City Council and Concurrent Authorities
June 24, 2025

ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4, PROJECT NO. OM-24-095/WE24052
(U
pdated 10/18/23)

CONTRACT FOR SERVICES
THIS CONTRACT is entered into this day of 2025, between the CITY OF STOCKTON, a municipal corporation (“CITY), and CALTLC DBA CALIFORNIA TREE AND LANDSCAPE CONSULTING, INC., a STATE OF CALIFORNIA CORPORATION, with a business address at 411 GRASS VALLEY HIGHWAY #1050, AUBURN, CA 95603, hereinafter called "CONTRACTOR.," THIS CONTRACT is for the ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4 (PROJECT NO. OM-24-095/WE24052), hereinafter referred to as “SERVICE”.

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

B. CONT
RACTOR represents that it is registered pursuant to Labor Code Section 1725.5 and will register annually with the Department of Industrial Relations, if the services have a wage determination for the services outlined in the SCOPE OF WORK section of this Contract.

C. CONT
RACTOR represents that it will pay all required prevailing wages under California Labor Code for all services provided that have a wage determination.

D. CI
TY finds it necessary and advisable to use the services of the CONTRACTOR for the purposes provided in this Contract.

NOW
THEREFORE , in consideration of the mutual promises, covenants and conditions in this Contract, CITY and CONTRACTOR agree as follows:

1. SCO
PE OF SERVICES. Subject to the terms and conditions set forth in this Contract, CONTRACTOR shall undertake and complete the services described in Exhibit A (scope and specifications) . CONTRACTOR shall provide said services at the time, place, and in the manner specified in Exhibit A and compatible with the standards of the profession. CONTRACTOR agrees that it shall provide fully complete services including all labor, materials, tools, equipment and insurance required and that are acceptable to the CITY.

2. COM
PENSATION. C ITY shall pay CONTRACTOR for services outlined in Exhibit A according to the fee not to exceed the schedule detailed in Exhibit B (fee schedule), which is attached to this Contract and incorporated by this reference.

CONTRACTOR agrees this fee is for full remuneration for performing all services and furnishing all staffing, materials and tools called for in the scope of services. The payments shall be made on a monthly basis upon receipt and approval of CONTRACTOR’S invoice

ATTACHMENT A

ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4, PROJECT NO. OM-24-095/WE24052
(U
pdated 10/18/23)
for completed work. Total compensation for services and reimbursement for costs shall not exceed $293,920.00 or as otherwise mutually agreed to in a Contract Amendment.

Pur
suant 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 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. a. Inv
oices submitted by CONTRACTOR to C ITY must contain a brief description of work performed, location of work, time used, materials and special equipment and City project number. Payment shall be made within thirty (30) days of approval of invoice by City.
b. Upon c
ompletion of work and acceptance by C ITY, CONTRACTOR shall have sixty (60) days in which to submit final invoicing for payment. An extension may be granted by CITY upon receiving a written request thirty (30) days in advance of said time limitation. C ITY shall have no obligation or liability to pay any invoice for work performed which CONTRACTOR fails or neglects to submit within sixty (60) days, or any extension thereof granted by the CITY, after work is accepted by CITY.

3. INS
URANCE. During the term of this Contract, CONTRACTOR shall maintain in full force and effect at its own cost and expense the insurance coverage as set forth in the attached Exhibit C (Insurance Requirements and Forms) which is attached to this contract and incorporated by this reference, and shall otherwise comply with the other provisions of Exhibit C. Maintenance of proper insurance coverage is a material element of this contract and that failure to maintain or renew coverage or to provide evidence of renewal may be treated as a material breach of contract.

CO
NTRACTOR 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 C, 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.

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 requirement s 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.

ATTACHMENT A

ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4, PROJECT NO. OM-24-095/WE24052

(Updated 10/18/23)
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 self-insurance 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 co mpleted 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. CONTRACTOR further agrees to include these same provisions with any subcontractor regardless of tier. A copy of the CITY Contract Document Indemnity and Insurance provisions will be furnished to the Subcontractor upon request. The CONTRACTOR shall require all Subcontractors 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 any and all liability, loss, damage, expense, costs (including without limitation costs and fees of litigation) of every nature arising out of or in connection with Contractor’s performance of work hereunder or its failure to comply with any of its obligations contained in this agreement, except such loss or

ATTACHMENT A

ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4, PROJECT NO. OM-24-095/WE24052
(
Updated 10/18/23)
damage which was caused by the 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.

SCHEDULE AND TERM. CONTRACTOR shall perform the scope of work as described in Exhibit A according to the schedule detailed in Exhibit B, which is attached to this Contract and incorporated by this reference. This contract shall commence on the date written above and shall expire on December 31, 2027 , unless extended by mutual agreement through the issuance of a Contract Amendment.

