City Council and Concurrent Authorities
July 11, 2023

Professional Services Contract – KJELDSEN, SINNOCK & NEUDECK, INC. – PROJECT NO. UW23007 (Updated 04/24/23)

PROFESSIONAL SERVICES CONTRACT
THIS CONTRACT is entered into this day of 2023, between the CITY OF STOCKTON, a munici pal corporation (“City”), and KJELDSEN, SINNOCK & NEUDECK, INC. whose address is 711 N. PERSHING AVENUE, STOCKTON, CA 95203 (“Consultant”) for the SOUTH TUXEDO AVENUE SEWER TRUNK REHABILITATION, PROJECT NO. UW23007 hereinafter referred to as "Project".

RECITALS
A. Consultant represents that it is licensed in the State of California and is qualified to provide the services proposed in the SCOPE OF WORK section of this Contract.

B. City finds it necessary and advisable to use the services of the Consultant for the purposes provided in this Contract.

NOW THEREFORE , in consideration of the mu tual promises, covenants, and conditions in this Contract, City and Consultant agree as follows:

1. SCOPE OF SERVICES. Subject to the terms and conditions set forth in this Contract, Consultant shall undertake and complete the services described in EXHIBIT A-1. Consultant shall provide said services at the time, place, and in the manner specified in EXHIBIT A-2 and compatible with the standards of the profession. Consultant agrees that it shall produce a fully complete project that is acceptable to the City.

2. COMPENSATION. City shall pay Consultant for services outlined in EXHIBIT A-1 according to the fee not to exceed the schedule detailed in EXHIBIT B, which is attached to this Contract and incorporated by this reference. Consultant agrees this fee is for full remuneration for performing all services and furnishing all staffing and materials called for in the scope of services. The payments shall be made on a monthly basis upon receipt and approval of Consultant’s invoice. Total compensation for services and reimbursement for costs shall not exceed $150,384.00 or as otherwise mutually agreed to in a Contract Amendment.

3. INSURANCE. During the term of this Contract, Consultant shall maintain in full force and effect at its own cost and expens e the insurance coverage as set forth in the attached EXHIBIT C and shall otherwise comply with the other provisions of EXHIBIT C.

4. INDEMNITY AND HOLD HARMLESS. With the exception that this section shall in no event be construed to require indemnification by Consultant to a greater extent than permitted under the public policy of the State of California, Consultant shall indemnify, and hold harmless the City of Stockton, its officers, officials, employees, and volunteers from and against any and all claims and causes of action which result in liabilities, judgments, awards, losses, damages, expenses, and costs (including reasonable attorneys’ fees, expert and consultant fees, and other expenses of litigation) including, but not limited to, death or injury to persons, or damage to property, which arise

ATTACHMENT B
Professional Serv
ices Contract – KJELDSEN, SINNOCK & NEUDECK, INC. – PROJECT NO. UW23007 (Updated 04/24/23)
out of any violation of federal, state, or municipal law or ordinance, to the extent damages are caused by the Consultant’s negligent services provided under this Agreement, or are in any way caused by the negligent performance of work by the Consultant or Consultant’s officers, agents, employees, or subcontractor s. Consultant shall not be obligated to indemnify or defend City for claims finally determined by a cour t of law or ar bitrator to arise from the negligence or willful misconduct of the City. It is the intent of the Parties that this indemnity obligation is at least as broad as is permitted under California law. To the extent California Civil Code sections 2782, et seq., limit th e defense or indemnity obligations of Consultant to City, the intent hereunder is to provide the maximum defense and indemnity obligations allowed by Consult ant under the law. T he indemnity set forth in this section shall not be limited by insurance requirements or by any other provision of this Agreement.

With the exception that this section sh all in no event be construed to require indemnification by Consultant to a greater extent than permitted u nder the public policy of the State of California, and in addition to the other indem nity obligations in this Agreement, Consultant shall indemnify, defend, and hold harmless the City of Stockton, its officers, officials, employees, and volunteers from and against claims, losses, expenses, and costs including, but not limited to, reasonable attorneys’ fees, arising out of any claim brought against the City by an employee of Consultant, regardless of whether such claim may be covered by any applicab le workers compensation insurance.

Consultant’s indemnification obligation is not limited in any way by any limitation on the amount or type of damages, compensation, or benefits payable by or for the Consultant under workers’ compensation acts, disability acts, or other employee benefit acts.

5. SCHEDULE AND TERM. Consultant shall perform the scope of work as described in EXHIBIT A-1 according to the schedule detailed in EXHIBIT A-2, which is attached to this Contract and incorporated by this reference. This Contract shall commence on the date writte n above and shall expire on MARCH 31, 2026 , unless extended by mutual agreement through the issuance of a Contract Amendment. a. Invoices submitted by Consultant to City must contain a brief description of work performed, time used, and include the City project number. Payment shall be made within thirty (30) days of approval of invoice by City. b. Upon completion of work and acceptance by City, Consultant shall have sixty (60) days in which to submit final invoicing for payment. An extension may be granted by City upon receiving a written request thirty (30) days in advance of said time limitat ion. City shall have no obligation or liability to pay any invoice for work performed whic h Consultant fails or neglects to submit within sixty (60) days, or any extension thereof granted by the City, after work is accepted by City.

6. CONFORMANCE TO APPLICABLE LAWS. Consultant shall comply with all applicable federal, State, and Municipal laws, rules, and ordinances. Consultant shall not discriminate in the employme nt of persons or in the prov ision of services under this Contract on the basis of any legally protected classification, including race, color, national origin, ancestry, sex or religion of such person.

ATTACHMENT B

Professional Services Contract – KJELDSEN, SINNOCK & NEUDECK, INC. – PROJECT NO. UW23007 (Updated 04/24/23)
a. TITLE VI

Title VI of the Civil Rights Act of 1964 requires that “no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits o f, or be subjected to discrimination under any pr ogram or activity receiving federal financial assistance.” (42 USC Section 2000d).
http://www.dol.gov/oasam/regs/statutes/titlevi.htm .

The City of Stockton requires compliance with the requirements of Title VI in all of its programs and activities regardless of funding source.

b. DISCRIMINATION AND HARASSMENT POLICY

The City of Stockton has a Discr imination and Harassment Policy (EXHIBIT D). The purpose of this policy is to reaffirm the City’s commitment to demonstrating respect for all i ndividuals by strictly prohibiting discrimination and harassment, includ ing sexual harassment in the workplace, to define the types of behavior and conduct prohibited by this policy, and to set forth a procedure for reporting, investigating, and resolving complaints of discrimination and harassment in the workplace.

c. LABOR STANDARDS PROVISIO NS/CALIFORNIA LABOR CODE

The bidder shall understand that conditions set forth in Chapter 1, Part 7, Division 2 of the California Labor C ode shall be considered part of the contract
agreement. https://leginfo.legislature.ca.gov/faces/codes_displayText.xht ml?lawCode=LAB&division=2.&title=&part=7.&chapter=1.&article=2.

d. PREVAILING WAGE RATES

Consultant and any subcontractor shall pay each employee engaged in the trade or occupation not less than the prevailing hourly wage rate. In accordance with the provisions of Section 1770 of the Labor Code, the Director of Department of Industrial Relations of the State of California has determined the general prevailing rate s of wages and employer payments for health and welfare, pension, vacation, travel time, and subsistence pay as provided for in Section 1773.1, apprenticeship or other training programs authorized by Section 3093 and similar purpos es applicable to the work to be done. Consultant performing the work under this contract shall obtain a copy of the wage rate determination and shall distribute copies to each subcontractor. As the wage determi nation for each craft reflects an expiration date, it shall be the prime Consultant and each subcontractor's responsibility to ensure that the prevailing wage rates of concern is current and paid to the employee.

ATTACHMENT B

Professional Services Contract – KJELDSEN, SINNOCK & NEUDECK, INC. – PROJECT NO. UW23007 (Updated 04/24/23)
i. The Consultant performing the work shall be responsible for obtaining a copy of the State wage rate det ermination. State wage rates may be obtained at
http://www.dir.ca.gov/OPRL/pwd/Determinations/Northern/Northern.p df. The Consultant shall be responsible for posting said wage rates at a prominent location at the work site and shall maintain same in a good readable condition for the duration of the work.

ii. Should the Consultant choose to work on a Saturday, Sunday or on a holiday recognized by the Labor Unions, the Consultant shall reimburse the City the actual co st of engineering, inspection, superintendence, and or other overhead expenses which are directly chargeable to the contract. Should such work be undertaken at the request of the City, reimbursement will not be required. To conform strictly with the provisions of Division 2, Part 7, Chapter 1, Article 2, of the Labor Code of the State of Califo rnia. To forfeit as a penalty to City the sum of TWENTY-FIVE A ND NO/100 DOLLARS ($25.00) for each laborer, worker, or mechanic employed by CONTRACTOR, or by any subcontractor under Consultant, in the execution of this contract, for each calendar day during which any laborer, worker, or mechanic is required or permitted to work mo re than eight (8) hours and who is not paid the general prevailing rate of per diem wages for holiday and overtime work in violation of the provisions of Sections 1770 to 1781 of the Labor Code of the St ate of California. That all sums forfeited under the provisions of the foregoing sections shall be deducted from the payments to be made under the terms of this contract.

iii. PAYROLL RECORDS - The Consultant to whom the contract is awarded shall ensure that the prim e and each subcontractor will, in accordance with Section 1776 of the Labor Code, maintain certified payroll records. A copy of said records shall be provided with each invoice to the Public Works Department, Attention: Contract Compliance Officer. It shall be the Consultant’s responsibility to obtain copies of the current prevailing wage rate determination for all subcontractors. Additionally, certified payroll records must be uploaded to the DIR website as required by labor code.

iv. APPRENTICESHIP STANDARDS - The Consultant shall comply with the provisions established in Section 1777.5 of the Labor Code concerning the 1) ce rtified approval by local joint apprenticeship committees for the employment and training of apprentices, and 2) contribution of funds to admin ister and conduct apprenticeship programs, if applicable to the job.

e. SANCTIONS

Deliverables must conform with all appl icable federal, state, and local laws.

