covenants that neither it, nor any officer or principal of its firm, has or shall acquire any interest, directly or indirectly, which would conflict in any manner with the interests of City or which would in any way hinder Consultant’s performance of Services under this Agreement. Consultant further covenants that in the performance of this Agreement, no person having any such interest shall be employed by it as an officer, employee, agent, or subcontractor without the express written consent of the City Manager. Consultant agrees to at all times avoid conflicts with the interests of City in the performance of this Agreement.
B. City understands and acknowledges that Consultant is, as of the date of execution of this Agreement, independently involved in the performance of non-related Services for other governmental agencies and private parties. Consultant is aware of any stated position of City relative to such projects. Any future position of City on such projects shall not be considered a conflict of interest for purposes of this section.
C. Consultant understands and acknowledges City maintains an anti-fraud and anticorruption policy to protect the City, its operations, and its employees from and against financial risks, operational breaches, and unethical, fraudulent and corrupt activities. Consultant represents and warrants that Consultant, its subcontractor(s) / subconsultant(s) and their respective employees providing Services pursuant to the Agreement are (1) in good standing; (2) have not been previously investigated, convicted, or debarred for fraudulent or corrupt activities; (3) will not participate in fraudulent or corrupt activities, and (4) will take steps to ensure that its employees and subcontractor(s) / subconsultant(s) employees do not participate in any fraudulent or corrupt activities. Consultant acknowledges and agrees further that it has a duty to and will Agenda Item #10.10.
Harshwal & Company, LLP August 12, 2025
report to City any information or incident(s) about possible fraudulent or corrupt activities Consultant may discover, and will cooperate in any fraud or corruption investigation conducted, with respect to Consultant’s service provided pursuant to this Agreement.
SECTION 11 – OWNERSHIP OF DOCUMENTS
A. All original maps, models, designs, drawings, photographs, studies, surveys, reports, data, notes, computer files, files and other documents prepared, developed or discovered by Consultant in the course of providing any Services pursuant to this Agreement shall become the sole property of City and may be used, reused or otherwise disposed of by City without the permission of the Consultant. When requested by City, but no later than three years after project completion, Consultant shall deliver to City all such original maps, models, designs, drawings, photographs, studies, surveys, reports, data, notes, computer files, files and other documents.
B. All copyrights, patents, trade secrets, or other intellectual property rights associated with any ideas, concepts, techniques, inventions, processes, improvements, developments, works of authorship, or other products developed or created by Consultant during the course of providing Services (collectively the “Work Product”) shall belong exclusively to City. The Work Product shall be considered a “work made for hire” within the meaning of Title 17 of the United States Code. Without reservation, limitation, or condition, Consultant hereby assigns, at the time of creation of the Work Products, without any requirement of further consideration, exclusively and perpetually, any and all right, title, and interest Consultant may have in the Work Product throughout the world, including without limitation any copyrights, patents, trade secrets, or other intellectual property rights, all rights of reproduction, all rights to create derivative works, and the right to secure registrations, renewals, reissues, and extensions thereof.
SECTION 12 – CONFIDENTIAL INFORMATION; RELEASE OF
INFORMATION
A. All information gained or work product produced by Consultant in performance of this Agreement shall be considered confidential, unless such information is in the public domain or already known to Consultant. Consultant shall not release or disclose any such information or work product to persons or entities other than City without prior written authorization from the City Manager, except as may be required by law.
B. Consultant, its officers, employees, agents or subcontractors, shall not, without prior written authorization from the City Manager or unless requested by the City Attorney of City, voluntarily provide declarations, letters of support, testimony at depositions, response to interrogatories or other information concerning the work performed under this Agreement.
Response to a subpoena or court order shall not be considered “voluntary” provided consultant gives City notice of such court order or subpoena.
C. If Consultant, or any officer, employee, agent or subcontractor of Consultant, provides any information or work product in violation of this Agreement, then City shall have the right to reimbursement and indemnity from Consultant for any damages, costs and fees, including attorneys’ fees, caused by or incurred as a result of Consultant’s conduct.
D. Consultant shall promptly notify City should Consultant, its officers, employees, agents or subcontractors be served with any summons, complaint, subpoena, notice of Agenda Item #10.10.
Harshwal & Company, LLP August 12, 2025
deposition, request for documents, interrogatories, request for admissions or other discovery request, court order or subpoena from any party regarding this Agreement and the work performed thereunder. City retains the right, but has no obligation, to represent Consultant or be present at any deposition, hearing or similar proceeding. Consultant agrees to cooperate fully with City and to provide City with the opportunity to review any response to discovery requests provided by Consultant. However, this right to review any such response does not imply or mean the right by City to control, direct, or rewrite such response.
SECTION 13 – SUSPENSION OF WORK
City may, at any time, by ten (10) days written notice suspend further performance by Consultant. All suspensions shall extend the time schedule for performance in a mutually satisfactory manner and Consultant shall be paid for Services performed and reimbursable expenses incurred prior to the suspension date.
SECTION 14 – COMPLIANCE WITH LAW
Consultant shall keep itself informed of and comply with all applicable federal, state and local laws, statutes, codes, ordinances, regulations and rules in effect during the term of this Agreement. Consultant shall obtain any and all licenses, permits and authorizations necessary to perform the Services set forth in this Agreement. Neither City, nor any elected or appointed boards, officers, officials, employees or agents of City, shall be liable, at law or in equity, as a result of any failure of Consultant to comply with this section.
SECTION 15 – COMPLIANCE WITH CIVIL RIGHTS
During the performance of this contract, Consultant agrees as follows:
A. Equal Employment Opportunity. In connection with the execution of this Agreement, Consultant shall not discriminate against any employee or applicant for employment because of race, religion, color, ancestry, age, sexual orientation, gender, gender identity and gender expression as protected categories specifically and expressively in that category, physical handicap, medical condition, marital status, sex, or national origin. Such actions shall include, but not be limited to, the following: employment, promotion, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rate of pay or other forms of compensation; and selection for training including apprenticeship.
B. Nondiscrimination Civil Rights Act of l964. Consultant will comply with all federal regulations relative to nondiscrimination to federally-assisted programs.
C. Solicitations for Subcontractors including Procurement of Materials and Equipment.
In all solicitations, either by competitive bidding or negotiations, made by Consultant for work to be performed under a subcontract, including procurement of materials or leases of equipment, each potential subcontractor, supplier, or lessor shall be notified by Consultant of Consultant’s obligations under this Agreement and the regulations relative to nondiscrimination.
Agenda Item #10.10.
Harshwal & Company, LLP August 12, 2025
SECTION 16 – COMPLIANCE WITH CALIFORNIA LABOR CODE
REQUIREMENTS
A. Consultant is aware of the requirements of California Labor Code Sections 1720 et seq. and 1770 et seq., which require the payment of prevailing wage rates and the performance of other requirements on certain “public works” and “maintenance” projects (“Prevailing Wage Laws”). If the services are being performed as part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and if the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its officials, officers, employees and agents free and harmless from any claims, liabilities, costs, penalties or interest arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. It shall be mandatory upon the Consultant and all subconsultants to comply with all California Labor Code provisions, which include but are not limited to prevailing wages (Labor Code Sections 1771, 1774 and 1775), employment of apprentices (Labor Code Section 1777.5), certified payroll records (Labor Code Sections 1771.4 and 1776), hours of labor (Labor Code Sections 1813 and 1815) and debarment of contractors and subcontractors (Labor Code Section 1777.1). The requirement to submit certified payroll records directly to the Labor Commissioner under Labor Code section 1771.4 shall not apply to work performed on a public works project that is exempt pursuant to the small project exemption specified in Labor Code Section 1771.4.
B. If the services are being performed as part of an applicable “public works” or “maintenance” project, then pursuant to Labor Code Sections 1725.5 and 1771.1, the Consultant and all subconsultants performing such services must be registered with the Department of Industrial Relations. Consultant shall maintain registration for the duration of the Project and require the same of any subconsultants, as applicable. Notwithstanding the foregoing, the contractor registration requirements mandated by Labor Code Sections 1725.5 and 1771.1 shall not apply to work performed on a public works project that is exempt pursuant to the small project exemption specified in Labor Code Sections 1725.5 and 1771.1.
C. This Agreement may also be subject to compliance monitoring and enforcement by the Department of Industrial Relations. It shall be Consultant’s sole responsibility to comply with all applicable registration and labor compliance requirements. Any stop orders issued by the Department of Industrial Relations against Consultant or any subcontractor that affect Consultant’s performance of services, including any delay, shall be Consultant’s sole responsibility. Any delay arising out of or resulting from such stop orders shall be considered Consultant caused delay and shall not be compensable by the City. Consultant shall defend, indemnify and hold the City, its officials, officers, employees and agents free and harmless from any claim or liability arising out of stop orders issued by the Department of Industrial Relations against Consultant or any subcontractor.
SECTION 17 – AUDIT AND INSPECTION OF RECORDS
A. Records of Consultant’s direct labor costs, payroll costs, and reimbursable expenses pertaining to this project covered by this Agreement will be kept on a generally recognized accounting basis and made available to City if and when required for a period of up to 3 years from the date of Consultant’s final invoice.
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B. Consultant shall maintain all documents and records prepared by or furnished to Consultant during the course of performing the Services for at least three (3) years following completion of the Services. Such records include, but are not limited to, correspondence, internal memoranda, technical reports and investigations, calculations, books and accounts, accounting records documenting its work under its Agreement, and invoices, payrolls, records and all other data related to matters covered by this Agreement.
C. Consultant shall permit City to audit, examine and make copies, excerpts and transcripts from such records, and the Consultant shall in no event dispose of, destroy, alter, or mutilate said books, records, accounts, and data in any matter whatsoever for three (3) years after City makes the final or last payment or within three (3) years after any pending issues between City and Consultant with respect to this Agreement are closed, whichever is later.
SECTION 18 – LIMITATION OF LIABILITY
A. Consultant agrees that any liability of City arising in connection with this Agreement shall be limited exclusively to the City-entity identified as the “City” under this Contract. Under no circumstance shall any other City-entity be liable to Consultant under any theory, whether in contract, tort, or otherwise, and Consultant waives unconditionally any such claims. Consultant hereby waives and release other City-entities from any liability under this Agreement.
B. Notwithstanding any other provision of this Agreement, in no event shall City be liable, regardless of whether any claim is based on contract or tort, for any special, consequential, indirect or incidental damages, including, but not limited to, lost profits or revenue, arising out of or in connection with this Agreement or the Services performed hereunder.
SECTION 19 – COOPERATION BY CITY
All public information, data, reports, records, and maps as are existing and available to City as public records, and which are necessary for carrying out the work as outlined in the Exhibit A, “Scope of Services”, shall be furnished to Consultant in every reasonable way to facilitate, without undue delay, the work to be performed under this Agreement.
