City Council and Concurrent Authorities
September 29, 2026

EXHIBIT 1

EXHIBIT A

558
REV 2026-03-31
Insurance Requirements
(Replacing sewer line)
Contractor shall procure and maintain for the duration of the contract, and for five (5) years thereafter, insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder by the Contractor, his agents, representatives, employees, or subcontractors.

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

1. Commercial General Liability (CGL): Insurance Services Office (ISO) Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $5,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.

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

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

4. Contractors Pollution Liability applicable to the work being performed, with limits no less than $2,000,000 per occurrence or claim, and $2,000,000 policy aggregate.

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

6. Surety Bonds as described below.

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

Self-Insured Retentions
EXHIBIT1

EXHIBIT B

559
REV 2026-03-31
Self-insured retentions must be declared to and approved by the City of Stockton. The City of Stockton may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City of Stockton. The CGL and any policies,
including Excess liability policies, may not be subject to a self-insured retention (SIR) or deductible that exceeds $25,000 unless approved in writing by City of Stockton. Any and all deductibles and SIRs shall be the sole responsibility of Contractor or subcontractor who procured such insurance and shall not apply to the Indemnified Additional Insured Parties. City of Stockton may deduct from any amounts otherwise due Contractor to fund the SIR/deductible. Policies shall NOT contain any self-insured retention (SIR) provision that limits the satisfaction of the SIR to the Named Insured.

The policy must also provide that Defense costs, including the Allocated Loss Adjustment Expenses, will satisfy the SIR or deductible. City of Stockton reserves the right to obtain a copy of any policies and endorsements for verification.

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

1. The City of Stockton, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations and automobiles owned, leased, hired, or borrowed by or on behalf of the Contractor.

General liability coverage can be provided in the form of an endorsement to the Contractor’s insurance (at least as broad as ISO Form CG 20 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used).

Additional insured Name of Organization shall read “City of Stockton, its officers, officials, employees, and volunteers.” Policy shall cover City of Stockton, its officers, officials, employees, and volunteers for all locations work is done under this contract.

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

EXHIBIT1

EXHIBIT B

560
REV 2026-03-31

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

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

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

Claims Made Policies (Does Not Apply to Commercial General Liability) If any coverage required is written on a claims-made coverage form:

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

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

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

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

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

Umbrella or Excess Policies
The Contractor may use Umbrella or Excess Policies to provide the liability limits as required in this agreement. This form of insurance will be acceptable provided that all of the Primary and Umbrella or Excess Policies shall provide all of the insurance coverages herein required, including, but not limited to, primary and non-contributory, EXHIBIT1

EXHIBIT B

561
REV 2026-03-31
additional insured, Self-Insured Retentions (SIRs), indemnity, and defense requirements. The Umbrella or Excess policies shall be provided on a true “following form” or broader coverage basis, with coverage at least as broad as provided on the underlying Commercial General Liability insurance. No insurance policies maintained by the Additional Insureds, whether primary or excess, and which also apply to a loss covered hereunder, shall be called upon to contribute to a loss until the Contractor’s primary and excess liability policies are exhausted.

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

Waiver of Subrogation
Contractor hereby agrees to waive rights of subrogation which any insurer of Contractor may acquire from Contractor by virtue of the payment of any loss under such insurance. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation and provide a copy to the City of Stockton.

The Workers’ Compensation policy shall be endorsed with a waiver of subrogation in favor of the City of Stockton for all work performed by the Contractor, its employees, agents and subcontractors. This provision applies regardless of whether or not an endorsement has been issued.

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

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

Duration of Coverage
EXHIBIT1

EXHIBIT B

562
REV 2026-03-31
CGL & Excess liability policies for any construction related work, including, but not limited to, maintenance, service, or repair work, shall continue coverage for a minimum of 5 years for Completed Operations liability coverage. Such Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.