Such conformity includes compliance with federal sanctions, and Contractor

ATTACHMENT B

Professional Services Contract – KJELDSEN, SINNOCK & NEUDECK, INC. – PROJECT NO. UW23007 (Updated 04/24/23)
certifies that it has not and will not engage in prohibited transactions with sanctioned persons or entities.

7. RIGHTS AND DUTIES OF CITY. City shall make available to Consultant all data and information in the possession of City which both parties deem necessary to complete the work, and City shall actively ai d and assist Consultant in obtaining such information as may be deemed necessary from other agencies and individuals.

8. OBLIGATIONS OF CONSULTANT. Throughout the term of this Contract, Consultant represents and warrant s that it has or will have at the time this Contract is executed, all licenses, permits , qualifications, insurance, and approvals of whatsoever nature which are legally requir ed for the Consultant to pr actice its professions, and Consultant shall, at its own cost and expense, keep in effect during the life of this Contract all such licenses, permits, qualifications, insurance, and approvals. Consultant shall meet with the Public Works Director or other personnel of City or third parties as necessary on all matters connected with the carrying out of Consultant’s services. Such meetings shall be held at the request of either party hereto. Consultant further warrants that it will follow the best current, generally accepted and professional practices to make findings, render opinions, prepare factual presentations , and provide professional advice and recommendations regarding this project.

9. OWNERSHIP OF WORK. All reports, drawings, designs, plan review comments, work product, and all other document s completed or partially completed by Consultant in the performance of this Contract shall become and remain the property of the City. Any and all copyrightable subject ma tter in all materials is hereby assigned to the City and the Consultant agrees to exec ute any additional do cuments that may be necessary to evidence such assignment. All materials shall be delivered to the City upon completion or termination of the work under this Contract. If any materials are lost, damaged, or destroyed before final delivery to the City, the Consultant shall replace them at its own expense. Consultant shall keep materials confidential. Materials shall not be used for purposes other than performance of services under this Contract and shall not be disclosed to anyone not connected with these services unless the City expressly provides prior written consent.

10. CONTRACT AMENDMENTS. City reserves the right to make such alterations as may be deemed necessary or advisable and to require such extra work as may be required for the proper completion of the work contemplated by Consultant. Any such changes will be set forth in a Contract Amendment which will specify, in addition to the work done in connection with the change made, adjustment of contract time, if any, and the basis of compensation for such work. A Contract Amendment will not become effective until approved by the authorized City official.

11. TERMINATION. The City may terminate this Contract at any time by mailing a notice in writing to Consultant. The Contract shall then be deemed terminated and no further work shall be performed by Consultan t. If the Contract is so terminated, the Consultant shall be paid for that percentage of work actually completed at the time the notice of termination is received.

ATTACHMENT B
Profess
ional Services Contract – KJELDSEN, SINNOCK & NEUDECK, INC. – PROJECT NO. UW23007 (Updated 04/24/23)

12. CONSULTANT STATUS. In performing the obligat ions set for th in this Contract, Consultant shall have the status of an independent contractor and Consultant shall not be considered to be an employee of the City for any purpose. All persons working for or under the direction of Cons ultant are its agents and employees, and are not agents of the City. Subcontractors shall not be recognized as having any direct or contractual relationship with the City. The persons engaged in the work, including employees of subcontractors and suppliers, will be considered employees of Consultant.

The Consultant shall be responsible for the work of subcontractors, which shall be subject to the provisions of this Contract. The Cons ultant is responsible to the City for the acts and omissions of its subcontractors and persons directly or indirectly employed by them. a. If in the performance of this Contra ct any third persons are employed by Consultant, such persons shall be entirely and exclusively under the direction, supervision, and control of C onsultant. All terms of employment including hours, wages, working c onditions, discipline, hiring, and discharging or any other term of employment or requirement of law shall be determined by Consultant.
i. It is further understood and agreed t hat Consultant must issue W-2 forms or other forms as required by law for income and employment tax purposes for all of Consultant’s personnel.
ii. As an independent cont ractor, Consultant he reby indemnifies and holds City harmless from any and all claims that may be made against the City based upon any content ion by any third party that employer-employee relationship exists by reason of this Contract.

13. ASSIGNMENT. Consultant shall not assign, sublet, or transfer this Contract or any interest or obligation in the Contract without the prior writte n consent of the City, and then only upon such terms and conditions as City may set forth in writing. Consultant shall be solely responsible for reimbursing subcontractors.

14. HEADINGS NOT CONTROLLING. Headings used in the Contract are for reference purposes only and shall not be considered in construing this Contract.

15. NOTICES. Any and all notices herein require d shall be in writing and shall be sent by certified or registered mail, postage prepaid, addressed as follows:

To City:

Public Works Director
City of Stockton
To Consultant:

Kjeldsen, Sinnock & Neudeck, Inc.
711 N. Pershing Avenue
Stockton, CA 95203 22 E. Weber Ave., Rm. 301
Stockton, CA 95202

16. LICENSES, CERTIFICATIONS, AND PERMITS. Prior to the City’s execution of this Contract and prior to t he Consultant’s engaging in any operation or activity set forth in this Contract, Consulta nt shall obtain a City of Stockton business

ATTACHMENT B

Professional Services Contract – KJELDSEN, SINNOCK & NEUDECK, INC. – PROJECT NO. UW23007 (Updated 04/24/23)
license, which must be kept in effect duri ng the term of this Contract. Consultant covenants that it has obtained al l certificates, licenses, permits and the like required to perform the services under this Contract.

17. RECORDS AND AUDITS. City reserves the right to periodically audit all charges made by Consultant to City for serv ices under this Contract. Upon request, Consultant agrees to furnish City, or a designated representat ive, with necessary information and assistance.

Consultant agrees that City or its delegate shall have the right to review, obtain, and copy all records pertaining to performance of the Contract. Consultant agrees to provide City or its delegate with any relevant informati on requested, and shall permit City or its delegate access to its prem ises, upon reasonable notice, during normal business hours for the purpose of interviewing employees and inspecting and copying such books, records, accounts, and other material that may be relevant to a matter under investigation for the purposes of determining compliance wit h this Contract. Consultant agrees to maintain such records for a period of three years from the date that final payment is made.

18. CONFIDENTIALITY. Consultant shall exercise reasonable precautions to prevent the unauthorized disclosure and use of City reports, information or conclusions.

19. CONFLICTS OF INTEREST. Consultant covenants that other than this Contract, Consultant has no financial interest with any official, employee, or other representative of the City. Consultant and its principals do not have any financial interest in real property, sources of income or in vestment that would be affected in any manner or degree by the performance of Consultant’s services under this Contract. If such an interest arises, Consultant will immediately notify City.

20. WAIVER. In the event either City or C onsultant at any time waive any breach of this Contract by the other, such waiver shall not constitute a waiver of any other or succeeding breach of this Contract, whether of the same or of any other covenant, condition, or obligation.

21. GOVERNING LAW. California law shall govern any legal action pursuant to this Agreement with venue for all claims in the Superior Court of the County of San Joaquin, Stockton Branch or, where applicable, in the federal District Court of California, Eastern District, Sacramento Division.

22. NO PERSONAL LIABILITY. No official or employee of City shall be personally liable to Consultant in the event of any default or breach by City or for any amount due Consultant.

23. INTEGRATION AND MODIFICATION. The response by Consultant to the Request for Proposals and the Request for Proposals on file with the City Clerk are hereby incorporated herein by reference to the extent that such documents do not differ from the provisions and terms of this Contract that shall supersede such response to Request for Proposals. This Contract represents the entire integrated agreement between Consultant and City, supersedes all prior negotiations, representations, or agreements, either written

ATTACHMENT B
or oral, between the parties, and may be amended only by written instrument signed by Consultant and City. All exhibits and this contract are intended to be construed as a single document. Should any inconsistency occur between the specific terms of this Contract and the attached exhibits, the terms of this Contract will prevail.

24. SEVERABILITY. The provisions of this Contract are severable to the extent that should any of its provisions or terms be declared void in whole or in part by operation of law or agreement of the parties, the remainder of the provisions or terms not expressly declared void shall remain enforceable and in full effect.

25. THIRD PARTY RIGHTS. Nothing in this Contract shall be construed to give any rights or benefits to anyone other than City and Consultant.

26. AUTHORITY. The undersigned hereby represent and warrant that they are authorized by the parties to execute this Contract.

IN WITNESS WHEREOF: the parties have executed this Contract the day and year first hereinabove written.

CITY OF STOCKTON
By: __________ _

HARRY BLACK

CITY MANAGER
ATTEST:

BY: -----------
ELIZA R. GARZA, CMC

CITY CLERK
APPROVED AS TO FORM:

BY: -------------

DEPUTY CITY ATTORNEY
,INC.