SECTION 20 – NOTICES
All notices required or permitted to be given under this Agreement shall be in writing and shall be personally delivered, sent by facsimile, email, or first-class mail, addressed as follows:
To City: City Manager
1088 College Avenue
St. Helena, California 94574
To Consultant: Harshwal & Company, LLP
11405 W. Bernardo Court, Suite A
San Diego, CA 92127
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Notice shall be deemed effective on the date personally delivered or transmitted by facsimile, email, or, if mailed, three (3) days after deposit in the custody of the U.S. Postal Service.
SECTION 21 – TERMINATION
A. City may terminate this Agreement, with or without cause, at any time by giving ten (10) days written notice of termination to Consultant. If such notice is given, Consultant shall cease immediately all work in progress.
B. If either Consultant or City fail to perform any material obligation under this Agreement, then, in addition to any other remedies, either Consultant, or City may terminate this Agreement immediately upon written notice.
C. Upon termination of this Agreement by either Consultant or City, all property belonging to City which is in Consultant’s possession shall be delivered to City. Consultant shall furnish to City a final invoice for work performed and expenses incurred by Consultant, prepared as set forth in this Agreement.
SECTION 22 – ATTORNEYS’ FEES
If litigation or other proceeding is required to enforce or interpret any provision of this Agreement, the prevailing party in such litigation or other proceeding shall be entitled to an award of reasonable attorneys’ fees, costs and expenses, in addition to any other relief to which it may be entitled. In addition, any legal fees, costs and expenses incurred to enforce the provisions of this Agreement shall be reimbursed to the prevailing party.
SECTION 23 – ENTIRE AGREEMENT
This Agreement, including the attached Exhibits, is the entire, complete, final and exclusive expression of the parties with respect to the matters addressed therein and supersedes all other agreements or understandings, whether oral or written, or entered into between Consultant and City prior to the execution of this Agreement. No statements, representations or other agreements, whether oral or written, made by any party which are not embodied herein shall be valid and binding unless in writing duly executed by the parties or their authorized representatives.
SECTION 24 – SUCCESSORS AND ASSIGNS
This Agreement shall be binding on the heirs, executors, administrators, successors and assigns of the parties. However, this Agreement shall not be assigned by Consultant without written consent of the City.
SECTION 25 – CONTINUITY OF PERSONNEL
Consultant shall make every reasonable effort to maintain the stability and continuity of Consultant’s staff assigned to perform the Services required under this Agreement. Consultant Agenda Item #10.10.
Harshwal & Company, LLP August 12, 2025
shall notify City of any changes in Consultant’s staff assigned to perform the Services required under this Agreement, prior to any such performance.
SECTION 26 – DEFAULT
In the event that Consultant is in default under the terms of this Agreement, the City shall not have any obligation or duty to continue compensating Consultant for any work performed after the date of default and may terminate this Agreement immediately by written notice to Consultant.
SECTION 27 – WAIVER
Waiver by any party to this Agreement of any term, condition, or covenant of this Agreement shall not constitute a waiver of any other term, condition, or covenant. Waiver by any party of any breach of the provisions of this Agreement shall not constitute a waiver of any other provision, or a waiver of any subsequent breach or violation of any provision of this Agreement. Acceptance by City of any work or Services by Consultant shall not constitute a waiver of any of the provisions of this Agreement.
SECTION 28 – LAW TO GOVERN; VENUE
This Agreement shall be interpreted, construed and governed according to the laws of the State of California. In the event of litigation between the parties, venue in state trial courts shall lie exclusively in the County of Napa. In the event of litigation in a U.S. District Court, venue shall lie exclusively in the Northern District of California, in San Francisco.
SECTION 29 – SEVERABILITY
If any term, condition or covenant of this Agreement is declared or determined by any court of competent jurisdiction to be invalid, void or unenforceable, the remaining provisions of this Agreement shall not be affected thereby and the Agreement shall be read and construed without the invalid, void or unenforceable provision(s).
SECTION 30 – THIRD PARTY BENEFICIARIES
Consultant’s subconsultants shall agree to be bound to the terms of the Agreement to the extent of their scope of Services, including but not limited to, terms regarding indemnity and dispute resolution, and shall agree that City is deemed an express third party beneficiary of their subconsultant agreements. Nothing contained in this Agreement, however, shall operate to confer such or similar rights or benefits on persons or entities not party to this Agreement.
SECTION 31 – STATUTES OF LIMITATION
As between the parties to this Agreement, any applicable statute of limitations for action arising out of, pertaining to, or relating to any act or failure to act in connection with this Agreement shall commence to run on the date of City’s issuance of the final Certificate for Payment, or termination of this Agreement, whichever is earlier, except for latent defects and/or Agenda Item #10.10.
Harshwal & Company, LLP August 12, 2025
deficiencies, for which the applicable statute of limitation shall begin to run upon discovery of the defect and/or deficiency and its cause.
SECTION 32 – SPECIAL PROVISIONS
This Agreement is subject to the following special provisions: none.
IN WITNESS WHEREOF, the parties hereto have accepted, made, and executed this Agreement upon the terms, conditions, and provisions above stated, the day and year first above written.
Consultant: City:
By: ________________________________ By: ________________________ Name: Name: Anil Comelo
Title: Title: City Manager
Approved as to Form:
By: _________________________________
Name: Ethan Walsh
Title: City Attorney
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EXHIBIT A
Scope of Services
Conduct an audit of the financial statement of the City for the fiscal years ending June 30, 2025, through June 30, 2027, with an option to extend for two (2) additional fiscal years, in accordance with generally accepted auditing standards, the standards set forth for financial and compliance audits in the U.S. General Accounting Office’s (GAO) Standards for Audit of Governmental Organizations, Programs, Activities, and Functions, the provisions of the Single Audit Act of 1984, as amended in 1996, U.S. Office of Management and Budget (OMB) Circular A-133, Audits of State and Local Governments and Governmental Accounting Standards Board (GASB) Pronouncements. The scope of work shall include but is not limited to:
• Perform a financial and compliance audit of the City to determine (a) whether the combined financial statements of the City fairly presents the financial position and the results of financial operations in accordance with GAAP and (b) whether the City has complied with laws and regulations that may have material effect upon the financial statements.
• Examine the City’s internal accounting controls and accounting procedures and render written reports of our findings and recommendations to the Administrative Services Director. The examination will be made, and reports rendered in accordance with generally accepted government auditing standards. In addition, we will communicate to the Administrative Services Director any reportable conditions found during the audit that can be defined as either a significant or material weakness in the design or operation of the internal control structure, which could adversely affect the organization’s ability to record, process, summarize, and report financial data consistent with the assertions of management in the financial statement.
• Make an immediate, written report of all irregularities and illegal acts or indications of illegal acts of which we become aware of to the Administrative Services Director and City Manager.
• Include all funds of the City and any component units in the audit. • Perform a single audit under the requirements of the Federal Government’s program, if required.
• Submit a management letter setting forth our findings and/or recommendations on those matters noted and observed during the conduct of the examination of the financial records and developed within the scope usually associated with such an examination relating to, but not limited to (a) improvement in systems of internal control, (b) improvement in accounting system, (c) apparent noncompliance with laws, rules, regulations, and (d) any other material matter coming to the attention of the firm during the conduct of the examination.
• Prepare the City and required component units the Annual Streets Report and the Annual Financial Transactions Report to the State Controller’s Office and file the reports electronically with the State Controller’s Office before the required deadline each fiscal year.
• Prepare the City's Annual Comprehensive Financial Report (ACFR).
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Timeline
Milestones Tentative Timeline for FY 2025
Planning, risk assessment and system evaluation Just after agreement execution Interim field work August 2025
Final audit field work to be completed Last week of October 2025 or before Draft audit reports and management letter for review 2
nd week of November 2025 or before
Final audit reports and management letter Last week of November 2025 or before Compensation
Fees for subsequent fiscal years audit will include an annual inflationary adjustment of 5%. **Single audit fees are based on the one (1) major program. The price for auditing each additional major program will be $3,500.00.
Agenda Item #10.10.
City of St. Helena
Proposal to Provide Professional Auditing Services
for the Fiscal Years Ending June 30, 2025, through June 30, 2027, with an Option to Extend for Two (2) Additional Fiscal Years Submitted by:
11405 W. Bernardo Court, Suite A,
San Diego, CA 92127
Phone: (858) 939-0017
June 19, 2025
Contact Person
Managing Partner: Sanwar Harshwal, CPA
Cell Phone: (858) 784-1622
Federal Employer ID Number: 27-0741376
Email: [email protected] | Website: www.harshwal.com
Agenda Item #10.10.
TABLE OF CONTENTS
1. TITLE PAGE
2. ..........................................................................................................................................................................................................TABLE OF CONTENTS 01
3. ..........................................................................................................................................................................................................LETTER OF TRANSMITTAL 02
4. ..........................................................................................................................................................................................................DETAILED PROPOSAL 04 ..........................................................................................................................................................................................................A. INDEPENDENCE 04 ..........................................................................................................................................................................................................B. LICENSE TO PRACTICE IN CALIFORNIA 04 ..........................................................................................................................................................................................................C. FIRM QUALIFICATIONS AND EXPERIENCE 05 .......................................................................................................................................................................................................... Location of the Office 05 .......................................................................................................................................................................................................... Most Recent External Quality Control Review Report 07 .......................................................................................................................................................................................................... Insurance Requirements 10 .......................................................................................................................................................................................................... Firm's Technical Experience 13 .......................................................................................................................................................................................................... Similar Engagements with Other Government Entities 19 ..........................................................................................................................................................................................................D. PARTNER, SUPERVISORY, AND STAFF QUALIFICATIONS AND EXPERIENCE 21 .......................................................................................................................................................................................................... Audit Team Resumes 23 ..........................................................................................................................................................................................................E. SPECIFIC AUDIT APPROACH 27 .......................................................................................................................................................................................................... Scope of Work 27 .......................................................................................................................................................................................................... Audit Methodology 28 .......................................................................................................................................................................................................... Timeline for the Completion of the Project 31 ..........................................................................................................................................................................................................F. IDENTIFICATION OF ANTICIPATED POTENTIAL AUDIT PROBELMS 34 ..........................................................................................................................................................................................................G. TOTAL ALL INCLUSIVE MAXIMUM PRICE AND HOURLY RATES 35
Agenda Item #10.10.
