City Council and Concurrent Authorities
April 1, 2025

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Task 8 Preserving and Perpetuating Survey Monuments
Siegfried will identify, list and show existing survey monuments on the construction plans. The PS&E package will contain language about preserving all monumentation affected by the work being performed in accordance with Section 8771 of the Professional Land Surveyors Act in the Business and Professionals Code of the State of California.

Task 9 Rights of Entry
Siegfried will assist the City in obtaining rights of entry documentation from property owners where work is required on their property. They will prepare letters to send property owners and any exhibits needed to adequately portray the work to be done. The City will mail the letters with any exhibits and a right of entry form.

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Project Number: STO027 Client: City of Stockton
Contact: Said Houseyni
Email:
11/21/2024 Systemic Pedestrian Safety Improvements

TIME ESTIMATES BY PERSON AND TASK
CN Admin Admin Siegfried ESA
TASK Total DJW AP KC AM VH 3 1 Miles Misc
Dollars 357.50 $ 291.78 $ 240.27 $ 196.05 $ 135.71 $ 153.92 $ 134.08 $ 0.74 $ LS Task 1 Background Research

1.1 Field Review 3,163.44 $ 9 9 240

1.2 Survey, Base Plans, Assessment 55,025.44 $ 8 24 50,200 $

1.3 Traffic Tech Memo 17,873.78 $ 1 16 24 60

1.3.1 Data Collection 9,066.58 $ 1 8932.5
Task 2 Environmental Services

2.1 Preliminary Environmental Study 13,750.20 $ 13,750.20$

2.2 NEPA Categorical Exclusion 2,940.00 $ 2,940.00 $

2.3 CEQA Categorical Exemption 2,151.68 $ 2,151.68 $

2.4 Project Management and Meetings 7,489.48 $ 16 2,821.00 $ Task 3 Utility Coordination

3.1 Utility A, B & C letters 6,000.00 $ 6,000 $

3.2 Utility Locating 10,000.00 $ 10,000 $
Task 4 PS&E

4.1 30% Design 32,325.56 $ 1 16 2 24 40 2 240 200 16,000 $

4.2 60% Design 51,610.88 $ 1 30 2 60 100 2 240 200 16,000 $

4.3 90% Design 35,510.80 $ 1 24 2 40 60 2 240 200 11,000 $

4.4 100% Design 32,041.12 $ 1 16 2 40 60 550 10,000 $

4.5 Quality Control 1,922.16 $ 8
Task 5 Coordination/Meetings

5.1 Kickoff meeting 795.67 $ 1 1 2

5.2 Coordination/Meetings 3,902.64 $ 8 8
Task 6 Design Support During Construction

6.1 Services Prior to Construction 2,151.96 $ 2 8

6.2 Services During Construction 13,425.56 $ 2 40 5,000 $ Task 7 As-Built Drawings

7.1 Final as-built drawings 5,031.54 $ 1 8 16 1,000 $
Task 8 Preserving and Perpetuating Survey Monuments

8.1 Survey Monument Preservation Form 1,000.00 $ 1,000 $ Task 9 Rights of Entry

9.1 Rights of Entry Letters 800.00 $ 800 $
Total hrs 5 132 16 270 369 8 1 960 10,082.50 $ 127,000.00 $ 21,662.88 $ Subtotal 307,978.49 $
Year 1 = 75% Work
Year 2 = 25% Work. Amount of Labor difference with 4% escalation in W-Trans labor rates 607.75 $ W-Trans 159,923.36 $ Total Fee Estimate 308,586.24 $ Siegfried 127,000.00 $
ESA 21,662.88 $
308,586.24 $
Expenses
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REV 2024-03-25
Insurance Requirements
(Professional Services)
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 $5,000,000 per occurrence or claim, $5,000,000 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.

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

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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.

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 EXHIBIT 1

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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 & Pollution only)
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.

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 EXHIBIT 1

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REV 2024-03-25
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 St, 3rd Floor – HR
Stockton, CA 95202
EXHIBIT 1

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ID Task
Mode
Task Name Duration Start Finish Predecess
1 Project Management 487 days Thu 5/1/25 Fri 3/12/27
2 Kickoff meeting 1 day Thu 5/1/25 Thu 5/1/253 Environmental Clearance Documentation 71 days Fri 5/2/25 Fri 8/8/254 Prepare PES forms 20 days Fri 5/2/25 Thu 5/29/25 25 CLAP review PES 20 days Fri 5/30/25 Thu 6/26/25 46 Field Review Meeting 1 day Fri 6/27/25 Fri 6/27/25 4,57 Prepare Tech memos for NEPA/CEQA clearance 15 days Mon 6/30/25 Fri 7/18/25 68 Receive NEPA/CEQA clearance from CLAP 15 days Mon 7/21/25 Fri 8/8/25 79 Background Research 70 days Fri 5/2/25 Thu 8/7/25 10 Review topo, ROW, assessor maps, as builts 15 days Fri 5/2/25 Thu 5/22/25 211 Field Reconnaissance 15 days Fri 5/23/25 Thu 6/12/25 1012 Traffic Counts 15 days Fri 5/2/25 Thu 5/22/25 213 Synchro Analysis 15 days Fri 5/23/25 Thu 6/12/25 1214 Prepare Draft Tech memo 15 days Fri 6/13/25 Thu 7/3/25 1315 City review tech memo 15 days Fri 7/4/25 Thu 7/24/25 1416 Finalize Tech memo 10 days Fri 7/25/25 Thu 8/7/25 1517 Topographic Surveying 15 days Fri 5/2/25 Thu 5/22/25 218 Potholing 10 days Fri 7/11/25 Thu 7/24/25 2419 Prepare PS&E 221 days Fri 5/2/25 Fri 3/6/2620 Utility and Basemapping 30 days Fri 5/2/25 Thu 6/12/2521 Utility "A" letter requests 5 days Fri 5/2/25 Thu 5/8/25 222 Prepare basemapping 15 days Fri 5/23/25 Thu 6/12/25 17,2123 30% Plans and Estimate 37 days Fri 6/13/25 Mon 8/4/2524 Prepare 30% Plans and Estimate 20 days Fri 6/13/25 Thu 7/10/25 2225 City review 30% submittal 15 days Fri 7/11/25 Thu 7/31/25 2426 Response to comments 2 days Fri 8/1/25 Mon 8/4/25 2527 60% PS&E Submittal 50 days Tue 8/5/25 Mon 10/13/2528 Utility "B" Letters 5 days Tue 8/5/25 Mon 8/11/25 2629 Prepare 65% PS&E 30 days Tue 8/12/25 Mon 9/22/25 28,13,17,30 City review 65% PS&E 15 days Tue 9/23/25 Mon 10/13/25 2931 90% PS&E Submittal 37 days Tue 10/14/25 Wed 12/3/2532 Respond to comments from previous round 2 days Tue 10/14/25 Wed 10/15/25 3033 Prepare 95% PS&E 20 days Thu 10/16/25 Wed 11/12/25 3234 City review 95% PS&E 15 days Thu 11/13/25 Wed 12/3/25 3335 100% PS&E Submittal 37 days Thu 12/4/25 Fri 1/23/26 3436 Respond to comments from previous round 2 days Thu 12/4/25 Fri 12/5/25 3437 Utility "C" Letters 5 days Mon 12/8/25 Fri 12/12/25 3638 Prepare 100% PS&E Submittal 20 days Mon 12/8/25 Fri 1/2/26 3639 Submit E‐76 RFA package to Caltrans Local Assistance 15 days Mon 1/5/26 Fri 1/23/26 3840 Caltrans Local assistance and City review Final submittal 15 days Mon 1/5/26 Fri 1/23/26 3841 Bid PS&E Submittal 30 days Mon 1/26/26 Fri 3/6/2642 W‐Trans prepare Bid PS&E 15 days Mon 1/26/26 Fri 2/13/26 4043 Receive approval from Caltrans Local Assistance and bid project
15 days Mon 2/16/26 Fri 3/6/26 42
44 Bid Support 65 days Mon 3/9/26 Fri 6/5/2645 City advertise project 15 days Mon 3/9/26 Fri 3/27/26 4346 City Council award project 30 days Mon 3/30/26 Fri 5/8/26 4547 Notice to Proceed for Construction to Contractor 20 days Mon 5/11/26 Fri 6/5/26 4648 Construction Support 200 days Mon 6/8/26 Fri 3/12/2749 Construction support 180 days Mon 6/8/26 Fri 2/12/27 4750 As built plans 10 days Mon 2/15/27 Fri 2/26/27 4951 After evaluation collision analysis 10 days Mon 2/15/27 Fri 2/26/27 4952 Project closeout 10 days Mon 3/1/27 Fri 3/12/27 51 5/1
Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr 2nd Quarter 3rd Quarter 4th Quarter 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter 1st Quarter 2nd Quarter TaskSplitMilestone
SummaryProject SummaryInactive Task
Inactive MilestoneInactive SummaryManual Task
Duration-onlyManual Summary RollupManual Summary
Start-onlyFinish-onlyExternal Tasks
External MilestoneDeadlineProgress
Manual Progress
City of Stockton
Systemic Pedestrian Safety Enhancements Project No. WT23041

Project: [Project Title]Date: Tue 2/4/25
EXHIBIT 1

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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.

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Appendix E of the Title VI Assurances
(US DOT Order 1050.2A)
During the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the “contractor”) agrees to comply with the following nondiscrimination statutes and authorities; including but not limited to:

Pertinent Nondiscrimination Authorities:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part 21.
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects);
• Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on the basis of sex);
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits discrimination on the basis of disability); and 49 CFR Part 27;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits discrimination on the basis of age);
• Airport and Airway Improvement Act of 1982, (49 U.S.C. § 4 71, Section 4 7123), as amended, (prohibits discrimination based on race, creed, color, national origin, or sex);
• The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all of the programs or activities of the Federal-aid recipients, subrecipients and contractors, whether such programs or activities are Federally funded or not);
• Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. §§ 12131-12189) as implemented by Department of Transportation regulations at 49 C.F.R. parts 37 and 38;
EXHIBIT 1

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• The Federal Aviation Administration's Nondiscrimination statute (49 U.S.C. § 47123) (prohibits discrimination on the basis of race, color, national origin, and sex);
• Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, which ensures discrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations; • Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin discrimination includes discrimination because of limited English proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100);
• Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education programs or activities (20 U.S.C. 1681 et seq).

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Local Assistance Procedures Manual Exhibit 10-R
A&E Boilerplate Agreement Language

May 2023
Federal-Aid Consultant Contract Provisions

SYSTEMIC PEDESTRIAN SAFETY ENHANCEMENTS
City Project No. WT23041/Federal-Aid Project No. HSIPL-5008(209)

TABLE OF CONTENTS
Page
ARTICLE I INTRODUCTION.................................................................................................................. 3 ARTICLE II CONSULTANT’S REPORTS OR MEETINGS ..................................................................... 4 ARTICLE III STATEMENT OF WORK ................................................................................................... 4 ARTICLE IV PERFORMANCE PERIOD ................................................................................................ 6 ARTICLE V ALLOWABLE COSTS AND PAYMENTS ........................................................................... 6 ARTICLE VI TERMINATION ................................................................................................................ 10 ARTICLE VII COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS ................................... 11 ARTICLE VIII RETENTION OF RECORD/AUDITS .............................................................................. 11 ARTICLE IX AUDIT REVIEW PROCEDURES ..................................................................................... 12 ARTICLE X SUBCONTRACTING ........................................................................................................ 13 ARTICLE XI EQUIPMENT PURCHASE AND OTHER CAPITAL EXPENDITURES ............................. 15 ARTICLE XII STATE PREVAILING WAGE RATES ............................................................................. 16 ARTICLE XIII CONFLICT OF INTEREST ............................................................................................ 19 ARTICLE XIV REBATES, KICKBACKS OR OTHER UNLAWFUL CONSIDERATION ........................ 19

ARTICLE XV PROHIBITION OF EXPENDING LOCAL AGENCY, STATE, OR FEDERAL FUNDS FOR LOBBYING .................................................................................................................................. 20 ARTICLE XVI NON-DISCRIMINATION CLAUSE AND STATEMENT OF COMPLIANCE ................... 20 ARTICLE XVII DEBARMENT AND SUSPENSION CERTIFICATION .................................................. 21 ARTICLE XVIII DISADVANTAGED BUSINESS ENTERPRISES (DBE) PARTICIPATION .................. 22 ARTICLE XIX INSURANCE ................................................................................................................. 28 ARTICLE XX FUNDING REQUIREMENTS .......................................................................................... 29 ARTICLE XXI CHANGE IN TERMS ..................................................................................................... 29 EXHIBIT 1

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A&E Boilerplate Agreement Language

May 2023
ARTICLE XXII CONTINGENT FEE ...................................................................................................... 29 ARTICLE XXIII DISPUTES .................................................................................................................. 30 ARTICLE XXIV INSPECTION OF WORK ............................................................................................ 30 ARTICLE XXV SAFETY ...................................................................................................................... 30 ARTICLE XXVI OWNERSHIP OF DATA ............................................................................................. 31 ARTICLE XXVII CLAIMS FILED BY LOCAL AGENCY’s CONSTRUCTION CONTRACTOR .............. 31 ARTICLE XXVIII CONFIDENTIALITY OF DATA .................................................................................. 32 ARTICLE XXIX NATIONAL LABOR RELATIONS BOARD CERTIFICATION ..................................... 32 ARTICLE XXX EVALUATION OF CONSULTANT ............................................................................... 33 ARTICLE XXXI PROMPT PAYMENT .................................................................................................. 33 ARTICLE XXXII TITLE VI ASSURANCES ........................................................................................... 33 ARTICLE XXXIII NOTIFICATION ......................................................................................................... 38 ARTICLE XXXIV CONTRACT ............................................................................................................. 38 ARTICLE XXXV SIGNATURES ........................................................................................................... 39 Additional California Department of Transportation (Caltrans) Exhibits Incorporated:

Exhibit 10-O2 “Consultant Contract Disadvantaged Business Enterprise Commitment” EXHIBIT 1 Page 40 of 66
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Local Assistance Procedures Manual Exhibit 10-R
A&E Boilerplate Agreement Language

May 2023

ARTICLE I INTRODUCTION
A. This AGREEMENT is between the following named, hereinafter referred to as, CONSULTANT and the following named, hereinafter referred to as, LOCAL AGENCY:

The name of the “CONSULTANT” is as follows:

W-TRANS
Incorporated in the State of California
The Project Manager for the “CONSULTANT” will be

ATUL PATEL
The name of the “LOCAL AGENCY” is as follows:

CITY OF STOCKTON
The Contract Administrator for LOCAL AGENCY will be SAID BILAL HOUSEYNI.

B. The work to be performed under this AGREEMENT is described in Article III Statement of Work and the approved CONSULTANT’s Cost Proposal dated November 21, 2024. The approved CONSULTANT’s Cost Proposal is attached hereto Exhibit B and incorporated by reference. If there is any conflict between the approved Cost Proposal and this AGREEMENT, this AGREEMENT shall take precedence.

C. CONSULTANT agrees to the fullest extent permitted by law, to indemnify, protect, defend, and hold harmless LOCAL AGENCY, its officers, officials, agents, employees and volunteers from and against any and all claims, damages, demands, liability, costs, losses and expenses, including without limitation, court costs and reasonable attorneys’ and expert witness fees, arising out of any failure to comply with applicable law, any injury to or death of any person(s), damage to property, loss of use of property, economic loss or otherwise arising out of the performance of the work described herein, to the extent caused by a negligent act or negligent failure to act, errors, omissions, recklessness or willful misconduct incident to the performance of this AGREEMENT on the part of CONSULTANT, except such loss or damage which was caused by the sole negligence, or willful misconduct of LOCAL AGENCY, as determined by a Court of competent jurisdiction. The provisions of this section shall survive termination or suspension of this AGREEMENT.

D. CONSULTANT in the performance of this AGREEMENT, shall act in an independent capacity. It is understood and agreed that CONSULTANT (including CONSULTANT's employees) is an independent contractor and that no relationship of employer-employee exists between the Parties hereto. CONSULTANT's assigned personnel shall not be entitled to any benefits payable to employees of City.

E. LOCAL AGENCY is not required to make any deductions or withholdings from the compensation payable to CONSULTANT under the provisions of the AGREEMENT and is not required to issue W-2 Forms for income and employment tax purposes for any of CONSULTANT's assigned personnel. CONSULTANT, in the performance of its obligation hereunder, is only subject to the control or direction of the LOCAL AGENCY as to the designation of tasks to be performed and the results to be accomplished.

F. Any third-party person(s) employed by CONSULTANT shall be entirely and exclusively under the direction, supervision, and control of CONSULTANT. CONSULTANT hereby indemnifies and holds LOCAL AGENCY harmless from any and all claims that may be made against City based upon any contention by any third party that an employer-employee relationship exists by reason of this AGREEMENT.

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Local Assistance Procedures Manual Exhibit 10-R
A&E Boilerplate Agreement Language

May 2023
G. Except as expressly authorized herein, CONSULTANT's obligations under this AGREEMENT are not assignable or transferable, and CONSULTANT shall not subcontract any work, without the prior written approval of the LOCAL AGENCY. However, claims for money due or which become due to CONSULTANT from City under this AGREEMENT may be assigned to a financial institution or to a trustee in bankruptcy, without such approval. Notice of any assignment or transfer whether voluntary or involuntary shall be furnished promptly to the LOCAL AGENCY.

H. CONSULTANT shall be as fully responsible to the LOCAL AGENCY for the negligent acts and omissions of its contractors and subcontractors or subconsultants, and of persons either directly or indirectly employed by them, in the same manner as persons directly employed by CONSULTANT.

I. No alteration or variation of the terms of this AGREEMENT shall be valid, unless made in writing and signed by the parties authorized to bind the parties; and no oral understanding or agreement not incorporated herein, shall be binding on any of the parties hereto.

J. The consideration to be paid to CONSULTANT as provided herein, shall be in compensation for all of CONSULTANT’s expenses incurred in the performance hereof, including travel and per diem, unless otherwise expressly so provided.

ARTICLE II CONSULTANT’S REPORTS OR MEETINGS
A. CONSULTANT shall submit progress reports at least once a month. The report should be sufficiently detailed for the LOCAL AGENCY’s Contract Administrator to determine, if CONSULTANT is performing to expectations, or is on schedule; to provide communication of interim findings, and to sufficiently address any difficulties or special problems encountered, so remedies can be developed.

B. CONSULTANT’s Project Manager shall meet with LOCAL AGENCY’s Contract Administrator, as needed, to discuss progress on the AGREEMENT.

ARTICLE III STATEMENT OF WORK
[Insert Appropriate Statement of work including a Description of the Deliverables in the following sections. If a section does not apply to the AGREEMENT, state “Not Applicable to this AGREEMENT.”] A. CONSULTANT Services
See Exhibit “A”, Scope of Services of the Professional Services Contract.

B. Right of Way
See Exhibit “A”, Scope of Services of the Professional Services Contract.

C. Surveys
See Exhibit “A”, Scope of Services of the Professional Services Contract.

D. Subsurface Investigations
See Exhibit “A”, Scope of Services of the Professional Services Contract.

E. Local Agency Obligations
All data applicable to the project and in possession of LOCAL AGENCY, another agency, or government agency that are to be made available to CONSULTANT are referred to in the AGREEMENT. Any other assistance or services to be furnished to CONSULTANT are to be stated clearly.

F. Conferences, Site Visits, Inspection of Work
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This AGREEMENT provides for conferences as needed, visits to the site, and inspection of the work by representatives of the LOCAL AGENCY, State, and/or FHWA. Costs incurred by CONSULTANT for meetings, subsequent to the initial meeting shall be included in the fee.

ARTICLE IV PERFORMANCE PERIOD

ARTICLE V ALLOWABLE COSTS AND PAYMENTS
A. The method of payment for this AGREEMENT will be based on actual cost plus a fixed fee. LOCAL AGENCY will reimburse CONSULTANT for actual costs (including labor costs, employee benefits, travel, equipment rental costs, overhead and other direct costs) incurred by CONSULTANT in performance of the work. CONSULTANT will not be reimbursed for actual costs that exceed the estimated wage rates, employee benefits, travel, equipment rental, overhead, and other estimated costs set forth in the approved CONSULTANT’S Cost Proposal, unless additional reimbursement is provided for by AGREEMENT amendment. In no event, will CONSULTANT be reimbursed for overhead costs at a rate that exceeds LOCAL AGENCY’s approved overhead rate set forth in the Cost Proposal. In the event, that LOCAL AGENCY determines that a change to the work from that specified in the Cost Proposal and AGREEMENT is required, the AGREEMENT time or actual costs reimbursable by LOCAL AGENCY shall be adjusted by AGREEMENT amendment to accommodate the changed work. The maximum total cost as specified in Paragraph “I” of this Article shall not be exceeded, unless authorized by AGREEMENT amendment.