Print Name
Professional Services Contract - KJELDSEN, SINNOCK & NEUDECK, INC. - PROJECT NO. UW23007 (Updated 04/24/23)

ATTACHMENT B

PROPOSAL FOR

SOUTH TUXEDO AVENUE SEWER TRUNK REHABILITATION
CITY PROJECT NO. UW23007
10 Page
MARCH 2023

DETAILED WORK PLAN
TASK NO. 1 - BACKGROUND RESEARCH

1.1 – Research
KSN will research and review existing topographic mapping, photos/images, right-of-way maps, record drawings, recorded maps, surveys, assessor maps, and local street improvement plans along the project corridor.

1.2 – Site Reconnaissance
The KSN team will visit the site to perform a field reconnaisance of the project limits. The KSN team will use the information collected during this time to develop preliminary recommendations for alternative pipeline rehabilitiation methods. The KSN team will develop a set of preliminary design plans based on these recommendations, described in additional detail in Task No. 2.2. 1.

Task Deliverables:
• Site photos

1.3 – Surveying and Mapping
KSN will perform field surveys to develop the base mapping for the project. The scope of services KSN proposes to provide is more specifically described as follows.

1.3.1 – Control Network
Horizontal and vertical survey control for the project will be based on available published control monuments utilizing either GPS or conventional survey methods. Horizontal control will be provided based on the California Coordinate System of 1 983, Zone 3, U.S. Foot units (CA83IIIF), consistent with the the City of Stockton’s horizontal survey cotnrol network. Vertical control will be referenced to the North American Vertical Datum of 1 988 (NAVD 88)based on available published National Geodetic Survey (NGS) and/or City of Stockton benchmarks.

1.3.2 – Field Surveys
Field surveys will be performed along the existing sewer alignment to gather existing site data. Surface evidence of the existing utilities will be surveyed and include invert elevations of below grade utilities, etc. The information obtained by the field surveys will be incorporated into the project base mapping.

1.3.3 - Topographic Mapping
Base mapping will be prepared at a scale of 1” = 20’ with spot elevations and/or 1’ contour intervals. KSN will prepare the base mapping at the stated mapping scale and contour interval showing visible surface features, contours and spot elevations within the mapping limits.

Task Deliverables:
• Basemap files

1.4 – Potholing (optional)
The actual scope of the potholing effort is unknown at this time and it is not possible to define a scope of work and fee estimate. KSN has included a force account budget allowance in its fee estimate for the purposes of performing potholing. The actual scope of work and fee estimate to perform the potholing will be prepared upon the completion of Task No, 3. 1.2 Utility Request Letter (A Letter) and Task No. 4. 1. 1 Design Report when the level of effort can more accurately be determined.

1.5 – Permits
This Task provides an allowance for coordinating with, and obtaining an encroachment permit from the City of Stockton for the potholing of existing utilities.

1.6 – CCTV Review
KSN will review CCTV inspection videos and inspection reports provided by the City of the South Tuxedo Avenue Sanitary Sewer Line to confirm deficiencies, locate manholes, determine the locations of any collection system laterals EXHIBIT A-1

ATTACHMENT B

PROPOSAL FOR

SOUTH TUXEDO AVENUE SEWER TRUNK REHABILITATION
CITY PROJECT NO. UW23007
11 Page
MARCH 2023
and service laterals, and assess the suitability of trenchless rehabilitation approaches. In particular, the review will seek to identify defects that could affect the selection of repair/rehabilitation alternatives. To properly perform this task, KSN will need the City to clean and CCTV the segments that were blocked and useful footage for the proposal is not available – such as the Manchester Avenue to North Yosemite Street segment.

TASK NO. 2 – ENVIRONMENTAL SERVICES
It is anticipated that rehabilitation can be accomplished internally without pipeline replacement. The project is subject to CEQA review, but it is likely exempt from detailed CEQA analysis, provided exemption criteria can be met.

BaseCamp Environmental, Inc. (BaseCamp) will conduct a two-step CEQA review for the project. If, after analysis, the project qualifies for a CEQA exemption, BaseCamp would prepare the necessary support documentation and file a Notice of Exemption on approval by the City. This would conclude the CEQA process.

If this is not the case, as an optional service, BaseCamp will prepare and assist the City in processing a CEQA Initial Study/Mitigated Negative Declaration for the project.

2.1 – Categorical Exemption Analysis and Documentation BaseCamp will review project plans and perform a site reconnaissance visit to assess the scope of the project and the potential impacts. BaseCamp will review options and criteria for a CEQA exemption. If necessary, BaseCamp will review and recommend project modifications to reduce project impacts. BaseCamp will prepare a letter memo with its CEQA findings and recommendations. BaseCamp will prepare a Notice of Exemption and supporting documentation, and file the Notice of Exemption with the County Clerk and the State Clearinghouse.

2.2 – Preparation and Processing of Initial Study/Mitigated Negative Declaration (Optional)
If after review it is determined that the project does not meet the CEQA criteria for a Notice of Exemption, BaseCamp will prepare an Initial Study and environmental checklist, and a Negative Declaration, or a Mitigated Negative Declaration if required.
• BaseCamp will conduct and document tribal consultation activity in accordance with AB 52. • BaseCamp will prepare and submit an administrative draft of the IS/MND to the City for review, comment and approval.
• In coordination with City staff, BaseCamp will administer the required 20-day public review process of the final approved IS/MND.
• BaseCamp will analyze public review comments received during the public review period and recommend appropriate responses and actions.
• BaseCamp will prepare the Final Initial Study/Mitigated Negative Declaration, and the Mitigation Monitoring and Reporting Plan.
• BaseCamp will prepare for and attend a City Council meeting to discuss and answer questions regarding the CEQA documentation.
• BaseCamp will prepare and file the Notice of Determination with San Joaquin County Clerk and State Clearinghouse, (filing fees will be the responsibility of the City).

Task Deliverables:
• Document submission and reproduction will be electronic; hard copies can be provided at cost of reproduction Task Understandings:
• Technical subconsultants such as biologists, cultural resources consultants, archaeologists, & preparation of any permit applications are not included in the above scope of work. If they should become required, a contract amendment will be prepared for the City’s review and approval.

TASK NO. 3 – UTILITY COORDINATION

3.1– Utility Research and Coordination
KSN will perform utility research, mapping, and coordination within the project limits along the project alignment based on the following:

EXHIBIT A-1

ATTACHMENT B

PROPOSAL FOR

SOUTH TUXEDO AVENUE SEWER TRUNK REHABILITATION
CITY PROJECT NO. UW23007
12 Page
MARCH 2023

3.1.1 – Identify Utility Providers
KSN will prepare a list of potentially impacted utilities using: 1) the City of Stockton and San Joaquin County standard utility contact list; 2) the list of utility subscribers to the local Underground Service Alert (USA) service; 3) the list of local utility providers that KSN has assembled over the years; and 4) the utility contact information posted on existing facilities in the vicinity of the project.

3.1.2 – Utility Request Letter (A Letter)
Upon receipt of the Notice to Proceed, KSN will send out the Utility Request Letter to the utility companies. The Utility Request Letters will provide a description of the proposed project scope and limits, and will formally request as-built documents and verification of the nature and location of existing utility facilities within the project limits.

The documentation received from the utility companies will be field reviewed and verified. If necessary, follow-up communications with the utility companies will be made to clarify the size, type and extent of the existing facilities.

KSN will compile the existing utility information onto an electronic “existing utilities” drawing file tied to the project horizontal control and referenced to the project base mapping.

3.1.3 – Conflict Letter (B Letter)
Subsequent to the submittal of the 65% complete project documents, KSN will send out the Conflict Letter to the utility companies. The Conflict Letter will be accompanied with a copy of the 65% project plans that will depict the locations of conflict with the new improvements. The letter will formally request the utility company to field verify the conflict and provide a schedule for the relocation of the facility in conflict. If necessary, follow-up communications with the utility companies, including field meetings and/or field surveys to locate “pothole” information provided by the utility company, will be made to clarify the conflict and/or the relocation alignment of the existing facility. KSN will incorporate the utility relocation information onto the electronic “existing utilities” drawing file described above.

3.1.4 – Final Project Plans Letter (C Letter)
Subsequent to the submittal of the completed project documents (bid set), KSN will send a set of the final project plans to each affected utility company. The letter accompanying the plans will inform the utility company of the project bid date, the approximate date construction will begin, and the approximate date construction will be completed.

KSN will maintain a utility contact summary sheet that will include pertinent information for each utility such as the contact person, address and telephone numbers, description of the utility’s facilities, dates that the Utility Letters described above are sent, a summary of each utility’s response to the Utility Letters, etc.

Task Deliverables:
• Digital file of the existing utility mapping in an AutoCAD compatible format. • Digital file copy of “A” Letter sent to each utility company in PDF compatible format. • Digital file copy of “B” Letter sent to each utility company in PDF compatible format. • Digital file copy of “C” Letter sent to each utility company in PDF compatible format. • Digital file of the utility contact summary in Excel compatible format.

TASK NO. 4 – PLANS, SPECIFICATIONS & ESTIMATES (CONSTRUCTION

DOCUMENTS)
The KSN team will compile existing data available from the City of Stockton, utility companies, etc. Such information may be in the form of hard copy documents, as-built plans, reports, GIS data, and studies.

4.1 – Engineering Design
The KSN Team will prepare a Preliminary Design Memorandum, improvement plans, traffic control plans, bypass plans, specifications (in City of Stockton format), and an engineer’s opinion of probable construction cost (estimate).

The plans, specifications, and estimate (PS&E) packages will be prepared in accordance with the City’s standards and current California Manual on Uniform Traffic Control Devices (CA MUTCD), as appropriate.