June 19, 2025
City of St. Helena
ATTN: Mandy Kellogg, Administrative Services Director
1088 College Avenue,
St. Helena, CA 94574
Dear Mandy Kellogg and Evaluation Committee Members,
The partners and staff at Harshwal & Company, LLP are pleased to present our proposal to provide professional auditing services. Our firm has experienced continuous growth and success as we meet and exceed client expectations. Our overall goal is to provide responsive, innovative services of the highest quality to our clients.
We understand that the City of St. Helena (referred to later in this proposal as the "City") requires us to conduct a timely audit of the City. We are committed to meeting all terms, conditions, and requirements addressed in this request for proposal (RFP). With our experience and knowledge, we fully understand the requirements and your expectations for the services to be provided.
We believe our firm is the best qualified to perform this engagement because our audit services are best performed by utilizing specialized resources and technical proficiency. Our expertise in governmental auditing and accounting combined with our vast access to resources empowers us to solve challenges encountered during the audit. Our highly trained engagement team will maintain a knowledgeable, yet, non-intrusive, approach to the audit to deliver an audit that is of exceptional quality that requires minimal disruptions of the City's on-going operations.
Understanding of the Work to be Done:
We understand that you require us to conduct an audit of the financial statement of the City for the fiscal years ending June 30, 2025, through June 30, 2027, with an option to extend for two (2) additional fiscal years, in accordance with generally accepted auditing standards, the standards set forth for financial and compliance audits in the U.S. General Accounting Office’s (GAO) Standards for Audit of Governmental Organizations, Programs, Activities, and Functions, the provisions of the Single Audit Act of 1984, as amended in 1996, U.S. Office of Management and Budget (OMB) Circular A-133, Audits of State and Local Governments and Governmental Accounting Standards Board (GASB) Pronouncements. Kindly refer to the "Scope of Work" section for a detailed scope.
Ability to Perform the Work Within Provided Time Frame:
Harshwal & Company, LLP is benchmarked for providing the work within the time frame requested. Our team is committed to completing the audit on time, as they are fully equipped with contemporary technology, which will add value to the successful and timely delivery of the audit. We are responsive and solution oriented, providing quick responses on matters that require immediate attention, hence enhancing the quality of our audit. We focus on staff continuity, which enables us to develop and maintain an indepth understanding of your operations, management style, and operating practices, which ultimately allows us to offer you experienced resources, value-added services, specialization, and overall better personal service, which again unequivocally results in a timely submission of the audit report. 2 11405 W. Bernardo Court, Suite A, San Diego, CA 92127 | www.harshwal.com | P: (858) 939-0017 Agenda Item #10.10.
Why Harshwal & Company, LLP:
Extensive partner involvement on each engagement
Presence of a manager and/or CPA always on-site during fieldwork Consistent and experienced staff
Timeliness of communications
Proactive approach in addressing complex issues early in the engagement Availability to clients as a specialized resource
Professionalism with understanding
Client Confidentiality and Security:
At Harshwal & Company, LLP, we are committed to safeguarding client information.
Maintaining trust is one of the core values of our firm. Since your privacy is a priority to us, we will not share non-public information about you with third parties without your consent. In order to facilitate a highly secure method for exchanging electronic files between our firm and our clients, we have implemented a secure, trackable method for sharing large files via a hosted website called Suralink.
All laptops of our audit and tax professionals are encrypted to protect our clients’ information.
Our managing partner, Mr. Sanwar Harshwal, is authorized to represent the firm and he is the authorized person to contractually obligate the firm, to negotiate the contract on behalf of the firm and to be contacted for clarifications. He can be reached at 11405 W. Bernardo Court, Suite A, San Diego, CA 92127; Phone No. (858) 784-1622, or via an email at [email protected].
Harshwal & Company, LLP is a GSA vendor and a 100% minority owned CPA firm.
We thank you for your consideration and hope that you will provide us with the opportunity to serve your esteemed organization with our services.
Sincerely,
Harshwal & Company, LLP
Certified Public Accountants
Sanwar Harshwal, CPA, CIA, CISA, CFE
Managing Partner
3 11405 W. Bernardo Court, Suite A, San Diego, CA 92127 | www.harshwal.com | P: (858) 939-0017 Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
DETAILED PROPOSAL
INDEPENDENCE
We are independent of the City of St. Helena as defined by generally accepted auditing standards issued by the U.S. General Accounting Office’s Government Auditing Standards. Before accepting any new engagement, we conduct a thorough check to ensure that there are no conflicts of interest or independence issues. This procedure is in compliance with the independence requirements of all regulatory agencies and, specifically, in compliance with the Standard for Audit of Governmental Organizations, Programs, and Activity Functions, as published by the U.S. General Accounting Office (GAO). If selected as your audit firm, we will maintain and monitor our independence as well as reassess our independence with respect to your organization on an annual basis. We will continue to evaluate our independence as your external auditors and will give the City written notice of any professional relationships involving the City and its component unit, if entered into, during the period of the audit contract.
No Conflict of Interest Statement
Harshwal & Company, LLP does not have any past or current business or other relationship with the City and its component units. We also hereby agree that no member, officer, or employee of the City, no member of the local governing body of the locality in which the City is located and no other public official who exercises any function or responsibilities with respect to the City, during his tenure or for one year thereafter, shall have any interest, direct or indirect, in this contract or the proceeds thereof.
LICENSE TO PRACTICE IN CALIFORNIA
The firm and all key professional staff are licensed by the State of California to practice as Certified Public Accountants, and meet the Continuing Professional Education requirements under U.S. GAO’s Government Auditing Standards to perform the proposed audits.
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Proposal to Provide Professional Auditing Services
FIRM QUALIFICATIONS AND EXPERIENCE
Firm's Background
Harshwal & Company, LLP was founded fifteen (15) years ago and is a locally established firm of CPAs, offering auditing, accounting, management consulting, IT services, and other specialized services to various clients, which consist of state and local governments, counties, special districts, educational entities, tribes and tribal governments, housing authorities, and not-for-profit organizations throughout the United States. Our commitment to our clients has enabled the firm continued growth and success in developing and maintaining strong professional relationships. Our engagement team also has extensive experience in auditing and reviewing financial statements receiving GFOA and CSMFO awards.
The members of the firm have accumulated over four (4) decades of experience in public auditing and accounting, primarily with international certified public accounting firms while employed in high-level supervisory positions. Individually, the partners and management staff are recognized in their respective areas for leadership roles, which they take part in promoting the high ideals of the auditing profession and for producing the highest quality services.
Location of the Office
Harshwal & Company, LLP provides services to clients from two (2) locations. San Diego, CA is the location of our head office, and Albuquerque, NM is the location of our branch office. Our nearest office to the City, San Diego, CA office will provide audit services to the City of St. Helena. The address and phone numbers for each of our two offices are listed below:
San Diego, CA Office 11405 W. Bernardo Court, Suite A,
San Diego, CA 92127
Phone: (858) 939-0017
Albuquerque, NM Office 6565 Americas Pkwy NE, Suite 800 Albuquerque, NM 87110
Phone: (505) 814-1201
Size of the Firm
Audit Team Manpower
Managing Partner 01
Additional Partners 01
Audit Manager 02
Operations Manager 01
CPAs and Senior Staff 09
Additional Staff 12
Total 26
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Proposal to Provide Professional Auditing Services
Services Provided by the Firm
Harshwal & Company, LLP is a full-service professional firm providing comprehensive services commonly associated with larger firms. The firm is divided into the following departments and provides the following services:
Audit Department: Provides audit services to commercial, governmental and non-profit organizations with a special emphasis on compliance audits in the education, health, and housing industries. Accounting Department: Provides consulting services in setting up businesses and establishing accounting systems, books, and records; assistance in maintaining business records; and preparing financial statements.
Tax Department: Provides a wide range of tax preparation, tax planning, and consulting for corporations, partnership, and individuals.
Management Advisory Services: Our technical knowledge, training, and business experience enable us to provide a broad range of management advisory services, which includes the following:
Designing and assisting in the installation of accounting systems to fit the requirements of a particular business.
Analyze existing accounting systems and recommend ways to improve controls and efficiency. Assessment, installation, and modification of computer hardware and software systems. Consulting in management information systems.
Providing consultation about the use of management information systems for planning and control and the application of accounting and other controls.
Proposed Audit Team
Name of Team Member Role Experience
Sanwar Harshwal, CPA, CIA, CISA, CFE Managing Partner 40+ Years Garima Pathak, CA Audit Manager 08+ Years
Samson Reda, CPA Senior Auditor 10+ Years
Albert Hwu, CPA Senior Auditor 10+ Years
Kinjal Patel, CPA Senior Auditor 07+ Years
Poonam Sharma, CPA Senior Auditor 07+ Years
One audit manager, two senior auditors, and one staff member will be assigned on a full-time basis, and one staff auditor and two senior auditors will be available on a part-time basis.
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Proposal to Provide Professional Auditing Services
Equal Opportunity Employer
Harshwal & Company, LLP is an equal employment opportunity employer and is in compliance with the Civil Rights Act of 1964, the State Fair Employment Practice Act, and all applicable federal and state laws and regulations relating to equality. We prohibit discrimination of qualified persons based on race, religion, color, sex, age, national origin, disability, sexual orientation, military status, or any other characteristic protected by applicable federal, state, or local law.
Substandard Audit Work
Harshwal & Company, LLP and all assigned personnel do not have any record of substandard audit work, outstanding claims nor unsatisfactory performance pending with the any Board of Accountancy. We have never been debarred or suspended, and none of our firm’s contracts have ever been rejected for substandard audits by the State Controller's Office (SCO).
Desk & Field Reviews
From time to time, selected Harshwal & Company, LLP's audit engagements are subject to a desk review by federal or other regulators. In all such reviews during the past three years, the reviews have shown our work to be satisfactory, and no disciplinary or other administrative proceedings have resulted from those reviews. There has been no disciplinary action taken against Harshwal & Company, LLP’s offices by the AICPA, or any State Board or Society in the last three years. There are also no such actions currently pending.
Disciplinary Action or Pending Litigation
Harshwal & Company, LLP’s emphasis on quality has rewarded the firm with an excellent track record regarding claims related to professional services. Harshwal & Company, LLP has an impressive history, free of litigation, penalties and debt, and we have no sanctions or restrictions imposed by professional organizations, regulatory authorities or other government institutions.
Harshwal & Company, LLP has never been debarred, suspended or otherwise excluded from or ineligible for participation in federal assistance programs or from receiving federal contracts, subcontracts or financial assistance or benefits, under Executive Order 12549, "Debarment and Suspension" (24 CRT
85.35) or other federal laws, statutes, codes, ordinances, regulations or rules, at any time during the term of the agreement.