5. CO
NFORMANCE TO APPLICABLE LAWS. CONTRACTOR shall comply with all applicable Federal, State, and Municipal laws, rules, and ordinances. a. TI
TLE VI
T
itle 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 assistance.” (42 USC Section 2000d) http://www.dol.gov/oasam/regs/statutes/titlevi.htm.

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

SCRIMINATION AND HARASSMENT POLICY
T
he City of Stockton has a Discrimination and Harassment Policy (Exhibit D).

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. L

ABOR STANDARDS PROVISIONS/CALIFORNIA LABOR CODE
T
he 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=LA B&division=2.&title=&part=7.&chapter=1.&article=2.
d. PR

EVAILING WAGE

ATTACHMENT A

ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4, PROJECT NO. OM-24-095/WE24052

(Updated 10/18/23)
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 insure 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
http://www.dir.ca.gov/OPRL/pwd/Determinations/Northern/Northern.pdf.

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 insure 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

ATTACHMENT A

ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4, PROJECT NO. OM-24-095/WE24052

(Updated 10/18/23)
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

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. 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.

6. CONTRACT AMENDMENTS . 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 Project Manager to be necessary or advisable and to require such extra work as may be determined by the Project Manager to be required for the proper completion of the whole work contemplated.

Any such changes will be set forth in a C ontract Amendment which will specify, in addition to the work done in connection with the change made, adjustment of contract time, if any, and the basis of compensation for such work. A Contract Amendment will not become effective until approved by the authorized City official.

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

8. OBLIGATIONS OF CONTRACTOR. Throughout the term of this Contract, CONTRACTOR represents and warrants that it has or will have at the time this Contract is

ATTACHMENT A

ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4, PROJECT NO. OM-24-095/WE24052

(Updated 10/18/23)
executed, all licenses, permits, qualifications, insurance, and approvals of whatsoever nature which are legally required for the CONTRACTOR to practice its professions, and CONTRACTOR shall, at its own cost and expense, keep in effect during the life of this Contract all such licenses, permits, qualifications, insurance, and approvals CONTRACTOR shall meet with the Public Works Director or other personnel of C ITY or third parties as necessary on all matters connected with the carrying out of CONTRACTOR’S services.

Such meetings shall be held at the request of either party hereto. CONTRACTOR further warrants that it will follow the best current, generally accepted and professional practices to make findings, render opinions, prepare factual presentations, and provide professional advice and recommendations regarding this project.

9. TERMINATION. This Agreement is effective on the Effective Date. The City may terminate this Contract and work pursuant to any of all scope of works at any time by mailing a notice in writing to Contractor. The Contract shall then be deemed terminated and no further work shall be performed by Contractor. If the Contract is so terminated, the Contractor shall be paid for that percentage of work actually completed at the time the notice of termination is received.

10. CONTRACTOR STATUS. In performing the obligations set forth in this Contract, CONTRACTOR shall have the status of an independent contractor and CONTRACTOR shall not be considered to be an employee of the City for any purpose. All persons working for or under the direction of CONTRACTOR are its agents and employees, and are not agents of the CITY. Subcontractors shall not be recognized as having any direct or contractual relationship with the C ITY. The persons engaged in the work, including employees of subcontractors and suppliers , will be considered employees of CONTRACTOR. The CONTRACTOR shall be responsible for the work of subcontractors, which shall be subject to the provisions of this Contract. The CONTRACTOR is responsible to the CITY for the acts and omissions of its subcontractors and persons directly or indirectly employed by them.

a. If in the performance of this Contract any third persons are employed by CONTRACTOR, such persons shall be entirely and exclusively under the direction, supervision, and control of CONTRACTOR. All terms of employment including hours, wages, working conditions, discipline, hiring, and discharging or any other term of employment or requirement of law shall be determined by CONTRACTOR.

i. It is further understood and agreed that CONTRACTOR must issue W -2 forms or other forms as required by law for income and employment tax purposes for all of CONTRACTOR’S personnel.

ii. As an independent contractor, CONTRACTOR hereby indemnifies and holds CITY harmless from any and all claims that may be made against the CITY based upon any contention by any third party that employer - employee relationship exists by reason of this Contract.

ATTACHMENT A

ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4, PROJECT NO. OM-24-095/WE24052
(U
pdated 10/18/23)

11. ASSIGNMENT. CONTRACTOR shall not assign, sublet, or transfer this Contract or any interest or obligation in the Contract without the prior written consent of the CITY, and then only upon such terms and conditions as C ITY may set forth in writing.

CONTRACTOR shall be solely responsible for reimbursing subcontractors.

12. HEADINGS NO T CO NTROLLING. Headings us ed i n the C ontract ar e f or reference purposes only and shall not be considered in construing this Contract.