EXHIBIT A-1

ATTACHMENT B

PROPOSAL FOR

SOUTH TUXEDO AVENUE SEWER TRUNK REHABILITATION
CITY PROJECT NO. UW23007
13 Page
MARCH 2023

4.1.1 – Design Report
KSN will evaluate the capacity, integrity and useful life of the pipeline, and recommend the most appropriate rehabilitation alternatives to extend the useful life of each pipe segment based on potential results and cost effectiveness. Rehabilitation measures recommended will include examples of where the proposed technology was utilized. A preferred, final recommendation will be identified. Costs for the recommended rehabilitation measures will be developed. A decision matrix of the final recommended improvements will be developed, which will consider criteria including impacts to residential neighbors and businesses and sewage flow bypass.

The Preliminary Design Report will consist of a 3 to 5 page Technical Memorandum in letter format, and will include a recommendation for the appropriate rehabilitation method(s) for the project, and will present criteria for the final design of improvements. KSN will attend a meeting with City staff to discuss the report.

Task Deliverables:
• Two hard copies and one PDF copy of the Draft Design Report. • Two hard copies and one PDF copy of the Final Design Report.

4.1.2 - 65% PS&E Documents
Plan sheets included in the 65% PS&E submittal will include the following:
• Title Sheet
• General Notes
• Project Control Plan
• Erosion Control Plans
• Traffic Control Plans, including anticipated access restrictions to adjacent properties. • Bypassing Plans, including anticipated service interruptions. • Sanitary Sewer Design Improvement Plans and Profiles at a scale of 1”=40’ , including existing structures, rim and invert elevations, other utilities in plan and profile view with relevant protection measures for adjacent properties and existing improvements as appropriate.
• Project specific details and typical cross-sections details.

The improvement plans will be prepared in an Autodesk Civil 3D version 201 8 compatible electronic format.

KSN will prepare the technical specifications and/or special provisions for the proposed improvements. These specifications will be incorporated with general conditions and the bid forms prepared by the design team.

Specifications will be prepared in a Microsoft Word 365 compatible electronic format.

KSN will prepare an engineer’s estimate of construction cost for the proposed improvements. The spreadsheet will be prepared in a Microsoft Excel 365 compatible electronic format.

Task Deliverables:
• Four (4) hard copies and one (1) PDF copy of the full-size set of plans; • One (1) copy of the technical specifications; and
• One (1) copy of the preliminary engineer’s estimate of construction

4.1.3 - 90% PS&E Documents
The 90% submittal will incorporate the City’s comments from the 65% submittal and further develop the PS&E documents.

Task Deliverables:
• Four (4) hard copies and one (1) PDF copy of the full-size set of plans; • One (1) copy of the technical specifications;
• One (1) copy of the preliminary engineer’s estimate of construction • A 65% review comment matrix with written responses
• Returned 65% original red-line comments.

EXHIBIT A-1

ATTACHMENT B

PROPOSAL FOR

SOUTH TUXEDO AVENUE SEWER TRUNK REHABILITATION
CITY PROJECT NO. UW23007
14 Page
MARCH 2023

4.1.4 - PS&E Bid Documents
The final submittal, the bid-set, will incorporate the City’s comments from the 90% submittal A final PDF copy will be submitted to the City along with 90% review comment matrix with written responses for review and approval prior to publishing the final submittal.

Task Deliverables:
• One electronic PDF copy of PS&E for final review prior to plotting mylars, final specs, and opinion of construction cost.
• One (1) Mylar copy and one (1) PDF copy of the full-size set of plans; • One (1) stamped and signed hardcopy and one (1) PDF and MS Word copy of the technical specifications; and • One (1) stamped and signed hardcopy and one (1) PDF and MS Excel copy of the engineer’s estimate of construction
• One (1) USB drive with all electronic files, including Autodesk Civil 3D 20 18 compatible and pdf files for the project plans, MS Word and pdf files of the technical specifications, and MS Excel and pdf files of the Engineer’s Estimate
• A 90% review comment matrix with written responses
• Returned 90% original red-line comments
TASK NO. 5 – PUBLIC OUTREACH
KSN in close coordination with the City will implement communication and outreach to impacted property, residents, and business owners along the project corridor. Activities will include identification of the contact database, and preparation and distribution of timely and informative notifications. Notifications may include flyers, letters (right- of-entry requests), and FAQ’s. All information communicated will be clear and educational in nature to inform the impacted public of the potential access restrictions, property encroachments, service interruptions, or travel impacts.

KSN will work closely with the City to identify potential mitigation measures for these impacts to be included in the construction documents.

Task Deliverables:
• Contact database, Correspondence/comments matrix, FAQ, Right-of-Entry letters, Flyer with project location exhibit.

TASK NO. 6 – COORDINATION/MEETINGS

6.1 – Meetings
Kick-Off Meeting: The KSN Team will attend a Kick-Off Meeting with City Staff and key project stakeholders. The purpose of the meeting will be, 1) to review and refine the project scope, goals, and expectations, 2) to define the lines of communication between KSN, City staff, utility companies and other project stakeholders, 3) to confirm project standards, procedures and formats; 4) to identify project constraints and opportunities, 5) to review the project schedule, and 6) to discuss available as-built documents and other pertinent existing background information related to the project. The City of Stockton will coordinate the date, time, and location of the Kick-Off Meeting. KSN will prepare and distribute the agenda and the minutes for the Kick-Off Meeting.

Meetings w/City Staff: KSN will hold regularly scheduled teleconference meetings, (maximum 6), to discuss project progress and schedule, and to clarify project design issues and City standards. KSN will prepare and distribute agendas and minutes for each meeting.

Site Visits and Miscellaneous Meetings w/ City Staff: KSN will attend up to 4 project status meetings to be held in Stockton, to discuss project progress and schedule, and to clarify project design goals and issues. KSN will prepare and distribute the agendas and minutes for each meeting.

EXHIBIT A-1

ATTACHMENT B

PROPOSAL FOR

SOUTH TUXEDO AVENUE SEWER TRUNK REHABILITATION
CITY PROJECT NO. UW23007
15 Page
MARCH 2023

6.2 - Design Schedule
KSN will prepare a project schedule, with the City’s input, at the outset of the project. The schedule will be updated monthly and KSN will include a schedule status update with each monthly billing. The schedule and billings will be submitted in the form and in sufficient detail to track the project status and contract expenditures as outlined by the City at the beginning of the project. The project schedule will be prepared using Microsoft Project 201 3.

Task Deliverables:
• Meeting agenda and minutes.
• Monthly project schedule updates.

TASK NO. 7 – DESIGN SUPPORT DURING CONSTRUCTION
KSN will support the City’s Construction Manager during the bidding and construction phases of the project by: 1) providing letters of clarification during the bidding process, 2) attending a pre-construction meeting, 3) review submit- tals for conformance with the contract documents, 4) preparing responses to Requests for Information (RFI), 5) prepare clarification sketches and/or minor modification to plans to address minor changes to field conditions, 6) visiting the site to review the progress of construction for conformance with the design intent of the contract documents, and 6) preparing record drawings based upon Contractor field as-builts (see Task 6).

After the construction contract has been awarded, KSN will attend a pre-construction meeting with the City and the selected contractor.

TASK NO. 8 – AS-BUILT DRAWINGS
Upon completion of construction, KSN will prepare Record Drawings using red line plans provided by the contractor that reflect actual changes made during the course of construction.

Task Deliverables:
• Digital file of Record Drawings in an AutoCAD 20 18 compatible format.

TASK NO. 9 – PRESERVING AND PERPETUATING SURVEY MONUMENTS KSN will prepare a Pre-Construction Record of Survey for the project. The purpose of the Record of Survey will be to identify and record the location of existing monumentation prior to the construction of improvements to conform with Section 877 1(b) of the Professional Land Surveyors Act. KSN will prepare a Record of Survey tied into the project’s horizontal control system showing all found survey monuments. KSN will submit and process the Record of Survey through the San Joaquin County Surveyors Office and the San Joaquin County Recorder’s Office.

Task Deliverables:
• A PDF of the final Record of Survey showing the location of found monuments prior to construction.

Task Understandings:
• The Pre-Construction Record of Survey will be filed in lieu of multiple corner records. The purpose of the Pre- construction Record of Survey will be to identify monumentation that exists prior to the project construction. The Pre-Construction Record of Survey will not establish boundary lines or right of way of lines. • Pursuant to Section 877 1(d) of the Professional Land Surveyors Act, the governmental agency performing or permitting construction or maintenance work is responsible for ensuring that either the governmental agency or landowner performing the construction or maintenance work provides for monument perpetuation. • This task does not include the setting or resetting monuments, nor does it include construction or post-construction monument perpetuation or replacement. Monument perpetuation must be addressed by others upon during construction and upon the completion of construction.