Surety Bonds
Contractor shall provide the following Surety Bonds:

1. Bid Bond

2. Performance Bond

3. Payment Bond

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

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

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

City of Stockton
Its Officers, Officials, Employees, and Volunteers
501 W Weber Avenue
Building 1, 4th Floor
Stockton, CA 95203
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BOND FOR FAITHFUL PERFORMANCE
KNOW ALL MEN BY THESE PRESENTS:

That we, __________________________________________, a STATE OF CA CORPORATION, as Principal and
, a corporation, organized and existing under the laws of the State of and duly authorized to transact business under the laws of the State of California, as Surety, are held and firmly bound unto the City of Stockton, a municipal corporation, duly created and existing under and by virtue of the laws of the State of California, as obligee, in the just and full sum of TWO MILLION NINE HUNDRED SEVENTY-EIGHT THOUSAND AND 00/100 DOLLARS ($2,978,000.00), in lawful money of the United States of America (being 100% of the contract price) for the payment whereof well and truly to be made to the said CITY, the said Principal and Surety bind themselves, their successors and assigns, jointly and severally, firmly by these presents.

The condition of the foregoing obligation is such that the above bounded Principal has simultaneously entered into a contract with the CITY, to do and perform the following work, to wit:

MORMON SLOUGH SANITARY SEWER REHABILITATION
(PROJECT NO. UW18030)
NOW, THEREFORE, if the above bounded Principal, CONTRACTOR, Company or
Corporation or its subcontractor, shall well and truly perform the work contracted to be done under said contract, then this obligation to be null and void; otherwise to remain in full force and effect.

No prepayment or delay in payment and no change, extension, addition or alteration of any provision of said contract, or in said plans or specifications agreed to between the said CONTRACTOR and the said CITY, and no forbearance on the part of the said CITY shall operate to relieve any Surety or Sureties from liability on this bond, and consent by said Surety is hereby given, and the said Surety hereby waives the 599
provisions of Sections 2819 and 2845 of the Civil Code of the State of California.

SIGNED AND SEALED on
APPROVED AS TO SURETY: By:

PRINCIPAL
SURETY
APPROVED AS TO FORM & CONTENT:

DONALD A. LARKIN

OFFICE OF THE CITY ATTORNEY
By:

ATTORNEY-IN-FACT
By:

DEPUTY CITY ATTORNEY
600

BOND FOR LABOR AND MATERIAL
KNOW ALL MEN BY THESE PRESENTS:

That we, K.J. WOODS CONSTRUCTION, INC., a STATE OF CA
CORPORATION, as Principal and _____, corporation,
organized and existing under the laws of the State of ___________ and duly authorized to transact business under the laws of the State of California, as Surety, are held and firmly bound unto the City of Stockton, a municipal corporation, duly created and existing under and by virtue of the laws of the State of California, and unto any and all material suppliers, persons, companies, or corporations furnishing materials, provisions, provender or other supplies used in, upon, for or about the performance of the work contemplated to be executed or performed under the contract hereinafter mentioned, and all persons, companies, or corporations renting or hiring teams, or implements of machinery, for or contributing to said work and all persons who perform work or labor upon the same, and all persons who supply both work and materials, and whose claims have not been paid by the contractor, company or corporation in the just and full sum of TWO MILLION NINE HUNDRED SEVENTY-EIGHT THOUSAND AND 00/100 DOLLARS ($2,978,000.00), in lawful money of the United States of America (being 100% of the contract price) for the payment whereof well and truly to be made to said CITY and to said persons jointly and severally, the said principal and Surety bind themselves, their successors and assigns, jointly and severally, firmly by these presents.