B. The indirect cost rate established for this AGREEMENT is extended through the duration of this specific AGREEMENT. CONSULTANT’s agreement to the extension of the 1-year applicable period shall not be a condition or qualification to be considered for the work or AGREEMENT award.

G. Checking Shop Drawings
[For AGREEMENTs requiring the preparation of construction drawings, make provision for checking shop drawings. Payment for checking shop drawings by CONSULTANT may be included in the AGREEMENT fee, or provision may be made for separate payment.] H. CONSULTANT Services During Construction
The extent, if any of CONSULTANT’s services during the course of construction as material testing, construction surveys. etc., are specified in the AGREEMENT together with the method of payment for such services.

I. Documentation and Schedules
AGREEMENTs where appropriate, shall provide that CONSULTANT document the results of the work to the satisfaction of LOCAL AGENCY, and if applicable, the State and FHWA. This may include preparation of progress and final reports, plans, specifications and estimates, or similar evidence of attainment of the AGREEMENT objectives.

J. Deliverables and Number of Copies
The number of copies or documents to be furnished, such as reports, brochures, sets of plans, specifications, or Right of Way parcel maps shall be specified. Provision may be made for payment for additional copies.

A. This AGREEMENT shall go into effect on APRIL 1, 2025, contingent upon approval by LOCAL AGENCY, and CONSULTANT shall commence work after notification to proceed by LOCAL AGENCY’S Contract Administrator. The AGREEMENT shall end on DECEMBER 31, 2027, unless extended by AGREEMENT amendment.

B. CONSULTANT is advised that any recommendation for AGREEMENT award is not binding on LOCAL AGENCY until the AGREEMENT is fully executed and approved by LOCAL AGENCY.

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C. In addition to the allowable incurred costs, LOCAL AGENCY will pay CONSULTANT a fixed fee of $308,586.24. The fixed fee is nonadjustable for the term of the AGREEMENT, except in the event of a significant change in the scope of work and such adjustment is made by AGREEMENT amendment.

D. Reimbursement for transportation and subsistence costs shall not exceed the rates specified in the approved Cost Proposal.

E. When milestone cost estimates are included in the approved Cost Proposal, CONSULTANT shall obtain prior written approval for a revised milestone cost estimate from the Contract Administrator before exceeding such cost estimate.

F. Progress payments will be made monthly in arrears based on services provided and allowable incurred costs. A pro rata portion of CONSULTANT’s fixed fee will be included in the monthly progress payments. If CONSULTANT fails to submit the required deliverable items according to the schedule set forth in Article III Statement of Work, LOCAL AGENCY shall have the right to delay payment or terminate this AGREEMENT.

G. No payment will be made prior to approval of any work, nor for any work performed prior to approval of this AGREEMENT.

H. CONSULTANT will be reimbursed promptly according to California Regulations upon receipt by LOCAL AGENCY’s Contract Administrator of itemized invoices in duplicate. Invoices shall be submitted no later than thirty (30) calendar days after the performance of work for which CONSULTANT is billing. Invoices shall detail the work performed on each milestone and each project as applicable. Invoices shall follow the format stipulated for the approved Cost Proposal and shall reference this AGREEMENT number and project title. Final invoice must contain the final cost and all credits due LOCAL AGENCY including any equipment purchased under the provisions of Article XI Equipment Purchase. The final invoice should be submitted within sixty (60) calendar days after completion of CONSULTANT’s work. Invoices shall be mailed to LOCAL AGENCY’s Contract Administrator at the following address:

CITY OF STOCKTON PUBLIC WORKS DEPARTMENT
22 EAST WEBER AVENUE, ROOM 301
STOCKTON, CA 95202
I. The total amount payable by LOCAL AGENCY including the fixed fee shall not exceed $308,586.24.

J. For personnel subject to prevailing wage rates as described in the California Labor Code, all salary increases, which are the direct result of changes in the prevailing wage rates are reimbursable.

ARTICLE VI TERMINATION
A. This AGREEMENT may be terminated by LOCAL AGENCY, provided that LOCAL AGENCY gives not less than thirty (30) calendar days’ written notice (delivered by certified mail, return receipt requested) of intent to terminate. Upon termination, LOCAL AGENCY shall be entitled to all work, including but not limited to, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not.

B. LOCAL AGENCY may temporarily suspend this AGREEMENT, at no additional cost to LOCAL AGENCY, provided that CONSULTANT is given written notice (delivered by certified mail, return receipt requested) of temporary suspension. If LOCAL AGENCY gives such notice of temporary suspension, CONSULTANT shall immediately suspend its activities under this AGREEMENT. A EXHIBIT 1

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temporary suspension may be issued concurrent with the notice of termination.

C. Notwithstanding any provisions of this AGREEMENT, CONSULTANT shall not be relieved of liability to LOCAL AGENCY for damages sustained by City by virtue of any breach of this AGREEMENT by CONSULTANT, and City may withhold any payments due to CONSULTANT until such time as the exact amount of damages, if any, due City from CONSULTANT is determined.

D. In the event of termination, CONSULTANT shall be compensated as provided for in this AGREEMENT. Upon termination, LOCAL AGENCY shall be entitled to all work, including but not limited to, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not.

ARTICLE VII COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS A. The CONSULTANT agrees that 48 CFR 31, Contract Cost Principles and Procedures, shall be used to determine the allowability of individual terms of cost.

B. The CONSULTANT also agrees to comply with Federal procedures in accordance with 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.

C. Any costs for which payment has been made to the CONSULTANT that are determined by subsequent audit to be unallowable under 48 CFR 31 or 2 CFR 200 are subject to repayment by the CONSULTANT to LOCAL AGENCY.

D. When a CONSULTANT or Subconsultant is a Non-Profit Organization or an Institution of Higher Education, the Cost Principles for Title 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards shall apply.

ARTICLE VIII RETENTION OF RECORD/AUDITS
For the purpose of determining compliance with Gov. Code § 8546.7, the CONSULTANT, Subconsultants, and LOCAL AGENCY shall maintain all books, documents, papers, accounting records, Independent CPA Audited Indirect Cost Rate workpapers, and other evidence pertaining to the performance of the AGREEMENT including, but not limited to, the costs of administering the AGREEMENT. All parties, including the CONSULTANT’s Independent CPA, shall make such workpapers and materials available at their respective offices at all reasonable times during the AGREEMENT period and for three (3) years from the date of final payment under the AGREEMENT and records for real property and equipment acquired with federal funds must be retained for three (3) years after final disposition. LOCAL AGENCY, Caltrans Auditor, FHWA, or any duly authorized representative of the Federal government having jurisdiction under Federal laws or regulations (including the basis of Federal funding in whole or in part) shall have access to any books, records, and documents of the CONSULTANT, Subconsultants, and the CONSULTANT’s Independent CPA, that are pertinent to the AGREEMENT for audits, examinations, workpaper review, excerpts, and transactions, and copies thereof shall be furnished if requested without limitation.

ARTICLE IX AUDIT REVIEW PROCEDURES
A. Any dispute concerning a question of fact arising under an interim or post audit of this AGREEMENT that is not disposed of by AGREEMENT, shall be reviewed by LOCAL AGENCY’S Chief Financial Officer.

B. Not later than thirty (30) calendar days after issuance of the final audit report, CONSULTANT may request a review by LOCAL AGENCY’S Chief Financial Officer of unresolved audit issues. The request for review will be submitted in writing.

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C. Neither the pendency of a dispute nor its consideration by LOCAL AGENCY will excuse CONSULTANT from full and timely performance, in accordance with the terms of this AGREEMENT.

D. CONSULTANT and subconsultant AGREEMENTs, including cost proposals and Indirect Cost Rates (ICR), may be subject to audits or reviews such as, but not limited to, an AGREEMENT audit, an incurred cost audit, an ICR Audit, or a CPA ICR audit work paper review. If selected for audit or review, the AGREEMENT, cost proposal and ICR and related work papers, if applicable, will be reviewed to verify compliance with 48 CFR 31 and other related laws and regulations. In the instances of a CPA ICR audit work paper review it is CONSULTANT’s responsibility to ensure federal, LOCAL AGENCY, or local government officials are allowed full access to the CPA’s work papers including making copies as necessary. The AGREEMENT, cost proposal, and ICR shall be adjusted by CONSULTANT and approved by LOCAL AGENCY Contract Administrator to conform to the audit or review recommendations. CONSULTANT agrees that individual terms of costs identified in the audit report shall be incorporated into the AGREEMENT by this reference if directed by LOCAL AGENCY at its sole discretion. Refusal by CONSULTANT to incorporate audit or review recommendations, or to ensure that the federal, LOCAL AGENCY or local governments have access to CPA work papers, will be considered a breach of AGREEMENT terms and cause for termination of the AGREEMENT and disallowance of prior reimbursed costs.

E. CONSULTANT’s Cost Proposal may be subject to a CPA ICR Audit Work Paper Review and/or audit by the Independent Office of Audits and Investigations (IOAI). IOAI, at its sole discretion, may review and/or audit and approve the CPA ICR documentation. The Cost Proposal shall be adjusted by the CONSULTANT and approved by the LOCAL AGENCY Contract Administrator to conform to the Work Paper Review recommendations included in the management letter or audit recommendations included in the audit report. Refusal by the CONSULTANT to incorporate the Work Paper Review recommendations included in the management letter or audit recommendations included in the audit report will be considered a breach of the AGREEMENT terms and cause for termination of the AGREEMENT and disallowance of prior reimbursed costs.

1. During IOAI’s review of the ICR audit work papers created by the CONSULTANT’s independent CPA, IOAI will work with the CPA and/or CONSULTANT toward a resolution of issues that arise during the review. Each party agrees to use its best efforts to resolve any audit disputes in a timely manner. If IOAI identifies significant issues during the review and is unable to issue a cognizant approval letter, LOCAL AGENCY will reimburse the CONSULTANT at an accepted ICR until a FAR (Federal Acquisition Regulation) compliant ICR (e.g. 48 CFR Part 31; GAGAS (Generally Accepted Auditing Standards); CAS (Cost Accounting Standards), if applicable; in accordance with procedures and guidelines of the American Association of State Highways and Transportation Officials (AASHTO) Audit Guide; and other applicable procedures and guidelines) is received and approved by IOAI.

Accepted rates will be as follows:
a. If the proposed rate is less than one hundred fifty percent (150%) - the accepted rate reimbursed will be ninety percent (90%) of the proposed rate. b. If the proposed rate is between one hundred fifty percent (150%) and two hundred percent (200%) - the accepted rate will be eighty-five percent (85%) of the proposed rate.
c. If the proposed rate is greater than two hundred percent (200%) - the accepted rate will be seventy-five percent (75%) of the proposed rate.

2. If IOAI is unable to issue a cognizant letter per paragraph E.1. above, IOAI may require EXHIBIT 1

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CONSULTANT to submit a revised independent CPA-audited ICR and audit report within three (3) months of the effective date of the management letter. IOAI will then have up to six (6) months to review the CONSULTANT’s and/or the independent CPA’s revisions.

3. If the CONSULTANT fails to comply with the provisions of this paragraph E, or if IOAI is still unable to issue a cognizant approval letter after the revised independent CPA audited ICR is submitted, overhead cost reimbursement will be limited to the accepted ICR that was established upon initial rejection of the ICR and set forth in paragraph E.1. above for all rendered services. In this event, this accepted ICR will become the actual and final ICR for reimbursement purposes under this AGREEMENT.

4. CONSULTANT may submit to LOCAL AGENCY final invoice only when all of the following items have occurred: (1) IOAI accepts or adjusts the original or revised independent CPA audited ICR; (2) all work under this AGREEMENT has been completed to the satisfaction of LOCAL AGENCY; and, (3) IOAI has issued its final ICR review letter. The CONSULTANT MUST SUBMIT ITS FINAL INVOICE TO LOCAL AGENCY no later than sixty (60) calendar days after occurrence of the last of these items. The accepted ICR will apply to this AGREEMENT and all other agreements executed between LOCAL AGENCY and the CONSULTANT, either as a prime or subconsultant, with the same fiscal period ICR.

ARTICLE X SUBCONTRACTING
A. Nothing contained in this AGREEMENT or otherwise, shall create any contractual relation between the LOCAL AGENCY and any Subconsultants, and no sub agreement shall relieve the CONSULTANT of its responsibilities and obligations hereunder. The CONSULTANT agrees to be as fully responsible to the LOCAL AGENCY for the acts and omissions of its Subconsultants and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the CONSULTANT. The CONSULTANT's obligation to pay its Subconsultants is an independent obligation from the LOCAL AGENCY's obligation to make payments to the CONSULTANT.

B. The CONSULTANT shall perform the work contemplated with resources available within its own organization and no portion of the work shall be subcontracted without written authorization by the LOCAL AGENCY Contract Administrator, except that which is expressly identified in the CONSULTANT’s approved Cost Proposal.

C. Any sub agreement entered into as a result of this AGREEMENT, shall contain all the provisions stipulated in this entire AGREEMENT to be applicable to Subconsultants unless otherwise noted.

D. CONSULTANT shall pay its Subconsultants within Fifteen (15) calendar days from receipt of each payment made to the CONSULTANT by the LOCAL AGENCY.

E. Any substitution of Subconsultants must be approved in writing by the LOCAL AGENCY Contract Administrator in advance of assigning work to a substitute Subconsultant.

F. Prompt Progress Payment
CONSULTANT or subconsultant shall pay to any subconsultant, not later than fifteen (15) days after receipt of each progress payment, unless otherwise agreed to in writing, the respective amounts allowed CONSULTANT on account of the work performed by the subconsultants, to the extent of each subconsultant’s interest therein. In the event that there is a good faith dispute over all or any portion of the amount due on a progress payment from CONSULTANT or subconsultant to a subconsultant, CONSULTANT or subconsultant may withhold no more than 150 percent of the disputed amount. Any violation of this requirement shall constitute a cause for disciplinary action and shall subject the licensee to a penalty, payable to the subconsultant, of 2 percent of the amount EXHIBIT 1

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due per month for every month that payment is not made.

In any action for the collection of funds wrongfully withheld, the prevailing party shall be entitled to his or her attorney’s fees and costs. The sanctions authorized under this requirement shall be separate from, and in addition to, all other remedies, either civil, administrative, or criminal. This clause applies to both DBE and non-DBE subconsultants.

G. Prompt Payment of Withheld Funds to Subconsultants
The LOCAL AGENCY may hold retainage from CONSULTANT and shall make prompt and regular incremental acceptances of portions, as determined by the LOCAL AGENCY, of the contract work, and pay retainage to CONSULTANT based on these acceptances. The LOCAL AGENCY shall designate one of the methods below in the contract to ensure prompt and full payment of any retainage kept by CONSULTANT or subconsultant to a subconsultant.

The LOCAL AGENCY shall hold retainage from CONSULTANT and shall make prompt and regular incremental acceptances of portions, as determined by the LOCAL AGENCY of the contract work and pay retainage to CONSULTANT based on these acceptances. CONSULTANT or subconsultant shall return all monies withheld in retention from all subconsultants within 15 days after receiving payment for work satisfactorily completed and accepted including incremental acceptances of portions of the contract work by the LOCAL AGENCY. Any delay or postponement of payment may take place only for good cause and with the LOCAL AGENCY’s prior written approval. Any violation of these provisions shall subject the violating CONSULTANT or subconsultant to the penalties, sanctions, and other remedies specified in Section 3321 of the California Civil Code. This requirement shall not be construed to limit or impair any contractual, administrative or judicial remedies otherwise available to CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment by CONSULTANT; deficient subconsultant performance and/or noncompliance by a subconsultant. This clause applies to both DBE and nonDBE subconsultants.

Any violation of these provisions shall subject the violating CONSULTANT or subconsultant to the penalties, sanctions and other remedies specified therein. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment by CONSULTANT, deficient subcontract performance, or noncompliance by a subconsultant.

ARTICLE XI EQUIPMENT PURCHASE AND OTHER CAPITAL EXPENDITURES A. Prior authorization in writing by LOCAL AGENCY’s Contract Administrator shall be required before CONSULTANT enters into any unbudgeted purchase order, or subcontract exceeding five thousand dollars ($5,000) for supplies, equipment, or CONSULTANT services. CONSULTANT shall provide an evaluation of the necessity or desirability of incurring such costs.

B. For purchase of any item, service, or consulting work not covered in CONSULTANT’s approved Cost Proposal and exceeding five thousand dollars ($5,000), with prior authorization by LOCAL AGENCY’s Contract Administrator, three competitive quotations must be submitted with the request, or the absence of proposal must be adequately justified.

C. Any equipment purchased with funds provided under the terms of this AGREEMENT is subject to the following:

1. CONSULTANT shall maintain an inventory of all nonexpendable property. Nonexpendable property is defined as having a useful life of at least two years and an acquisition cost of five thousand dollars ($5,000) or more. If the purchased equipment needs replacement and is sold or traded in, LOCAL AGENCY shall receive a proper refund or credit at the conclusion of the AGREEMENT, or if the AGREEMENT is terminated, CONSULTANT may either keep the EXHIBIT 1 Page 48 of 66
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equipment and credit LOCAL AGENCY in an amount equal to its fair market value, or sell such equipment at the best price obtainable at a public or private sale, in accordance with established LOCAL AGENCY procedures; and credit LOCAL AGENCY in an amount equal to the sales price. If CONSULTANT elects to keep the equipment, fair market value shall be determined at CONSULTANT’s expense, on the basis of a competent independent appraisal of such equipment. Appraisals shall be obtained from an appraiser mutually agreeable to by LOCAL AGENCY and CONSULTANT, if it is determined to sell the equipment, the terms and conditions of such sale must be approved in advance by LOCAL AGENCY.

2. Regulation 2 CFR 200 requires a credit to Federal funds when participating equipment with a fair market value greater than five thousand dollars ($5,000) is credited to the project.

ARTICLE XII STATE PREVAILING WAGE RATES
A. No CONSULTANT or Subconsultant may be awarded an AGREEMENT containing public work elements unless registered with the Department of Industrial Relations (DIR) pursuant to Labor Code §1725.5. Registration with DIR must be maintained throughout the entire term of this AGREEMENT, including any subsequent amendments.

B. The CONSULTANT shall comply with all of the applicable provisions of the California Labor Code requiring the payment of prevailing wages. The General Prevailing Wage Rate Determinations applicable to work under this AGREEMENT are available and on file with the Department of Transportation's Regional/District Labor Compliance Officer (https://dot.ca.gov/programs/construction/labor-compliance). These wage rates are made a specific part of this AGREEMENT by reference pursuant to Labor Code §1773.2 and will be applicable to work performed at a construction project site. Prevailing wages will be applicable to all inspection work performed at LOCAL AGENCY construction sites, at LOCAL AGENCY facilities and at off-site locations that are set up by the construction contractor or one of its subcontractors solely and specifically to serve LOCAL AGENCY projects. Prevailing wage requirements do not apply to inspection work performed at the facilities of vendors and commercial materials suppliers that provide goods and services to the general public.

C. General Prevailing Wage Rate Determinations applicable to this project may also be obtained from the Department of Industrial Relations website at http://www.dir.ca.gov. D. Payroll Records

1. Each CONSULTANT and Subconsultant shall keep accurate certified payroll records and supporting documents as mandated by Labor Code §1776 and as defined in 8 CCR §16000 showing the name, address, social security number, work classification, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker, or other employee employed by the CONSULTANT or Subconsultant in connection with the public work. Each payroll record shall contain or be verified by a written declaration that it is made under penalty of perjury, stating both of the following:
a. The information contained in the payroll record is true and correct. b. The employer has complied with the requirements of Labor Code §1771, §1811, and §1815 for any work performed by his or her employees on the public works project.

2. The payroll records enumerated under paragraph (1) above shall be certified as correct by the CONSULTANT under penalty of perjury. The payroll records and all supporting documents shall be made available for inspection and copying by LOCAL AGENCY representatives at all reasonable hours at the principal office of the CONSULTANT. The CONSULTANT shall provide copies of certified payrolls or permit inspection of its records as follows:

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a. A certified copy of an employee's payroll record shall be made available for inspection or furnished to the employee or the employee's authorized representative on request. b. A certified copy of all payroll records enumerated in paragraph (1) above, shall be made available for inspection or furnished upon request to a representative of LOCAL AGENCY, the Division of Labor Standards Enforcement and the Division of Apprenticeship Standards of the Department of Industrial Relations. Certified payrolls submitted to LOCAL AGENCY, the Division of Labor Standards Enforcement and the Division of Apprenticeship Standards shall not be altered or obliterated by the CONSULTANT.
c. The public shall not be given access to certified payroll records by the CONSULTANT.