Most Recent External Quality Control Review Report
Harshwal & Company, LLP is a member of the Governmental Audit Quality Center (GAQC) and Employee Benefit Plan Audit Quality Center (EBPAQC) of the American Institute of Certified Public Accountants (the AICPA) and the Center for Audit Quality, an affiliate of the AICPA. One of the requirements of membership in these groups is to have our systems of quality control reviewed by another CPA firm once every three years. Our most recent peer review was completed in 2023, and we received a passing peer review rating.
A copy of our most recent Peer Review report is attached below. Our quality control review includes a review of specific government engagement.
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Report on the Firm’s System of Quality Control
February†29,†2024
To†Harshwal†&†Company†LLP†and†the†Peer†Review
††Committee†of†the†CalCPA†Peer†Review†Program
We†have†reviewed†the†system†of†quality†control†for†the accounting†and†auditing†practice†of†Harshwal†&†Company†LLP (the†firm)†in†effect†for†the†year†ended†May 31,†2023.†Our†peer†review†was†conducted†in†accordance†with†the†Standards† for†Performing†and†Reporting†on†Peer†Reviews†established†by†the†Peer†Review†Board†of†the†American†Institute†of† Certified†Public†Accountants†(Standards).
A† summary of the† nature, objectives,† scope,† limitations† of, and† the† procedures† performed† in† a† system† review† as† described†in†the†Standards†may†be†found†at†aicpa.org/prsummary.†The†summary†also†includes†an†explanation†of†how engagements†identified†as†not†performed†or†reported†in†conformity†with†applicable†professional†standards,†if†any,†are† evaluated†by†a†peer†reviewer†to†determine†a†peer†review†rating.
Firm’s Responsibility
The†firm†is†responsible†for†designing†and†complying†with†a†system†of†quality†control†to†provide†the†firm†with†reasonable† assurance†of†performing†and†reporting†in†conformity†with†the†requirements†of applicable†professional†standards†in†all material†respects.†The†firm†is†also†responsible†for†evaluating†actions†to†promptly†remediate†engagements†deemed†as† not† performed† or† reported† on† in conformity† with† the† requirements† of† applicable† professional† standards, when† appropriate,†and†for†remediating†weaknesses†in†its†system†of†quality†control,†if†any.
Peer Reviewer’s Responsibility
Our responsibility is to express an opinion on the design of and compliance with the firm’s system of quality control based†on†our†review.
Required†Selections†and†Considerations
Engagements†selected†for†review†included engagements performed†under†Government†Auditing†Standards,†including† a†compliance†audit†under†the†Single†Audit†Act,†and†audits†of†employee†benefit†plans.† As†a†part†of†our†peer†review,†we†considered†reviews†by†regulatory†entities†as†communicated†by†the†firm,†if†applicable, in†determining†the†nature†and†extent†of†our†procedures.
Opinion
In†our†opinion,†the†system†of†quality†control†for†the†accounting†and†auditing†practice†of Harshwal†&†Company†LLP in effect† for the† year† ended May 31,† 2023,† has† been† suitably† designed† and† complied† with† to† provide the† firm with† reasonable†assurance†of†performing†and†reporting†in†conformity†with†applicable†professional†standards†in†all†material† respects.†Firms†can†receive†a†rating†of†pass,†pass†with†deficiency(ies) or†fail.†Harshwal†&†Company†LLP has†received† a†peer†review†rating†of pass.
MUN†CPAs,†LLP
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
June 06, 2024
Sanwar Harshwal
Harshwal & Company LLP
11405 W Bernardo Ct Ste A
San Diego, CA 92127
Dear Sanwar Harshwal:
It is my pleasure to notify you that on June 06, 2024, the California Peer Review Committee accepted the report on the most recent System Review of your firm. The due date for your next review is November 30, 2026. This is the date by which all review documents should be completed and submitted to the administering entity.
As you know, the report had a peer review rating of pass. The Committee asked me to convey its congratulations to the firm.
Thank you for your cooperation.
Sincerely,
Peer Review Program
The Peer Review Program Team
[email protected]
650-522-3094
cc: Justin Williams
Firm Number: 900005526362 Review Number: 603500
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Insurance Requirement
We will maintain such insurance coverage during the period of engagement. Harshwal & Company, LLP maintains the following insurance:
1. Professional liability for $2,000,000 per claim and $4,000,000 aggregate. The carrier is Hanover Insurance Company.
2. Commercial general liability and property damage for $2,000,000 per occurrence and $4,000,000 aggregate. The carrier is Hartford Underwriters Insurance Company.
3. Automobile liability for $2,000,000. The carrier is Hartford Underwriters Insurance Company.
4. Workers’ compensation (statutory amounts and limits) insurance carrier is Hartford Fire and Its P&C Affiliates. The limit of the liability is $1,000,000. A copy of our insurance document is attached below.
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
CERTIFICATE HOLDER
© 1988-2010 ACORD CORPORATION. All rights reserved.
ACORD 25 (2010/05)
AUTHORIZED REPRESENTATIVE
CANCELLATION
DATE (MM/DD/YYYY) CERTIFICATE OF LIABILITY INSURANCE
JECT LOC PRO- POLICY
GEN'L AGGREGATE LIMIT APPLIES PER:
CLAIMS-MADE OCCUR
COMMERCIAL GENERAL LIABILITY
GENERAL LIABILITY
PREMISES (Ea occurrence) $
DAMAGE TO RENTED
EACH OCCURRENCE $
MED EXP (Any one person) $
PERSONAL & ADV INJURY $
GENERAL AGGREGATE $
PRODUCTS - COMP/OP AGG $
DED RETENTION $
CLAIMS-MADE
OCCUR
$
AGGREGATE $
UMBRELLA LIAB EACH OCCURRENCE $
EXCESS LIAB
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (Attach ACORD 101, Additional Remarks Schedule, if more space is required) INSR
LTR TYPE OF INSURANCE POLICY NUMBER
POLICY EFF
(MM/DD/YYYY)
POLICY EXP
(MM/DD/YYYY) LIMITS
WC STATUTORY LIMITSOTHER
E.L. EACH ACCIDENT
E.L. DISEASE - EA EMPLOYEE
E.L. DISEASE - POLICY LIMIT
$
$
$
ANY PROPRIETOR/PARTNER/EXECUTIVE
OFFICE/MEMBER EXCLUDED?
(Mandatory in NH)
If yes, describe under
DESCRIPTION OF OPERATIONS below
WORKERS COMPENSATION
AND EMPLOYERS' LIABILITY Y / N
AUTOMOBILE LIABILITY
ANY AUTO
ALL OWNED SCHEDULED
HIRED AUTOS
NON-OWNED
AUTOS AUTOS
AUTOS
COMBINED SINGLE LIMIT
BODILY INJURY (Per person)
BODILY INJURY (Per accident)
PROPERTY DAMAGE $
$
$
$
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
INSR
ADDL
WVD
SUBR
N / A
$
$
(Ea accident)
(Per accident)
THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS
CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER.
IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s).
The ACORD name and logo are registered marks of ACORD
COVERAGES CERTIFICATE NUMBER: REVISION NUMBER:
INSURED
PHONE
(A/C, No, Ext):
PRODUCER
ADDRESS:
E-MAIL
FAX
(A/C, No):
CONTACT
NAME:
NAIC #
INSURER A :
INSURER B :
INSURER C :
INSURER D :
INSURER E :
INSURER F :
INSURER(S) AFFORDING COVERAGE
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS.
/202
McGowanPRO
150 Speen Street
Suite 102
Framingham, MA. 01701
508-656-1300 508-656-1399
Harshwal & Company LLP
11405 W Bernardo Ct Suite A
San Diego, CA 92127
Hanover Insurance Co. 22292
A
Professional
Liability
LHN J467545 0 07/01/202 07/01/202
Limit of Liability: $2,000,000
Aggregate:
5HWUR'DWH
$4,000,000
+DUVKZDO &RPSDQ\
//3:
%HUQDUGR&W6XLWH$
6DQ'LHJR&$
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
CERTIFICATE OF LIABILITY INSURANCE DATE (MM/DD/YYYY)
05/22/2025
THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER.
THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER.
IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATIONIS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s).
PRODUCER
CAMICO SERVICES INC/PHS
57141555
The Hartford Business Service Center
3600 Wiseman Blvd
San Antonio, TX 78251
CONTACT
NAME:
PHONE
(A/C, No, Ext):
(866) 467-8730 FAX
(A/C, No):
E-MAIL
ADDRESS:
INSURER(S) AFFORDING COVERAGE NAIC#
INSURED
HARSHWAL & COMPANY, LLP.
11405 W BERNARDO CT STE A
SAN DIEGO CA 92127
INSURER A : Hartford Underwriters Insurance Company 30104 INSURER B : Hartford Fire and Its P&C Affiliates 00914
INSURER C :
INSURER D :
INSURER E :
INSURER F :
COVERAGES CERTIFICATE NUMBER: REVISION NUMBER:
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED.NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
INSR
LTR
TYPE OF INSURANCE ADDL
INSR
SUBR
WVD
POLICY NUMBER POLICY EFF
(MM/DD/YYYY)
POLICY EXP
(MM/DD/Y YYY)
LIMITS
A
COMMERCIAL GENERAL LIABILITY
57 SBA BL3W3X 05/12/2025 05/12/2026
EACH OCCURRENCE $2,000,000
CLAIMS-MADE X OCCUR DAMAGE TO RENTED
PREMISES (Ea occurrence)
$1,000,000
X General Liability MED EXP (Any one person) $10,000
PERSONAL & ADV INJURY $2,000,000
GEN'L AGGREGATE LIMIT APPLIES PER: GENERAL AGGREGATE $4,000,000 X POLICY PROJECT
LOC PRODUCTS - COMP/OP AGG $4,000,000
OTHER:
A
AUTOMOBILE LIABILITY
57 SBA BL3W3X 05/12/2025 05/12/2026
COMBINED SINGLE LIMIT
(Ea accident) $2,000,000
ANY AUTO BODILY INJURY (Per person)
ALL OWNED
AUTOS
SCHEDULED
AUTOS BODILY INJURY (Per accident)
X
HIRED
AUTOS X
NON-OWNED
AUTOS
PROPERTY DAMAGE
(Per accident)
UMBRELLA LIAB
EXCESS LIAB
OCCUR
CLAIMSMADE
EACH OCCURRENCE
AGGREGATE
DED RETENTION $
B
WORKERS COMPENSATION
AND EMPLOYERS' LIABILITY
ANY
PROPRIETOR/PARTNER/EXECUTIVE
OFFICER/MEMBER EXCLUDED?