The condition of the foregoing obligations is such that the above bounden Principal has simultaneously entered into a contract of even date herewith, with the CITY, to do and perform the following work, to-wit:

MORMON SLOUGH SANITARY SEWER REHABILITATION
(PROJECT NO. UW18030)
NOW, THEREFORE, if the above bounden Principal, CONTRACTOR, Company or Corporation or its subcontractor, fail to pay for all materials, provisions, provender, or other supplies, or teams, used in, upon, for or about the performance of the work contracted to be done, or for any work or labor done thereon of any kind, the Surety on 601
this bond will pay the same, in an amount not exceeding the sum specified in this bond, provided that any and all claims hereunder shall be filed and proceedings had in connection therewith as required by the provisions of Division 3, Part 4, Title 15, Chapter 5, Article 1 of the Civil Code of California, provided that in case suit is brought upon this bond, a reasonable attorney's fee shall be awarded by the Court to the prevailing party in said suit; said attorney's fee to be fixed as costs in said suit, and to be included in the judgment therein rendered.

No prepayment or delay in payment and no change, extension, addition or alteration of any provision of said contract or in said plans or specifications agreed to between the said CONTRACTOR and the said CITY and no forbearance on the part of the said CITY shall operate to relieve any surety or sureties from liability on this bond, and consent to make such alterations without further notice to or consent by any such surety is hereby given, and the said sureties hereby waive the provisions of Sections 2819 and 2845 of the Civil Code of the State of California.

SIGNED AND SEALED on .

APPROVED AS TO SURETY: By:

PRINCIPAL
SURETY
APPROVED AS TO FORM & CONTENT:

DONALD A. LARKIN

OFFICE OF THE CITY ATTORNEY
By:

ATTORNEY-IN-FACT
By:

DEPUTY CITY ATTORNEY
602
City of Stockton
Legislation Text
File #: 26-0849, Version: 1

ADOPT RESOLUTION TO APPROPRIATE FUNDS AND AWARD A PROFESSIONAL SERVICES CONTRACT FOR THE B STREET ROUNDABOUTS PROJECT (DISTRICT 6)

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

1. Appropriate funds in the amount of $51,040 from the Public Facility Fee Air Quality fund balance to the B Street Roundabouts, Project No. WT25053/Federal Project No. HSIPL-5008 (225).

2. Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.

3. Award a Professional Services Contract to Siegfried Engineering, Inc. of Stockton, CA, in the amount of $300,000 for design services, environmental documentation services, and construction support of the B Street Roundabouts, Project No. WT25053/Federal Project No.

HSIPL-5008(225).

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

Summary
The B Street Roundabouts project will convert the existing stop-controlled intersections at B Street/Boeing Way and B Street/Industrial Drive into modern roundabouts. The project will install two roundabouts at these intersections, Americans with Disabilities Act (ADA) compliant ramps, new streetlights, add interconnected Pan-Tilt-Zoom (PTZ) cameras, landscaping, install rectangular rapid flashing beacons (RRFBs), signage, roadway resurfacing, and curb, gutter, and sidewalk repair (Attachment A).

On March 14, 2025, the project was granted a total amount of $2,857,900 in Highway Safety Improvement Program (HSIP) funds, and the project was included in the 2026-31 Five-Year Capital Improvement Plan (CIP). Of this amount, $510,400 was allocated to the design (Preliminary Engineering phase) of the project. Based on the Benefit Cost Ratio, the federal contribution is $459,360 and the local match is $51,040, totaling $510,400.

On February 25, 2026, the City advertised a Request for Proposals (RFP) for design and preparation of environmental documents for the B Street Roundabouts, Project No. WT25053/Federal Project No.

HSIPL-5008(225). On March 25, 2026, three firms submitted proposals for this project. The Selection Committee evaluated the proposals and found Siegfried Engineering, Inc. to be the most qualified City of Stockton Page 1 of 3 Printed on 9/24/2026
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and highest ranked firm for this project.

It is recommended that Council adopt a resolution appropriating funds and authorizing the City Manager to execute a Professional Services Contract in the amount of $300,000 with Siegfried Engineering, Inc. for design services, environmental documentation services, and construction support. It is anticipated that the design will be completed by summer 2028.