The CONSULTANT is required to forward any requests for certified payrolls to the LOCAL AGENCY Contract Administrator by both email and regular mail on the business day following receipt of the request.

3. Each CONSULTANT shall submit a certified copy of the records enumerated in paragraph (1) above, to the entity that requested the records within ten (10) calendar days after receipt of a written request.

4. Any copy of records made available for inspection as copies and furnished upon request to the public or any public agency by LOCAL AGENCY shall be marked or obliterated in such a manner as to prevent disclosure of each individual's name, address, and social security number. The name and address of the CONSULTANT or Subconsultant performing the work shall not be marked or obliterated.

5. The CONSULTANT shall inform LOCAL AGENCY of the location of the records enumerated under paragraph (1) above, including the street address, city and county, and shall, within five (5) working days, provide a notice of a change of location and address.

6. The CONSULTANT or Subconsultant shall have ten (10) calendar days in which to comply subsequent to receipt of written notice requesting the records enumerated in paragraph (1) above. In the event the CONSULTANT or Subconsultant fails to comply within the ten (10) day period, he or she shall, as a penalty to LOCAL AGENCY, forfeit one hundred dollars ($100) for each calendar day, or portion thereof, for each worker, until strict compliance is effectuated.

Such penalties shall be withheld by LOCAL AGENCY from payments then due. CONSULTANT is not subject to a penalty assessment pursuant to this section due to the failure of a Subconsultant to comply with this section.

E. When prevailing wage rates apply, the CONSULTANT is responsible for verifying compliance with certified payroll requirements. Invoice payment will not be made until the invoice is approved by the LOCAL AGENCY Contract Administrator.

F. Penalty

1. The CONSULTANT and any of its Subconsultants shall comply with Labor Code §1774 and §1775. Pursuant to Labor Code §1775, the CONSULTANT and any Subconsultant shall forfeit to the LOCAL AGENCY a penalty of not more than two hundred dollars ($200) for each calendar day, or portion thereof, for each worker paid less than the prevailing rates as determined by the Director of DIR for the work or craft in which the worker is employed for any public work done under the AGREEMENT by the CONSULTANT or by its Subconsultant in violation of the requirements of the Labor Code and in particular, Labor Code §§1770 to 1780, inclusive.

2. The amount of this forfeiture shall be determined by the Labor Commissioner and shall be based on consideration of mistake, inadvertence, or neglect of the CONSULTANT or Subconsultant in failing to pay the correct rate of prevailing wages, or the previous record of the EXHIBIT 1

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CONSULTANT or Subconsultant in meeting their respective prevailing wage obligations, or the willful failure by the CONSULTANT or Subconsultant to pay the correct rates of prevailing wages. A mistake, inadvertence, or neglect in failing to pay the correct rates of prevailing wages is not excusable if the CONSULTANT or Subconsultant had knowledge of the obligations under the Labor Code. The CONSULTANT is responsible for paying the appropriate rate, including any escalations that take place during the term of the AGREEMENT.

3. In addition to the penalty and pursuant to Labor Code §1775, the difference between the prevailing wage rates and the amount paid to each worker for each calendar day or portion thereof for which each worker was paid less than the prevailing wage rate shall be paid to each worker by the CONSULTANT or Subconsultant.

4. If a worker employed by a Subconsultant on a public works project is not paid the general prevailing per diem wages by the Subconsultant, the CONSULTANT of the project is not liable for the penalties described above unless the CONSULTANT had knowledge of that failure of the Subconsultant to pay the specified prevailing rate of wages to those workers or unless the CONSULTANT fails to comply with all of the following requirements:
a. The AGREEMENT executed between the CONSULTANT and the Subconsultant for the performance of work on public works projects shall include a copy of the requirements in Labor Code §§ 1771, 1775, 1776, 1777.5, 1813, and 1815. b. The CONSULTANT shall monitor the payment of the specified general prevailing rate of per diem wages by the Subconsultant to the employees by periodic review of the certified payroll records of the Subconsultant.
c. Upon becoming aware of the Subconsultant’s failure to pay the specified prevailing rate of wages to the Subconsultant’s workers, the CONSULTANT shall diligently take corrective action to halt or rectify the failure, including but not limited to, retaining sufficient funds due the Subconsultant for work performed on the public works project. d. Prior to making final payment to the Subconsultant for work performed on the public works project, the CONSULTANT shall obtain an affidavit signed under penalty of perjury from the Subconsultant that the Subconsultant had paid the specified general prevailing rate of per diem wages to the Subconsultant’s employees on the public works project and any amounts due pursuant to Labor Code §1813.

5. Pursuant to Labor Code §1775, LOCAL AGENCY shall notify the CONSULTANT on a public works project within fifteen (15) calendar days of receipt of a complaint that a Subconsultant has failed to pay workers the general prevailing rate of per diem wages.

6. If LOCAL AGENCY determines that employees of a Subconsultant were not paid the general prevailing rate of per diem wages and if LOCAL AGENCY did not retain sufficient money under the AGREEMENT to pay those employees the balance of wages owed under the general prevailing rate of per diem wages, the CONSULTANT shall withhold an amount of moneys due the Subconsultant sufficient to pay those employees the general prevailing rate of per diem wages if requested by LOCAL AGENCY.

G. Hours of Labor
Eight (8) hours labor constitutes a legal day's work. The CONSULTANT shall forfeit, as a penalty to the LOCAL AGENCY, twenty-five dollars ($25) for each worker employed in the execution of the AGREEMENT by the CONSULTANT or any of its Subconsultants for each calendar day during which such worker is required or permitted to work more than eight (8) hours in any one calendar day and forty (40) hours in any one calendar week in violation of the provisions of the Labor Code, and in particular §§1810 to 1815 thereof, inclusive, except that work performed by employees in excess of eight (8) hours per day, and forty (40) hours during any one week, shall be permitted EXHIBIT 1

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upon compensation for all hours worked in excess of eight (8) hours per day and forty (40) hours in any week, at not less than one and one-half (1.5) times the basic rate of pay, as provided in §1815.

H. Employment of Apprentices

1. Where either the prime AGREEMENT or the sub agreement exceeds thirty thousand dollars ($30,000), the CONSULTANT and any subconsultants under him or her shall comply with all applicable requirements of Labor Code §§ 1777.5, 1777.6 and 1777.7 in the employment of apprentices.

2. CONSULTANTs and subconsultants are required to comply with all Labor Code requirements regarding the employment of apprentices, including mandatory ratios of journey level to apprentice workers. Prior to commencement of work, CONSULTANT and subconsultants are advised to contact the DIR Division of Apprenticeship Standards website at https://www.dir.ca.gov/das/, for additional information regarding the employment of apprentices and for the specific journey-to- apprentice ratios for the AGREEMENT work. The CONSULTANT is responsible for all subconsultants’ compliance with these requirements.

Penalties are specified in Labor Code §1777.7.

ARTICLE XIII CONFLICT OF INTEREST
A. During the term of this AGREEMENT, the CONSULTANT shall disclose any financial, business, or other relationship with LOCAL AGENCY that may have an impact upon the outcome of this AGREEMENT or any ensuing LOCAL AGENCY construction project. The CONSULTANT shall also list current clients who may have a financial interest in the outcome of this AGREEMENT or any ensuing LOCAL AGENCY construction project which will follow.

B. CONSULTANT certifies that it has disclosed to LOCAL AGENCY any actual, apparent, or potential conflicts of interest that may exist relative to the services to be provided pursuant to this AGREEMENT. CONSULTANT agrees to advise LOCAL AGENCY of any actual, apparent or potential conflicts of interest that may develop subsequent to the date of execution of this AGREEMENT. CONSULTANT further agrees to complete any statements of economic interest if required by either LOCAL AGENCY ordinance or State law.

C. The CONSULTANT hereby certifies that it does not now have, nor shall it acquire any financial or business interest that would conflict with the performance of services under this AGREEMENT.

D. The CONSULTANT hereby certifies that the CONSULTANT or subconsultant and any firm affiliated with the CONSULTANT or subconsultant that bids on any construction contract or on any Agreement to provide construction inspection for any construction project resulting from this AGREEMENT, has established necessary controls to ensure a conflict of interest does not exist. An affiliated firm is one, which is subject to the control of the same persons, through joint ownership or otherwise.

ARTICLE XIV REBATES, KICKBACKS OR OTHER UNLAWFUL CONSIDERATION The CONSULTANT warrants that this AGREEMENT was not obtained or secured through rebates, kickbacks or other unlawful consideration either promised or paid to any LOCAL AGENCY employee.

For breach or violation of this warranty, LOCAL AGENCY shall have the right, in its discretion, to terminate this AGREEMENT without liability, to pay only for the value of the work actually performed, or to deduct from this AGREEMENT price or otherwise recover the full amount of such rebate, kickback or other unlawful consideration.

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ARTICLE XV PROHIBITION OF EXPENDING LOCAL AGENCY, STATE, OR FEDERAL FUNDS

FOR LOBBYING
A. The CONSULTANT certifies, to the best of his or her knowledge and belief, that:

1. No State, Federal, or LOCAL AGENCY appropriated funds have been paid or will be paid, by or on behalf of the CONSULTANT, to any person for influencing or attempting to influence an officer or employee of any local, State, or Federal agency, a Member of the State Legislature or United States Congress, an officer or employee of the Legislature or Congress, or any employee of a Member of the Legislature or Congress in connection with the awarding or making of this AGREEMENT, or with the extension, continuation, renewal, amendment, or modification of this AGREEMENT.

2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this AGREEMENT, the CONSULTANT shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

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

C. The CONSULTANT also agrees by signing this document that he or she shall require that the language of this certification be included in all lower tier sub agreements, which exceed one hundred thousand dollars ($100,000), and that all such subrecipients shall certify and disclose accordingly.

ARTICLE XVI NON-DISCRIMINATION CLAUSE AND STATEMENT OF COMPLIANCE A. The CONSULTANT’s signature affixed herein and dated shall constitute a certification under penalty of perjury under the laws of the State of California that the CONSULTANT has, unless exempt, complied with the nondiscrimination program requirements of Gov. Code §12990 and 2 CCR § 8103.

B. During the performance of this AGREEMENT, CONSULTANT and its subconsultants shall not deny the AGREEMENT’s benefits to any person on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status, nor shall they unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status. CONSULTANT and subconsultants shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment.

CONSULTANT and subconsultants shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12990 et seq.), the applicable regulations promulgated there under (2 CCR §11000 et seq.), the provisions of Gov. Code §§11135-11139.5, and the regulations or standards adopted by LOCAL AGENCY to implement such article. The applicable regulations of the Fair Employment and Housing Commission implementing Gov. Code §12990 (a-f), set forth 2 CCR §§8100-8504, are incorporated into this AGREEMENT by reference and made a part EXHIBIT 1

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hereof as if set forth in full.

C. CONSULTANT shall permit access by representatives of the Department of Fair Employment and Housing and the LOCAL AGENCY upon reasonable notice at any time during the normal business hours, but in no case less than twenty-four (24) hours’ notice, to such of its books, records, accounts, and all other sources of information and its facilities as said Department or LOCAL AGENCY shall require to ascertain compliance with this clause.

D. CONSULTANT and its subconsultants shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement.

E. CONSULTANT shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under this AGREEMENT.

F. The CONSULTANT, with regard to the work performed under this AGREEMENT, shall act in accordance with Title VI of the Civil Rights Act of 1964 (42 U.S.C. §2000d et seq.). Title VI provides that the recipients of federal assistance will implement and maintain a policy of nondiscrimination in which no person in the United States shall, on the basis of race, color, national origin, religion, sex, age, disability, be excluded from participation in, denied the benefits of or subject to discrimination under any program or activity by the recipients of federal assistance or their assignees and successors in interest.

G. The CONSULTANT shall comply with regulations relative to non-discrimination in federally-assisted programs of the U.S. Department of Transportation (49 CFR 21 - Effectuation of Title VI of the Civil Rights Act of 1964). Specifically, the CONSULTANT shall not participate either directly or indirectly in the discrimination prohibited by 49 CFR §21.5, including employment practices and the selection and retention of Subconsultants.

H. CONSULTANT, subrecipient or subconsultant will never exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR 26 on the basis of race, color, sex, or national origin. In administering the LOCAL AGENCY components of the DBE Program Plan, CONSULTANT, subrecipient or subconsultant will not, directly, or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of the DBE Program Plan with respect to individuals of a particular race, color, sex, or national origin.

ARTICLE XVII DEBARMENT AND SUSPENSION CERTIFICATION
A. The CONSULTANT’s signature affixed herein shall constitute a certification under penalty of perjury under the laws of the State of California, that the CONSULTANT or any person associated therewith in the capacity of owner, partner, director, officer or manager:

1. Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency;

2. Has not been suspended, debarred, voluntarily excluded, or determined ineligible by any federal agency within the past three (3) years;

3. Does not have a proposed debarment pending; and

4. Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past three (3) years.

B. Any exceptions to this certification must be disclosed to LOCAL AGENCY. Exceptions will not necessarily result in denial of recommendation for award but will be considered in determining responsibility. Disclosures must indicate the party to whom the exceptions apply, the initiating EXHIBIT 1 Page 54 of 66
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agency, and the dates of agency action.

C. Exceptions to the Federal Government excluded parties (https://sam.gov/content/home) maintained by the U.S. General Services Administration are to be determined by FHWA.

ARTICLE XVIII DISADVANTAGED BUSINESS ENTERPRISES (DBE) PARTICIPATION A. CONSULTANT, subrecipient (LOCAL AGENCY), or subconsultant shall take necessary and reasonable steps to ensure that DBEs have opportunities to participate in the contract (49 CFR 26).

To ensure equal participation of DBEs provided in 49 CFR 26.5, the LOCAL AGENCY shows a contract goal for DBEs. CONSULTANT shall make work available to DBEs and select work parts consistent with available DBE subconsultants and suppliers.

CONSULTANT shall meet the DBE goal shown elsewhere in these special provisions or demonstrate that they made adequate Good Faith Efforts (GFE) to meet this goal. It is CONSULTANT’s responsibility to verify at date of proposal opening that the DBE firm is certified as a DBE by using the California Unified Certification Program (CUCP) database and possesses the most specific available North American Industry Classification System (NAICS) codes and work code applicable to the type of work the firm will perform on the contract. Additionally, the CONSULTANT is responsible to document the verification record by printing out the CUCP data for each DBE firm. A list of DBEs certified by the CUCP can be found at https://dot.ca.gov/programs/civil-rights/dbe-search.

All DBE participation will count toward the California Department of Transportation’s federally mandated statewide overall DBE goal. Credit for materials or supplies CONSULTANT purchases from DBEs counts towards the goal in the following manner:  100 percent counts if the materials or supplies are obtained from a DBE manufacturer.  60 percent counts if the materials or supplies are purchased from a DBE regular dealer.  Only fees, commissions, and charges for assistance in the procurement and delivery of materials or supplies count if obtained from a DBE that is neither a manufacturer nor regular dealer. 49 CFR 26.55 defines "manufacturer" and "regular dealer." This AGREEMENT is subject to 49 CFR 26 entitled “Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs”. CONSULTANTs who enter into a federally-funded agreement will assist the LOCAL AGENCY in a good faith effort to achieve California's statewide overall DBE goal.

B. The goal for DBE participation for this AGREEMENT is 14%. Participation by DBE CONSULTANT or subconsultants shall be in accordance with information contained in Exhibit 10- O2: Consultant Contract DBE Commitment attached hereto and incorporated as part of the AGREEMENT. If a DBE subconsultant is unable to perform, CONSULTANT must make a good faith effort to replace him/her with another DBE subconsultant, if the goal is not otherwise met.

C. CONSULTANT can meet the DBE participation goal by either documenting commitments to DBEs to meet the AGREEMENT goal, or by documenting adequate good faith efforts to meet the AGREEMENT goal. An adequate good faith effort means that the CONSULTANT must show that it took all necessary and reasonable steps to achieve a DBE goal that, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to meet the DBE goal. If CONSULTANT has not met the DBE goal, complete and submit Exhibit 15-H: Proposer/Contractor Good Faith Efforts to document efforts to meet the goal. Refer to 49 CFR 26 for guidance regarding evaluation of good faith efforts to meet the DBE goal.

D. Contract Assurance
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Under 49 CFR 26.13(b):

CONSULTANT, subrecipient or subconsultant shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. CONSULTANT shall carry out applicable requirements of 49 CFR 26 in the award and administration of federal-aid contracts.

Failure by the CONSULTANT to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate, which may include, but is not limited to:
(1) Withholding monthly progress payments;
(2) Assessing sanctions;
(3) Liquidated damages; and/or
(4) Disqualifying CONSULTANT from future proposing as non-responsible E. Termination and Replacement of DBE Subconsultants
CONSULTANT shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless CONSULTANT or DBE subconsultant obtains the LOCAL AGENCY’s written consent. CONSULTANT shall not terminate or replace a listed DBE for convenience and perform the work with their own forces or obtain materials from other sources without authorization from the LOCAL AGENCY. Unless the LOCAL AGENCY’s consent is provided, the CONSULTANT shall not be entitled to any payment for work or material unless it is performed or supplied by the listed DBE on the Exhibit 10-02: Consultant Contract DBE Commitment form.

Termination of DBE Subconsultants
After execution of the AGREEMENT, termination of a DBE may be allowed for the following, but not limited to, justifiable reasons with prior written authorization from the LOCAL AGENCY:

1. Listed DBE fails or refuses to execute a written contract based on plans and specifications for the project.

2. The LOCAL AGENCY stipulated that a bond is a condition of executing the subcontract and the listed DBE fails to meet the LOCAL AGENCY’s bond requirements.

3. Work requires a consultant's license and listed DBE does not have a valid license under Contractors License Law.

4. Listed DBE fails or refuses to perform the work or furnish the listed materials (failing or refusing to perform is not an allowable reason to remove a DBE if the failure or refusal is a result of bad faith or discrimination).

5. Listed DBE's work is unsatisfactory and not in compliance with the contract.

6. Listed DBE is ineligible to work on the project because of suspension or debarment.

7. Listed DBE becomes bankrupt or insolvent or exhibits credit unworthiness.

8. Listed DBE voluntarily withdraws with written notice from the Contract.

9. Listed DBE is ineligible to receive credit for the type of work required.

10. Listed DBE owner dies or becomes disabled resulting in the inability to perform the work on the Contract.

11. The LOCAL AGENCY determines other documented good cause.

CONSULTANT must use the following procedures to request the termination of a DBE or portion of a DBE’s work:

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material sources and include one or more justifiable reasons listed above. Simultaneously send a copy of this written notice to the LOCAL AGENCY. The written notice to the DBE must request they provide any response within five (5) business days to both the CONSULTANT and the LOCAL AGENCY by either acknowledging their agreement or documenting their reasoning as to why the use of other forces or sources of materials should not occur.

2. If the DBE does not respond within five (5) business days, CONSULTANT may move forward with the request as if the DBE had agreed to CONSULTANT’s written notice.

3. Submit CONSULTANT’s DBE termination request by written letter to the LOCAL AGENCY and include:  One or more above listed justifiable reasons along with supporting documentation.  CONSULTANT’s written notice to the DBE regarding the request, including proof of transmission and tracking documentation of CONSULTANT’s written notice  The DBE's response to CONSULTANT’s written notice, if received. If a written response was not provided, provide a statement to that effect.

The LOCAL AGENCY shall respond in writing to CONSULTANT’s DBE termination request within five (5) business days.

Replacement of DBE Subconsultants
After receiving the LOCAL AGENCY’s written authorization of DBE termination request, CONSULTANT must obtain the LOCAL AGENCY’s written agreement for DBE replacement.

CONSULTANT must find or demonstrate GFEs to find qualified DBE replacement firms to perform the work to the extent needed to meet the DBE commitment.