(Mandatory in NH)
If yes, describe under
DESCRIPTION OF OPERATIONS below
N/ A 57 WEC AG8JZ9 07/21/2024 07/21/2025
X
PER
STATUTE
OTHER
Y/N E.L. EACH ACCIDENT $1,000,000
E.L. DISEASE -EA EMPLOYEE $1,000,000
E.L. DISEASE - POLICY LIMIT $1,000,000
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required) Those usual to the Insured's Operations.
CERTIFICATE HOLDER CANCELLATION
For Informational Purposes
11405 W BERNARDO CT STE A
SAN DIEGO CA 92127
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED
BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS.
AUTHORIZED REPRESENTATIVE
© 1988-2015 ACORD CORPORATION. All rights reserved.
ACORD 25 (2016/03) The ACORD name and logo are registered marks of ACORD
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Firm's Technical Experience
Harshwal & Company, LLP has performed numerous audits of state and local governments, counties, special districts, educational entities, tribes and tribal governments, housing authorities, and not-for-profit organizations etc., that are subject to financial audits. The following is a list of clients we have served.
State and Local Governments
City of Sanger
City of Oakland
City of East Palo Alto
City of Crescent City
County of Del Norte
Town of Apple Valley
City of San Mateo
County of Santa Clara
City of Vallejo
First 5 Alameda County
First 5 Santa Cruz County
First 5 Inyo County
First 5 Marin Children & Families Commission
First 5 Monterey County
First 5 San Bernardino
Town of Edgewood
Cibola County
Sierra County
City of Greenfield
Town of Springer
Town of Mesilla
Town of Cochiti Lake
Tribes and Tribal Entities
Sac and Fox Nation
KTNN Native Broadcast Enterprise
K'ima: w Medical Center
Robinson Rancheria Band of Pomo Indians
Village of Shungopavi
Kykotsmovi Village
California Tribal T.A.N.F Partnership
La Jolla Band of Luiseño Indians
Big Sandy Rancheria
Kickapoo Tribe of Oklahoma
Timbisha Shoshone Tribe
Omaha Tribe of Nebraska
Kashia Band of Pomo Indians of the Stewarts
Point Rancheria
Kickapoo Tribal Health Center of the Kickapoo
Tribe of Oklahoma
Yuwehloo Pahki Community
Hoopa Valley Tribe
Pauma Band of Luiseno Mission Indians
San Luis Rey Indian Water Authority
Sipaulovi Village
Cloverdale pomo band of Indians
COUNTIES
County of Alameda
Alameda County Housing and Community
Community Based Organization Audits
Development and Lead Poisoning Prevention
Alameda County Public Works Department
Alameda County Housing and Community
Development - Bond Audit
Alameda County Social Services - Food Stamp
Oakland-Alameda County Coliseum Authority
Alameda County Health Care Services Agency
Alameda County Auditor-Controller’s Agency
City of Oakland, Office of Public Works
Alameda County Fire Department
Alameda County Transportation Authority
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Del Norte County
Del Norte County Del Norte County Solid Waste Management Authority
Santa Clara County
Single Audit (Sub Contractor)
County of Santa Clara JTPA Program
Mental Health Short Doyle Program
Sheriff’s Department – Inmate Welfare Fund
County of San Mateo
JTPA Program
Menlo Park Fire Protection District
Department of Community Services
Santa Cruz County
Single Audit Mental Health - Short Doyle Program
Solano County
City of Vallejo (Sub Contractor)
Local Transportation Fund
Mental Health - Short Doyal Program
Contra Costa County
Public Works Department Emergency Medical Services
Educational Entities
Pleasant Valley School District
Lamont School District
Conejo Valley Unified School District
Sacramento Valley Charter School
EL Segundo Unified School District
Richland School District
La Honda-Pescadero Unified School District
Ravenswood City School District
Napa Valley Unified School District
Fairfield-Suisun Unified School District
Benicia Unified School District
Belmont-Redwood Shores School District
Azusa Unified School District
Spark* SF Public Schools
Nazlini Community School
Pinon Community School, Inc.
First Mesa Day School
San Mateo - Foster City School District
Brisbane School District
Jefferson School District
San Bruno Park School District
Jefferson Union High School District
Housing Entities
Santa Clara Pueblo Housing Authority Housing Authority of the County of Alameda City of Eureka Housing Authority
Greyhills Academy High School
Housing Authority of the County of San Mateo
Eastern Regional Housing Authority
Housing Authority of the City of Benicia
County of Humboldt Housing Authority
Sisseton Wahpeton Housing Authority
Housing Authority of the City of Port Hueneme
Housing Authority of the County of Butte
Pueblo of San Felipe Housing Authority
White Mountain Apache Housing Authority Housing Authority of the City of Richmond
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Private Entities
Optimize Infrastructure, LLC
Newport Holdings, L.P.
TerraVerde Energy, LLC
The Good Earth Organics, Inc.
Tots of Love Child Development Center, LLC
Eureka Housing Associates, LP
Nelson Trucking Partners, LLC
Juana Care Facility, LLC
Solace Supportive Living, Inc.
The Child Day Schools, LLC
Thomas Jee & Associates, Inc.
Vvd Partners, LLC
RADAR Creative
Special Districts
Sunrise Recreation & Park District
Valley of the Moon Water District
Humboldt Bay Harbor, Recreation and
Conservation District
Saratoga Fire Protection District
Mission Oak Park and Recreation District
El Rancho Simi Cemetery District
Lions Gate Community Service District
Aromas Tri-County Fire Protection District
Burbank Sanitary District
Goshen Community Services District
Cypress Fire Protection District
Artesia Cemetery District
Big Rock community service district
South Monterey County Fire Protection District
Rodeo-Hercules Fire District
Buena Park Library District
Central Basin Municipal Water District
Del Norte Library District
Gasquet Community Services District
Paradise Recreation and Park District
Plumas County Community Development
Commission
San Dieguito River Park Joint Powers
Authority
Smith River Fire Protection District
Guadalupe Coyote Resource Conservation
District
San Miguel Community Services District
Yolo Local Agency Formation Commission
SCC Center Fire Protection District
Alameda County Fire Department
Cupertino Sanitary District
Alameda County Law Library
Fort Dick Fire Protection District
Border Coast Regional Airport Authority
Bardsdale Cemetery District
Border Coast Regional Airport Authority
Del Norte Solid Waste Management Authority
Carmel Highlands Fire Protection District
Crescent Fire Protection District
Del Norte Local Transportation Commission
Loma Prieta Resource Conservation District
Perris Valley Cemetery District
Redwood Empire Dispatch Communications
Authority
Santa Clara County Vector Control District
West Contra Costa Integrated Waste
Management Authority
First 5 Inyo County
First 5 Santa Cruz County
Ambrose Recreation and Park District
South Santa Clara Co. Fire District
Menlo Park Fire Protection District
Los Medanos Community Health Care District
Coastside Fire Protection district
Oakland-Alameda County Coliseum Authority
Los Altos Hills County Fire District
Santa Clara County Sanitation District 2-3
East Palo Alto Sanitary District
Solano County Local Transportation Fund
Fox Canyon Groundwater Management Agency
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Pension Plan Clients
Akshaya Inc.(401K)
Burning Man Project (401k) Plan
Fulfilment Systems, Inc. (401)
Hammer Prep (401k) Plan
Kai Ming, Inc. (403B)
Kickapoo Tribe of Oklahoma (401K) Plan
Mission Neighborhood Centers (403B) Plan
Sysintelli, Inc. (401k) Plan
The Athenian School (403B) Plan
Baker's (Retirement Plan-403 B)
East Bay Agency for Children 403(b)
Fundbox Inc. (401)
Hog Island Oyster Company (401k) Plan
Luxesphere Holdings, Inc. (401k) Plan
Native American Health Center, Inc. (403B)
Skywalker Properties (401k) Plan
Storage Pro (401k) Plan
United Indian Health Services, Inc. (403B) Plan
Non-Profit Organizations
Manzanita Charter School
San Diego Civic Youth Ballet
San Francisco Community Clinic Consortium
Greater Farallones Association
Santa Clara Teacher Housing Foundation
Mother Lode Job Training
Eden United Church of Christ
Ruckus Society
Hopi Credit Association
New Bridge Foundation
Center for Third World Organizing
San Diego Organizing Project
Family Paths, Inc.
Santa Cruz County Parents Association
Consolidated Tribal Health Project Inc.
Mnc 1240 Valencia Inc.
Countywide Alcohol and Drug Services, Inc.
Health and Human Resource Education Center
California Hispanic Chambers of Commerce
California Municipal Utilities Association
Center for Youth Development through Law
A & I Express Inc.
A&I Transport Inc.
Baker's Palace
California College of Communications, Inc.
Consolidated Tribal Health Project, Inc.
Crowden Music Center
Digital Democracy
Access Reproductive Justice
Hopi Credit Associations
United Way of Santa Cruz County
ICON Community Development Corporation
Oakland Metropolitan Chamber of Commerce
Gluon Solutions, Inc.
Youth Together, Inc.
TerraVerde Energy
Luxesphere Holdings, Inc. and Subsidiaries
FOOD FIRST/Institute for Food &
Development
Key Educational Group
Carbon Offsets to Alleviate Property
Oakland Community Organizations, Inc.
South County Community Health Center, Inc
Native American Health Center, Inc.
Community Clinic Consortium
Allen Temple Baptist Church
Court Appointed Special Adocates Program,
Inc.
Chinese for Affirmative Action
RFHC Bay Pulgas Landowner, Inc.
Institute for Molecular Medicine
Centro Latino de San Francisco
Community Health Partnership, Inc.
Anti-Terror Project, Inc.
DayBreak Adult Care Centers
Dominican Sisters Vision of Hope
Eden Area Foundation
Faith in Action Bay area
Heffernan Foundation
Hiawatha Harris M.D, Inc.
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Alameda County Deputy Sheriffs Activities
League
East Oakland Switchboard
Family Bridges Inc.
Gallup Inter-Tribal Indian Ceremonial
Association, Inc.
IIT Kanpur
IIT Bombay Heritage Foundation
IIT Madras Foundation
Maisha Meds, Inc.
Mary Magdalene Community Services
New Mexico Cancer Care Alliance
Pacific Center for Human Growth
Rwanda School Project
San Francisco BayKeeper
Solano Coalition for Better Health
The Estria Foundation
Tohatchi Area of Opportunity & Services, Inc.
Women's Daytime Drop-In Center
St. James Infirmary
Redwood Region Economic Development
Commission
Veterans Accession House
American Federation of State, County &
Municipal Employees Local 2428
American Nonsmokers’ Rights Foundation
Artequity Community
California Hispanic Chambers of Commerce
Foundation
Just Cities Institutes
Grand Lodge of California
Lakeshore Avenue Baptist Church
Mission Language & Vocational School
North County Lifeline Inc.