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

To CONTRACTOR: CalTLC dba California Tree and To City: Public Works Director Lands
cape Consulting, Inc. City of Stockton
411 Grass Valley Highway #1050 22 E. Weber Ave., Rm. 301 Auburn, CA 95603 Stockton, CA 95202

14. LI
CENSES, CERTIFICATIONS, AND PERMITS. Prior to the CITY’S execution of this Contract and prior to the CONTRACTOR engaging in any operation or activity set forth in this Contract, CONTRACTOR shall obtain a City of Stockton business license, which must be kept in effect during the term of this Contract. CONTRACTOR covenants that it has obtained all certificates, licenses, permits and the like required to perform the services under this Contract.

15. RECO
RDS AND AUDITS. CITY reserves the right to periodically audit all charges made by CONTRACTOR to CITY for services under this Contract. Upon request, CONTRACTOR agrees to furnish CITY , or a designated representative, with necessary information and assistance.

CONT
RACTOR agrees that CITY or its delegate shall 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 purposes of determining compliance with this Contract. CONTRACTOR agrees to maintain such records for a period of three years from the date that final payment is made.

16. CONF
IDENTIALITY. CONTRACTOR shall exercise reasonable precautions to prevent the unauthorized disclosure and use of CITY’S reports, information, or conclusions.

17. CONF
LICTS OF INTEREST. CONTRACTOR covenants that other than this Contract, CONTRACTOR has no financial interest with any official, employee, or other representative of the CITY . CONTRACTOR and its principals do not have any financial interest in real property, sources of income or investment that would be affected in any

ATTACHMENT A

ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4, PROJECT NO. OM-24-095/WE24052

(Updated 10/18/23)
manner or degree by the performance of CONTRACTOR’S services under this Contract. If such an interest arises, CONTRACTOR will immediately notify CITY.

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

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

20. DISPUTE RESOLUTION. Prior to undertaking any litigation, the Parties shall make reasonable efforts to resolve all disputes informally, including by means of a conference between senior managers of each Party having authority to resolve the dispute.

1. Venue
Any controversy or claim between the Parties shall be determined with venue for all claims in the Superior Court of the County of San Joaquin, Stockton Branch or, where applicable, in the federal District Court of California, Eastern District, Sacramento Division.

2. If any litigation action or proceeding is commenced in connection with this Agreement, the prevailing Party, as determined by the court, shall be entitled to reasonable attorneys' fees (including allocated costs for in- house legal services), costs and necessary disbursements incurred in such action or proceeding.

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

22. INTEGRATION AND MODIFICATION. The response by CONTRACTOR to the Request for Proposals or Qualifications and the Request for Proposals or Qualifications on file with the CITY are hereby incorporated herein by reference to the extent that such documents do not differ from the provisions and terms of this Contract that shall supersede such response to Request for Proposals or Qualifications. This Contract represents the entire integrated agreement between CONTRACTOR and CITY, supersedes all prior negotiations, representations, or agreements, either written or oral, between the parties, and may be amended only by written instrument signed by CONTRACTOR and CITY. All exhibits and this contract are intended to be construed as a single document. Should any inconsistency occur between the specific terms of this Contract and the attached exhibits, the terms of this Contract will prevail.

ATTACHMENT A

ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4, PROJECT NO. OM-24-095/WE24052
(Updated 10/18/23)

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

24. THIRD PARTY RIGHTS. Nothing in this Contract shall be construed to give any rights or benefits to anyone other than CITY and CONTRACTOR.

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

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

CITY OF STOCKTON CALTLC DBA CALIFORNIA TREE AND
LANDSCAPE CONSULTING, INC.

By: By:

STEVE COLANGELO Signature

INTERIM CITY MANAGER
ATTEST:

Print Name
By: ___
KATHERINE ROLAND, CMC, CPMC Title:

CITY CLERK
APPROVED AS TO FORM:

By:

DEPUTY CITY ATTORNEY

ATTACHMENT A

S
ignature
Kari Gilleran
Office Manager/Corporate Secretary

REQUEST FOR PROPOSALS

ON-CALL ARBORIST SERVICES FOR

TRANSFORMATIONAL CLIMATE COMMUNITY
GRANT ROUND 4
P
roject No. OM-24-095/WE24052
I
ssued by:

Cit
y of Stockton Public Works Department
Operations and Maintenance
1465 S. Lincoln St., Stockton, CA 95204
Date Issued: November 5, 2024,
D
ate Proposals Due: December 4, 2024, by 3:00 P.M.