The following procedures shall be followed to request authorization to replace a DBE firm:

1. Submit a request to replace a DBE with other forces or material sources in writing to the LOCAL AGENCY which must include:
a. Description of remaining uncommitted work item made available for replacement DBE solicitation and participation.
b. The proposed DBE replacement firm's business information, the work they have agreed to perform, and the following:  Description of scope of work and cost proposal  Proposed subcontract agreement and written confirmation of agreement to perform on the Contract  Revised Exhibit 10-O2: Consultant Contract DBE Commitment

2. If CONSULTANT has not identified a DBE replacement firm, submits documentation of CONSULTANT’s GFEs to use DBE replacement firms within seven (7) days of LOCAL AGENCY's authorization to terminate the DBE. CONSULTANT may request the LOCAL AGENCY's approval to extend this submittal period to a total of 14 days. Submit documentation of actions taken to find a DBE replacement firm, such as:  Search results of certified DBEs available to perform the original DBE work identified and or other work CONSULTANT had intended to self-perform, to the extent needed to meet DBE commitment  Solicitations of DBEs for performance of work identified EXHIBIT 1 Page 57 of 66
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 Correspondence with interested DBEs that may have included contract details and requirements  Negotiation efforts with DBEs that reflect why an agreement was not reached  If a DBE's quote was rejected, provide reasoning for the rejection, such as why the DBE was unqualified for the work, or why the price quote was unreasonable or excessive  Copies of each DBE's and non-DBE's price quotes for work identified, as the LOCAL AGENCY may contact the firms to verify solicitation efforts and determine if the DBE quotes are substantially higher  Additional documentation that supports CONSULTANT’s GFE The LOCAL AGENCY shall respond in writing to CONSULTANT’s DBE replacement request within five (5) business days.

F. Commitment and Utilization
The LOCAL AGENCY’s DBE program must include a monitoring and enforcement mechanism to ensure that DBE commitments reconcile to DBE utilization.

The LOCAL AGENCY shall request CONSULTANT to:

1. Notify the LOCAL AGENCY’s contract administrator or designated representative of any changes to its anticipated DBE participation

2. Provide this notification before starting the affected work

3. Maintain records including:  Name and business address of each 1st-tier subconsultant  Name and business address of each DBE subconsultant, DBE vendor, and DBE trucking company, regardless of tier  Date of payment and total amount paid to each business (see Exhibit 9-F: Monthly Disadvantaged Business Enterprise Payment)
If CONSULTANT is a DBE CONSULTANT, they shall include the date of work performed by their own forces and the corresponding value of the work.

If a DBE is decertified before completing its work, the DBE must notify CONSULTANT in writing of the decertification date. If a business becomes a certified DBE before completing its work, the business must notify CONSULTANT in writing of the certification date. CONSULTANT shall submit the notifications to the LOCAL AGENCY. On work completion, CONSULTANT shall complete Exhibit 17-O: Disadvantaged Business Enterprises (DBE) Certification Status Change and submit the form to the LOCAL AGENCY within 30 days of contract acceptance.

Upon work completion, CONSULTANT shall complete Exhibit 17-F: Final Report – Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors and submit it to the LOCAL AGENCY within 90 days of contract acceptance. The LOCAL AGENCY will withhold $10,000 until the form is submitted. The LOCAL AGENCY will release the withhold upon submission of the completed form.

In the LOCAL AGENCY’s reports of DBE participation to Caltrans, the LOCAL AGENCY must display both commitments and attainments.

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G. Commercially Useful Function
DBEs must perform a commercially useful function (CUF) under 49 CFR 26.55 when performing work or supplying materials listed on the DBE Commitment form. The DBE value of work will only count toward the DBE commitment if the DBE performs a CUF. A DBE performs a CUF when it is responsible for execution of the work of the AGREEMENT and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a CUF, the DBE must also be responsible, with respect to materials and supplies used on the AGREEMENT, for negotiating price, determining quality and quantity, ordering the material and installing (where applicable), and paying for the material itself.

CONSULTANT must perform CUF evaluation for each DBE working on a federal-aid contract, with or without a DBE goal. Perform a CUF evaluation at the beginning of the DBE’s work and continue to monitor the performance of CUF for the duration of the project.

CONSULTANT must provide written notification to the LOCAL AGENCY at least 15 days in advance of each DBE's initial performance of work or supplying materials for the Contract. The notification must include the DBE's name, work the DBE will perform on the contract, and the location, date, and time of where their work will take place.

Within 10 days of a DBE initially performing work or supplying materials on the Contract, CONSULTANT shall submit to the LPA the initial evaluation and validation of DBE performance of a CUF using the LAPM 9-J: Disadvantaged Business Enterprise Commercially Useful Function Evaluation. Include the following information with the submittal:  Subcontract agreement with the DBE  Purchase orders  Bills of lading  Invoices  Proof of payment CONSULTANT must monitor all DBE’s performance of CUF by conducting quarterly evaluations and validations throughout their duration of work on the Contract using the LAPM 9-J: DBE Commercially Useful Function Evaluation. CONSULTANT must submit to the LOCAL AGENCY these quarterly evaluations and validations by the 5th of the month for the previous three months of work.

CONSULTANT must notify the LOCAL AGENCY immediately if they believe the DBE may not be performing a CUF.

The LOCAL AGENCY will verify DBEs performance of CUF by reviewing the initial and quarterly submissions of LAPM 9-J: DBE Commercially Useful Function Evaluation, submitted supporting information, field observations, and through any additional LOCAL AGENCY evaluations. The LOCAL AGENCY must evaluate DBEs and their CUF performance throughout the duration of a Contract. The LOCAL AGENCY will provide written notice to the CONSULTANT and the DBE at least two (2) business days prior to any evaluation. The CONSULTANT and the DBE must participate in the evaluation. Upon completing the evaluation, the LOCAL AGENCY must share the evaluation results with the CONSULTANT and the DBE. An evaluation could include items that must be remedied upon receipt. If the LOCAL AGENCY determines the DBE is not performing a CUF, the CONSULTANT must suspend performance of the noncompliant work.

CONSULTANT and DBEs must submit any additional CUF related records and documents within five (5) business days of LOCAL AGENCY’s request such as:

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 Proof of ownership or lease and rental agreements for equipment  Tax records  Employee rosters  Certified payroll records  Inventory rosters Failure to submit required DBE Commercially Useful Function Evaluation forms or requested records and documents can result in withholding of payment for the value of work completed by the DBE.

If CONSULTANT and/or the LOCAL AGENCY determine that a listed DBE is not performing a CUF in performance of their DBE committed work, CONSULTANT must immediately suspend performance of the noncompliant portion of the work. LOCAL AGENCY may deny payment for the noncompliant portion of the work. LOCAL AGENCY will ask the CONSULTANT to submit a corrective action plan (CAP) to the LOCAL AGENGY within five (5) days of the noncompliant CUF determination. The CAP must identify how the CONSULTANT will correct the noncompliance findings for the remaining portion of the DBE's work. LOCAL AGENCY has five (5) days to review the CAP in conjunction with the CONSULTANT’s review. The CONSULTANT must implement the CAP within five (5) days of the LOCAL AGENCY's approval. The LOCAL AGENCY will then authorize the prior noncompliant portion of work for the DBE's committed work.

If corrective actions cannot be accomplished to ensure the DBE performs a commercially useful function on the Contract, CONSULTANT may have good cause to request termination of the DBE.

H. A DBE does not perform a CUF if its role is limited to that of an extra participant in a transaction, AGREEMENT, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, examine similar transactions, particularly those in which DBEs do not participate.

I. If a DBE does not perform or exercise responsibility for at least thirty percent (30%) of the total cost of its AGREEMENT with its own work force, or the DBE subcontracts a greater portion of the work of the AGREEMENT than would be expected on the basis of normal industry practice for the type of work involved, it will be presumed that it is not performing a CUF.

J. CONSULTANT shall maintain records of materials purchased or supplied from all subcontracts entered into with certified DBEs. The records shall show the name and business address of each DBE or vendor and the total dollar amount actually paid each DBE or vendor, regardless of tier.

The records shall show the date of payment and the total dollar figure paid to all firms. DBE CONSULTANT’s shall also show the date of work performed by their own forces along with the corresponding dollar value of the work.

K. If a DBE subconsultant is decertified during the life of the AGREEMENT, the decertified subconsultant shall notify CONSULTANT in writing with the date of decertification. If a subconsultant becomes a certified DBE during the life of the AGREEMENT, the subconsultant shall notify CONSULTANT in writing with the date of certification. Any changes should be reported to LOCAL AGENCY’s Contract Administrator within thirty (30) calendar days.

L. For projects awarded on or after March 1, 2020, but before September 1, 2023: No later than the 10th of the month following the month of any payment(s), the CONSULTANT must submit an invoice for payment along with Exhibit 9-F: Monthly Disadvantaged Business Enterprise (DBE) Payment to the Caltrans Business Support Unit at [email protected]. Provide a copy to the LOCAL AGENCY administering the contract.

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For projects awarded on or after September 1, 2023: Exhibit 9-F is no longer required. Instead, by the 15th of the month following the month of any payment(s), the CONSULTANT must now submit Exhibit 9-P to the LOCAL AGENCY administering the contract. If the CONSULTANT does not make any payments to subconsultants, supplier(s), and/or manufacturers they must report “no payments were made to subs this month” and write this visibly and legibly on Exhibit 9-P.

M. Any subcontract entered into as a result of this AGREEMENT shall contain all of the provisions of this section.

ARTICLE XIX INSURANCE
See Section 3 of the Professional Services Contract.

ARTICLE XX FUNDING REQUIREMENTS
A. It is mutually understood between the parties that this AGREEMENT may have been written before ascertaining the availability of funds or appropriation of funds, for the mutual benefit of both parties, in order to avoid program and fiscal delays that would occur if the AGREEMENT were executed after that determination was made.

B. This AGREEMENT is valid and enforceable only if sufficient funds are made available to LOCAL AGENCY for the purpose of this AGREEMENT. In addition, this AGREEMENT is subject to any additional restrictions, limitations, conditions, or any statute enacted by the Congress, State Legislature, or LOCAL AGENCY governing board that may affect the provisions, terms, or funding of this AGREEMENT in any manner.

C. It is mutually agreed that if sufficient funds are not appropriated, this AGREEMENT may be amended to reflect any reduction in funds.

D. LOCAL AGENCY has the option to terminate the AGREEMENT pursuant to Article VI Termination, or by mutual agreement to amend the AGREEMENT to reflect any reduction of funds.

ARTICLE XXI CHANGE IN TERMS
A. This AGREEMENT may be amended or modified only by mutual written agreement of the parties.

B. CONSULTANT shall only commence work covered by an amendment after the amendment is executed and notification to proceed has been provided by LOCAL AGENCY’s Contract Administrator.

C. There shall be no change in CONSULTANT’s Project Manager or members of the project team, as listed in the approved Cost Proposal, which is a part of this AGREEMENT without prior written approval by LOCAL AGENCY’s Contract Administrator.

ARTICLE XXII CONTINGENT FEE
CONSULTANT warrants, by execution of this AGREEMENT that no person or selling agency has been employed, or retained, to solicit or secure this AGREEMENT upon an agreement or understanding, for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees, or bona fide established commercial or selling agencies maintained by CONSULTANT for the purpose of securing business. For breach or violation of this warranty, LOCAL AGENCY has the right to annul this AGREEMENT without liability; pay only for the value of the work actually performed, or in its discretion to deduct from the AGREEMENT price or consideration, or otherwise recover the full amount of such commission, percentage, brokerage, or contingent fee.

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ARTICLE XXIII DISPUTES
Prior to either party commencing any legal action under this AGREEMENT, the parties agree to try in good faith, to settle any dispute amicably between them. If a dispute has not been settled after forty-five (45) days of good-faith negotiations and as may be otherwise provided herein, then either party may commence legal action against the other.

A. Any dispute, other than audit, concerning a question of fact arising under this AGREEMENT that is not disposed of by agreement shall be decided by a committee consisting of LOCAL AGENCY’s Contract Administrator and Chad Reed, Director of Public Works, who may consider written or verbal information submitted by CONSULTANT.

B. Not later than thirty (30) calendar days after completion of all work under the AGREEMENT, CONSULTANT may request review by LOCAL AGENCY Governing Board of unresolved claims or disputes, other than audit. The request for review will be submitted in writing.

C. Neither the pendency of a dispute, nor its consideration by the committee will excuse CONSULTANT from full and timely performance in accordance with the terms of this AGREEMENT.

ARTICLE XXIV INSPECTION OF WORK
CONSULTANT and any subconsultant shall permit LOCAL AGENCY, the State, and the FHWA if federal participating funds are used in this AGREEMENT; to review and inspect the project activities and files at all reasonable times during the performance period of this AGREEMENT.

ARTICLE XXV SAFETY
A. CONSULTANT shall comply with OSHA regulations applicable to CONSULTANT regarding necessary safety equipment or procedures. CONSULTANT shall comply with safety instructions issued by LOCAL AGENCY Safety Officer and other LOCAL AGENCY representatives.

CONSULTANT personnel shall wear hard hats and safety vests at all times while working on the construction project site.

B. Pursuant to the authority contained in Vehicle Code §591, LOCAL AGENCY has determined that such areas are within the limits of the project and are open to public traffic. CONSULTANT shall comply with all of the requirements set forth in Divisions 11, 12, 13, 14, and 15 of the Vehicle Code.

CONSULTANT shall take all reasonably necessary precautions for safe operation of its vehicles and the protection of the traveling public from injury and damage from such vehicles.

C. Any subcontract entered into as a result of this contract, shall contain all of the provisions of this Article.

D. CONSULTANT must have a Division of Occupational Safety and Health (CAL-OSHA) permit(s), as outlined in Labor Code §6500 and §6705, prior to the initiation of any practices, work, method, operation, or process related to the construction or excavation of trenches which are five (5) feet or deeper.

ARTICLE XXVI OWNERSHIP OF DATA
A. It is mutually agreed that all materials prepared by CONSULTANT under this AGREEMENT shall become the property of City, and CONSULTANT shall have no property right therein whatsoever.

Immediately upon termination, City shall be entitled to, and CONSULTANT shall deliver to City, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not, and other such materials as may have been prepared or accumulated to date by CONSULTANT in performing this AGREEMENT which is not EXHIBIT 1

1356
Local Assistance Procedures Manual Exhibit 10-R
A&E Boilerplate Agreement Language

May 2023
CONSULTANT’s privileged information, as defined by law, or CONSULTANT’s personnel information, along with all other property belonging exclusively to City which is in CONSULTANT’s possession. Publication of the information derived from work performed or data obtained in connection with services rendered under this AGREEMENT must be approved in writing by City.

B. Additionally, it is agreed that the Parties intend this to be an AGREEMENT for services and each considers the products and results of the services to be rendered by CONSULTANT hereunder to be work made for hire. CONSULTANT acknowledges and agrees that the work (and all rights therein, including, without limitation, copyright) belongs to and shall be the sole and exclusive property of City without restriction or limitation upon its use or dissemination by City.

C. Nothing herein shall constitute or be construed to be any representation by CONSULTANT that the work product is suitable in any way for any other project except the one detailed in this Contract.

Any reuse by City for another project or project location shall be at City’s sole risk.

D. Applicable patent rights provisions regarding rights to inventions shall be included in the contracts as appropriate (48 CFR 27 Subpart 27.3 - Patent Rights under Government Contracts for federalaid contracts).

E. LOCAL AGENCY may permit copyrighting reports or other agreement products. If copyrights are permitted; the AGREEMENT shall provide that the FHWA shall have the royalty-free nonexclusive and irrevocable right to reproduce, publish, or otherwise use; and to authorize others to use, the work for government purposes.

ARTICLE XXVII CLAIMS FILED BY LOCAL AGENCY’s CONSTRUCTION CONTRACTOR A. If claims are filed by LOCAL AGENCY’s construction contractor relating to work performed by CONSULTANT’s personnel, and additional information or assistance from CONSULTANT’s personnel is required in order to evaluate or defend against such claims; CONSULTANT agrees to make its personnel available for consultation with LOCAL AGENCY’S construction contract administration and legal staff and for testimony, if necessary, at depositions and at trial or arbitration proceedings.

B. CONSULTANT’s personnel that LOCAL AGENCY considers essential to assist in defending against construction contractor claims will be made available on reasonable notice from LOCAL AGENCY.

Consultation or testimony will be reimbursed at the same rates, including travel costs that are being paid for CONSULTANT’s personnel services under this AGREEMENT.

C. Services of CONSULTANT’s personnel in connection with LOCAL AGENCY’s construction contractor claims will be performed pursuant to a written contract amendment, if necessary, extending the termination date of this AGREEMENT in order to resolve the construction claims.

ARTICLE XXVIII CONFIDENTIALITY OF DATA
A. All financial, statistical, personal, technical, or other data and information relative to LOCAL AGENCY’s operations, which are designated confidential by LOCAL AGENCY and made available to CONSULTANT in order to carry out this AGREEMENT, shall be protected by CONSULTANT from unauthorized use and disclosure.

B. Permission to disclose information on one occasion, or public hearing held by LOCAL AGENCY relating to the AGREEMENT, shall not authorize CONSULTANT to further disclose such information, or disseminate the same on any other occasion.

C. CONSULTANT shall not comment publicly to the press or any other media regarding the AGREEMENT or LOCAL AGENCY’s actions on the same, except to LOCAL AGENCY’s staff, EXHIBIT 1 Page 63 of 66
1357
Local Assistance Procedures Manual Exhibit 10-R
A&E Boilerplate Agreement Language

May 2023
CONSULTANT’s own personnel involved in the performance of this AGREEMENT, at public hearings, or in response to questions from a Legislative committee.

D. CONSULTANT shall not issue any news release or public relations item of any nature, whatsoever, regarding work performed or to be performed under this AGREEMENT without prior review of the contents thereof by LOCAL AGENCY, and receipt of LOCAL AGENCY’S written permission.

E. Any subcontract entered into as a result of this contract shall contain all of the provisions of this Article.

F. All information related to the construction estimate is confidential, and shall not be disclosed by CONSULTANT to any entity, other than LOCAL AGENCY, Caltrans, and/or FHWA. All of the materials prepared or assembled by CONSULTANT pursuant to performance of this Contract are confidential and CONSULTANT agrees that they shall not be made available to any individual or organization without the prior written approval of City or except by court order. If CONSULTANT or any of its officers, employees, or subcontractors does voluntarily provide information in violation of this Contract, City has the right to reimbursement and indemnity from CONSULTANT for any damages caused by CONSULTANT releasing the information, including, but not limited to, City’s attorney’s fees and disbursements, including without limitation experts’ fees and disbursements.

ARTICLE XXIX NATIONAL LABOR RELATIONS BOARD CERTIFICATION In accordance with Public Contract Code §10296, CONSULTANT hereby states under penalty of perjury that no more than one final unappealable finding of contempt of court by a federal court has been issued against CONSULTANT within the immediately preceding two-year period, because of CONSULTANT’s failure to comply with an order of a federal court that orders CONSULTANT to comply with an order of the National Labor Relations Board.

ARTICLE XXX EVALUATION OF CONSULTANT
CONSULTANT’s performance will be evaluated by LOCAL AGENCY. A copy of the evaluation will be sent to CONSULTANT for comments. The evaluation together with the comments shall be retained as part of the AGREEMENT record.

ARTICLE XXXI PROMPT PAYMENT
A. PROMPT PAYMENT FROM LOCAL AGENCY TO CONSULTANT
The LOCAL AGENCY shall make all project progress payment within 30 days after receipt of an undisputed and properly submitted payment request from CONSULTANT on a professional service contract. If the LOCAL AGENCY fails to pay promptly, the LOCAL AGENCY shall pay interest to the CONSULTANT, which accrues at the rate of 10 percent per annum on the principal amount of a money judgment remaining unsatisfied and pro-rated as necessary. Upon receipt of the payment request, the LOCAL AGENCY shall act in accordance with both of the following:
(1) The LOCAL AGENCY shall review each payment request as soon as feasible after receipt to verify it is a proper payment request.
(2) The LOCAL AGENCY must return any payment request deemed improper by the LOCAL AGENCY to the CONSULTANT as soon as feasible, but not later than seven (7) days, after receipt. A request returned pursuant to this paragraph shall include documentation setting forth in writing the reasons why it is an improper payment request.

B. PROMPT PAYMENT CERTIFICATION
For projects awarded on or after September 1, 2023: the CONSULTANT must now submit Exhibit 9-P to the LOCAL AGENCY administering the contract by the 15th of the month following the month EXHIBIT 1

1358
Local Assistance Procedures Manual Exhibit 10-R
A&E Boilerplate Agreement Language

May 2023
of any payment(s). If the CONSULTANT does not make any payments to subconsultants, supplier(s), and/or manufacturers they must report “no payments were made to subs this month” and write this visibly and legibly on Exhibit 9-P.