Our Common Ground Inc.
Pawnee Nation College
Redwoods Rural Health Center
Sikh Gurdwara San Jose
Sustainable Economies Law Center
Sustainable Sciences Institute
V- Day
Vascular Cures and Pacific Vascular Research
Institute
El Centro de Libertad/The Freedom Center
San Carlos Apache Relending Enterprise
Chinese for Affirmative Action
Experience with US GAAP and GAS Accounting and Reporting Harshwal & Company, LLP maintains a proven track record in the realm of financial reporting, underpinned by a robust expertise in both GAAP and GASB. This extensive experience underscores our commitment to the highest standards of financial integrity and precision. Adhering meticulously to GAAP, we ensure that our financial reporting aligns with universally accepted principles, offering stakeholders a solid foundation for assessing the firm's fiscal performance. Simultaneously, our proficiency in GAS accounting equips us to navigate the intricate landscape of governmental financial reporting, guaranteeing compliance with pertinent standards and regulations. This duality of expertise positions our firm as a reliable and knowledgeable partner, dedicated to furnishing accurate and comprehensive financial information vital for informed decision-making by our clients and stakeholders.
Governmental Audit, CAFR & GASB Experience
Harshwal & Company, LLP has extensive experience conducting financial statement audit engagements under Generally Accepted Auditing Standards (GAAS) and Government Auditing Standards (GAS), and implementing GASB 34 and all subsequent pronouncements, through the performance of nearly 300 governmental audits since the effective date of GASB 34 implementation. Harshwal & Company, LLP has valuable experience handling Comprehensive Annual Financial Report (CAFR) engagements. Our Managing Partner, Mr. Sanwar Harshwal, has served on GASB committees and in other authoritative positions. At Harshwal & Company, LLP, we are committed to delivering exceptional service and leveraging our CAFR experience to ensure that our client's financial statements are accurate, transparent, and compliant with applicable standards and regulations.
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Single Audit Experience
Harshwal & Company, LLP has worked with numerous organizations that receive extensive governmental funding and are subject to auditing under the Uniform Grant Guidance, formerly known as OMB Circular (Uniform Guidance) guidelines. We utilize standardized audit programs from the federal government's Compliance Supplement to ensure that our procedures meet federal standards. Our audit programs are continually updated to reflect the revisions of the OMB.
Our Uniform Guidance risk-based approach focuses on areas of higher risk of noncompliance. Such an approach truly reflects the federal governments' intent by concentrating on the following three steps:
Our firm has audited hundreds of millions of dollars in federal expenditures, making our engagement team uniquely experienced in single audits. We are familiar with grantors, such as:
Department of Housing and Urban Development
Department of Agriculture
Department of Health and Human Services
Department of Transportation
Environmental Protection Agency
Department of Commerce
Department of Labor
Department of Homeland Security
Department of Justice
Department of Treasury
Executive Office of the President
U.S. Department of the Interior
Department of Energy
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Similar Engagements with Other Government Entities
1. City of Greenfield
Address: 599 El Camino Real, Greenfield, California 93927 Scope: Financial Audit, Bond Audit, GANN, ASR, and FTR Date: 2023 to Present
Total Hours: 265 Approx.
Engagement Partner: Sanwar Harshwal
Contact: Paul Wood, City Manager
Phone Number: (831) 674-5591
Email: [email protected]
Report Link: https://ci.greenfield.ca.us/DocumentCenter/View/4408
2. County of Del Norte
Address: 981 H Street, Crescent City, CA 95531
Scope: Financial Statement & Single Audit, California State Compliance, and FTR Date: 2017 to Present
Total Hours: 370 Approx.
Engagement Partner: Sanwar Harshwal
Contact: Clinton Schaad, Auditor/Controller
Phone Number: (707) 464-7202
Email: [email protected]
Report Link: https://app.fac.gov/dissemination/report/pdf/2024-06-GSAFAC-0000364023
3. Town of Apple Valley
Address: 14955 Dale Evans Pkwy, Apple Valley, CA 92307 Scope: CAFR, Financial & Single Audit, MRF Separate Report, Tax Returns and FTR Date: 2019 to 2021
Total Hours: 445 Approx.
Engagement Partner: Sanwar Harshwal
Contact: Sydnie Harris, Director of Finance
Phone Number: (760) 240-7000 Ext. 7704
Email: [email protected]
Report Link: https://app.fac.gov/dissemination/report/pdf/2021-06-CENSUS-0000132238
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
4. Conejo Valley Unified School District
Address: 1400 East Janss Road, Thousand Oaks, California 91362 Scope: ACFR, Financial Audit, Single Audit, GANN, and Bond Audit Date: 2020 to 2022
Total Hours: 310 Approx.
Engagement Partner: Sanwar Harshwal
Contact: Dr. Mark McLaughlin, Superintendent
Phone Number: (805) 497-9511, x1102
Email: [email protected]
Report Link: https://app.fac.gov/dissemination/report/pdf/2022-06-CENSUS-0000134597
5. Hoopa Valley Tribe
Address: 11860 State Hwy. 96, PO Box 1348, Hoopa, CA 95546 Scope: Financial Audit & Single Audit
Date: 2021 to Present
Total Hours: 665 Approx.
Engagement Partner: Sanwar Harshwal
Contact: Pateisha Ferris - Alvarado, Chief Financial Officer Phone Number: (530) 625-4211 Ext. 116
Email: [email protected]
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
PARTNER SUPERVISORY, AND STAFF QUALIFICATIONS AND EXPERIENCE The expertise and experience of Harshwal & Company, LLP's principals and personnel are at the core of the firm's excellence in performing audits of state and local governments. Harshwal & Company, LLP has experience providing exceptional client service and high-quality audit services through comprehensive knowledge and understanding of governmental accounting standards. We’re passionate about our work and your success. We have selected professionals for your service team who are the right fit for your engagement, based on their knowledge and experience in the governmental industry. Harshwal & Company, LLP has a high retention rate, allowing us to provide stability.
Staff Continuity over the Term of the Agreement
We focus on our team members as well as our clients. Our turnover is significantly lower than other national and regional service firms. This staff continuity enables us to develop and maintain an in-depth understanding of your operations, management style and operating practices, which ultimately allows us to offer you experienced resources, value-added services, industry specialization, and overall better personal service. This commitment to people also resides at our executive level where you will find a refreshingly greater hands-on approach compared to other service providers. Our culture stresses the importance of executive presence throughout projects and engagements.
Proposed Audit Team's Directory
Name of Team Member Role Experience
Sanwar Harshwal, CPA, CIA, CISA, CFE Managing Partner 40+ Years Garima Pathak, CA Audit Manager 08+ Years
Samson Reda, CPA Senior Auditor 10+ Years
Albert Hwu, CPA Senior Auditor 10+ Years
Kinjal Patel, CPA Senior Auditor 07+ Years
Poonam Sharma, CPA Senior Auditor 07+ Years
Most of our assigned key personnel are licensed to practice as a Certified Public Accountant (CPA). In addition to the key personnel listed, additional staff will be assigned from our pool of highly qualified professionals.
We assure you regarding the quality of staff over the term of the engagement. We will not replace audit personnel except with prior written permission of the City. In case we replace audit personnel, we will provide replacements having similar or better qualifications and experience.
We assure the City if we are selected as your auditor, we will not delegate or subcontract our responsibility without written consent of the City.
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Audit Team Responsibilities
Name/Position Responsibility
Sanwar Harshwal, CPA
Managing Partner
Sanwar Harshwal will be the principal in charge of administration, reviews, planning of the audit, approval of the audit scope and work, and review of work and liaison with the City. He is responsible for conducting the fieldwork, coordination of the audit plan, and ensuring that the plan formulated has been effectively followed and managed.
He will coordinate with the manager and supervisor for proper field work progress. He will also manage and organize the audit team's effort and ensure the various audit components are performed efficiently. He also has the responsibility for meeting with the City's management to keep them informed regarding the progress of the audit. The responsibility also extends to ensure smooth interaction of the firm with the City. He has final authority in the conduct of the engagement, and assumes full responsibility for the work performed.
Garima Pathak, CA
Audit Manager
Garima Pathak will serve as an audit manager and provide the City staff with updates to summarize our progress against the project timeline, and update the status of upcoming deliverables. She will also document discussions leading to important policy decisions and/or the choice of critical assumptions used in constructing the analysis and report.
Samson Reda, CPA
Senior Auditor
Samson Reda, is a senior auditor and is in charge of the fieldwork. He will be responsible for preparation and maintenance of various work-papers required for audit report preparation.
Albert Hwu, CPA
Senior Auditor
Albert Hwu is a senior auditor in the firm's audit group providing auditing services to governmental organizations. Mr. Hwu will serve as the on-site lead auditor and will be in the field. He will assist in directing the staff and specialize in the timely completion of the audit.
Kinjal Patel, CPA
Senior Auditor
Kinjal Patel, is a senior auditor and will perform studies, tests, reviews, and analysis of accounts and financial transactions and will be responsible for preparation of various work-paper.
Poonam Sharma, CPA
Senior Auditor
Poonam Sharma will be responsible for coordinating the efforts of our staff throughout fieldwork and managing on-site audit procedures. She will be available to answer any of your technical questions.
Overall Supervision to be Exercised
The audit will be managed by the firm's audit manager, Garima Pathak, who has extensive experience in audits of state and local governments. Garima Pathak has been in charge of various large audits, governmental funded programs, and community-based organizations receiving federal and state funds.
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Audit Team Resumes
SANWAR HARSHWAL, CPA, CIA, CISA, CFE
Managing Partner
Sanwar Harshwal is the managing partner of Harshwal & Company, LLP. He is a globetrotter and a trained technical speaker on auditing and global accounting standards, IT and internal controls, on fraud prevention, and on examinations and internal audits. With over 40+ years of experience with governmental auditing engagements, Mr. Harshwal is also a leading expert on emerging accounting challenges for state and local governments. Mr. Harshwal has attended AICPA seminars on GASB's New Financial Reporting Model and Financial Statements of state and local governments.
During the last 5 years, Mr. Harshwal has provided over 400 hours of training to several professionals on GASB, GAS, Uniform Guidance, FASB, SAAS, GAGAS, Pension Plan audits, COSO, COBIT, internal audits, fraud prevention and examination and tribal governmental governance issues. In addition to having significant experience in audits, strategic assessments of accounting functions, and internal control structures, Mr. Harshwal has extensive experience in evaluating complex accounting and finance issues. He has proficient knowledge of using CaseWare, CaseView, CaseWare IDEA software and other automated tools.