EXHIBIT A

ATTACHMENT A

Table of Contents
Table of Contents ............................................................................................................... 2 INTRODUCTION ................................................................................................................ 3 PROJECT DESCRIPTION.................................................................................................. 3 PROJECT GENERAL INFORMATION ............................................................................... 3 Proposal Evaluation ............................................................................................................ 4 Negotiations ........................................................................................................................ 4 Proposal Questions and Requests for Clarification ............................................................. 5 Causes for Disqualification ................................................................................................. 5 Licensing Requirements ..................................................................................................... 5 Department of Industrial Relations ...................................................................................... 6 Product Ownership ............................................................................................................. 6 Acceptance or Rejection of Proposal .................................................................................. 6 Cover Letter ........................................................................................................................ 7 Table of Contents ............................................................................................................... 7 Executive Summary ............................................................................................................ 7 Project Team ...................................................................................................................... 7 Project Understanding ........................................................................................................ 7 Detailed Work Plan ............................................................................................................. 7 Examples of Experience with Similar Types of Work .......................................................... 8 References ......................................................................................................................... 8 Schedule ............................................................................................................................. 8 Cost Proposal ..................................................................................................................... 8

4.0 SCOPE OF WORK ...................................................................................................... 8

5.0 Work Activities ............................................................................................................. 9 ATTACH
MENTS: .............................................................................................................. 10

EXHIBIT A

ATTACHMENT A

INTRODUCTION
T
he City of Stockton Public Works Department is requesting Proposals from qualified , community-trusted, and DIR -registered tree services companies /individuals for on- call arborist services for the City of Stockton’s urban forest within the Transformational Climate Communities (TCC) grant area in central/south Stockton. Tree planting and policy work will be done under Round 4 of the TCC grant until all deliverables are reached, or September 2027. The City of Stockton has partnered with Little Manila for its second round of an Urban Greening project that will plant a total of 1,500 trees before September 2027.

T
he City is seeking an individual/company to work with the City and its urban greening grant partners on a variety of projects including staff and volunteer training on tree planting and maintenance, and tree policies and procedures in the TCC area. The Contract Arborist will be an ISA -certified Arborist, with or working towards the ISA -certified Arborist Municipal Specialist designation.

P

ROJECT DESCRIPTION
T
he overall goal of this project is to support the Transformative Climate Community (TCC) project area’s urban forest (see Attachment A). The Contract Arborist will identify planting sites and stumps in the project area, provide instruction and support to city staff, volunteers, and partner organizations that are part of or are supporting maintenance to the urban forest within the project area. The Contract Arborist may also provide tree identification, tree risk assessments and other tree health assistance, as well as analysis of City completed tree inventories.

PR

OJECT GENE RAL INFORMATION
K
atrina Tavares
ATTN: OM-24-095

CITY OF STOCKTON
1465 S. LINCOLN ST.

STOCKTON, CA 95206
Th
e proposal shoul d be firmly sealed in an envelope which will clearly be marked on the outside with “ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4” for the City of Stockton (Project OM-24-095/WE24052).

The cost proposal must be in a sealed envelope separate from the proposal. Late Proposals will not be accepted.

EXHIBIT A

ATTACHMENT A

Proposal Evaluation

A selection committee will evaluate all proposals. This is a qualification and cost-based selection, so ranking will be in accordance with the attached Evaluation Scoring Worksheet (see Attachment B). Cost proposals will not be opened until after other categories have been evaluated. Local preference will also be a factor, so Stockton firms are highly encouraged to submit proposals.

Negotiations

City staff will begin negotiations with the highest ranked firm /Contract Arborist . If an agreement cannot be reached after a reasonable period, as determined by the City, the City will terminate negotiations with the number one ranked firm and negotiations will be opened with the second ranked firm. The compensation discussed with one prospective firm/Contract Arborist will not be disclosed or discussed with another firm/Contract Arborist.

The selected firm/Contract Arborist will be ex pected to enter a Profes sional Services Contract with the City. Proposers should direct their attention to Attachment C, Instructions to Proposers for the most current i nsurance and indemnification language. It is ex pected that the successful proposer will accept these terms without modification.

A Contract shall not be in f orce until the Council approves the contract an d it is signed by the City Manager. Work performed before the issuance of a Notice to Proceed can not be paid by the City.

PROPOSAL EVALUATION
The City of Stockton will follow the consultant selection schedule below but reserves the right to modify the schedule in any manner necessary that serves the best interests of the City. Dates are tentative. All dates are 2024.

Event
Date

Post Request for Proposals November 5, 2024
Written Questions submitted by November 18, 2024, by 3:00 P.M.

Response to Written Questions November 21, 2024, by 3:00 P.M.

Proposals due December 4, 2024, by 3:00 P.M.

EXHIBIT A

ATTACHMENT A

Proposal Questions and Requests for Clarification
A
ny question or request for clarification shall be submitted in writing to:

[email protected].

R
equests for clarification shall be submitted at least ten ( 10) business days prior to the proposal due date. If a response warrants an addendum to the RFP, such addendum will be emailed at least two days prior to the proposal due date. It is the proposer’s responsibility to include a copy of such emai l response with his proposal. The response will al so be emailed to the other proposers.