The LOCAL AGENCY must verify all Exhibit 9-P information, monitor compliance with prompt payment requirements for DBE and non-DBE firms, and address any shortfalls to the DBE commitment and prompt payment issues until the end of the project. The LOCAL AGENCY must email a copy of Exhibit 9-P to [email protected] before the end of the month after receiving the Exhibit 9-P from the CONSULTANT.

ARTICLE XXXII TITLE VI ASSURANCES
Refer to the Professional Services Contract

ARTICLE XXXIII NOTIFICATION
Refer to the Professional Services Contract

ARTICLE XXXIV CONTRACT
Refer to the Professional Services Contract

ARTICLE XXXV SIGNATURES
Refer to the Professional Services Contract
EXHIBIT 1 Page 65 of 66
1359
Systemic Pedestrian Safety Improvements
City of Stockton 14%
Hammer Ln/Lorraine Ave, N. Wilson Way/Park St, Wilson Way/Waterloo Rd/Poplar St.

W-Trans
$ 148,662.88 2
$ 308,586.24
Traffic Signal Design, Signing and Striping,
Traffic data collection 26209 Dalene J. Whitlock, Vice President and Senior Principal, 490 Mendocino Avenue, Suite 201, Santa Rosa, CA 95401.
$ 159,923.36

51.80 2/20/25
Dalene J. Whitlock 707-284-7738
Senior Principal and V.P.

EXHIBIT 1

1360
City of Stockton
Legislation Text
File #: 25-0185, Version: 1

ADOPT RESOLUTION TO AUTHORIZE THE NAVY DRIVE SANITARY SEWER REHABILITATION

PROJECT

RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Appropriate funds in the amount of $2,351,006 from the Wastewater Fund Balance to the Navy Drive Sanitary Sewer Rehabilitation, Project No. UW15003.

2. Approve Notice of Exemption No. NOE18-24 under the California Environmental Quality Act for the Navy Drive Sanitary Sewer Rehabilitation, Project No. UW15003.

3. Approve the plans and specifications for the Navy Drive Sanitary Sewer Rehabilitation, Project No. UW15003.

4. Award a Construction Contract in the amount of $7,366,500 to Insituform Technologies, LLC of Chesterfield, MO, for the Navy Drive Sanitary Sewer Rehabilitation, Project No. UW15003.

It is also recommended that the City Manager be authorized to take appropriate and necessary actions to carry out the purpose and intent of this resolution.

Summary
The Municipal Utilities Department (MUD) has implemented a Condition Assessment Program for the City’s sewer infrastructure comprised of Closed-Circuit Televised Video (CCTV) inspection, pipe cleaning, and engineering evaluation. This program generates a prioritized list of sewer replacement and/or rehabilitation projects for inclusion in the City’s Capital Improvement Plan (CIP). A large diameter pipe segment along Navy Drive was identified for rehabilitation. The project will rehabilitate approximately 1,967 linear feet of 24-inch, 1,849 linear feet of 30-inch, and 3,907 linear feet of 48- inch sewer trunk lines along Navy Drive between Fresno Avenue and Interstate Highway 5 (I-5) (Attachment A). The project was included in the 2015-20 Five-Year CIP.

On January 23, 2025, the City received three bids for this project. It is recommended that Council award a Construction Contract to the lowest responsible bidder, Insituform Technologies, LLC, in the amount of $7,366,500. It is also recommended that Council adopt a resolution approving Notice of Exemption No. NOE18-24 under the California Environmental Quality Act (CEQA), approving the plans and specifications, and appropriation of funds for the project. Construction is anticipated to be completed by December 2025.

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File #: 25-0185, Version: 1

DISCUSSION
Background
The MUD has implemented a Condition Assessment Program for the City’s sewer infrastructure comprised of CCTV inspection, pipe cleaning, and engineering evaluation. This program generates a prioritized list of sewer replacement and/or rehabilitation projects for inclusion in the City’s CIP. A large diameter pipe segment along Navy Drive was identified for rehabilitation. by the Condition Assessment Program and was included in the FY 2015-16 CIP. The project will rehabilitate approximately 1,967 linear feet of 24-inch, 1,849 linear feet of 30-inch, and 3,907 linear feet of 48- inch sewer trunk lines along Navy Drive between Fresno Avenue and I-5 (Attachment A). The project was included in the 2015-20 Five-Year CIP.

On March 10, 2015, by Motion No. 2015-03-10-1401, Council approved a Professional Services Contract for design services. Design was completed and advertised for construction bids in April and July of 2017. However, the project bids were rejected due to the price and eventually put on hold pending completion of the City’s Sanitary Sewer Master Plan Update process. The Master Plan Update process was a comprehensive study of the City’s entire sanitary sewer system and included revalidating the Navy Drive project. The Master Plan Update project took many years and was completed in FY 2023-24. On July 17, 2024, the City Manager approved a Professional Services Contract for additional services to update the plans, specifications, and estimates documents based on the Master Plan Update project.

On July 26, 2016, Council adopted a Community Workforce and Training Agreement (CWTA). The CWTA became effective August 25, 2016, and applies to all Public Works projects over $1 million that are bid after that date. On July 16, 2019, by Motion No. 2019-07-16-1403, Council extended the CWTA term to August 25, 2024. On August 20, 2024, by Motion No. 2024-08-20-1203, Council extended the CWTA term to August 25, 2029. The CWTA was applied to this project as the estimated construction cost is over $1 million.

Present Situation
On November 17, 2024, the Navy Drive Sanitary Sewer Rehabilitation, Project No. UW15003, was advertised for bids. On January 23, 2025, three bids were received with the following results:

COMPANY NAME BID AMOUNT
Insituform Technologies, LLC (Chesterfield, MO) $7,366,500 SAK Construction, LLC (O’Fallon, MO) $7,758,103
Michels Trenchless, Inc. (Brownsville, WI) $9,980,936
Engineer’s Estimate $6,996,080
The requirements of Stockton Municipal Code (SMC) section 3.68.090, Local Business Preference, apply to this project. Application of the Local Business Preference has no effect on the bid order.

The Local Employment Ordinance, SMC section 3.68.095, also applies to this contract.

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File #: 25-0185, Version: 1
The bid from Insituform Technologies, LLC, the lowest responsible bidder, is regular in all respects and has the proper license to perform the work. It is recommended that Council approve the plans and specifications, and award a Construction Contract to Insituform Technologies, LLC of Chesterfield, MO, in the amount of $7,366,500 for the Navy Drive Sanitary Sewer Rehabilitation, Project No. UW15003.

The project is in conformance with the City’s General Plan, pursuant to California Government Code, section 65402, and is categorically exempt from the requirements of CEQA as specified under Section 15301(d) of the CEQA Guidelines. The activities related to this project constitute a discretionary project under the City’s jurisdiction and qualifies as a project that does not have a significant effect on the environment. The resolution will approve the filing of Notice of Exemption No. NOE18-24 under CEQA.

Construction is anticipated to be completed by December 2025.

FINANCIAL SUMMARY
With the appropriation of funds in the amount of $2,351,006 from the Wastewater Fund Balance to the Navy Drive Sanitary Sewer Rehabilitation, Project No. UW15003, there will be sufficient funds to award a Construction Contract to Insituform Technologies, LLC in the amount of $7,366,500.

There is no impact to the City’s General Fund or any other unrestricted fund as a result of taking the recommended actions.

Attachment A - Vicinity Map
City of Stockton Page 3 of 3 Printed on 3/27/2025
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CITY OF STOCKTON

DEPARTMENT OF PUBLIC WORKS

ATTACHMENT A

NAVY DRIVE SANITARY SEWER REHABILITATION
(PROJECT NO. UW15003)

PROJECT LOCATION

VICINITY MAP

NOT TO SCALE

PROJECT LIMITS
1364
Resolution No.

STOCKTON CITY COUNCIL

RESOLUTION APPROPRIATING FUNDS, APPROVING THE NOTICE OF EXEMPTION NO. NOE18-24, APPROVING THE PLANS AND SPECIFICATIONS,

AND AWARDING A CONSTRUCTION CONTRACT FOR THE NAVY DRIVE SANITARY SEWER REHABILITATION, PROJECT NO. UW15003
On January 23, 2025, the City Clerk of the City of Stockton opened, examined, and publicly declared the sealed proposals or bids offered for the Navy Drive Sanitary Sewer Rehabilitation, Project No. UW15003; and
The Municipal Utilities Department has implemented a Condition Assessment Program for the City’s sewer infrastructure. This program generates a prioritized list of sewer replacement and/or rehabilitation projects for inclusion in the City’s Capital Improvement Plan; and
The project will rehabilitate approximately 1,967 linear feet of 24-inch, 1,849 linear feet of 30-inch, and 3,907 linear feet of 48-inch sewer trunk lines along Navy Drive between Fresno Avenue and Interstate Highway 5 (I-5); and Instituform Technologies, LLC, is the lowest responsible bidder in the amount of $7,366,500 and its bid is regular in all respects; and
The project is in conformance with the City’s General Plan, pursuant to California Government Code, section 65402, and is categorically exempt from the requirements of the California Environmental Quality Act (CEQA) as specified under section 15301(d) of the CEQA Guidelines, because this is a discretionary project under the City’s jurisdiction and qualifies as a project which has been determined to not have a significant effect on the environment; now, therefore,

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:

1. The City Council approves the appropriation of funds in the amount of $2,351,006 from the Wastewater Fund Balance to the Navy Drive Sanitary Sewer Rehabilitation, Project No. UW15003.

2. The City Council approves the filing of Notice of Exemption No. NOE18- 24 under the CEQA for the Navy Drive Sanitary Sewer Rehabilitation, Project No.

UW15003, a copy of which is attached as Exhibit 1 and incorporated by this reference. //
1365

3. The City Council approves the plans and specifications for the Navy Drive Sanitary Sewer Rehabilitation, Project No. UW15003.

4. The City Council awards a Construction Contract between the City of Stockton and Insituform Technologies, LLC, in the amount of $7,366,500, and the City Manager is authorized and directed to execute same, a copy of which is attached as Exhibit 2 and incorporated by this reference.

5. The City Manager is hereby authorized to take whatever actions are necessary and appropriate to carry out the purpose and intent of this Resolution.

PASSED, APPROVED, and ADOPTED April 1, 2025 .

CHRISTINA FUGAZI
Mayor of the City of Stockton
ATTEST:

KATHERINE ROLAND, CMC, CPMC
City Clerk of the City of Stockton
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City of Stockton
Legislation Text
File #: 25-0186, Version: 1

ADOPT RESOLUTION TO AUTHORIZE THE WORTH STREET SANITARY SEWER

REHABILITATION PROJECT

RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Transfer funds in the amount of $1,119,631 from the Wastewater Fund Balance to the Worth Street Sanitary Sewer Rehabilitation, Project No. UW18028.

2. Approve Notice of Exemption No. NOE26-21 under the California Environmental Quality Act for the Worth Street Sanitary Sewer Rehabilitation, Project No. UW18028.

3. Approve the plans and specifications for the Worth Street Sanitary Sewer Rehabilitation, Project No. UW18028.

4. Award a Construction Contract in the amount of $5,136,310 to SAK Construction, LLC of O’Fallon, MO, for the Worth Street Sanitary Sewer Rehabilitation, Project No. UW18028.

It is also recommended that the City Manager be authorized to take appropriate and necessary actions to carry out the purpose and intent of this resolution.

Summary
The Municipal Utilities Department (MUD) has implemented a Condition Assessment Program for the City’s sewer infrastructure comprised of Closed-Circuit Televised Video (CCTV) inspection, pipe cleaning, and engineering evaluation. This program generates a prioritized list of sewer replacement and/or rehabilitation projects for inclusion in the City’s Capital Improvement Plan (CIP). A 36-inch diameter sewer trunk line along Worth Street was identified for rehabilitation. The project will rehabilitate approximately 7,920 linear feet of 36-inch sewer trunk line along Worth Street from Harrison Street to Sierra Nevada Street (Attachment A). The project was included in the 2018-23 Five -Year CIP.

On February 6, 2025, the City received four bids for this project. It is recommended that Council award a Construction Contract to the lowest responsible bidder, SAK Construction, LLC, in the amount of $5,136,310. It is also recommended that Council adopt a resolution approving Notice of Exemption No. NOE26-21 under the California Environmental Quality Act (CEQA), approving the plans and specifications, and transfer of funds for the project. Construction is anticipated to be completed by December 2025.

City of Stockton Page 1 of 3 Printed on 3/27/2025
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File #: 25-0186, Version: 1

DISCUSSION
Background
The MUD has implemented a Condition Assessment Program for the City’s sewer infrastructure comprised of CCTV inspection, pipe cleaning, and engineering evaluation. This program generates a prioritized list of sewer replacement and/or rehabilitation projects for inclusion in the City’s CIP. A 36- inch diameter sewer trunk line along Worth Street was identified for rehabilitation. The project will rehabilitate approximately 7,920 linear feet of 36-inch sewer trunk line along Worth Street from Harrison Street to Sierra Nevada Street (Attachment A). The project was included in the 2018-23 Five -Year CIP.

On September 17, 2019, by Motion No. 2019-09-17-1117, Council approved a Professional Services Contract for design services in the amount of $246,536.99. The project required extensive coordination with both the Burlington Northern and Santa Fe Railroad (BNSF) and Union Pacific Railroad (UPRR) as a portion of the project crosses each railroad corridor. Specifically, the project required the rehabilitation of the existing sewer pipe crossing each railroad corridor, which triggered railroad reviews and permits and/or agreements. Reviews and permits and/or agreements by the railroads took a considerable amount of time to complete and delayed the design completion. Two design amendments were prepared. The first amendment extended the design contract expiration date, and the second amendment added $108,831.50 for additional design work and agreement processing required by BNSF and UPRR. Design and agreements with the railroads were completed towards the end of 2024.

On July 26, 2016, Council adopted a Community Workforce and Training Agreement (CWTA). The CWTA became effective August 25, 2016, and applies to all Public Works projects over $1 million that are bid after that date. On July 16, 2019, by Motion No. 2019-07-16-1403, Council extended the CWTA term to August 25, 2024. On August 20, 2024, by Motion No. 2024-08-20-1203, Council extended the CWTA term to August 25, 2029. The CWTA was applied to this project as the estimated construction cost is over $1 million.

Present Situation
On December 17, 2024, the Worth Street Sanitary Sewer Rehabilitation, Project No. UW18028, was advertised for bids. On February 6, 2025, four bids were received with the following results:

COMPANY NAME BID AMOUNT
SAK Construction, LLC (O’Fallon, MO) $5,136,310
Insituform Technologies, LLC (Chesterfield, MO) $6,791,648 Lamassu Utility Services, Inc. (Loomis, CA) $8,500,000
Michels Trenchless, Inc. (Brownsville, WI) $9,950,464
Engineer’s Estimate $6,405,180
City of Stockton Page 2 of 3 Printed on 3/27/2025
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File #: 25-0186, Version: 1
The requirements of Stockton Municipal Code (SMC) section 3.68.090, Local Business Preference, apply to this project. Application of the Local Business Preference has no effect on the bid order.

The Local Employment Ordinance, SMC section 3.68.095, also applies to this contract.

The bid from SAK Construction, LLC, the lowest responsible bidder, is regular in all respects and has the proper license to perform the work. It is recommended that Council approve the plans and specifications, and award a Construction Contract to SAK Construction, LLC of O’Fallon, MO, in the amount of $5,136,310 for the Worth Street Sanitary Sewer Rehabilitation, Project No. UW18028.

The project is in conformance with the City’s General Plan, pursuant to California Government Code, section 65402, and is categorically exempt from the requirements of CEQA as specified under Section 15301(b) of the CEQA Guidelines. The activities related to this project constitute a discretionary project under the City’s jurisdiction and qualifies as a project that does not have a significant effect on the environment. The resolution will approve the filing of Notice of Exemption No. NOE26-21 under CEQA.

Construction is anticipated to be completed by December 2025.

FINANCIAL SUMMARY
With the transfer of funds in the amount of $1,119,631 from the Wastewater Fund Balance to the Worth Street Sanitary Sewer Rehabilitation, Project No. UW18028, there will be sufficient funds to award a Construction Contract to SAK Construction, LLC in the amount of $5,136,310.

There is no impact to the City’s General Fund or any other unrestricted fund as a result of taking the recommended actions.

Attachment A - Vicinity Map
City of Stockton Page 3 of 3 Printed on 3/27/2025
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CITY OF STOCKTON

DEPARTMENT OF PUBLIC WORKS

ATTACHMENT A

WORTH STREET SANITARY SEWER REHABILITATION
(PROJECT NO. UW18028)

PROJECT LOCATION

VICINITY MAP

NOT TO SCALE

PROJECT LIMITS
1422
Resolution No.

STOCKTON CITY COUNCIL

RESOLUTION TRANSFERRING FUNDS, APPROVING THE NOTICE OF EXEMPTION NO. NOE26-21, APPROVING THE PLANS AND SPECIFICATIONS, AND AWARDING

A CONSTRUCTION CONTRACT FOR THE WORTH STREET SANITARY SEWER REHABILITION, PROJECT NO. UW18028
On February 6, 2025, the City Clerk of the City of Stockton opened, examined, and publicly declared the sealed proposals or bids offered for the Worth Street Sanitary Sewer Rehabilitation, Project No. UW18028; and
The Municipal Utilities Department has implemented a Condition Assessment Program for the City’s sewer infrastructure. This program generates a prioritized list of sewer replacement and/or rehabilitation projects for inclusion in the City’s Capital Improvement Plan; and
The project will rehabilitate approximately 7,920 linear feet of 36-inch sewer trunk line along Worth Street from Harrison Street to Sierra Nevada Street; and SAK Construction, LLC, is the lowest responsible bidder in the amount of $5,136,310 and its bid is regular in all respects; and
The project is in conformance with the City’s General Plan, pursuant to California Government Code, section 65402, and is categorically exempt from the requirements of the California Environmental Quality Act (CEQA) as specified under section 15301(b) of the CEQA Guidelines, because this is a discretionary project under the City’s jurisdiction and qualifies as a project which has been determined to not have a significant effect on the environment; now, therefore,

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:

1. The City Council approves the transfer of funds in the amount of $1,119,631 from the Wastewater Fund Balance to the Worth Street Sanitary Sewer Rehabilitation, Project No. UW18028.

2. The City Council approves the filing of Notice of Exemption No. NOE26-21 under the CEQA for the Worth Street Sanitary Sewer Rehabilitation, Project No.

UW18028, a copy of which is attached as Exhibit 1 and incorporated by this reference.

3. The City Council approves the plans and specifications for the Worth Street Sanitary Sewer Rehabilitation, Project No. UW18028.
1423

4. The City Council awards a Construction Contract between the City of Stockton and SAK Construction, LLC, in the amount of $5,136,310, and the City Manager is authorized and directed to execute same, a copy of which is attached as Exhibit 2 and incorporated by this reference.

5. The City Manager is hereby authorized to take whatever actions are necessary and appropriate to carry out the purpose and intent of this Resolution.

PASSED, APPROVED, and ADOPTED April 1, 2025 .

CHRISTINA FUGAZI
Mayor of the City of Stockton
ATTEST:

KATHERINE ROLAND, CMC, CPMC
City Clerk of the City of Stockton
1424
EXHIBIT 1
1425
Local Construction Contract – WORTH STREET SANITARY SEWER LINE REHABILITATION PROJECT NO. UW18028 (Updated 10/18/23)

CONSTRUCTION CONTRACT
This contract is made and entered into on _____________, by and between SAK CONSTRUCTION, LLC, a STATE OF MISSOURI LIMITED LIABILITY COMPANY, with a business address at 864 HOFF ROAD, O’FALLON, MO 63366, hereinafter called "CONTRACTOR," and CITY OF STOCKTON, a municipal corporation, hereinafter called "CITY."
W I T N E S S E T H:

WHEREAS, plans and specifications for the construction of WORTH STREET SANITARTY SEWER LINE REHABILITATION (PROJECT NO. UW18028), hereinafter called “PROJECT,” were regularly adopted by Council Resolution No. __________________, on _________________; and
WHEREAS, the contract for said work was regularly awarded to CONTRACTOR, by Council Resolution No. __________________, on ________________.

NOW, THEREFORE, in consideration of the promises and of the mutual covenants herein contained, the parties hereto expressly agree as follows:

CONTRACTOR agrees:

1. SCOPE OF SERVICES. To do the work and furnish all the labor, materials, tools, equipment, and insurance required for the construction of PROJECT in accordance with the plans and specifications adopted on _____________, by Council Resolution No. __________________ . The "contract documents," which include the bid documents, project plans, specifications, all letters of clarification, and the City of Stockton Standard Specifications and Plans, are incorporated into and made a part of this contract by this reference to the same extent as if fully set forth.