EXHIBIT A-1

ATTACHMENT B
ID Task Name Duration Start Finish Predecessors
1 Notice to Proceed 1 day Mon 7/3/23 Mon 7/3/23
2 Task 1-Background Research 125 days Tue 7/4/23 Mon 12/25/23 3 1.1 Research 1 day Tue 7/4/23 Tue 7/4/23 1
4 1.2 Site Reconnaissance 5 days Tue 7/4/23 Mon 7/10/23 1 5 1.3 CCTV Review 10 days Wed 7/5/23 Tue 7/18/23 60
6 1.4 Permits 25 days Wed 7/5/23 Tue 8/8/23 60
7 1.5 Utility Research & Coordination 124 days Wed 7/5/23 Mon 12/25/23 8 1.5.1 Identify Utility Providers 2 days Wed 7/5/23 Thu 7/6/23 60 9 1.5.2 Utility Request Letter (A Letter) 3 days Fri 7/7/23 Tue 7/11/23 8 10 1.5.3 Conflict Letter (B Letter) 3 days Mon 9/11/23 Wed 9/13/23 23 11 1.5.4 Final Project Plans Letter (C Letter) 3 days Thu 12/21/23 Mon 12/25/23 54SS 12 Task 2-Plans, Specifications & Estimates (Construction Documents) 118 days Tue 7/11/23 Thu 12/21/23 13 2.1 Surveying & Mapping 15 days Tue 7/11/23 Mon 7/31/23 14 2.1.1 Control Network 1 day Tue 7/11/23 Tue 7/11/23 60,4 15 2.1.2 Field Surveys 10 days Wed 7/12/23 Tue 7/25/23 14 16 2.1.3 Topographic Mapping 4 days Wed 7/26/23 Mon 7/31/23 15 17 2.2 Preliminary Design Report (PDR) 29 days Tue 8/1/23 Fri 9/8/23 16 18 Prepare Draft PDR 10 days Tue 8/1/23 Mon 8/14/23 16,60 19 Submit Draft PDR 0 days Mon 8/14/23 Mon 8/14/23 18
20 City Review of Draft PDR 7 days Tue 8/15/23 Wed 8/23/23 19 21 Review, Address/Repond to Draft PDR Comments 2 days Thu 8/24/23 Fri 8/25/23 20 22 Prepare Final PDR 7 days Mon 8/28/23 Tue 9/5/23 21
23 Submit Final PDR 0 days Fri 9/8/23 Fri 9/8/23 22FS+3 days 24 2.3 50% Design 28 days Mon 9/11/23 Wed 10/18/23
25 Prepare Design Plans 10 days Mon 9/11/23 Fri 9/22/23 9,23 26 Prepare Specifications 5 days Thu 9/21/23 Wed 9/27/23 25FS-2 days 27 Prepare Preliminary Construction Cost Estimate 4 days Mon 9/25/23 Thu 9/28/23 25 28 Compile 50% Complete Project Documents 2 days Fri 9/29/23 Mon 10/2/23 25,26,27 29 Utility Coordination 2 days Tue 10/3/23 Wed 10/4/23 28 30 Submit 50% Complete Project Documents 0 days Wed 10/4/23 Wed 10/4/23 28,29 31 City Review of 50% Submittal 10 days Thu 10/5/23 Wed 10/18/23 30 32 2.4 90% Design 27 days Fri 10/20/23 Mon 11/27/23
33 Review, Address/Respond to 50% Submittal Comments 3 days Fri 10/20/23 Tue 10/24/23 31FS+1 day 34 Prepare Design Plans 10 days Wed 10/25/23 Tue 11/7/23 33 35 Prepare Specifications 5 days Thu 11/2/23 Wed 11/8/23 34FS-4 days 36 Prepare Preliminary Construction Cost Estimate 3 days Mon 11/6/23 Wed 11/8/23 34FS-2 days 37 Utility Coordination 3 days Wed 11/8/23 Fri 11/10/23 34 38 Compile 90% Complete Project Documents 1 day Mon 11/13/23 Mon 11/13/23 34,35,36,37 39 Submit 90% Complete Plans, Special Provisions and Estimate 0 days Mon 11/13/23 Mon 11/13/23 37,38 8/14
9/8
10/4
11/13
July August September October November December January February March April May June July August September Task
Split
Milestone
Summary
Rolled Up Task
Rolled Up Split
Rolled Up Milestone
Rolled Up Progress
External Tasks
Project Summary
External Milestone
Inactive Milestone
Inactive Summary
Manual Task
Duration-only
Manual Summary Rollup
Manual Summary
Start-only
Finish-only
External Tasks
External Milestone
Progress
Deadline

SOUTH TUXEDO AVENUE SEWER TRUNK REHABILITATION
Fri 3/3/23
23030
3_South_Tuxedo_Schedule Page 1 Kjeldsen, Sinnock & Neudeck, Inc.

Project: 150811-Schedule
Date: Fri 3/3/23
EXHIBIT A-2

ATTACHMENT B
ID Task Name Duration Start Finish Predecessors
40 City Review of 90% Submittal 10 days Tue 11/14/23 Mon 11/27/23 39 41 2.5 100% Design 13 days Tue 11/28/23 Thu 12/14/23
42 Review, Address/Respond to 90% Submittal Comments 1 day Wed 11/29/23 Wed 11/29/23 40FS+1 day 43 Prepare Design Plans 2 days Thu 11/30/23 Fri 12/1/23 42 44 Prepare Specifications 2 days Tue 11/28/23 Wed 11/29/23 43FS-4 days 45 Prepare Preliminary Construction Cost Estimate 1 day Thu 11/30/23 Thu 11/30/23 43FS-2 days 46 Utility Coordination 3 days Mon 12/4/23 Wed 12/6/23 43 47 Compile 100% Complete Project Documents 1 day Thu 12/7/23 Thu 12/7/23 43,44,45,46 48 Submit 100% Complete Plans, Special Provisions and Estimate 0 days Thu 12/7/23 Thu 12/7/23 47,46 49 City Review of 100% Submittal 5 days Fri 12/8/23 Thu 12/14/23 48 50 2.6 Bid Documents 5 days Fri 12/15/23 Thu 12/21/23
51 Review, Address/Respond to 100% Submittal Comments 2 days Fri 12/15/23 Mon 12/18/23 49,40 52 Finalize Project Documents 2 days Tue 12/19/23 Wed 12/20/23 51 53 Submit Check Print for City Approval 0 days Wed 12/20/23 Wed 12/20/23 52 54 Prepare Bid Ready Plans, Special Provisions and Estimates 1 day Thu 12/21/23 Thu 12/21/23 53 55 Submit Bid Ready Plans, Special Provisions and Estimates 0 days Thu 12/21/23 Thu 12/21/23 54 56 Task 3-Public Outreach 19 days Wed 7/5/23 Mon 7/31/23 57 Stakeholder's Database 5 days Wed 7/5/23 Tue 7/11/23 60 58 Right of Entry Letters, Flyers, Exhibits 14 days Wed 7/12/23 Mon 7/31/23 57 59 Task 4-Coordination/Meetings 121 days Tue 7/4/23 Tue 12/19/23 60 Kick-Off Meeting 1 day Tue 7/4/23 Tue 7/4/23 1
61 Meetings 121 days Tue 7/4/23 Tue 12/19/23
62 Meetings 1 1 day Tue 7/4/23 Tue 7/4/23 1
63 Meetings 2 1 day Fri 8/4/23 Fri 8/4/23
64 Meetings 3 1 day Fri 9/8/23 Fri 9/8/23
65 Meetings 4 1 day Fri 10/6/23 Fri 10/6/23
66 Meetings 5 1 day Fri 11/3/23 Fri 11/3/23
67 Meetings 6 1 day Fri 12/1/23 Fri 12/1/23
68 Project Schedule 6 mons Wed 7/5/23 Tue 12/19/23 60
69 Task 5-Design Support During Construction 130 days Tue 12/26/23 Mon 6/24/24 70 Design Phase Construction Support 130 days Tue 12/26/23 Mon 6/24/24 74SS 71 Task 6-As-Built Drawings 5 days Tue 6/25/24 Mon 7/1/24 70 72 Task 7-Environmental 15 days Mon 9/11/23 Fri 9/29/23 73 Notice of Exemption for CEQA CE 15 days Mon 9/11/23 Fri 9/29/23 23 74 Bidding (Task Completed by City) 80 days Tue 12/26/23 Mon 4/15/24 55,11 75 Construction (Task Completed by City) 90 days Tue 4/23/24 Mon 8/26/24 74FS+5 days 12/7
12/20
12/21
July August September October November December January February March April May June July August September Task
Split
Milestone
Summary
Rolled Up Task
Rolled Up Split
Rolled Up Milestone
Rolled Up Progress
External Tasks
Project Summary
External Milestone
Inactive Milestone
Inactive Summary
Manual Task
Duration-only
Manual Summary Rollup
Manual Summary
Start-only
Finish-only
External Tasks
External Milestone
Progress
Deadline

SOUTH TUXEDO AVENUE SEWER TRUNK REHABILITATION
Fri 3/3/23
2303
03_South_Tuxedo_Schedule Page 2 Kjeldsen, Sinnock & Neudeck, Inc.