Cau
ses for D isqualification
A
ny of the following may be considered cause to disqualify a proposal:
• E
vidence of collusion among proposers
• Any attempt to improperly influence any member of the evaluation panel • A proposer’s default or breach of contract in previous work that resulted in termination of that agreement and/or
• Existence of any lawsuit, unr esolved contractual claim, or dispute between proponent and the City.

Li
censing Requirements
A
ny professional certifications or licenses that may be required are the sole cost and responsibility of the proposer. Contract Arborist will be expected to have and retain Arborist credentials through the International Society of Arborists (ISA) throughout the term of this contract.

T
here is a strong preference to hir e an ISA-Certified Arborist Municipal Specialist, or a certified A rborist who is working toward that certification. Knowledge of Integrated Pest Management practices is also a preference that may be taken under consideration by the City.

A
City of Stockton business license is required. Please contact the City of Stockton Business License Customer Service at (209) 937-8313.

I
nsurance Requi rements
T
he proposer must obtain and maintain the required insurance. Proposer should review Attachment C, Instructions to Proposers for information regarding insurance, indemnification, Disadvantaged Business Enterprises, prevailing wages, etc. Failure to comply with the Instructions to Proposers may be grounds for rejection.

EXHIBIT A

ATTACHMENT A

Department of Industrial Relations
P
lease refer to Attachment C, Instructions to Proposers, for registration requirements with the Department of Industrial Relations.

P
roduct Owner ship
Any d
ocuments resulting from the performance of work in the contract will become property of the City. This includes all work performed by subcontractors.

A
cceptance or Rejection of Proposal
T
he City reserves the right to negotiate an agreement with the firm submitting the highest - ranking proposal. Also, the City reserves the right to reject any and all proposals or to waive any irregularity in a proposal if it is deemed to be in the best interest of the City. Failure to submit all requested information could be grounds to reject the proposal.

RE

QUIRED PROPOSAL CONTENT
T
he proposal shall contain the following, at a minimum:
•
Cover Letter
• Table of Contents
• Executive Summary
• Project Team
• Project Understanding
• Detailed Work Plan
• Examples of experience with similar types of work
• References
• Schedule
• Cost Proposal
T
he body of the technical proposal shall not exceed 20 pages w ith a minimum font size of

10. Proposer shall submit 6 sets of the proposal. The maximum allowable length is exclusive of any folder, cover, or section dividers. Proposals shall be no more than 25 pages, including resumes and the cover letter. The proposal shall also be submitted on a USB flash drive clearly labeled with the proposer’s name. An electronic copy of the cost proposal should not be included on the flash drive.

EXHIBIT A

ATTACHMENT A

Cover Letter

The letter shall be signed by an official with the authority to negotiate and contractually bind the firm wi th the City of St ockton. Pr ovide name, title, address, email, and telephone number for this officer. Describe any subcontract arrangements or licensing agreements.

Include any potential conflict of interest.

Table of Contents

The proposal should include a table of contents.

Executive Summary

The Executive Summary shall include a summary of the proposal, emphasizing the approach to be taken and including a work plan, schedule, and description of the capabilities of the Contract Arborist. The summary should convey an understanding of the purpose of the project and the services required for performance.

Project Team

Describe the approach and methods for managing the project. Describe your team organization, if existing, including the qualifications of the prime Contract Arborist.

Project Understanding

Describe your understanding of the needs of the “ON-CALL ARBORIST SERVICES FOR TRANSFORMATIONAL CLIMATE COMMUNITY GRANT ROUND 4.”

Detailed Work Plan

Provide a proposed work plan for development and implementation of the program as described in the Scope of Work. Describe the proposed approach and the activities to be accomplished. Describe how the Contract Arborist will complete each task. Alternative approaches to the project can be submitted if a rationale is given for the suggested changes.

The following should be addressed:
• S tump and planting site identification within the TCC project area • T ree risk assessments
• City Tree List Updates
• Community Education
• Tree Policy work
• Planting Plans
• Maintenance Planning

EXHIBIT A

ATTACHMENT A

Examples of Experience with Similar Types of Work
P
rovide examples of projects similar in scope and size to this project.

R
eferences
P
rovide three client references for the firm, two of which are familiar with the Contract Arborist. This shall include the name, company, contact information, and description of related work that was provided to the client.

S
chedule
P
rovide a project schedule with working days throughout the grant period, based on available funding. The selected Contractor shall be expected to begin work immediately after Notice to Proceed.

C
ost Proposal
P
rovide a price breakdown for all items listed in the proposal inclusive of all tasks described under the Scope of Services and proposer’s rates for additional services relevant to the project but not specifically described under the Scope of Service.

T
he cost proposal must be in a sealed envelope separate from the proposal.