2. COMPENSATION. To do and perform the work contemplated hereby in a good and workmanlike manner and to furnish all labor, materials, tools, and equipment necessary therefore at the prices specified in Exhibit A, attached hereto and by reference made a part hereof, under the direction of and to the complete satisfaction of the Director of Public Works of the City of Stockton. Total compensation for services and reimbursement for costs shall not exceed $5,136,310, or as otherwise mutually agreed to in a Contract Change Order.

3. INSURANCE. CONTRACTOR shall not commence any work before obtaining, and shall maintain in force at all times during the duration and performance of this contract, the policies of insurance specified in Exhibit B, which is attached to this contract and incorporated by this reference, and as provided in the “contract documents” including Section 7-1.06 of the City of Stockton Standard Specifications and Plans as adopted on September 27, 2016, by Council Resolution No. 2016-09-27-1213, effective September 27, 2016.

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It shall be a requirement under this agreement that any available insurance proceeds broader than or in excess of the specified minimum insurance coverage requirements and/or limits shall be available to the Additional Insured.

Furthermore, the requirements for coverage and limits shall be (1) the minimum coverage and limits specified in this Agreement; or (2) the broader coverage and maximum limits of coverage of any insurance policy or proceeds available to the named Insured; whichever is greater.

The Additional Insured coverage under the CONTRACTOR’s policy shall be “primary and non-contributory” and will not seek contribution from the City of Stockton’s insurance or self-insurance and shall be at least as broad as ISO CG 20 01 04 13.

The limits of insurance required in this agreement may be satisfied by a combination of primary and umbrella or excess insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a provision that such coverage shall also apply on a primary and non-contributory basis for the benefit of the City of Stockton (if agreed to in a written contract or agreement) before the City of Stockton’s own insurance or selfinsurance shall be called upon to protect it as a named insured.

All self-insured retentions (SIR) must be disclosed to the CITY’s Risk Management for approval and shall not reduce the limits of liability. Payment Bond in the amount of the self-insured retention (SIR) may be required.

Policies containing any self-insured retention (SIR) provision shall provide or be endorsed to provide that the SIR may be satisfied by either the named insured or the CITY.

The CITY reserves the right to obtain a full certified copy of any insurance policy and endorsements.

Failure to exercise this right shall not constitute a waiver of right to exercise later.

CONTRACTOR shall maintain insurance as required by this contract to the fullest amount allowed by law and shall maintain insurance for a minimum of five years following the completion of this project. In the event contractor fails to obtain or maintain completed operations coverage as required by this agreement, the City at its sole discretion may purchase the coverage required and the cost will be paid by contractor.

CONTRACTOR agrees to include with all Subcontractors in their subcontract the same requirements and provisions of this agreement including the indemnity and insurance requirements to the extent they apply to the scope of the Subcontractor’s work.

Subcontractors hired by CONTRACTOR agree to be bound to CONTRACTOR and the CITY in the same manner and to the same extent as CONTRACTOR is bound to the CITY under the Contract Documents. Subcontractor further agrees to include these same

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provisions with any Sub-subcontractor. A copy of the CITY Contract Document Indemnity and Insurance provisions will be furnished to the Subcontractor upon request. The General CONTRACTOR shall require all sub-contractors to provide a valid certificate of insurance and the required endorsements included in the agreement prior to commencement of any work and contractor will provide proof of compliance to the City.

4. INDEMNITY AND HOLD HARMLESS. To the fullest extent permitted by law, Contractor shall hold harmless, defend, and indemnify City of Stockton and its officers, officials, employees, and volunteers from and against all claims, damages, losses, and expenses including attorney fees arising out of the performance of the work described herein, caused in whole or in part by any negligent act or omission of the Contractor, any subcontractor, anyone directly or indirectly employed by any of them, or anyone for whose acts any of them may be liable, except where caused by the active negligence, sole negligence, or willful misconduct of the City of Stockton. This obligation is independent of, and shall not in any way be limited by, the minimum Insurance obligations contained in this agreement. These obligations shall survive the completion or termination of this agreement.

5. STANDARD PLANS AND SPECIFICATIONS. The performance of said work and the furnishing of said materials shall be executed in accordance with Section 8-1.04B of the City of Stockton Standard Specifications and Plans as adopted on September 27, 2016, by Council Resolution No. 2016-09-27-1213, effective September 27, 2016, and the provisions of the issued project specifications.

The Director of Public Works will furnish CONTRACTOR a weekly statement showing the number of days charged to the contract for the preceding week, the number of days specified for completion of the contract, and the number of days remaining to complete the contract. CONTRACTOR will be allowed one (1) week in which to file a written protest setting forth in what respects said weekly statement is incorrect, otherwise the statement shall be deemed to have been accepted by CONTRACTOR as correct.

6. WORKING DAYS. This work shall be diligently prosecuted to completion before the expiration of 180 WORKING DAYS beginning on the tenth calendar day after the date shown on the Notice to Proceed. It is agreed by the parties to the contract that in case all the work called for under the contract in all parts and requirements, is not finished or completed within the number of days as set forth, damage will be sustained by the CITY, and that it is and will be impracticable and extremely difficult to ascertain the actual damage which CITY will sustain in the event of and by reason of such delay; and it is therefore agreed that CONTRACTOR will pay to CITY the sum of FIVE THOUSAND TWO HUNDRED AND NO/100 DOLLARS ($5200) per day for each and every calendar day's delay in finishing the work in excess of the number of days prescribed; and CONTRACTOR agrees to pay said liquidated damages as herein provided, and in case the same are not paid, agrees that CITY, may deduct the amount thereof from any monies due or that may become due CONTRACTOR under the contract.

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It is further agreed that in case the work called for under the contract is not finished and completed in all parts and requirements within the number of days as specified, the CITY shall have the right to increase the number of days or not, as may seem best to serve the interest of CITY, and if the CITY decides to increase the said number of days, the CITY shall further have the right to charge to CONTRACTOR, CONTRACTOR's heirs, assigns or sureties, and to deduct from the final payment for the work, all or any part, as may be deemed proper, the liquidated damages as specified or the actual cost of engineering, inspection, superintendence, and other overhead expenses which are directly chargeable to the contract, and which accrue during the period of such extension, whichever is greater, except the cost of final surveys and preparation of final estimate shall not be included in such charges.

A working day shall not include, nor shall CONTRACTOR be assessed with liquidated damages nor the additional cost of engineering and inspection during any delay beyond the time named for the completion of the work caused by acts of God or of the public enemy, acts of CITY, fire, floods, epidemics, quarantine restrictions, strikes, and freight embargoes and subject to approval by the Director of Public Works, inability to get materials ordered by CONTRACTOR or subcontractor due to such causes provided that CONTRACTOR shall notify the Director of Public Works in writing of the causes of delay within five (5) working days from the beginning of any such delay, and the Director shall ascertain the facts and the extent of the delay, and Director's findings of the facts thereon shall be final and conclusive.

If CONTRACTOR is delayed by reason of alterations made in these specifications, or by any act of the Director of Public Works or of the CITY, not contemplated by the contract, the time of completion shall be extended proportionately and CONTRACTOR shall be relieved during the period of such extension of any claim for liquidated damages, engineering or inspection charges or other penalties. CONTRACTOR shall have no claim for any other compensation for any such delay.

7. CONFORMANCE TO APPLICABLE LAWS. Contractor shall comply with all applicable Federal, State, and Municipal laws, rules and ordinances. Contractor shall not discriminate in the employment of persons or in the provision 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.

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 of, or be subjected to discrimination under any program or activity receiving federal financial

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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 Discrimination and Harassment Policy (Exhibit C). 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, 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 PROVISIONS/CALIFORNIA LABOR CODE
The bidder shall understand that conditions set forth in Chapter 1, Part 7, Division 2 of the California Labor Code shall be considered part of the contract agreement.
https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode= LAB&division=2.&title=&part=7.&chapter=1.&article=2.
d. PREVAILING WAGE
CONTRACTOR 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 rates 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 purposes applicable to the work to be done. CONTRACTOR 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 determination for each craft reflects an expiration date, it shall be the prime CONTRACTOR and each subcontractor's responsibility to ensure that the prevailing wage rates of concern is current and paid to the employee.
i. The CONTRACTOR performing the work shall be responsible for obtaining a copy of the State wage rate determination. State wage rates may be obtained at

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http://www.dir.ca.gov/OPRL/pwd/Determinations/Northern/Northern.p df. The CONTRACTOR 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 CONTRACTOR choose to work on a Saturday, Sunday or on a holiday recognized by the Labor Unions, the CONTRACTOR shall reimburse the CITY the actual cost 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 California. To forfeit as a penalty to CITY the sum of TWENTY-FIVE AND NO/100 DOLLARS ($25.00) for each laborer, worker, or mechanic employed by CONTRACTOR, or by any subcontractor under CONTRACTOR, in the execution of this contract, for each calendar day during which any laborer, worker, or mechanic is required or permitted to work more 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 State 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. The CONTRACTOR to whom the contract is awarded shall ensure that the prime 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 CONTRACTOR’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. The CONTRACTOR shall comply with the provisions established in Section 1777.5 of the Labor Code concerning the 1) certified approval by local joint apprenticeship committees for the employment and training of apprentices, and 2) contribution of funds to administer and conduct apprenticeship programs, if applicable to the job. e. LOCAL EMPLOYMENT ORDINANCE

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Pursuant to Stockton Municipal Code Section 3.68.095 the CONTRACTOR and all subcontractors shall make a good faith effort to employ at least 50 percent of the workforce on this project from local residents, as measured by total labor work hours. Failure of any CONTRACTOR or subcontractor to comply with these requirements shall be deemed a material breach of the contract or subcontract. CONTRACTORS and subcontractors shall maintain records necessary for monitoring their compliance with section

3.68.095.
f. COMMUNITY WORKFORCE TRAINING AGREEMENT
Pursuant to the implementation of the Community Workforce Training Agreement (CWTA) adopted by the City Council on July 26, 2016, the successful bidder shall be required to comply with the provisions of CWTA. For any project subject to this Agreement, the Local Hire, Priority Apprentice and Workforce Development Program requirements shall apply in lieu of the requirements of Stockton Municipal Code Section 3.68.095 and no separate compliance with Section 3.68.095 will be required of the Contractors/Employers working on the project (EXHIBIT D). g. SANCTIONS
Deliverables must conform with all applicable federal, state, and local laws. Such conformity includes compliance with federal sanctions, and Contractor certifies that it has not and will not engage in prohibited transactions with sanctioned persons or entities.

CITY agrees:

8. COMPENSATION. To pay CONTRACTOR for the work herein
contemplated in the following manner: Progress payments will be made on or about the first day of each calendar month, in such sum as shall make the aggregate of payment up to such day equal to ninety-five percent (95%) of the proportional contract price, upon the basis of the progress certificate of the Director of Public Works as to the amount of work done and the proportional amount of the contract price represented therefore; and all of the remaining part of the contract price not as aforesaid paid, shall be paid at the expiration of thirty-five (35) days from the completion of said work of construction and the certification by the Director of Public Works of such completion.

9. SECURITIES. Pursuant to Section 22300 of the Public Contract Code, CONTRACTOR will be permitted, at its request and sole expense, to substitute securities for any monies withheld by the CITY to ensure performance under the contract. Said securities will be deposited either with the CITY or with a State or federally chartered bank

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as escrow agent. Securities eligible for this substitution are those listed in Section 16430 of the California Government Code or bank or savings and loan certificates of deposit.

CONTRACTOR shall be the beneficial owner of any securities substituted for monies withheld and shall receive any interest thereon.

10. CHANGE ORDERS. CITY reserves the right to make such alterations, deviations, additions to or omissions from the plans and specifications, including the right to increase or decrease the quantity of any item or portion of the work, as may be deemed by the Engineer to be necessary or advisable and to require such extra work as may be determined by the Engineer to be required for the proper completion or construction of the whole work contemplated.

Any such changes will be set forth in a contract change order 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 change order will not become effective until approved by the City Manager and/or the City Council.

Processing of change orders shall be in accordance with Section 4-1.05A of the City of Stockton Standard Specifications and Plans as adopted by Council on September 27, 2016, by Resolution No. 2016-09-27-1213, effective September 27, 2016, or as otherwise amended by Council. When the compensation for an item of work is subject to adjustment under the provisions of Standard Specifications and Plans, Section 4-1.05A, CONTRACTOR shall, upon request, promptly furnish the Engineer with adequate detailed cost data for such item of work.

11. AUDITS. CITY reserves the right to periodically audit all charges made by CONTRACTOR to CITY for services under the contract. Upon request, CONTRACTOR agrees to furnish CITY, or a designated representative, with necessary information and assistance.

CONTRACTOR agrees that CITY or its delegate will have the right to review, obtain and copy all records pertaining to performance of the contract. CONTRACTOR agrees to provide CITY or its delegate with any relevant information requested and shall permit CITY or its delegate access to its premises, 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 purpose of determining compliance with this requirement.

CONTRACTOR further agrees to maintain such records for a period of three (3) years after final payment under the contract.

12. WAIVER. It is expressly understood and agreed by and between the parties hereto that a waiver of any of the conditions of this contract shall not be considered a waiver of any of the other conditions thereof.

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It is further understood and agreed by and between the parties hereto that time is of the essence of this contract in all respects.

IN WITNESS WHEREOF, the parties hereto have hereunto affixed their hands and seals the day and year first above written.

ATTEST: CITY:

KATHERINE ROLAND, CMC, CPMC

CITY CLERK
By: _____________
APPROVED AS TO FORM & CONTENT:

LORI M. ASUNCION

OFFICE OF THE CITY ATTORNEY
By:------------

ASSISTANT CITY ATTORNEY
By:_-'----------­

STEVE COLANGELO

INTERIM CITY MANAGER
By,;,: "----L---1--tbL-"'-f.>"-l,--4----
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2 Tax Identification No.

Local Construction Contract-WORTH STREET SANITARY SEWER LINE REHABILITATION PROJECT NO. UW18028
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EXHIBIT 2
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Exhibit B:

Insurance Requirements
(Worth Street Sanitary Sewer Line Rehabilitation, Project No. UW18028) Contractor shall procure and maintain for the duration of the contract, and for five (5) years thereafter, 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 Contractor, his agents, representatives, employees, or subcontractors.

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

1. Commercial General Liability (CGL): Insurance Services Office (ISO) 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 $5,000,000 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 CA 0001 covering Code 1 (any auto), with limits no less than $5,000,000 per accident for bodily injury and property damage.

3. Workers’ Compensation insurance as required by the State of California, with Statutory Limits, and Employers’ Liability insurance with a limit of no less than $1,000,000 per accident for bodily injury or disease.

4. Contractors’ Pollution Legal Liability and/or Asbestos Legal Liability and/or Errors and Omissions (if project involves environmental hazards) with limits no less than $2,000,000 per occurrence or claim, and $2,000,000 policy aggregate.

5. Builder’s Risk (Course of Construction) insurance utilizing an “All Risk” (Special Perils) coverage form, with limits equal to the completed value of the project and no coinsurance penalty provisions.

6. Railroad Protective Liability Insurance. Railroad Protective Liability insurance on behalf of City as named insured, with a limit of not less than $2,000,000 per occurrence and an aggregate of $6,000,000. A binder stating the policy is in place must be submitted to City before the work may be commenced and until the original policy is forwarded to City.

7. Surety Bonds as described below.

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If the contractor 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.

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 Insured.

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.

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

1. 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 and automobiles owned, leased, hired, or borrowed by or on behalf of the Contractor.

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, CG 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions 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.

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2. For any claims related to this project, the Contractor’s insurance coverage shall be primary and non-contributory insurance coverage 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.

3. Each insurance policy required by this clause shall provide that coverage shall not be canceled, except with notice to the City of Stockton.

Builder’s Risk (Course of Construction) Insurance
Contractor may submit evidence of Builder’s Risk insurance in the form of Course of Construction coverage. Such coverage shall name the City of Stockton as a loss payee as their interest may appear.

If the project does not involve new or major reconstruction, at the option of the City of Stockton, an Installation Floater may be acceptable. For such projects, a Property Installation Floater shall be obtained that provides for the improvement, remodel, modification, alteration, conversion or adjustment to existing buildings, structures, processes, machinery and equipment. The Property Installation Floater shall provide property damage coverage for any building, structure, machinery or equipment damaged, impaired, broken, or destroyed during the performance of the Work, including during transit, installation, and testing at the City of Stockton’s site.

Claims Made Policies (Professional & Pollution only)
If any coverage required is written on a claims-made coverage form:

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

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

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

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5. If the services involve lead-based paint or asbestos identification/remediation, the Contractors Pollution Liability policy shall not contain lead-based paint or asbestos exclusions. If the services involve mold identification/remediation, the Contractors Pollution Liability policy shall not contain a mold exclusion, and the definition of Pollution shall include microbial matter, including mold.

Umbrella or Excess Policies
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.

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

Waiver of Subrogation
Contractor hereby agrees to waive rights of subrogation which any insurer of Contractor may acquire from Contractor by virtue of the payment of any loss.

Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation. The Workers’ Compensation policy shall be endorsed with a waiver of subrogation in favor of the City of Stockton for all work performed by the Contractor, its employees, agents and subcontractors.

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

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

Subcontractors
Contractor shall require and verify that all subcontractors maintain insurance meeting all requirements stated herein, and Contractor shall ensure that City of Stockton is an additional insured on insurance required from subcontractors. For CGL coverage, subcontractors shall provide coverage with a form at least as broad as CG 20 38 04 13.

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.

Surety Bonds
Contractor shall provide the following Surety Bonds:

1. Bid Bond

2. Performance Bond

3. Payment Bond

4. Maintenance Bond
The Payment Bond and the Performance Bond shall be in a sum equal to the contract price. If the Performance Bond provides for a one-year warranty a separate Maintenance Bond is not necessary. If the warranty period specified in the contract is for longer than one year a Maintenance Bond equal to 10% of the contract price is required. Bonds shall be duly executed by a responsible corporate surety, authorized to issue such bonds in the State of California and secured through an authorized agent with an office in California.

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 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

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EXHIBIT 2
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EXHIBIT 2
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EXHIBIT 2
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EXHIBIT 2
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City of Stockton
Legislation Text
File #: 25-0365, Version: 1

CLIMATE ACTION AND ADAPTATION PLAN UPDATE AND NOTIFICATION OF COMMUNITY

AND STAKEHOLDER ENGAGEMENT

RECOMMENDATION
Informational only; no action to be taken.

Summary
This will be an informational update on the Climate Action and Adaption Plan and notification of community and stakeholder engagement.

City of Stockton Page 1 of 1 Printed on 3/27/2025
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Stockton CCAAP Grant
Overview
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• Phase 1 Planning Grants
(Discretionary) awarded to
metropolitan statistical areas (MSAs) to develop:
• Priority Climate Action Plan (PCAP)• Comprehensive Climate Action Plan (CCAP)
• Status Report
• Phase 2 Implementation Grants
(Competitive):
– $4.3 billion awarded in 2024 for 25
projects around the US
U.S. EPA’s Climate Pollution Reduction Grant (CPRG) program 1491
• The Stockton CCAAP will
fulfill CPRG requirements
• A regional focus – the
Stockton-Lodi MSA
• Plan will go beyond CPRG
requirements by including climate vulnerability and adaptation Stockton CCAAP and the CPRG program
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Stockton CCAAP and the Adaptation Planning Grant Program The Adaptation Planning Grant (APG) Program supports local, regional, and Tribal communities to identify climate resilience priorities and support the development of a pipeline of climate-resilient infrastructure projects across the state, prioritizing equity and integrated social and physical infrastructure planning.