Project: 150811-Schedule
Date: Fri 3/3/23
EXHIBIT A-2

ATTACHMENT B
Date Prepared: Page 1 of 1
Principal
Engineer
Associate
Engineer
Junior
Engineer
Senior
Surveyor
Assistant
Surveyor
1 Man PW
Field Crew
2 Man PW
Field Crew
Tech/GIS/

CAD III
Project
Accountant Admin III
Direct
Expense
Mileage
Expense
Sub
Consultant
$290.51 $219.72 $115.00 $209.03 $134.65 $156.10 $293.78 $131.04 $139.62 $90.29 110% 0.545 110% 4 17 36 8 16 24 32 114 $ 20,804 $ - $ - $ 11,000 $ 11,000 $ 31,802

1.1 Research 2 6 8 16 $2,178 $2,178

1.2 Site Reconnaissance 1 4 4 9 $1,629 $1,629

1.3.1 Control Network 4 8 8 20 $3,162 $3,162

1.3.2 Field Surveys 2 4 8 16 30 $4,850 $4,850

1.3.3 Topographic Mapping 2 4 24 30 $4,044 $4,044

1.4 Potholing 1 4 4 9 $1,629 $11,000 $11,000 $12,629

1.5 Permits 1 2 8 $1,650 $1,650

1.6 CCTV Review 1 1 10 $1,660 $1,660
1 2 3 $ 730 $ - $ - $ 6,600 $ 6,600 $ 7,330

2.1 Categorical Exemption Analysis 1 2 3 $730 $6,600 $6,600 $7,330 6 14 34 40 94 $ 13,971 $ 303 $ - $ - $ 303 $ 14,273

3.1 Identify Utility Providers 1 1 2 $510 $510

3.2 Utility Request Letter (A Letter) 1 1 18 24 44 $5,725 $110 $110 $5,835

3.3 Conflict Letter (B Letter) 2 4 8 8 22 $3,428 $110 $110 $3,538

3.4 Final Project Plans Letter (C Letter) 2 8 8 8 26 $4,307 $83 $83 $4,390 10 56 168 76 310 $ 44,489 $ - $ - $ - $ - $ 44,490

4.1 Engi neering Design

4.1.1 Design Report 4 8 32 44 $6,600 $6,600

4.1.2 65% PS&E Documents 2 16 60 24 102 $14,142 $14,142

4.1.3 90% PS&E Documents 2 16 40 28 86 $12,366 $12,366

4.1.4 PS&E Bid Documents 2 16 36 24 78 $11,382 $11,382
2 6 20 8 36 $ 5,248 $ - $ - $ - $ - $ 5,248

5.1 Public Outreach 2 6 20 8 36 $5,248 $5,248
12 32 36 8 8 96 $ 16,497 $ - $ - $ - $ - $ 16,496

6.1 Meet ings

6.1.1 Kick-Off Meeting 2 2 2 6 $1,250 $1,250

6.1.2 Meetings w/City Staff (6 max) 6 18 18 42 $7,768 $7,768

6.1.3 Site Visits (3 max) 2 8 8 18 $3,259 $3,259

6.2 Design Schedule 2 4 8 8 8 30 $4,219 $4,219
3 24 94 121 $ 16,955 $ - $ - $ - $ - $ 16,955

7.1 Meetings 2 2 4 $669 $669

7.2 Submittal Review 8 40 48 $6,358 $6,358

7.2 RFI Response 2 8 40 50 $6,939 $6,939

7.4 Site Visits (3 max) 1 6 12 19 $2,989 $2,989
2 12 8 22 $ 2,868 $ - $ - $ - $ - $ 2,868

8.1 Prepare As-Built Drawings 2 12 8 22 $2,868 $2,868
2 8 8 8 40 66 $ 10,922 $ - $ - $ - $ - $ 10,922

9.1 Prepare Pre-Construction Record Survey 2 8 8 8 40 66 $10,922 $10,922 40 153 400 16 24 24 8 204 8 8 862 $132,483 $ 303 $ - $ 17,600 $ 17,903 $ 150,384 40 153 400 16 24 24 8 204 8 8 862 $ 132,483 $ 303 $ - $ 17,600 $ 17,903 $ 150,384

PROJECT TOTALS

GRAND TOTALS
General Note: This costs allocation represents our best estimate at this time and may change subject to future developments during the project. It is possible that some of the estimated manpower requirements for specific task items may increase while others may not require the entire anticipated effort. Charges to this project will be made for actual time spent on the project and will be charged as per the attached Fee Schedule.

OTHER DIRECT COSTS
Other Direct
Costs Budget
Total Budget
(Rounded)
Task No. 3 - Utility Coordination
Task
No. 1 - Background Research
Task No. 4 - Plans, Specifications & Estimates
Task No. 6 - Coordination/Meetings
Task No. 7 - Design Support During Construction
Task No. 8 - As-Built Drawings
Task No. 2 - Environmental Services
Task No. 5 - Public Outreach
Task No. 9 - Preserving and Perpetuating Survey Monuments City of Stockton Public Works
South Tuxedo Avenue Sewer Trunk Rehabilitation Project
March 3, 2023 (Revised 3/30/2023, 4/13/2023)

TASK HOURS BREAKDOWN
KJELDSEN, SINNOCK & NEUDECK, INC. STAFF HOURS
Tot
al
Labor
Hours
Total Labor
Budget
Classificaiton

EXHIBIT B

ATTACHMENT B
REV 2022‐05‐17
Insurance Requirements
Professional Design for South Tuxedo Avenue Sewer Trunk Rehabilitation Project No UW23007
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.

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

1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury, and personal & advertising injury with limits no less than $2,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.

2. Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non- owned), with limit no less than $1,000,000 per accident for bodily injury and property damage.

3. Workers’ Compensation insurance as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease.
(Not required if consultant provides written verification it has no employees)

4. Professional Liability/Errors and Omissions Insurance appropriates to the Consultant’s profession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate.

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

EXHIBIT C

ATTACHMENT B
REV 2022‐05‐17
Other Insurance Provisions
The insurance policies are to contain, or be endorsed to contain, the following provisions:

Additional Insured Status
The City of Stockton, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor’s insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used). Additional insured Name of Organization shall read “City of Stockton, its officers, officials, employees, and volunteers.” Policy shall cover City of Stockton, its officers, officials, employees, and volunteers for all locations work is done under this contract.

Primary Coverage
For any claims related to this contract, the Contractor’s insurance coverage shall be primary and non-contributory and at least as broad as ISO CG 20 01 04 13 as respects the City of Stockton, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City of Stockton, its officers, officials, employees, or volunteers shall be excess of the Contractor’s insurance and shall not contribute with it. This requirement shall also apply to any Excess or Umbrella liability policies. The City of Stockton does not accept endorsements limiting the Contractor’s insurance coverage to the sole negligence of the Named Insured.

Umbrella or Excess Policy
The Contractor may use Umbrella or Excess Policies to provide the liability limits as required in this agreement. This form of insurance will be acceptable provided that all of the Primary and Umbrella or Excess Policies shall provide all of the insurance coverages herein required, including, but not limited to, primary and non-contributory, additional insured, Self-Insured Retentions (SIRs), indemnity, and defense requirements. The Umbrella or Excess policies shall be provided on a true “following form” or broader coverage basis, with coverage at least as broad as provided on the underlying Commercial General Liability insurance. No insurance policies maintained by the Additional Insureds, whether primary or excess, and which also apply to a loss covered hereunder, shall be called upon to contribute to a loss until the Contractor’s primary and excess liability policies are exhausted.

Notice of Cancellation
Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City of Stockton.

EXHIBIT C

ATTACHMENT B
REV 2022‐05‐17
Waiver of Subrogation
Contractor hereby grants to City of Stockton a waiver of any right to subrogation which any insurer of said Contractor may acquire against the City of Stockton by virtue of the payment of any loss under such insurance. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City of Stockton has received a waiver of subrogation endorsement from the insurer.

Self-Insured Retentions
Self-insured retentions must be declared to and approved by the City of Stockton. The City of Stockton may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City of Stockton. The CGL and any policies, including Excess liability policies, may not be subject to a self-insured retention (SIR) or deductible that exceeds $25,000 unless approved in writing by City of Stockton. Any and all deductibles and SIRs shall be the sole responsibility of Contractor or subcontractor who procured such insurance and shall not apply to the Indemnified Additional Insured Parties. City of Stockton may deduct from any amounts otherwise due Contractor to fund the SIR/deductible. Policies shall NOT contain any self-insured retention (SIR) provision that limits the satisfaction of the SIR to the Named. The policy must also provide that Defense costs, including the Allocated Loss Adjustment Expenses, will satisfy the SIR or deductible. City of Stockton reserves the right to obtain a copy of any policies and endorsements for verification.

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

Claims Made Policies (Professional Liability)
If any of the required policies provide claims-made coverage:

1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work.

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

3. If coverage is canceled or non-renewed, and not replaced with another claims- made policy form with a Retroactive Date prior to the contract effective date, the Contractor must purchase “extended reporting” coverage for a minimum of five (5) years after completion of work.

EXHIBIT C

ATTACHMENT B
REV 2022‐05‐17
Verification of Coverage
Contractor shall furnish the City of Stockton with original certificates and amendatory endorsements, or copies of the applicable policy language effecting coverage required by this clause and a copy of the Declarations and Endorsements Pages of the CGL and any Excess policies listing all policy endorsements. All certificates and endorsements and copies of the Declarations & Endorsements pages are to be received and approved by the City of Stockton before work commences. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor’s obligation to provide them. The City of Stockton reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. City of Stockton reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.

Subcontractors
Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City of Stockton is an additional insured on insurance required from subcontractors.

Duration of Coverage
CGL & Excess liability policies for any construction related work, including, but not limited to, maintenance, service, or repair work, shall continue coverage for a minimum of 5 years for Completed Operations liability coverage. Such Insurance must be maintained, and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.

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

Certificate Holder Address
The address for mailing certificates, endorsements and notices shall be:

City of Stockton
Its Officers, Officials, Employees, and Volunteers
400 E Main Street, 3rd Floor – HR
Stockton, CA 95202

EXHIBIT C

ATTACHMENT B
Subject:

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 1 of 14
DISCRIMINATION AND Effective Date: Revised From:

HARASSMENT POLICY 7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 I. PURPOSE
The purpose of this policy is to reaffirm the City's commitment to demonstrating respect for all individuals by strictly prohibiting discrimination and harassment, including sexual harassment in the workplace. This policy defines prohibited behavior and conduct, and sets forth a procedure for reporting, investigating and resolving complaints of discrimination, harassment, in the workplace, including retaliation and hostile work environment.

II. POLICY
A. The City of Stockton prohibits any form of discrimination and/or harassment of any person based on race, religious creed, color, national origin, ancestry, military and veterans status, physical or mental disability, medical condition, genetic characteristics or information, denial of family and medical care leave, marital status, sexual orientation, sex (including gender, gender identity, gender expression, transgender, pregnancy, childbirth and breastfeeding), political affiliation, age (40 and older), concerted labor activity, or any other category or attribute consistent with state or federal law.