A
n electronic copy of the cost proposal should not be included on the flash drive. 4 .0 SCOPE OF WORK
T
he overall goal of this project is to support the Transformative Climate Community (TCC) project area’s urban forest. The Contract Arborist will be an integral part of the TCC Urban Greening Project for Round 4 and will regularly inspect trees planted under the TCC grant.

Maintenance needs will be communicated to the City of Stockton and Little Manila Rising (LMR) through the City’s Parks TCC Project Manager.

T
he Contract Arborist will perform arborist duties as assigned by the City Parks Manager or his representative throughout the Transformative Climate Community project area (Attachment A). The Contract Arborist will advise both the City and their urban greening TCC partner, Little Manila Rising’s urban forestry team. This will include identification of stump removal and tree planting sites in the TCC area, reviewing and providing recommendations for updates to the City Tree List, instructing volunteers, student workers and residents on the importance of trees, tree planting and tree care. The Contract Arborist may be asked by the City to conduct community tree workshops with TCC partners. The Contract Arborist may also be asked to assist with tree identification, perform tree risk assessments and other tree health assistance in the TCC project area.

EXHIBIT A

ATTACHMENT A

The Contract Arborist will assist the City by verifying the accuracy of its tree inventory in the TCC project area. The City’s concurrent inventory includes an evaluation of its urban forest in the City rights-of-way. The evaluation includes but is not limited to: the extent of tree root sidewalk damage, the need to add trees , the need to remove diseased, dying and hazardous trees, and replacing s uch trees with a variety of climate -appropriate, disease- resistant trees.

LM
R and the City would like the Contract Arborist to be available to go on nursery days to pick the best tree stock for plantings. Weekend work with volunteers is expected of the Contract Arborists approximately once a month.

T
his is primarily a field/remote position where the Contract Arborist will be required to provide his or her own vehicle and is required to maintain active insurance and registration.

In addition, the Contract Arborist is required to provide his/her own computer, phone, and other items as may be deemed necessary by the City or by the task. There will be occasions when in-person meetings with City or Little Manila Rising staff are necessary, in the office, remotely via Teams, and/or in the field. City staff for this project are available Monday - Friday from 7 a.m. to 4:30 p.m., with City offices closed every other Friday.

The Contract Arborist must provide own laptop and/or tablet with a field internet connection so that they can use both during the TCC project.
5 .0 Work Activities
A
ll urban forestry activities under the TCC grant are informed and ruled by Cal FIRE requirements and best management practices. The Contract Arborist should be familiar with Cal FIRE expectations and may use the following Cal FIRE -recommended resources (among others) for work with the City of Stockton.

C
AL FIRE Recommends that TCC grantee s should strongly consider using the following resources.

1. Sel
ecTree: Identify suitable species with desirable attributes.

2. V
ibrant Cities Lab: “the U.S. Forest Service, American Forests and the National Association of Regional Councils created Vibrant Cities Lab to help city managers, policymakers and advocates build thriving urban forest programs.”

3. U
FMP Toolkit: Provides a “how -to” approach to develop and Urban Forest Management Plan (UFMP). The toolkit will lead you through a planning process and provide helpful references and additional tools.

4. T
he American Public Works Association Guide for Urban Forest Management Plans.

5. iT
ree: A series of urban forest analysis tools are available for free on the iTree website

EXHIBIT A

ATTACHMENT A

6. Arbor Day Foundation’s Tree City USA. Contract Arborist should work with TCC Project Manager on scheduling an Arbor Day ceremony and participating in annual Arbor Day celebrations.

C
oordination/Meetings
T
he City Project Manager will be available from 7:30 a.m. until 4:30 p.m. weekdays for questions from the Proposer. City offices are closed every other Friday. The Proposer shall be responsible for communication with the Project Manager via email and/or phone as often as necessary to assure on-schedule completion of the contract.

AT
TACHMENTS:

At
tachment A – Map of TCC Project Area
Attachment B – Evaluation Scoring Sheet
Attachment C - Instructions to Proposers – non-federally funded projects

EXHIBIT A

ATTACHMENT A

Detailed Work Plan
Once the project is accepted, CalTLC staff will meet with the Stockton representatives, all City staff, nonprofit and volunteer coordinators to put together the team that will accomplish the project.