The Stockton CCAAP will meet APG goals through
Meaningful
community
engagemen
t
Prioritization
of equity
Partnerships
with
communitybased
organizations
Multi-benefit
strategies
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CCAAP Work Plan & Schedule
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Our Tailored Approach
Effective Decision
Making
What priority
investments can we
make now to plan for
an uncertain future?
Data Informed
What is the best
data we can
use?
Equity Centered
How can we best
support the Stockton
MSA community?
Implementation
Focused
How can we
strategically set‐up
Stockton for future
funding and
implementation
opportunities?
Maximize Co‐
Benefits
What opportunities
exist to uplift LIDAC
and workforce
development ?
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Our Team

GHG & BENEFITS
Vanessa GohTask Lead
VMT Analysis
Chelsea Richer, F&P
Kari McNickle, F&P
Albee Wei, F&P
Adrita Islam, F&P
Co‐Pollutant Analysis
Paola Peña
LIDAC Analysis
Sean Adibi
Funding & Implementation
Alison Nemirow
Land Use Planning
Matthew Gerken
Zero‐EmissionsTransportation
Andrew Bui
Facility Energy Use
Calum Thompson

SUBJECT MATTER EXPERTS
Project ManagerShelley Jiang
Technical Analyst
Sylvia Chang
Adaptation Planning
Sonia Aronson

CLIMATE ADAPTATION
Diana EdwardsTask Lead
Cost Analysis
Katie Hall
Workforce Analysis
Sarah Murphy
Funding & Financing
Analysis
Lillian Holmes

FUNDING &

IMPLEMENTATION
Emily SchwimmerTask Lead
Equity Strategy
Tatum Lau
Community Outreach
Emily Biro
Agency Coordination
Shelley Jiang JoshuaLathan Vanessa Goh

COMMUNITY &

STAKEHOLDER ENGAGEMENT
Laura AdlemanTask Lead
Project DirectorJoshua Lathan
F&P – Fehr& Peers
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Timeline and
Task Overview
Project Kickoff
Baseline Assessment and
Engagement Plan
Climate Vulnerability Assessment,
GHG Inventory, Draft Action
Identification, Benefits Analysis
Draft PCAP
Action Evaluation and Prioritization,
Implementation Roadmaps
Public Review CCAAP
Draft Final CCAAP,
Status Report #1 Prep
Launch Event Prep
Implementation
(Led by City)
Status Report #2
• Interviews• Community Workshop #1• Climate Action Survey #1 C • Community Events (4)
E
• Community Workshop #2• Climate Action Survey #2• Community Events (4)• Interviews C
E
• Community Events (2) CE
P
C
P
C
P
C
P
C
P
C
P
C
P
C
P
C
C
E
CCAAP Project Collaborators MeetingsCommunity Engagement July 2024
Winter
2025
Fall 2024
Spring
2025
Fall 2025
Spring
2026
Spring
2027
Winter
2026
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Recognizing Stockton’s Existing Conditions and Priorities Goal: Build an
understanding of
Stockton’s existing
conditions,
experiences, and
priorities
Establish project vision, goals, and objectives
Review
region’s plans
and existing
studies
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Greenhouse Gas Emissions Analysis
Develop GHG
emissions
inventory for
Stockton and the
MSA
Forecast 2030
and 2050 GHG
emissions
Set GHG
emissions targets
with the City
Develop GHG
reduction
pathways and
strategies
Quantify GHG
emissions
reductions
Goal: Establish greenhouse (GHG) reduction target and robust set of strategies that improve quality of life, public health, equity, and local economy in Stockton MSA 1499
Evaluate broader
social and economic
benefits
• Air pollution• Public health• Cost savings• Environment & water Focus on low-income and
disadvantaged
communities (LIDACs)
• Engage with communities to
understand needs and priorities
• Design strategies that
increase benefits to LIDACs
Evaluate Regional Benefits
Prioritize Actions based
on city and community
priorities
• Community input• GHG reductions• Climate risk reductions• LIDAC benefits 1500
Climate Vulnerability & Risk Assessment
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Assess Vulnerability
Public input
on past
experiences
+
Climate Hazard
Layers
+
Asset
Locations
Wildfire‐
related
damages and
closures
Inundation
of bridge and
adjacent
roads
Damage to
railway tracks
from permanent
inundation
Erosion
and
shoreline
loss along
Highway 1
shoulder
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A Final Plan that Supports Implementation
Increase
monitoring
and vegetation
clearance in
the ROW
Elevate
railway
segments
Beach and
dune
nourishment
Implement
armoring and
bank stabilization
measures
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Moving Toward Implementation
Identify funding & financing strategies» Scale of funding need» Eligible agencies for state and federal funding opportunities
Develop implementation plan that considers» Existing efforts» Authority» Costs» Partnerships » Resources Build an implementation-ready plan for Stockton that supports the City to access funding, deploy projects, and track progress
Anticipate workforce impacts» Identify workforce needs, growth projections, regional challenges, and gaps
» Consider equitable access and
a just transition
» Build partnerships
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Equitable Engagement
Community
workshops &
surveys
Hear from public and
collect data at key
milestones
Project
website
Interactive portal
to learn, engage,
and provide
comments
Community
meetings &
events
Reach people where
they are, focusing on
disadvantaged
communities
Stakeholder
interviews
Listen to lived
experience and
understand
agency expertise
CCAAP
Project
Collaborator
s
Share progress,
guide approach,
and review
deliverables
Goal: Support the
public to learn about
climate action, and
provide informed,
meaningful input, at
key project stages
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How will community input inform the CCAAP?
Recognize Past
Impacts
Inclusive Community
Participation
Community
Priorities and
Values
Analyze and Assess
Equitable Outreach & Engagement
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A Successful Process
Prioritize and Implement
Develop and Prioritize
Strategies
Focus on
Implementation
Recognize Past
Impacts
Community
Priorities and
Values
Analyze and Assess
Equitable Outreach & Engagement
Inclusive Community
Participation
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City of Stockton
Legislation Text
File #: 25-0385, Version: 1

ADOPT A RESOLUTION TO APPLY, ACCEPT, AND APPROPRIATE GRANT FUNDING FROM

THE CALIFORNIA DEPARTMENT OF HOUSING AND COMMUNITY DEVELOPMENT FOR THE HOMEKEY+ GRANTS PROGRAM IN SUPPORT OF SERVICE FIRST OF NORTHERN

CALIFORNIA AND APPROVE THE ALLOCATION OF IDENTIFIED FUNDING TO THE HUNTER

HOUSE AFFORDABLE HOUSING PROJECT

RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Authorize staff to apply for and accept and appropriate Homekey+ grant funds of the State of California in an amount not to exceed $36,000,000.
a. Submit a Homekey+ application to the State in partnership with The Hunter House, LP for the Hunter House affordable development, a new construction project providing 120 housing units for individuals or households experiencing behavioral health challenges and experiencing homelessness or at risk of homelessness including youth, veterans and other disabled individuals.

2. Approve a Resolution of the governing body of the City of Stockton authorizing joint application to and participation in the Homekey+ Program,

3. Authorize a Resolution allocating $1,301,263 in Homeless Housing Assistance and Prevention (HHAP) grant funding to Service First of Northern California for the Hunter House affordable housing project,

4. Authorize the City Manager, or designee, to defund all awarded funding to Service First of Northern California for the Hunter House project if the Homekey+ funding process that commences with applications due in April 2025 does not result in approval and award of required funding to the Hunter House project; and

5. Authorize the City Manager, or designee, to take all necessary and appropriate actions to carry out the purpose and intent of the resolution.

Summary
Service First of Northern California (Service First) is seeking gap funding through the State of California Department of Housing and Community Development (HCD) Homekey+ Grants program for the Hunter House affordable housing project. The Homekey+ Program requires a funding commitment from the City or other local governing bodies to apply for grant funding. The Homekey+ Program requires a resolution from the Stockton City Council, with the City as the lead applicant, to City of Stockton Page 1 of 3 Printed on 3/27/2025
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reinforce its commitment to proceed with a Standard Agreement for the grant, if awarded. Hunter House is a proposed 120-unit single housing complex located at 610 N. Hunter Street, Stockton CA 95202.

DISCUSSION
Background
On January 28, 2020, Council allocated $290,000 of HOME and $250,000 of Low-Moderate-Income Housing Fund (LMIHF) funds to support the Hunter House affordable housing project (Attachment AResolution 2020-01-28-1401). On June 22, 2021, $1,020,605 of HOME and $179,395 Neighborhood Stabilization Program - Round 1 (NSP) funding were also allocated to this project (Attachment BResolution 2021-06-22-1502).

Hunter House has been working on their full financing plan since prior to the 2020 funding. They have applied for tax credits through the state for at least three rounds without success. In June 2024, Service First reached out to the City with a request for more funding to aid them in achieving a higher score through the annual State of California low income housing tax credit competitive allotment. As a result of the request for additional funds, the Economic Development Department identified $1.3M of available HHAP funding as eligible for the project’s use and provided Service First with a letter of identification for use in their pursuit of 2024 tax credits. Unfortunately, Hunter House was not successful at obtaining the 2024 tax credits by late July 2024. In late 2024, the City considered deobligating the funding obligated to Hunter House, as Hunter House appeared to be in jeopardy of losing substantial state funding due to the inability to secure funding and commence construction.

Continuing to wait for Hunter House to secure full financing would put the City in violation of requirements to spend funds in a timely manner and result in the loss of funds. In the last week of December, HCD issued an additional extension to Hunter House on state funding for the project, contingent upon Hunter House being successful at the current round of HCD’s Homekey+ application.

Present Situation
The Hunter House developer, Service First, alerted the City that Homekey+ has been identified as a funding source with favorable communication from HCD in the last two months. To compete for the Homekey+ funds, the City is required to be the lead applicant with Service First, or a legally created entity for the project, as the co-applicant. While Service First will complete all of the detailed project information for the application, the City will be required to authorize the application and commit the identified funding that had not yet been formally allocated through Council for this project ($1.3M of HHAP funds). The funding is available through grant funding, however formal allocation is necessary through the attached Resolution.

There is little risk to the City in providing this support. In the best case scenario, Hunter House receives the Homekey+ funding to complete their funding plan and thus has a plan to be under construction as early as October 2025, with completion as early as the end of 2026. This is great news for the City, in that it will add 120 affordable housing units to a lot that currently sits vacant in the immediate downtown area.

If Hunter House is not awarded Homekey+ funds, HCD has stated that the extension given to Hunter City of Stockton Page 2 of 3 Printed on 3/27/2025
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House for the already allocated state funding will be revoked, creating a substantial gap in overall funding for the project (Attachment C- HCD Notice). If that happens, it would be logical and prudent for the City to de-obligate all funding ($3,041,263) from the project and look to reallocate it to projects that are more ready to lift and help the City achieve expenditure timeliness deadlines and more affordable housing through other means. It is recommended that the de-obligation be approved through the attached resolution such that if Homekey+ fails to come to fruition, the authorization to de -obligate is completed by reference to the attached Resolution and written notification from the City to the developer.

FINANCIAL SUMMARY
This Resolution commits $1,301,263 of HHAP funds to the Hunter House project, in addition to the $1,740,000 that was already committed by City Council in the Resolutions referenced in Attachments A and B. There is sufficient funding available in the Special Grants Fund, Housing Division, in the HHAP 3 and 4 projects to support this action. There is no financial impact to the City's General Fund or any other unrestricted fund as a result of taking the recommended action, as all allocated funding, previous and proposed, is funded through grants specific to affordable housing.

Attachment A - Resolution 2020-01-08-1401
Attachment B - Resolution 2021-06-22-1502
Attachment C - HCD Notice
City of Stockton Page 3 of 3 Printed on 3/27/2025
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ATTACHMENT A
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ATTACHMENT A
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EXHIBIT 1
2020 Affordable Housing Loan Program Allocation
Applicant Project # of
Units
Est. Project
Cost Funds
Requested
Proposed
Funding Source
DCDC Housing
First LLC
Partnership
in Housing
for the
Homeless
13 $4,820,646 $790,646 $684,303
$106,343
CHDO
CDBG
Housing Authority Sierra Vista
Apartments
Phase III
100 $46,062,862 $1,800,000 $364,000
$250,000
HOME
LMIHF
Service First of
Northern CA
The Hunter
House
120 $55,060,136 $1,800,000 $540,000 HOME
Mutual Housing

CA & APSARA
Park Village
Apartments
208 $39,410,527 $1,800,000 $396,000 HOME
DFA Medici
Associates LP
Medici Artist
Lofts
34 $16,490,572 $1,510,345
(request later
reduced to
$500,000)
$250,000 LMIHF
TOTAL $7,700,991 $2,590,646

ATTACHMENT A
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ATTACHMENT B
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ATTACHMENT B
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2021 AFFORDABLE HOUSING LOAN PROGRAM ALLOCATION EXHIBIT 1 Project #
of Units
Development
Cost Est.

Cost Per
Unit
Prior City
Funds
Allocated
Funds
Requested
Recommended
City
Funding
Source
Town Center Studios
(Rehabilitation)
40 $6,817,130 $170,428 $129,205 $2,098,830 $700,000 CDBG Sierra Vista Apartments
Phase III (Preservation)
74 $36,341,858 $491,106 $2.6 Million $2,528,958 $793,286 PLHA Sonora Square
(New Construction)
37 $14,618,371 $395,091 $0.00 $2.500,000 $456,714 CDBG
Liberty Square
(New Construction)
31 $13,863,651 $447,215 $2.8 Million $600,000 $600,000 HOME/ CHDO
Shared Permanent
Housing for Homeless
(New Construction)
30 $6,295,338 $209,845 $0.00 $3,595,338 $1 Million HOME Grand View Village
(New Construction)
75 $42,360,235 $564,803 $2.6 Million $2,770,000 $906,714 $973,370
$119,916
PLHA
LMIHF
NSP
The Hunter House
(New Construction)
120 $58,456,580 $487,138 $540,000 $2,000,000 $1,020,605 $179,395
HOME
NSP
La Passeggiata
(New Construction)
94 $42,463,340 $451,738 $0.00 $2,996,720 $600,000 HOME
Fontana Towers
(New Construction)
105 $52,740,097 $502,287 $0.00 $2,500,000 $1,040,541 CDBG 606 $21,589,846 $8,390,541

ATTACHMENT B
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ATTACHMENT C
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ATTACHMENT C
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Resolution No.

STOCKTON CITY COUNCIL

A RESOLUTION OF THE GOVERNING BODY OF THE CITY OF STOCKTON AUTHORIZING JOINT APPLICATION TO AND PARTICIPATION IN THE HOMEKEY+

PROGRAM AND APPROVING THE ALLOCATION OF FUNDING TO THE HUNTER

HOUSE AFFORDABLE HOUSING PROJECT
WHEREAS:

A. The Department of Housing and Community Development (“HCD”) has issued a Notice of Funding Availability, dated November 26, 2024 (“NOFA”), for the Homekey+ Program (“Homekey+” or “Program”). HCD has issued the NOFA for Homekey+ grant funds pursuant to Health and Safety Code section 50675.1.3 (Assem. Bill No. 140 (2021-2022 Reg. Sess.), § 20.); Health and Safety Code section 50675.1.5 (Assem. Bill No. 531 (2023-2024 Reg. Sess.); Section 14184.402 of the Welfare and Institutions Code; Section 5891.5 of the Welfare and Institutions Code; and Round 5 and 6 of the Homeless Housing, Assistance and Prevention (HHAP) grant program. (Assem. Bill No. 129 (Chapter 40, Statutes 2023) and Assem. Bill No. 166 (Chapter 48, Statutes 2024), respectively.

B. City of Stockton (“Applicant”) desires to jointly apply for Homekey+ grant funds with Service First of Northern California (“Service First”). Therefore, the Applicant is joining Service First in the submittal of an application for Homekey+ funds to HCD for review and consideration.

C. HCD is authorized to administer Homekey+ pursuant to the Multifamily Housing Program (Chapter 6.7 (commencing with Section 50675) of Part 2 of Division 31 of the Health and Safety Code. Homekey+ funding allocations are subject to the terms and conditions of the NOFA, the Application, the HCD-approved STD 213, Standard Agreement (“Standard Agreement”), and all other legal requirements of the Homekey+ Program.

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:

1. The City Council hereby approves $1,301,263 million in Homeless Housing Assistance and Prevention (HHAP) grant funding to Service First for the Hunter House affordable housing project; and

2. The City Manager or designee is hereby authorized and directed to submit a joint Application to HCD in response to the NOFA, and to jointly apply for Homekey+ grant funds in a total amount not to exceed $36,000,000; and

3. If the Application is approved, the City Manager or designee is hereby authorized 1520
and directed to enter into, execute, and deliver a Standard Agreement in a total amount not to exceed $36,000,000 and any and all other documents required or deemed necessary or appropriate to secure the Homekey+ funds from HCD and to participate in the Homekey+ Program, and all amendments thereto (collectively, the “Homekey+ Documents”); and

4. The City Manager acknowledges and agrees that the City shall be subject to the terms and conditions specified in the Standard Agreement, and that the NOFA and Application will be incorporated in the Standard Agreement by reference and made a part thereof. Any and all activities, expenditures, information, and timelines represented in the Application are enforceable through the Standard Agreement.

Funds are to be used for the allowable expenditures and activities identified in the Standard Agreement; and

5. The City Manager or designee is hereby authorized to defund all awarded funding (previously $1,740,000, and through this Resolution an additional $1,301,263, for a total of $3,041,263) to Service First for the Hunter House project if the Homekey+ funding process that commences with applications due in April 2025 does not result in approval and award of required funding to the Hunter House project; and

6. The City Manager or designee is hereby authorized to take all necessary and appropriate actions to carry out the purpose and intent of this Resolution, including execution of a grant agreement and associated documents.

PASSED, APPROVED, and ADOPTED April 1, 2025 , by the following vote:

AYES: [ ] NAYS: [ ] ABSTAIN: [ ] ABSENT: [ ]
The undersigned, Clerk of the City of Stockton does hereby attest and certify that the foregoing is a true and full copy of a resolution of the governing body adopted at a duly convened meeting on the date above-mentioned, and that the resolution has not been altered, amended, or repealed.

CHRISTINA FUGAZI
Mayor of the City of Stockton
ATTEST:

KATHERINE ROLAND, CMC, CPMC
City Clerk of the City of Stockton
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Approve a Resolution Supporting the
Application of Service First of Northern
CA for the Homekey+ Grant Program and
Approve the Allocation of Identified
Funding
Stockton City Council
Agenda Item #15.2
April 1, 2025
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HUNTER HOUSE
610 N HUNTER & 619 N. SAN JOAQUIN STREETS
120 AFFORDABLE 1- & 2-BEDROOM UNITS WITH

COMMUNITY SPACE FOR RESIDENTS

LOCATED IN CLOSE PROXIMITY TO RTD, GROCERY, HEALTH

CARE, PARKS, AND LIBRARY
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Serving those with very low income and those at risk of homelessness, including:

Youth, Veterans, those experiencing chronic Mental Illness and Substance Abuse This project has partnerships with the following to help provide services for residents, including: San Joaquin Behavioral Health, Central Valley Low-Income Housing, the Veterans Administration, Valley Mountain Regional Center, and Aspiranet Youth program.

HUNTER HOUSE PROJECT
DEVELOPER: SERVICE FIRST OF NORTHERN CALIFORNIA
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AGENDA
State HCD Funding:
12/2021 - $2,538,787
2/2022 - $17,240,556
2/2022 - $9,766,514
Total Approved: $29,545,857
Homekey+ Request: $36,000,000
Total State Funding: $65,545,857
City Funding:
1/2020 - $540,000
6/2021 - $1,200,000
Total Allocated: $1,740,000
Current Request: $1,301,263
Total City Funding $3,041,263
The
Funding
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HUNTER HOUSE
TIMELINE • Hunter House received state and/or City Funding in 2020, 2021, and 2022. • Hunter House has applied for state tax-credits to complete the finance plan for the project during the past four years 2021-2024.
• Previously awarded HCD funding was extended by 6 months, expiring in 12/2024, allowing the project to once again compete for tax credits in 2024. • In June 2024, Economic Development Dept. identified an additional $1.3M of unallocated funding that could be allocated by Council, if tax credits were secured in 2024.
• November 2024 – Hunter House was not recommended for funding through the City’s 2024 NOFA process, though they did apply and met minimum qualifications for eligibility.
• HCD allowed another extension in late 12/2024, through the completion of the 2025 Homekey+ funding opportunity.
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RESOLUTION
ACTIONS 1. Direct City Manager to Submit an Application to HCD for Participation in the Homekey+ Program Requesting $36M in Funding for the Hunter House Project with Service First as CoApplicant;

2. Allocate the Identified $1.3M in Homeless Housing Assistance and Prevention (HHAP) Funding to Support the Hunter House Project;

3. Authorize the City Manager to Enter Into All Legal
Agreements/Documents Necessary to Carry Out the Intent of this Resolution; and

4. Approve the De-obligation of All City-Allocated Funding to Hunter House Project if the 2025 Homekey+ Funding Request Is Unsuccessful, as the Project will Become Unfeasible with the Loss of Previously Awarded State Funding.
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City of Stockton
Legislation Text
File #: 25-0268, Version: 1

ADOPT A RESOLUTION APPROVING A REQUEST FOR A TENTATIVE CANCELLATION OF A WILLIAMSON ACT CONTRACT FOR A 43.66-ACRE PARCEL LOCATED AT 4849 CAROLYN WESTON BOULEVARD (APN 166-030-05)

RECOMMENDATION
It is recommended that the City Council:

1. Find no further environmental review is required per California Environmental Quality Act (CEQA) Guidelines Section 15183 (consistency with the General Plan); and

2. Adopt a Resolution approving the Tentative Cancellation of the Williamson Act Contract for a

43.66-acre parcel located at 4849 Carolyn Weston Boulevard (APN 166-030-05).