Education:
B.S. Business Accounting
Bachelor of Law
Certification:
Certified Public Accountant - State of California (CPA) Certified Public Accountant - State of New Mexico (CPA) Certified Public Accountant - State of Arizona (CPA)
Certified Public Accountant - State of Washington (CPA) Chartered Accountant - The Institute of Chartered Accountants of India (ICAI) Certified Information System Auditor (CISA)
Certified Fraud Examiner (CFE)
ORACLE Financial Consultant (Oracle Business Suite)
Chartered Global Management Accountant (CGMA)
Certified Risk Management Assurance (CRMA)
Certified Construction Auditor (CCA)
Professional Membership:
Member of AICPA
Member of California CPA Society of Certified Public Accountants Member of Information Systems Audit and Control Association, USA Member of Association of Certified Fraud Examiners, USA Member of Institute of Certified Internal Auditors
Member of National Association of Construction Auditors Member of NM CPA Society
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
GARIMA PATHAK, CA
Audit Manager
Garima Pathak is our audit manager and has been employed with Harshwal & Company, LLP for 8+ years. She has been engaged in numerous audits of state and local governments, educational entities, counties, tribes and tribal governments, housing authorities, and not-for-profit organizations. Garima has 4 years of experience working with all types of exempt organizations including 501(c) (3), 501(c) (4), 501(c) (6), and 501(c) (7).
Garima has provided tax compliance services to clients in the retail, real estate, and not-for-profit industries. She concentrates on real estate clients, focusing on low-income housing, including both for profit and not-for-profit entities. Garima has a passion for her not-for-profit clients and the industry at large, providing them with hands-on tax compliance services including Form 990 filings. She has proficient knowledge of using CaseWare, CaseView, CaseWare IDEA Software and other automated tools.
Education:
Bachelors in Commerce
Certification:
Chartered Accountant - The Institute of Chartered Accountants of India (ICAI)
SAMSON REDA, CPA
Senior Auditor
Samson Reda is a senior auditor at Harshwal & Company, LLP and has 10+ years of experience in auditing and providing accounting services to state and local governments, counties, special districts, educational entities, housing authorities, not-for-profit organizations, and tribes and tribal governments.
He is an expert in data analysis and reconciliation and his experience includes auditing, the recording and analysis of account transactions; establishing accounting records; reconciliation of cash balances; implementation of accounting controls; and statistical reports. He also conducts sampling, testing and is well experienced in performing audits in accordance with attestation standards established by the AICPA.
He has proficient knowledge of using CaseWare, CaseView, CaseWare IDEA and other automated tools.
He will assist in directing the staff and specialize in the timely completion of the audit.
Education:
BA in Accounting
Certification:
Certified Public Accountant - State of New Mexico (CPA) Certified Public Accountant - State of Virginia (CPA)
ALBERT HWU, CPA
Senior Auditor
Albert Hwu is a senior auditor and has been employed with Harshwal & Company, LLP for 10+ years. He has been engaged with several audits and accounting engagements of state and local governments, counties, educational entities, special districts, housing authorities, not-for-profit organizations, and tribes and tribal governments.
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Mr. Hwu is proficient in the operating nuances of accounting and auditing packages and demonstrates upto-date knowledge of auditing and accounting pronouncements. Albert has worked on financial and compliance engagements under the Single Audit Act of 1984 and OMB Circular (Uniform Guidance). He performs audit testing activities; documents processes and findings; verifies assets and liabilities in accordance with audit programs; follows documentation standards; and prepares clear, concise, and orderly working papers. He has proficient knowledge of using CaseWare, CaseView, CaseWare IDEA software and other automated tools.
Education:
Bachelors of Science in Accounting
Certification:
Certified Public Accountant - State of Washington (CPA) Professional Membership:
Member of AICPA
KINJAL PATEL, CPA
Senior Auditor
Kinjal Patel is a senior auditor. She has been engaged with several audits and accounting engagements of state and local governments, special districts, housing authorities, not-for-profit organizations, educational entities, and tribes and tribal governments. Kinjal is proficient in the operating nuances of accounting and auditing packages and demonstrates up-to-date knowledge of auditing and accounting pronouncements.
Kinjal has worked on financial and compliance engagements under the Single Audit Act of 1984 and OMB Circular (Uniform Guidance). She has proficient knowledge of using CaseWare, CaseView, CaseWare IDEA software and other automated tools.
Education:
Master of Business Administration in Accounting
Certification:
Certified Public Accountant - State of California (CPA)
POONAM SHARMA, CPA
Senior Auditor
Poonam Sharma is serving the firm as senior auditor. She has been engaged with several audits and accounting engagements of state and local governments, special districts, tribes and tribal governments, not-for-profit organizations, educational entities, and housing authorities. Poonam is proficient in the operating nuances of accounting and auditing packages and demonstrates up-to-date knowledge of auditing and accounting pronouncements.
She prepares and adjusts work papers from the client's trial balance, executes day-to-day activities of audit engagements for multiple clients, and interacts with client personnel. She performs audit testing activities; documents processes and findings; verifies assets and liabilities in accordance with audit programs; follows documentation standards; and prepares clear, concise, and orderly working papers. She has proficient knowledge of using CaseWare, CaseView, CaseWare IDEA software and other automated tools.
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Education:
Master of Business Administration in Accounting
Certification:
Certified Public Accountant - State of California (CPA) Chartered Accountant - The Institute of Chartered Accountants of India (ICAI) Continuing Professional Education (CPE)
Harshwal & Company, LLP places a strong emphasis on lifelong learning and recognizes the importance of developing our professionals to best serve our clients. Because we are committed to the industries we serve, we provide our professionals with specific, ongoing training. This investment ensures our people stay current on the unique challenges and opportunities within the industry sectors so that they are in the best position to help clients address these issues.
The following table details CPE hours for each key member of the proposed audit team:
Audit Team Member Governmental CPE Non-Governmental CPE Sanwar Harshwal, CPA, CIA, CISA, CFE 140 124
Garima Pathak, CA 84 57
Samson Reda, CPA 80 56
Albert Hwu, CPA 108 55
Kinjal Patel, CPA 58 28
Poonam Sharma, CPA 83 40
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
SPECIFIC AUDIT APPROACH
Scope of Work
At Harshwal & Company, LLP, our professionals have extensive experience performing audit of state and local governments and our team has a broad understanding of the work environment that is necessary to conduct an audit of City of St. Helena. We understand that you require us to conduct an audit of the financial statement of the City for the fiscal years ending June 30, 2025, through June 30, 2027, with an option to extend for two (2) additional fiscal years, in accordance with generally accepted auditing standards, the standards set forth for financial and compliance audits in the U.S. General Accounting Office’s (GAO) Standards for Audit of Governmental Organizations, Programs, Activities, and Functions, the provisions of the Single Audit Act of 1984, as amended in 1996, U.S. Office of Management and Budget (OMB) Circular A-133, Audits of State and Local Governments and Governmental Accounting Standards Board (GASB) Pronouncements. We will adhere to the requirements of the RFP and will be performing the following tasks (including, but not limited to):
We will perform a financial and compliance audit of the City to determine (a) whether the combined financial statements of the City fairly presents the financial position and the results of financial operations in accordance with GAAP and (b) whether the City has complied with laws and regulations that may have material effect upon the financial statements. We will examine the City’s internal accounting controls and accounting procedures and render written reports of our findings and recommendations to the Administrative Services Director. The examination will be made, and reports rendered in accordance with generally accepted government auditing standards. In addition, we will communicate to the Administrative Services Director any reportable conditions found during the audit that can be defined as either a significant or material weakness in the design or operation of the internal control structure, which could adversely affect the organization’s ability to record, process, summarize, and report financial data consistent with the assertions of management in the financial statement.
We will make an immediate, written report of all irregularities and illegal acts or indications of illegal acts of which we become aware of to the Administrative Services Director and City Manager. We will include all funds of the City and any component units in the audit. We will perform a single audit under the requirements of the Federal Government’s program, if required.
We will submit a management letter setting forth our findings and/or recommendations on those matters noted and observed during the conduct of the examination of the financial records and developed within the scope usually associated with such an examination relating to, but not limited to (a) improvement in systems of internal control, (b) improvement in accounting system, (c) apparent noncompliance with laws, rules, regulations, and (d) any other material matter coming to the attention of the firm during the conduct of the examination.
We will prepare the City and required component units the Annual Streets Report and the Annual Financial Transactions Report to the State Controller’s Office and file the reports electronically with the State Controller’s Office before the required deadline each fiscal year. We will prepare the City's Annual Comprehensive Financial Report (ACFR).
Agenda Item #10.10.
Proposal to Provide Professional Auditing Services
Understanding of the Project to be Performed
The two most critical components of the audit are (1) to have continuity and consistency among the auditors involved and (2) to have the entire audit team, from partners to staff, understand and be aware of the technical requirements for the engagement. Therefore, careful audit planning is emphasized along with written instructions, and a comprehensive workshop is carried out for the staff engaged. We have ascertained that this effort not only serves to state the line of organization and responsibility from the commencement but also serves to discuss the areas of concern and applicable audit techniques to be adopted in the examinations proposed to be conducted.
Our plan will involve a comprehensive entrance meeting with the City’s audit committee and management. During this phase, we hope to establish the timetable for the examination and identify dates for future meetings to report on our progress in the examination. Shortly thereafter, the partners and an audit manager will meet with the City Manager or Finance Director to be able to obtain a more detailed outline of the City’s financial systems and processes. This will help us to determine the extent and concentration of our audit effort, obtain knowledge and an understanding of the legal and reporting requirements by obtaining pertinent statues, regulations, charter provisions, bond coverage and other requirements. The meeting will serve as a guideline to prepare and outline our audit-planning memorandum and the audit plan.
Upon completion of the audit plan, we will meet with the City Officials to go over our plan. During the meeting, we hope to share our understanding of the audit approach and fine-tune the dates of commencement, the assistance available to us, and the assistance the City may need from us, and the introduction of the audit team seniors to the City Officials. In the next step, a conference will be initiated by the audit team to be assigned. The conference will serve as a platform to share our audit plan and programs, discuss areas of concern, identify audit teams and dates, and address any and all pertinent questions from our staff.
Audit Methodology
Our audit process begins with the assignment of staff to the engagement. Our engagement team has the expertise to provide the level of service desired and deserved by your organization. Our engagements are supervised by the engagement partner and an audit manager. As high-level involvement is vital to a quality audit, the partner and manager's time will account for approximately 30% of the total hours spent on the engagement. Our team's approach is to be efficient, yet non-intrusive. We believe on-going communication throughout the entire audit will ensure that all aspects of the audit are thoroughly addressed. We encourage regular communications throughout the year, not just during fieldwork.
Audit Planning — Interim Phase
Our audit planning process includes a risk assessment of the City and a review of the control environment.