DISCUSSION
Background
The HSIP is a competitive federal-aid grant program established to achieve a significant reduction in traffic fatalities and serious injuries on all public roads. These projects focus on infrastructure that become a priority based on identifiable collisions that could be reduced through safety countermeasures. Caltrans, Division of Local Assistance, manages California's local agency share of HSIP funds. The City submitted grant applications for multiple projects during the Cycle 12 funding call for project.

On March 14, 2025, the B Street Roundabouts project was granted a total amount of $2,857,900 in Cycle 12 HSIP funds. Of this amount, $510,400 was allocated to the design (Preliminary Engineering phase) of the project. Based on the Benefit Cost Ratio, the federal contribution is $459,360 and the local match is $51,040, totaling $510,400.

The B Street and Industrial Drive intersection has 24 recorded collisions between 2020 to 2022.

Similarly, the B Street and Boeing Way intersection has a total of 25 collisions between 2015 to 2018.

This area experiences high volumes of semi-trucks and other vehicles with visibility factors that impact vehicles and pedestrians approaching the intersections. The project was included in the 2026- 31 Five-Year CIP.

The B Street Roundabouts project will convert the existing stop-controlled intersections at B Street/Boeing Way and B Street/Industrial Drive into modern roundabouts. The project will install two roundabouts at these intersections, ADA compliant ramps, new streetlights, add interconnected PTZ cameras, landscaping, install RRFBs, signage, roadway resurfacing, and curb, gutter, and sidewalk repair (Attachment A).

Present Situation
On February 25, 2026, the City advertised an RFP for design of the B Street Roundabouts, Project No. WT25053/Federal Project No. HSIPL-5008(225). On March 25, 2026, three proposals were received from the following engineering firms:
· Siegfried Engineering, Inc. (Stockton, CA)
· Mark Thomas, Inc. (Sacramento, CA)
· WMH, Inc. (San Jose, CA)
The Selection Committee, comprised of Public Works staff, evaluated and ranked all proposals based on each firm’s understanding of work, experience with similar kinds of projects, staff qualifications City of Stockton Page 2 of 3 Printed on 9/24/2026
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and technical ability, project approach, and familiarity with federal transportation funding procedures.

Siegfried Engineering, Inc. received the highest ranking, based on the noted criteria, and was determined to be the most qualified firm for this project. Staff negotiated a fee in the amount of $300,000 with Siegfried Engineering, Inc. for design services, environmental documentation services, and construction support. The fee is approximately 13 percent of the total estimated construction cost, which is reasonable for a project of this type and complexity. It is anticipated that the design will be completed by summer 2028.

It is recommended that Council adopt a resolution appropriating funds and authorizing the City Manager to execute a Professional Services Contract in the amount of $300,000 with Siegfried Engineering, Inc. for design services, environmental documentation services, and construction support of the B Street Roundabouts, Project No. WT25053/Federal Project No. HSIPL-5008(225) (Attachment B).

Findings
Pursuant to Stockton Municipal Code (SMC) section 3.68.070, Council may approve findings which support an exception to the competitive bidding process. These findings include:

1. The City does not have sufficient staff resources to design this project.

2. The scope of design services requires an engineering firm experienced in the design of roundabouts.

3. Use of the RFP process is appropriate for this Professional Services Contract because it relies on the evaluation of professional qualifications and performance as the basis for selection of a vendor. Use of the criteria helps ensure selection of a vendor that will provide the highest quality professional service, which is in the public interest.

4. The City negotiated a contract following solicitation of competitive proposals in accordance with SMC section 3.68.070.A.3.

FINANCIAL SUMMARY
With the appropriation of funds in the amount of $51,040 from the Public Facility Fee Air Quality fund balance, there will be sufficient funding to award a Professional Services Contract to Siegfried Engineering, Inc. in the amount of $300,000.