Summary
On January 25, 2024, the Applicant, TTLA Stockton-Asano LLC, (hereafter the “Applicant”) received Planning Commission approval (via Resolution 2024-01-25-0501) of a Tentative Subdivision Map to subdivide a 44.2-acre parcel of land located at 4849 Carolyn Weston Boulevard (APNs 166-030-05 and 166-030-33) into 224 parcels, consisting of 211 parcels for single family residential homes and 13 parcels for common areas including park, open space, drainage basin, and a bike path.

A condition of approval for said project is the cancellation of an existing Williamson Act (WA) contract on the subject parcel. Per SMC Section 16.236.030, the Council shall first conduct a public hearing on the initial tentative cancellation of the WA contract to determine if the required findings can be made in the affirmative, and then, at a later date, confirm that all conditions and contingencies including payment of penalty fees have been satisfied and issue a Final WA certificate of cancellation.

In addition to fulfilling a condition of approval, the request for Tentative Cancellation of the Williamson Act contract for the 43.66-acre parcel located at 4849 Carolyn Weston Boulevard (APN 166-030-05) is consistent with the General Plan and Zoning designation for the proposed Project site and all necessary findings can be made to support approval of a Certificate of Tentative Cancellation of the WA Contract (see proposed Resolution).

DISCUSSION
Background
The Williamson Act (officially, the California Land Conservation Act of 1965) is a California law that provides relief of property tax to owners of farmland and open-space land in exchange for a ten-year City of Stockton Page 1 of 4 Printed on 3/27/2025
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agreement that the land will not be developed or otherwise converted to another use. (Government Code Section 51200 et seq.) A new ten-year period is automatically started each year unless an owner files a Notice of Nonrenewal with the State and City to end the automatic initiation of a new ten -year contract term and/or a cancellation request to terminate the contract before the end of the tenyear period.

Early cancellation requires the City Council to approve a Tentative Cancellation request to accept the appraised land value and allow the property owner to work with the California Department of Conservation and the San Joaquin County Assessor’s office to prepare a Final Cancellation request for payment of any remaining taxes.

In July 2022, the Applicant recorded a Notice of Nonrenewal and Cancellation for the subject property (Attachment A). Due to the lengthy process of determining the appropriate Cancellation Value and associated cancellation fee with the County Assessor’s Office, the subdivision entitlement described below was processed separately from the WA cancellation.

In January 2024, the Applicant filed for and received approval of a tentative subdivision map by the Stockton Planning Commission to subdivide and develop a 44.6-acre property at 4849 Carolyn Weston Boulevard. The project site is zoned Residential, Low-Density and proposes 211 singlefamily homes within the Weston Ranch community area (P21-0999), see location and context map (Attachment B). As evidenced in the location map, this property did not develop when the Weston Ranch community area was developed and is considered an infill project, as streets and utilities are currently stubbed to extend into the site with anticipation of eventual development.

The Applicant’s property is currently under a Williamson Act Contract. On July 13, 2022, the Applicant recorded a notice of nonrenewal with the County in anticipation of developing the 44.6-acre property, which initiated the countdown of the 10-year term (approximately 7.4 years now remaining).

The Applicant filed a new application to cancel the Williamson Act contract earlier to develop the property with housing. Stockton Municipal Code (SMC) Section 16.236.030 provides the two-step process for early contract cancellation described above. The first step is the initial tentative cancellation of the WA contract via public hearing. If approved, the Applicant can pay the early cancellation penalty fees based on the appraised property value to San Joaquin County. The second step in the WA cancellation process requires the City Council to confirm that the penalty fees have been paid to issue a Final WA certificate of cancellation.

Project Description
On January 25, 2024, the subdivision project was approved by the Planning Commission with the WA cancellation as a condition of approval. On January 22, 2025, the San Joaquin County Assessor’s Office determined the cancellation value and associated cancellation fee to be approximately $819,482, allowing the applicant to then proceed with the WA cancellation process with the City (Attachment C).

The proposed Project site includes an existing single-family home, accessory dwelling unit, and farming structures to service the row crops onsite. The site is surrounded to the north, east, and south by existing single-family homes (Weston Ranch) and the San Joaquin River to the west. The site is directly south of George Y. Komure Elementary School. The proposed Project site is one of the City of Stockton Page 2 of 4 Printed on 3/27/2025
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few remaining undeveloped properties within the Weston Ranch community.

STAFF ANALYSIS
The Applicant is currently under a WA Contract and filed an application for a Tentative Cancellation of the WA Contract as a condition of the approved development entitlement. The Applicant has received the early cancellation fee from the County Assessor’s Office. The current recommended action enables the Applicant to coordinate payment of the fee with the County and notice the Department of Conservation prior to proceeding with final cancellation request. The recommended action allows the Applicant to develop the intended residential use.

Environmental Clearance
The proposed cancellation request does not require additional environmental review per the California Environmental Quality Act (CEQA) Guidelines Section 15183, because it is consistent with the development impacts established by a General Plan Environmental Impact Report (“EIR”), and there are not project-specific significant effects specific to the cancellation. The General Plan EIR was prepared and certified by the City Council as part of the Envision Stockton 2040 General Plan process (SCH# 2017052062). The 2040 General Plan envisions the proposed Project site and surrounding areas to include single-family residential use.

The General Plan EIR anticipated cancellation of the WA contract at the Project site among other locations in the City. As shown in General Plan EIR Figure 4.2-4, the proposed Project site was expected to have its WA contract canceled to convert the land from agricultural to residential uses consistent with the existing Low-Density Residential (LDR) General Plan designation (Attachment D).

The proposed Project site was also included in the Housing Element for potential housing development toward meeting the City’s Regional Housing Needs Allocation (RHNA). The WA cancellation request is consistent with the General Plan EIR, and no further environmental review is required per CEQA section 15183.

Tentative Cancellation of Williamson Act Contract
Staff recommends the Council approve the proposed Tentative Cancellation. Removal of the WA contract will allow site development consistent with the General Plan and Housing Element.

Therefore, the request for Tentative Cancellation of the Williamson Act contract for the 43.66-acre parcel located at 4849 Carolyn Weston Boulevard (APN 166-030-05) is consistent with the General Plan and Zoning designation for the proposed Project site. As outlined in the proposed Resolution, all necessary findings can be made to support approval of a Certificate of Tentative Cancellation of the WA Contract (Exhibit 1 to the Resolution). Upon approval of the Tentative Cancellation, the applicant will be able to continue the cancellation process as outlined earlier in this report.

Public Comments
Notice for the City Council public hearing for this request was published in The Record on March 21, 2025, and mailed notice was sent to all property owners within a 300-foot radius and all properties with active Williamson Act contracts within one mile of the proposed Project site. As of the writing of this staff report, no written comments have been submitted.

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FINANCIAL IMPACT
All required application fees were paid to cover staff time for processing the requested actions. The proposed project will positively affect City Tax General Fund revenues as it would allow the Applicant to develop the property to generate additional taxes via sales of the homes and annual property tax assessment. In addition, utility connections and Public Facilities Fees will be collected when building permits are obtained to construct the Project.

Attachment A - San Joaquin County Assessor’s Office Value Review Notification Attachment B - Location and Context Map
Attachment C - Notice of Non-renewal Submittal to State Attachment D - General Plan Land Use and Farmland Conversion Maps City of Stockton Page 4 of 4 Printed on 3/27/2025
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ATTACHMENT A
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Project Site
City Limits I-5

ATTACHMENT B
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ATTACHMENT C
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ATTACHMENT C
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ATTACHMENT C
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Project Site Land Use (Yellow=Low Density Residential)
Project Site I-5

ATTACHMENT D
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Project Site Agricultural Resources (Williamson Act and Farmland) Project Site

ATTACHMENT D
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Project Site

ATTACHMENT D
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Project Site

ATTACHMENT D
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Resolution No.

STOCKTON CITY COUNCIL

RESOLUTION APPROVING A TENTATIVE CANCELLATION OF A WILLIAMSON ACT CONTRACT FOR A 43.66-ACRE PROPERTY LOCATED AT 4849 CAROLYN WESTON BOULEVARD ASSESSOR’S PARCEL NUMBERS 166-030-05
In 2021, TTLA Stockton-Asano LLC (hereafter “Applicant”) applied to develop 211 single-family homes on a 43.66-acre property (APN 166-030-05) located at 4849 Carolyn Weston Boulevard within the Weston Ranch subdivision (P21-0999). As the site is currently under a Williamson Act (WA) contract, the Applicant requested to initiate the contract cancellation process to allow the subdivision to be approved and constructed; and
The proposed Project site is designated for Low-Density Residential and zoned for single-family housing. The General Plan Environmental Impact Report (EIR) anticipated the cancellation of the contract at the site to permit site development consistent with the envisioned residential land use. Removal of the WA contract would allow site development consistent with the General Plan and Housing Element; and In 2022, the Applicant filed a Notice of Nonrenewal and Cancellation request concurrent with the subdivision application with the City; and On January 25, 2024, project P21-0999 was approved by the City of Stockton Planning Commission with the WA contract cancellation as a condition of approval; and On January 22, 2025, the San Joaquin County Assessor notified the Applicant the Williamson Act Cancellation Value of the subject property is $6,555,854.00, and the cancellation fee is $819,481.75; and
On March 21, 2025, a public notice for the subject application was published in the local newspaper in accordance with Stockton Municipal Code (SMC) Section 16.88.030; and
On April 1, 2025, the City Council conducted a public hearing on the application, in compliance with SMC Section 16.88.050(C)(3)(b), at which point all persons wishing to be heard were provided such opportunity; now, therefore,

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOW:

1. The foregoing recitals are true and correct and incorporated here by reference; and
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2. Find no further environmental review is required per California Environmental Quality Act (CEQA) Guidelines section 15183 (consistency with the General Plan); and

3. Based on its review of the entire record herein, the City Council makes the following findings and approves a Certification of Tentative Approval of Cancellation of Land Conservation Contract No. 69-01-1098 (Exhibit 1).

Findings for Williamson Act Contract Cancellation (California Government Code Section 51282)
The cancellation is consistent with the purposes of the Williamson Act. 1) The cancellation is for land on which a Notice of Nonrenewal has been served pursuant to section 51245 of the Government Code.

Evidence: The landowner has served a Notice of Nonrenewal pursuant to section 51245 of the Government Code. The Notice of Nonrenewal was recorded on July 8, 2022, as Document Number 2022-085712 in San Joaquin County.
2) The cancellation is not likely to result in the removal of adjacent lands from agricultural use.

Evidence: The subject property is not adjacent to agricultural use, as it is bounded by existing single-family homes to the north and south, an elementary school site to the north, the San Joaquin River to the west, and a green space trail corridor to the east.
3) The cancellation is for an alternative use, which is consistent with the applicable provisions of the City of Stockton's General Plan.

Evidence: The cancellation is to facilitate an approved Tentative Subdivision Map to permit the construction of 212 single-family detached homes consistent with the General Plan land use designation of Low-Density Residential (LDR) and the zoning designation of Residential Low-Density (RL). The Williamson Action Cancellation was also anticipated in the City’s General Plan Environmental Impact Report (EIR) to permit residential development of the site. 4) The cancellation will not result in disadvantageous patterns of urban development.

Evidence: The underlying infill project is in an area designated by the City for single-family development and surrounded by existing single-family homes and services that support those homes (i.e., schools, and trails). 1542
5) There is no proximate non-contracted land that is both available and suitable for the use which is proposed the contracted land be put, or, development of the contracted land would provide more contiguous patterns of urban development of proximate non-contracted land.

Evidence: The proposed project is for a parcel of land that is surrounded by other existing single-family uses. There is no other proximate non-contracted land that is the required size of this parcel (±40-acres) and no other land that would provide a more contiguous pattern of urban development given that this is an infill residential project.

In addition, Stockton Municipal Code (SMC) 16.236.030.B.3 Cancellation of Williamson Act contract. Findings.

The Council grants the cancellation of the contract based on the findings identified in SMC subsection (B)(3)(a)(i) or (ii) and as described below:
1) For property on which a Notice of Nonrenewal has been served in compliance with State law (Government Code § 51245) and SMC Section 16.236.020 (Nonrenewal of Williamson Act contract);
Evidence: The landowner has served a Notice of Nonrenewal pursuant to section 51245 of the Government Code. The Notice of Nonrenewal was recorded on July 8, 20220, as Document Number 2022-085712 inSan Joaquin County.
2) Not likely to result in the removal of adjoining lands from agricultural use; Evidence: The project site and surrounding areas are designated for low density residential uses and non-agricultural businesses surround the project site. The nearest viable agricultural lands are approximately 0.75-miles from the proposed project site. The proposed project site is surrounded by existing single-family homes and services that support those homes (i.e., schools, and trails). 3) For an alternative use of land which is consistent with the general land uses, objectives, policies, and programs of the General Plan and any applicable specific plan;
Evidence: The cancellation has been applied for to facilitate a proposed Tentative Subdivision Map to intend to develop 212-units housing units consistent with the General Plan. Residential uses are a permitted use within the City of Stockton RL zone and will be consistent with the General Plan. The proposed project site is surrounded by existing single-family homes and services that support those homes (i.e., schools, and trails). The owner has indicated that agricultural uses are no longer viable at the site due to the surrounding non-agricultural uses that abut the project site.
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4) Intended to ensure/maintain a contiguous pattern of urban development; Evidence: The project site and surrounding areas are designated for residential uses and non-agricultural businesses surround the project site. The nearest viable agricultural lands are approximately 0.75-miles from the proposed project site. The proposed project site is surrounded by existing single-family homes and services that support those homes (i.e., schools, and trails).
5) In an area which has no noncontracted land available and suitable for the proposed use which is intended for the subject property, or development of the contracted land would provide for a more contiguous pattern of urban development than would development of the available noncontracted land; and
Evidence: The project site and surrounding areas are designated for residential uses and non-agricultural businesses surround the project site. The nearest viable agricultural lands are approximately 0.75-miles from the proposed project site. The proposed project site is surrounded by existing single-family homes and services that support those homes (i.e., schools, and trails).
6) In compliance with the provisions of this chapter.

Evidence: The proposed cancellation request is consistent with the provision of Title 16 (Development Code) of the City of Stockton’s Municipal Code. Per SMC Section 16.236.020, the notice of nonrenewal was filed and the department of conservation and San Joaquin County have been notified. The City intends on bringing the cancellation before the Stockton City Council (Tentative and Final) before the end of the 2022 calendar year.

The cancellation is in the public interest. This finding can only be made if:
1) Other public considerations substantially outweigh the objectives of the Williamson Act; and
Evidence: The proposed residential use is consistent with the envisioned residential land uses for the area. These uses are intended to complement the City’s growing residential areas, specifically the buildout of the Weston Ranch residential community that surrounds the project site.
2) There is no proximate noncontracted land in the area which is available and suitable for the proposed use which is intended for the subject property, or development of the contracted land would provide for a more contiguous pattern of urban development than would development of any proximate noncontracted land.
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Evidence: The project site and surrounding areas are designated for residential uses and non-agricultural businesses surround the project site. The nearest viable agricultural lands are approximately 0.75-miles from the proposed project site. The proposed project site is surrounded by existing single-family homes and services that support those homes (i.e., schools, and trails).

PASSED, APPROVED, and ADOPTED April 1, 2025 .

CHRISTINA FUGAZI
Mayor of the City of Stockton
ATTEST:

KATHERINE ROLAND, CMC, CPMC
City Clerk of the City of Stockton
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EXHIBIT 1
RECORDING REQUESTED BY:

City of Stockton
WHEN RECORDED MAIL TO:

Clerk, City Council
425 N. El Dorado Street
Stockton, CA 95202
Space Above this Line for Recorder’s Use

CERTIFICATE OF TENTATIVE APPROVAL OF CANCELLATION OF LAND CONSERVATION CONTRACT NO. 69-01-1098
NOTICE IS HEREBY GIVEN that on ______________ __, 2025, the City Council of the City of Stockton, County of San Joaquin, State of California (the “Council”), granted tentative approval of a petition to cancel Land Conservation Contract No. 69-01-1098 affecting the land and improvements located on Assessor’s Parcel No. 166-030-05, owned by TTLC StocktonAsano, LLC. The property is more fully identified in Exhibit A.

NOTICE IS FURTHER GIVEN that a Certificate of Cancellation of Land Conservation Contract No. 69-01-1098 will be issued and recorded if the following specified conditions and contingencies are satisfied within one (1) year of the date this Certificate of Tentative Approval of Cancellation of Land Conservation Contract No. 69-01-1098 (the “Certificate”) is recorded (the “Recordation Date”):

1. Payment of the Williamson Act cancelation fee of $819,481.75 (the “Cancellation Fee”).

2. Unless the Cancellation Fee is paid, or a certificate of cancellation of contract is issued within one (1) year from the Recordation Date, such Cancellation Fee shall be recomputed as required by the California Land Conservation Act of 1965 (Gov. C. §§51200 et seq.) (the “Williamson Act”).

3. As required by the Williamson Act, the landowner shall notify the Council when the conditions and contingencies enumerated in this Certificate have been satisfied. (Signature on Following Page(s))
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EXHIBIT 1
The undersigned duly authorized officer of the City of Stockton declares that the foregoing is true and correct under penalty of perjury under the laws of the State of California.

DATED: ________________
ATTEST: Clerk of the City of Stockton
By: ______________________________
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EXHIBIT 1

CALIFORNIA ALL-PURPOSE

CERTIFICATE OF ACKNOWLEDGEMENT

STATE OF CALIFORNIA )
)

COUNTY OF )
On _______________________, 2025, before me, ______________________________, Notary Public, personally appeared _______________________________, who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument.

I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct.

WITNESS my hand and official seal.

Signature of Notary Public
(Notary Seal)
A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document.
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EXHIBIT 1

EXHIBIT A

LEGAL DESCRIPTION
Real property in the City of Stockton, County of San Joaquin, State of California, described as follows:

A portion of Section 28 Township 1 North, Range 6 East, Mount Diablo Base and Meridian, and more particularly described as follows:

Commencing at the intersection of the East line of Stockton and French camp toll road with the South Line of county Survey No. 2819 and running thence North 89 1/4° West along the said South Line 10358 feet to the intersection of the South line of Said Survey 2819 with the center line of the electric poles of the standard electric co; thence North 28° 59' East along the center line of said electric poles 844.5 feet to the Point of Beginning of the land herein described; thence North 89° 25' West 2371 feet to a post on top levee on East Bank of San Joaquin River; thence North 20° 45' East 266.5 feet; thence North 00° 50' West 805 feet to post; thence South 89° 25' East 2873 feet to center line of electric poles of said standard electric co; thence South 28° 59' West 1210.5 feet to the Point of Beginning. Running by true meridian magnetic variation 17° 30' East.

Excepting from the above described land a strip on the south side thereof; running from the East Bank of San Joaquin River to the center line of said electric pole line and extending northerly in equal width throughout its entire length so as to embrace 20 acres.

APN: 166-030-050-000
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REQUEST FOR TENTATIVE CANCELLATION OF
A WILLIAMSON ACT CONTRACT FOR A 43.66 ACRE PARCEL
LOCATED AT 4849 CAROLYN WESTON BOULEVARD
Stockton City Council Meeting
Agenda Item 16.1
April 1, 2025
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Project Location
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General Plan
Low
Density
Residential
Institutional
Institutional
Open
Space/
Agriculture
Institutional
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Zoning Map
RL
PF

PF OSPF
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Approved Tentative Subdivision Map
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• California Land Conservation Act of 1965
(Government Code 51200)
• Notice of Nonrenewal and Cancellation
• Cancellation Value Review
• Tentative Cancellation (Public Hearing)
• Final Cancellation
Williamson Act Cancellation Process
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Staff recommends the City Council:
a)Find no further environmental review is required per California Environmental Quality Act (CEQA) Guidelines Section 15183 (consistency with the General Plan); and
b)Adopt a Resolution approving the Tentative Cancellation of the Williamson Act Contract for a 43.66-acre parcel located at 4849 Carolyn Weston Boulevard (APN 166-030-05).

Recommendation
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City of Stockton
Legislation Text
File #: 25-0372, Version: 1

COUNCIL COMMITTEE/BOARD AND COMMISSION MINUTES

RECOMMENDATION
Information item only. No action required.

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