We begin with a pre-planning meeting to ensure that management's expectations and our expectations are communicated prior to commencing the audit. We will confirm our understanding of the engagement deadlines and ensure these are met in a timely manner. In addition, we will provide a list and samples of schedules specifically tailored to City of St. Helena to aid the City's staff in preparing schedules and providing audit documentation.
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Proposal to Provide Professional Auditing Services
Risk Assessment — Interim Phase
As part of our extensive planning phase, the engagement team will discuss with management issues surrounding the applicable industry, the City's internal and external environment, significant events, as well as economic, political, and social factors to determine and document areas of risk. Once areas of risk have been identified, the next process will be to review the control testing.
Control Testing — Interim Phase
We will document and test the following control processes to evaluate their effectiveness in preparing reliable financial statements:
Disbursements
Receipts
Payroll
Financial reporting
Journal entry process
Federal and state programs
IT and general computer controls
Based on our understanding of the City's risks and control environment, we will design our substantive procedures and communicate our audit approach to management. As part of our review and documentation of the control environment, we may have recommendations for enhancing controls and/or efficiencies. These recommendations will be discussed with management prior to any comments included in a formal management letter.
Drawing Audit Samples
Auditor judgment will be used in selecting our audit samples for tests of compliance work. The majority of the testing of compliance will be centered around the single audit testing of the direct and material elements for the major programs.
Substantive Procedures — Year End Phase
Substantive audit procedures are designed based on our risk assessment process. Complex and high-risk accounts will be identified early in the audit process and these accounts will be assigned to the manager and/or partner for actual testing. Our substantive audit procedures will include the following:
Tests of account details — Detail transaction testing to source documentation Analytical procedures — Ratio analysis, variance analysis, and trend analysis Use of data analysis software — Review of large volumes of data to detect anomalies Unpredictability tests — Varying timing and extent of tests Review of management's estimates —To determine the reasonableness Review of subsequent events and contingencies — For proper adjustment and footnote disclosure Preparation of Audit Report and Review — Year-end Phase and Wrap-up Phase Audit work papers are reviewed throughout the audit by an audit manager and engagement partner. Before we leave your offices, the file will be substantially reviewed and any issues will be discussed and resolved. The financial statements are prepared by the audit manager. All reports are reviewed by the engagement partner and concurring partner. Upon approval, we will issue drafts of all reports based on the City's predetermined schedule as indicated in the Request for Proposal. This will allow adequate time for the review and distribution of reports.
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Proposal to Provide Professional Auditing Services
Audit Sizes and Statistical Sampling Techniques
Audit sampling provides the auditor with an appropriate basis on which to conclude on an audit area by examining evidence from a sample of population. We utilize both statistical and non-statistical-sampling techniques as described in the AICPA's Audit Sampling Guide, depending on the type of testing being performed. Internal control, substantive, and compliance testing samples are generally selected using nonstatistical techniques. Sample sizes are determined by risk assessment and nature of the population. We may use statistical sampling to assist with forensic testing in areas, which have a higher risk of misstatement due to fraud.
Working Paper Retention and Access to Working Papers
We will retain audit working papers and reports for a minimum of seven (7) years unless we are notified in writing by the City of the need to change the retention period. In addition, we will respond to reasonable inquiries of the City and successor auditors, and allow the City and successor auditors to review working papers relating to matters of continuing accounting significance. We will make audit work papers available upon your request.
Rules and Regulations
Harshwal & Company, LLP will meet all specific requirements imposed by state or local law or rules and regulations. We will review the laws and regulations covering the City's grants and major programs as part of any Single Audit testing if applicable. Based upon our inquiries with the City staff and review of any City's municipal code, etc., we will determine the relevant laws and regulations that will be subject to additional test work.
Management Letter
Communication with management is crucial since it is essential to hear your concerns and comprehend the financial records to have a complete and thorough understanding of business operations. Management confirmation is required on all information contained within the financial statements to ensure that they are true and accurate and that all information has been properly disclosed. We will review all significant audit findings with the City as the work proceeds and once on completion of our audit procedures. It is standard practice for our firm to produce a management letter in conjunction with each engagement. The audit process provides an opportunity to assess performance and trends, to identify opportunities to improve internal controls and/or accounting efficiency, and spot emerging needs or opportunities.
By reporting these conditions and opening them up for discussion, the management letter can play an important role in maintaining the future financial health of the organization. If we become aware of any irregularities, illegal acts, or indications of illegal acts, we will make an immediate verbal and written report of such findings to the City's Council. The report will be discussed with the members responsible for the financial statements before submitting it to the Board Members. At the completion of the interim work, we will provide a management letter to the Superintendent (or designee) detailing all findings and recommendations noted as of the date of the completion of the interim work. We may substitute a copy of all written findings for the management letter.
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Proposal to Provide Professional Auditing Services
Timeline for the Completion of the Project
Harshwal & Company, LLP is prepared to meet the deadlines required.
Milestones Tentative Timeline for FY 2025
Planning, risk assessment and system evaluation Just after the agreement Interim field work August, 2025
Final audit field work to be completed Last week of October, 2025 or before Draft audit reports and management letter for review 2nd week of November, 2025 or before Final audit reports and management letter Last week of November, 2025 or before The timeline is reasonable given the totality of work involved and our managers being highly qualified and trained. We will follow the same system to get work done throughout the engagement period.
This timeline is dependent on the availability of your personnel and is subject to the anticipated closing your accounting records.
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Proposal to Provide Professional Auditing Services
Technological Advantages
We utilize the latest technology, including virtual servers, smart devices, and online libraries, to provide us with the most up-to-date information to better serve our clients. Our online client portal, Suralink gives us the capability of sending and receiving information to and from our clients faster and more securely. As portals are encrypted and use password protection to ensure that data can only be viewed by the appropriate client, we are dedicated to protecting the City's confidential information. Furthermore, we streamline our audit process and organize support documents through the use of the paperless audit program; CaseWare Working Papers.
By effectively reviewing large volumes of data through these programs, we are able to develop a better understanding and gain a broader view of City of St. Helena. These technologies enable us to increase both the scope of our engagement and the reliability of our audit opinion more efficiently, as a larger amount of information can be processed, analyzed, and interpreted in a shorter time frame. We are pleased to discuss our efficient use of audit technology as follows:
Secure Data File Transfer System: In order to improve audit efficiency, workflow management software plays an essential role between your organization and our engagement team. We employ a secure data file transfer system called Suralink. Suralink's dynamic request list is integrated with our secure file hosting system for seamless document-request coordination. It means all our requests are in one place, updated in real-time, and accessible only by our engagement team working on your audit and the City's employees who are granted access. You, as a client, no longer have to manually maintain a spreadsheet amongst several people only to repeat the process in a day or two. This not only makes the operation more costefficient; it enables you and your team to spend your time getting the job done, not reconciling a messy list of outstanding items. The Suralink dashboard, as shown below, allows you to visualize the process of the document-request fulfilment. With this innovative tool, clients can manage workflow through a centralized individual who can assign and delegate requests to other employees; track project activity by assigned individual, due date, and status with a user friendly, easy-to-use, dashboard interface; quickly view and monitor project progress with an at-a-glance report feature; and access how-to videos and training materials through the enhanced learning center.
IDEA: We will utilize IDEA data extraction software to assist us in completing our analytical procedures.
We will obtain a detail general ledger of all transactions that occurred during the year and download that information into IDEA. We will analyze the data for unusual transactions and create reports for our audit procedures. Additional functionality of this program allows us to receive files in many formats used by the City which alleviates the stresses and pressures of converting data into a usable format.
CaseWare: CaseWare is a highly flexible engagement software that facilitates real-time adjustments to your trial balance, resulting in simultaneous updates to your financial statements. It enables us to drill down from supporting audit schedules and documents to the underlying detailed accounts. We plan, perform, and review your entire engagement electronically, eliminating the use of paper.
CaseView: CaseView is a powerful reporting module that helps review of financial statements, as well as any other customized work paper reports. It utilizes an interface that combines the appropriate features of Word and Excel into a single application that engages word processing features for formatting financial information. Some advantages of CaseWare and CaseView are as follows:
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Automatic financial reports: This refers to the ability to generate and print financial statements immediately. The numbers in the trial balance are mapped to financial statement tables and foot notes to provide robust and accurate financial statements and reports. Automatic footnotes and other information: This is the ability to format financial statement footnotes with variables (dates, amounts, etc.) that are automatically updated based upon the trial balances and appropriate work paper information.
Virtualization: This provides a more consistent approach to financial statement design and a reduced risk of errors in the financial statement reports.
Checkpoints Tools: All Checkpoint Tools come with a complete set of practice aids, including valuable industry-specific practical considerations and guidance. We make sure you have everything you need to complete engagements and tax preparation with ease. Checkpoint Tools provides accounting and audit professionals with valuable industry-specific practical considerations and guidance including SMART Practice Aids® Audit Suite, PPC’s Practice Aids™, PPC’s Workpapers™, PPC’s Interactive Disclosure Libraries™ and more. These tools work alone or with all paperless engagement products and integrate with AdvanceFlow™ and Workpapers CS, part of the CS Professional Suite from Thomson Reuters.
Use of Artificial Intelligence and Other Emerging Technologies As part of performing our services, we may use artificial intelligence (AI), data analytics, and emerging technologies to enhance the efficiency, accuracy, and overall outcomes of our work. These technologies sometimes provided by third-party vendors - may be used to analyze data, generate reports, or assist us in delivering quality insights. By engaging our services, you acknowledge and consent to our use of AI and related technologies when deemed appropriate. While these tools enhance our capabilities, they are designed to complement not replace our professional judgement. Any significant findings or exceptions identified through the use of these technologies will be reviewed and validated by our team.
We are fully committed to safeguarding the confidentiality, integrity, and security of your information in compliance with applicable laws, regulations, and industry standards. When deploying AI or other related technologies, we engage reputable service providers that adhere to robust data protection measures, including encryption, anonymization (where applicable), and compliance with privacy laws (e.g., GDPR, CCPA). We do not store or transmit sensitive information through any AI platform unless it meets stringent data protection requirements. All data shared with us remains confidential and is used solely for purposes related to this engagement, in accordance with our professional obligations. Our confidentiality policies extend fully to AI systems, ensuring that no client data or sensitive information is accessed or used inconsistently with our professional responsibilities.
While AI and other technologies significantly streamline certain processes, they may have limitations, such as algorithmic biases, inaccuracies, or processing errors. We take reasonable precautions to mitigate such risks; however, we cannot guarantee that AI-generated outputs will be entirely error-free. We shall not be held liable for any inaccuracies resulting from such limitations.