All such discrimination and harassment is unlawful and shall not be tolerated. In addition, under the federal Affordable Care Act (ACA), the City of Stockton prohibits discrimination and/or harassment, or retaliation against an employee who obtains coverage, receives a tax credit or subsidy through the Health Care "Market Place" or "Exchange."
B. It is an unlawful employment practice to discriminate against or to harass an unpaid intern or volunteer on the basis of any legally protected classification unless an exception applies, such as a bona fide occupational qualification.

C. The City will neither tolerate nor condone discrimination and/or harassment of employees by managers, supervisors, co-workers, or non-employees with whom City employees have a business service, or professional relationship.

D. All City employees and non-employees share a responsibility to assist in

EXHIBIT D

ATTACHMENT B
Subject:

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 2 of 14
DISCRIMINATION AND Effective Date: Revised From: HARASSMENT POLICY 7/27/09 5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 maintaining an employment environment free of discrimination and harassment. This policy applies to all aspects of City employment, including, but not limited to, hiring, reassignment, placement, promotion, employment action, disciplinary action, layoff, reemployment, transfer, leave of absence, compensation and benefits, training; or other terms of treatment of that person in an unpaid internship, or another limited duration program to provide unpaid work experience for that person, or the harassment of an unpaid intern or volunteer.

E. All allegations of discrimination and/or harassment shall be investigated immediately by the City, in accordance with this policy. If it is determined that any prohibited activity has occurred, remedial action shall be taken. Such action may include discipline up to and including discharge. In addition, under applicable law, individual supervisors and employees may be subject to personal liability and/or punitive damages in any litigation arising as a result of such conduct.

F. All new hires shall attend harassment awareness training, and supervisors and managers shall attend harassment awareness and prevention training for supervisors every two years.

G. The City of Stockton prohibits retaliation against any employee or non­ employee by another employee, non-employee, supervisor, or manager for reporting, filing, testifying, assisting or participating in any manner in any investigation, proceeding, or hearing conducted by the employer or a federal or state enforcement agency.

H. This policy applies to all officials, employees, volunteers, unpaid interns, agents, or contractors of the City.

I. This policy shall be administered by the Director of Human Resources.

EXHIBIT D

ATTACHMENT B
Subject:

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 3 of 14
DISCRIMINATION AND Effective Date: Revised From:

HARASSMENT POLICY 7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment m the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 Ill. DEFINITION AND EXAMPLES OF DISCRIMINATION AND HARASSMENT A. "Discrimination," as used in this policy, is any action, behavior, practice, or process that is intended to deny, or results in the denial of, employment rights, privileges, or benefits because of a person's race, religious creed, color, national origin, ancestry, military and veterans status, physical or mental disability, medical condition, genetic characteristics or information, denial of family and medical care leave, marital status, sexual orientation, sex (including gender, gender identity, gender expression, transgender, pregnancy, childbirth and breastfeeding), political affiliation, age (40 and older), concerted labor activity, or any other prohibition identified under state and federal law. The following are examples of conduct that may constitute discrimination:

1. Soliciting applications from a source where all or most of potential workers are of the same race or color.

2. Considering a person's gender as the basis for differences in pay, work assignments, performance evaluations, training, discipline, or any other area of employment; and

3. Questioning a job applicant about the existence, nature and severity of a disability.

B. "Harassment," as used in this policy, consists of any conduct affecting another person because of his or her race, religious creed, color, national origin, ancestry, military and veterans status, physical or mental disability, medical condition, genetic characteristics or information, denial of family and medical care leave, marital status, sexual orientation, sex (including gender, gender identity, gender expression, transgender, pregnancy, childbirth and breastfeeding), political affiliation, age (40 and older), concerted labor activity, or any other category or attribute identified under state and federal law when such conduct has the purpose or the effect of: (1) creating an intimidating, hostile or offensive work environment; (2) unreasonably interfering with the employee's or non-employee's work performance; or (3)

EXHIBIT D

ATTACHMENT B
Subject:

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 4 of 14

DISCRIMINATION AND

HARASSMENT POLICY
Effective Date: Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 otherwise adversely affecting an employee's or non-employee's employment opportunities.

Harassment may take many forms, including, but not limited to, the following examples:

1. Verbal Harassment: Epithets, derogatory and offensive comments or slurs based on race, religion, color, national origin, ancestry, physical or mental disability, marital status, pregnancy, medical condition, gender, sexual orientation, political affiliation, age, or any other category or attribute identified under state and federal law.

2. Physical Harassment: Assault, impeding or blocking movement that results in the physical interference with normal work or movement on the basis of race, religion, color, national origin, ancestry, physical or mental disability, marital status, pregnancy, medical condition, gender, sexual orientation, political affiliation, age, or any other category or attribute identified under state and federal law.

3. Visual Harassment: The displaying of posters, photography, notices, bulletins, e-mails, cartoons or drawings with derogatory and offensive content based on race, religion, color, national origin, ancestry, physical or mental disability, marital status, pregnancy, medical condition, gender, sexual orientation, political affiliation, age, or any other category or attribute identified under state and federal law.

C. "Sexual harassment," as used in this policy, is a subcategory of harassment, and is specifically defined by law as unwanted sexual advances, requests for sexual favors or visual, verbal or physical conduct of a sexual nature when:

1. Submission to such conduct is made a term or condition of employment; or

2. Submission to or rejection of such conduct is used as a basis for employment decisions affecting the individual; or

EXHIBIT D

ATTACHMENT B
Subject:

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 5 of 14

DISCRIMINATION AND

HARASSMENT POLICY
Effective Date: Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93

3. Such conduct has the purpose or effect of unreasonably interfering with an employee's or non-employee's work performance or creating an intimidating, hostile or offensive working environment because of the persistent, severe or pervasive nature of the conduct.

Examples of Sexual Harassment include, but are not limited to the following:
a. Unwelcome sexual overtures or propositions.
b. Offering employment benefits or status in exchange for sexual favors.
c. Making or threatening retaliation after a negative response to sexual advances.
d. Visual conduct such as leering, making sexual gestures, displaying sexually suggestive objects or pictures, cartoons, calendars or posters.
e. Verbal conduct such as using epithets or slurs, telling sexually explicit jokes, or making derogatory or suggestive comments about a person's body or dress.
f. Written communications of a sexual nature distributed in hard copy, soft copy or via a computer network.
g. Verbal abuse of a sexual nature, graphic verbal commentary about an individual's body, sexually degrading words to describe an individual, suggestive or obscene letters, notes or invitations.
h. Physical conduct such as touching, assaulting, impeding or blocking movements.

EXHIBIT D

ATTACHMENT B
Subject:

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 6 of 14
DISCRIMINATION AND Effective Date:

HARASSMENT POLICY
Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95. 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 i. Retaliation for making harassment reports or threatening to report harassment.

D. Affordable Care Act (ACA) Anti-Retaliation
Pursuant to section §1558 of the Affordable Care Act, the City prohibits discrimination or retaliation towards any employee who:

1. Receives a health insurance tax credit or subsidy through the Health Care "Marketplace" or "Exchange", by which can trigger a penalty payable by the employer;

2. Reports potential violations of protections afforded under Title I of the Act, which provides guaranteed availability protections among other things;

3. Testifies in a proceeding concerning such violation;

4. Assists or participates in a proceeding concerning a violation; or

5. Objects to, or refuses to participate in, any activity, policy, practice, or assigned task that the employee reasonably believes to be in violation of any provision of the Title I of the Act.

An employee who believes that he or she has been discharged or otherwise discriminated against in violation of section §1558 of the Affordable Care Act may seek relief in accordance with the procedures, notifications, burdens of proof, remedies, and statutes of limitation set forth in section 2087(b) of title 15, United States Code.

IV. REPORTING AND COMPLAINT PROCEDURES
A. Immediate Action Required
The City's reporting and complaint procedures provide for an immediate, thorough and objective investigation of discrimination or harassment claims, appropriate disciplinary action taken against any person found to have engaged in prohibited behavior, and appropriate alternative remedies to any

EXHIBIT D

ATTACHMENT B
Subject:

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 7 of 14
DISCRIMINATION AND Effective Date: Revised From:

HARASSMENT POLICY 7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 employee or non-employee subject to discrimination or harassment. To accomplish this, such incidents must be reported immediately to a supervisor or manager.

1. Employee's and Non-Employee's Responsibilities when Subjected to Discrimination and/or Harassment
a. Employees or non-employees who believe they have been subjected to discrimination or harassment, or are aware of discrimination or harassment against others, shall report the situation immediately to his/her supervisor or manager, except as specified in subsection (b), below. Employees and non­ employees shall report any such incidents occurring in the workplace, whether committed by coworkers, supervisors or managers, or third persons doing business with the City, such as customers or vendors, or other non-employees. If
comfortable doing so, an employee or non-employee who has a complaint of discrimination or harassment is encouraged to directly inform the person(s) engaging in the behavior that such conduct is offensive and insist the behavior to stop.
b. Employees and non-employees must immediately contact a supervisor or manager to register a complaint of discrimination or harassment, unless that supervisor or manager is the individual engaging in the unwanted behavior. In that case, the employee or non-employee may contact someone at the next supervisory level. If the employee or non-employee feels uncomfortable dealing directly with his or her immediate supervisor or manager, he or she may contact the department head, or the Director of Human Resources (or either of their designees) to register a complaint of discrimination or harassment.
c. Employees and non-employees may file a formal complaint of harassment or discrimination with their department head or

EXHIBIT D

ATTACHMENT B
Subject:

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 8 of 14

DISCRIMINATION AND

HARASSMENT POLICY
Effective Date: Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment In the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 with Human Resources. To assist the City in conducting a thorough investigation, complaints shall be submitted in writing and shall include specific details of the incident(s), the names of the individuals involved, the names of any witnesses, and any documentary evidence (notes, pictures, cartoons, etc.) that will corroborate the allegations.
d. Employees and non-employees shall immediately report any retaliation to a supervisor, manager, department head or Director of Human Resources (or designee). All retaliation complaints shall be immediately, objectively and thoroughly investigated in accordance with the investigation procedures.