The locations provided in the Request for Proposals will be prioritized and inspections scheduled with training for any local people interested in participating and growing the community support for trees. • Stump and
planting site identification within the TCC project area – Existing tree stumps to be removed will be identified and mapped. Potential planting sites will be identified and mapped. Underground Services Alert will be contacted to check the areas for utility conflicts and a list prepared of potential planting sites. • Tree risk assessments – trees that are identified to be assessed will be scheduled. A Level 2 360-degree inspection from the ground will be performed based on the ISA Best Management Practices for Matrix Based Tree Risk Assessment. A risk rating and mitigation options are provided for each tree. If requested, a full report can be completed, or a risk rating can be provided for each tree. When the Level 2 assessment does not provide enough information, a Level 3 assessment will be identified to confirm the best information for mitigation options decision making. All CalTLC staff performing assessments are ISA TRAQ qualified. • City Tree List Updates – CalTLC staff will review the tree list and suggest modifications and updates. As necessary, diversity goals will be included with the list so we minimize the monoculture plantings in the community. The ability to purchase trees on the list will also be considered, and Stockton may desire to contract grow species not currently available.
• Community Education – CalTLC will work with the City and nonprofits to schedule training to elevate the benefits of trees, how to sustainably grow trees, and how individuals can contribute to the community tree canopy on their properties. Public trees often only contribute between 20 and 50 percent of the community canopy, so 50 to 80 percent of the canopy is reliant on private property contributions. • Tree Policy work – The best goal to lead tree policies in communities is a community tree canopy goal. Once the agreed upon goal is in place, the policies, practices, and protocols to achieve the canopy are supported in achieving the goal. What is the best way to grow our canopy? Existing trees. So, we should protect all existing trees and especially trees planted for mitigation or parking lot shade. When a project is proposed that will impact the canopy, how is that canopy impact going to be mitigated or replaced? How do we best grow our trees? Following industry best practices, setting pruning specifications, requiring tree management plans with landscape designs on projects, all long-term steps to growing our canopy and achieving our goals. When the canopy in many areas of town is low, that can be the focus of efforts to improve the canopy cover. In the end, the policies have to make sense, be reasonable, and show how they are in line with the community goals. • Planting Plans – We follow the pedestal approach to tree planting and have details explaining the method of tree planting. The plans to place trees have to be planting trees in locations where they can grow to maturity.

Occasionally, planting sites have to be adjusted to create space for the trees to grow and avoid the likelihood of premature removal due to infrastructure conflicts. Each location where trees are proposed will be inspected and a workable planting plan will be provided. Trees can be planted by trained volunteers. Working with City staff to support volunteers and excite volunteers about planting trees is the way to shift budgets and provide more funds for maintenance.
• Maintenance Planning – Tree watering and young tree pruning can be performed by trained volunteers.

Sustainable watering is targeting and focusing the water on the tree root system, and deep water less frequently in sites covered with wood chip mulch. CalTLC staff will train volunteers and lead pruning events to lead volunteers in pruning the trees they planted and other small trees. They will learn effective watering skills to reduce water loss while irrigating trees.

EXHIBIT A

ATTACHMENT A

This can free up the large tree maintenance for City staff or contractors and improve the focus of budgets on maintaining all the trees in the Stockton community. The additional benefit is people will utilize these skills on their private trees to contribute to the Stockton tree canopy.

CalTLC staff will meet with the City staff and other interested parties to discuss and develop a maintenance plan.

There are many nonprofits and volunteer groups, and City-led activities that will promote proper planting, maintenance, and care of the trees in the Stockton community. Supporting the trees and tree canopy goals should get positive media coverage to further support the proper maintenance of trees. If an inventory is available, a maintenance plan can be developed. If an inventory is not available, when trees are maintained, the inventory should be updated. Each new tree planted should be inventoried and updated with each site visit Schedule
The project schedule is intended to be a starting point for scheduling the work to be completed by September 2027.

The on-site meetings and schedule for all the work will be initiated within the first 20 days of the Notice to Proceed date with the intent to complete the tree List updates, ordinance, policy, specifications, and standards reviews within 90 days. Planting plans and maintenance plans to develop and put into practice may take up to 6 months, plus public education time.

The Community Education will be coordinated with planting events and additional events for public education scheduled as the community requests and supports.

The inspections for stumps, planting spaces and planting events will proceed as scheduled, with the number of trees per event planned to meet the final goal of 1,500 trees by September 2027.

Tree risk assessments will be scheduled and completed as requested by the City.

The overall goals of the canopy cover and updating policy work items will be scheduled with the necessary timelines if City Council approval is needed, or if staff can adjust practices without Council approval.

The planting events are at least one per month, and there could be as many as 33 events until September 2027. That is between 40 and 50 trees per event and is a workable number that I have participated in Sacramento Tree Foundation, Redwood City’s CityTrees, and Rancho Cordova with the Sacramento Tree Foundation.

EXHIBIT A

ATTACHMENT A

Cost Proposal
The cost proposal by work plan task:
• Stump and planting site identification within the TCC project area - 160 hours @ $220 per hour= $35,200 • Tree risk assessments - Level 2 $330 per tree as assigned. If a report is required, add $330 per report. • City Tree List Updates - 10 hours @ $220 per hour= $2,200 • Community Education - 6 hours per event @ $220 per hour= $1,320 per event. If 10 per year for 3 years 30 events = $39,600
• Tree Policy work - Set tree canopy goal. Discuss policies, practices, and protocols to achieve the canopy are supported in achieving the goal. Set policies base on industry best practices, writing pruning specifications, require tree management plans with project landscape designs - 50 hours @ $220 per hour = $11,000
• Planting Plans - Inspect and locate trees, create lists, and provide information for volunteers to visit the sites and communicate with the adjacent property owners - 24 hours each event $5,280; if 30 events= $158,400
• Maintenance Planning - 16 hours @ $220 per hour= $3,520 Some of these activities may be able to be performed by CalTLC associate Certified Arborists.

Our Lead and Consulting Arborists are $220 per hour.

Our associate certified Arborists are available at $180 per hour. With project training and movement through the project phases funds can be saved for other use.

Our administrative staff is available at $80 per hour to assist with the administrative needs.

The RFQ didn't list specific number focus other than 1,500 trees by Little Manila. The 5 square mile area showed the streets, it didn't focus on which specific areas are to be addressed. That will be determined in our conversations and initial discussion. Therefore, the total for the project is difficult to calculate. If exact planting locations and blocks to be inspected were provided, as well as a range of tree inspections and public event activities, a final cost figure could be calculated.

EXHIBIT B

ATTACHMENT A

REV 2024-03-25
Exhibit C:

Insurance Requirements
(Tree Services)
Contractor 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 and the results of that work by the Contractor, his agents, representatives, employees or subcontractors.

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

1. Co
mmercial 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. Au
tomobile Liability: ISO Form Number CA 00 01 covering any auto (Code 1), or if Contractor has no owned autos, hired, (Code 8) and non-owned autos (Code 9), with limit no less than $2,000,000 per accident for bodily injury and property damage.

3. Wo
rkers’ Compensation: 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.

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.

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

Additional Insured Status
The City of Stockton, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or

EXHIBIT C

ATTACHMENT A

REV 2024-03-25
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 provision applies regardless of whether or not the City of Stockton has received a waiver of subrogation endorsement from the insurer.

EXHIBIT C

ATTACHMENT A

REV 2024-03-25
Self -Insured Retentions
S
elf-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
C
ontractor 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

EXHIBIT C

ATTACHMENT A

REV 2024-03-25
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.

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, 3
rd Floor – HR
Stockton, CA 95202

EXHIBIT C

ATTACHMENT A

Subject:

CITY OF STOCKTON, CALIFORNIA

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

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

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

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

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

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

EXHIBIT D

ATTACHMENT A

Subject:

CITY OF STOCKTON, CALIFORNIA

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

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

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

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

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

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

EXHIBIT D

ATTACHMENT A

Subject:

CITY OF STOCKTON, CALIFORNIA

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

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

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

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

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

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

EXHIBIT D

ATTACHMENT A

Subject:

CITY OF STOCKTON, CALIFORNIA

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

DISCRIMINATION AND

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

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

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

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

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

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

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

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

EXHIBIT D

ATTACHMENT A

Subject:

CITY OF STOCKTON, CALIFORNIA

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

DISCRIMINATION AND

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

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

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

EXHIBIT D

ATTACHMENT A

Subject:

CITY OF STOCKTON, CALIFORNIA

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

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

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

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

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

3. Testifies in a proceeding concerning such violation;

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

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

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

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

EXHIBIT D

ATTACHMENT A

Subject:

CITY OF STOCKTON, CALIFORNIA

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

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

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

EXHIBIT D

ATTACHMENT A

Subject:

CITY OF STOCKTON, CALIFORNIA

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

DISCRIMINATION AND

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

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

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

EXHIBIT D

ATTACHMENT A

Subject:

CITY OF STOCKTON, CALIFORNIA

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

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

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

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

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

EXHIBIT D

ATTACHMENT A

Subject:

B.

CITY OF STOCKTON, CALIFORNIA

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

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

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

1. Identify and preserve the evidence.

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

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

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

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

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

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

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

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

EXHIBIT D

ATTACHMENT A

Subject:

CITY OF STOCKTON, CALIFORNIA

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

DISCRIMINATION AND

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

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

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

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

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

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

15. Conduct follow-up interviews, if warranted.

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

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

EXHIBIT D

ATTACHMENT A

Subject:

CITY OF STOCKTON, CALIFORNIA

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

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

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

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

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

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

EXHIBIT D

ATTACHMENT A

CITY OF STOCKTON, CALIFORNIA

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

HARASSMENT POLICY 7/27/09

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

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

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

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

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

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

EXHIBIT D

ATTACHMENT A

CITY OF STOCKTON, CALIFORNIA

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

DISCRIMINATION AND

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

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

APPROVED:
c:r��SON

CITY MANAGER
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EXHIBIT D

ATTACHMENT A