If a report of retaliation is substantiated, appropriate disciplinary action, up to and including discharge shall be taken.

2. Supervisor's or Manager's Responsibilities to Eliminate Discrimination and/or Harassment
a. A supervisor or manager is responsible for enforcing the City's discrimination and harassment policy. Supervisors or
managers must ensure that all employees and non-employees are aware of the City's policy through open discussion of the policy at staff meetings and by posting the policy in a conspicuous location accessible to all staff members.
b. A supervisor or manager shall be cognizant of employees' and non-employees' behavior and shall not permit any employee or non-employee under their supervision to be subjected to or engage in any conduct prohibited by this policy.
c. A supervisor or manager who observes conduct prohibited by this policy shall immediately direct the employee or non­ employee to cease the conduct.

EXHIBIT D

ATTACHMENT B
Subject:

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 9 of 14
DISCRIMINATION AND Revised From:

HARASSMENT POLICY
Effective Date:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 d. A supervisor or manager who receives a complaint of
prohibited conduct is required to take the complaint seriously, and report the matter immediately to the department head; be supportive of the complainant; ensure there is no retaliation against the complainant; conduct an internal fact-finding review into the allegations; obtain as much detailed information as possible; thoroughly document the findings; communicate in written form to the parties the resolution of the complaint; and report to and consult with the Human Resources Department promptly, without delay.

B. Confidentiality. The City will make every effort to protect the privacy and confidentiality of all parties involved, as well as any information and/or documentation obtained, to the extent possible consistent with a thorough investigation.

C. Penalty for Non-Compliance. The City shall take disciplinary action, up to and including discharge, against any supervisor or manager who fails in his/her responsibility to take immediate action in response to an employee's or non-employee's complaint of discrimination or harassment. Further, such disciplinary action shall be taken against a supervisor or manager who fails to stop discriminatory or harassing conduct committed in his/her presence or to stop such conduct about which the supervisor or manager has knowledge.

V. INVESTIGATION PROCEDURES
A. Determination of Responsibility for Investigation
If a formal complaint is filed with the department head or the Director of Human Resources (or either of their designees), the department head and the Director of Human Resources shall consult with one another to determine whether the department or Human Resources shall conduct the fact-finding investigation into the allegations. Either the department head or the Director of Human Resources (or either of their designees), depending on who is

EXHIBIT D

ATTACHMENT B
Subject:

B.

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No.10 of 14
DISCRIMINATION AND Effective Date: Revised From:

HARASSMENT POLICY 7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment In the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 responsible for the investigation, shall issue written notification to the complainant and alleged harasser(s). The notification shall specify the nature of the complaint, and inform the parties that an investigation into the allegations of discrimination and/or harassment shall be conducted.

Investigative Guidelines
The investigation shall include the following steps taken in the order best suited to the circumstances:

1. Identify and preserve the evidence.

2. Confirm the name and position of the complainant. Interview the complainant.

3. Allow the complainant the opportunity to place the complaint in writing.

4. Obtain the identity of the alleged harasser(s).

5. Obtain as many details as possible regarding the incident(s) that prompted the complaint, including the number of occurrences, dates, times, locations, and witnesses (if applicable).

6. Ascertain how the complainant felt about the alleged incident when it occurred; complainant's response(s) to the alleged behavior; and witness statements (if applicable).

7. Ascertain if any threats or promises were made in connection with the alleged harassment.

8. Ascertain if the complainant knows of or suspects that there are other victims of harassment by the same person(s).

9. Ascertain whether the complainant has spoken to anyone, especially

EXHIBIT D

ATTACHMENT B
Subject:

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 11 of 14

DISCRIMINATION AND

HARASSMENT POLICY
Effective Date: Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment m the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 supervisors, about the harassment.

10. Ascertain what resolution would be acceptable to the complainant.

11. Interview the alleged harasser to get his or her side of the story, including any possible motivation for a false allegation.

12. Interview witnesses who were identified by the complainant regarding the alleged harasser or other persons identified during the investigation.

13. Interview witnesses who were identified by the alleged harasser or other persons identified during the investigation.

14. Advise all participants that the investigation is "confidential" and not to engage in any retaliatory conduct, as such conduct is subject to disciplinary action up to and including discharge. Confidentiality will be maintained to the extent possible. An individual who is interviewed during the course of an investigation is prohibited from discussing the substance of the interview, except as otherwise directed by a supervisor or the Director of Human Resources. Any individual who discusses the content of an investigatory interview will be subject to discipline or other appropriate sanction.

15. Conduct follow-up interviews, if warranted.

16. Prepare report of findings and discuss with management and designated legal staff.

VI. RESPONDING TO THE COMPLAINT
A. Following the completion of the fact-finding investigation, either the department head or the Director of Human Resources (or either of their designees), depending on who is responsible for the investigation, shall

EXHIBIT D

ATTACHMENT B
Subject:

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No.12 of 14
DISCRIMINATION AND Effective Date: Revised From: HARASSMENT POLICY 7/27/09 5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 make a report of findings, along with a recommendation regarding the appropriate remedial action to be taken, if warranted. The recommendation shall be made after reviewing the findings of the investigation, giving consideration to all factual information, the nature of the alleged conduct, and the totality of the circumstances. If the investigation was conducted by the Director of Human Resources, or designee, the Director, or designee, shall confer with the affected department head and both shall concur on the remedial action to be taken, if any. If the investigation was conducted by the department head, the department head shall confer with the Director of Human Resources prior to making the report of findings and both shall concur on the remedial action to be taken, if any.

B. If either the department head or the Director of Human Resources does not concur with the findings and recommendation of the other, the City Attorney (or designee) shall review and resolve the matter in dispute.

C. Report of findings and recommendation shall be treated as a confidential document and no other distribution shall be made without first consulting with the City Attorney's Office. A completed investigation report will not be disclosed, except as it is deemed necessary to support a disciplinary action, to take remedial action, to defend the City in adversarial proceedings, or to comply with the law or court order.

D. Either the department head or the Director of Human Resources (or either of their designees), depending on who is responsible for the investigation shall provide a written response to the complainant and the person alleged to have committed the misconduct, discrimination and/or harassment. The response shall include a copy of the City's discrimination and harassment policy and a memorandum indicating the City's determination as to whether the complaint is:

1. Unsustained: The investigation failed to disclose sufficient evidence to substantiate the allegation(s).

2. Unfounded: The investigation proved that the act(s) or omission(s)

EXHIBIT D

ATTACHMENT B

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Subject: Directive No. HR-15 Page No. 13 of 14
DISCRIMINATION AND Effective Date: Revised From:

HARASSMENT POLICY 7/27/09

3. 5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 complained of did not occur. The finding also applies when the individual employee(s) named in the complaint were not involved in the act(s) or omission(s) alleged.

Sustained: The investigation disclosed sufficient evidence to substantiate the allegation(s) made in the complaint; appropriate action will be taken.

E. Details regarding any specific fact-findings or disciplinary action to be taken will not be communicated to the complainant. The City Attorney shall review the response for legal sufficiency before dissemination.

F. The City shall close and retain the investigation file, in accordance with applicable laws, regulations, and City policy regarding retention of City records.

VII. DISCIPLINE
Disciplinary action imposed as a result of any investigation conducted pursuant to this policy shall be commensurate with the severity of the offense, up to and including discharge, even for a first offense.

VIII. ALTERNATIVE REMEDIES
If upon exhausting all internal remedies to file, investigate, and respond to a charges of discrimination/harassment, pursuant to title VII of the Federal Civil Rights Act of 1964 (42 U.S.C §§ 2000e et seq.), any person has a right to file a charge of discrimination/harassment with the Equal Employment Opportunity Commission ("EEOC"). In addition, pursuant to the California Fair Employment and Housing Act (Gov. Code §§ 12900 - 12996.) a person may also file a complaint of discrimination/harassment with the California Department of Fair Employment and Housing ("DFEH"). Employees or non-employees who believe that they have been subjected to discrimination/harassment may file a complaint with either of these

EXHIBIT D

ATTACHMENT B

CITY OF STOCKTON, CALIFORNIA

CITY MANAGER ADMINISTRATIVE DIRECTIVE
Subject: Directive No. HR-15 Page No. 14 of 14

DISCRIMINATION AND

HARASSMENT POLICY
Effective Date: Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 agencies. Both the EEOC and DFEH serve as neutral fact-finders and attempt to assist parties in resolving disputes voluntarily.

IX. COMMUNICATION OF POLICY
This policy shall be provided to all managers, supervisors, employees, volunteers, unpaid interns, agents or contractors of the City and shall be posted in the appropriate places. All employees shall participate in City approved harassment awareness training as directed by management or Human Resources; and all supervisors, as required by law, shall participate in City approved interactive harassment awareness training and education sessions at least once every two years, or as otherwise specified by law.

APPROVED:
c:r��SON

CITY MANAGER
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EXHIBIT D

ATTACHMENT B