Attachment A - Vicinity Map
City of Stockton Page 3 of 3 Printed on 9/24/2026
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SPERRY ROAD

ARCH-AIRPORT WAY
FR

AIRPORT
WAY

B STREET ROUNDABOUT,
PROJECT NO. WT25053

CITY OF STOCKTON

DEPARTMENT OF PUBLIC WORKS

ATTACHMENT A

VICINITY MAP

NOT TO SCALE

B ST AND INDUSTRIAL DRIVE

VICINITY MAP

NOT TO SCALE
LEGEND

PROJECT LOCATION

B ST AND BOEING WAY
606
Resolution No.

STOCKTON CITY COUNCIL

RESOLUTION APPROPRIATING FUNDS AND AWARDING A PROFESSIONAL SERVICES CONTRACT FOR THE B STREET ROUNDABOUTS, PROJECT NO.

WT25053/FEDERAL PROJECT NO. HSIPL-5008(225)
On February 25, 2026, the City advertised a Request for Proposals (RFP) for design and preparation of environmental documents for the B Street Roundabouts, Project No. WT25053/Federal Project No. HSIPL-5008(225). Three proposals were received; and
The project will convert the existing stop-controlled intersections at B Street/Boeing Way and B Street/Industrial Drive into modern roundabouts. The project will install two roundabouts at these intersections, Americans with Disabilities Act compliant ramps, new streetlights, add interconnected Pan-Tilt-Zoom cameras, landscaping, install rectangular rapid flashing beacons, signage, roadway resurfacing, and curb, gutter, and sidewalk repair; and
Siegfried Engineering, Inc. was determined to be the most qualified and highest ranked firm for this project. Staff negotiated a fee in the amount of $300,000 with Siegfried Engineering, Inc. for design services, environmental documentation services, and construction support; and
Appropriation of funds is needed for the City’s required local match of $51,040; now, therefore,

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

1. The City Council approves the appropriation of funds in the amount of $51,040 from the Public Facility Fee Air Quality Fund Balance to the B Street Roundabouts, Project No. WT25053/Federal Project No. HSIPL-5008(225).

2. The City Council approves findings pursuant to Stockton Municipal Code (SMC) section 3.68.070 in support of an exception to the competitive bidding process.

These findings include:
a. The City does not have sufficient staff resources to design this project. b. The scope of design services requires an engineering firm experienced in the design of roundabouts.
607
c. Use of the RFP process is appropriate for this Professional Services Contract because it relies on the evaluation of professional qualifications and performance as the basis for selection of a vendor. Use of the criteria helps ensure selection of a vendor that will provide the highest quality professional service, which is in the public interest. d. The City negotiated a contract following solicitation of competitive proposals in accordance with SMC section 3.68.070.A.3.

3. The City Council awards a Professional Services Contract between the City of Stockton and Siegfried Engineering, Inc., in the amount of $300,000, and the City Manager is authorized and directed to execute same, a copy of which is attached as Exhibit 1 and incorporated by this reference.

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

PASSED, APPROVED, and ADOPTED September 29, 2026 .

CHRISTINA FUGAZI
Mayor of the City of Stockton
ATTEST:

BONNIE PAIGE, CMC
Interim City Clerk of the City of Stockton
608
Professional Services Contract – Siegfried Engineering, Inc. – B Street Roundabouts, Project No. WT25053 / Federal Project No. HSIPL-5008(225) (Updated 10/18/23)

PROFESSIONAL SERVICES CONTRACT
(for federal aid projects)
THIS CONTRACT is entered into this day of , 2026, between the CITY OF STOCKTON, a municipal corporation (“City”), and SIEGFRIED ENGINEERING, INC. whose address is 3428 BROOKSIDE RD, STOCKTON, CA 95219 (“Consultant”) for the B STREET ROUNDABOUTS, PROJECT NO. WT25053 / FEDERAL PROJECT NO. HSIPL-5008(225), hereinafter referred to as “Project”.

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

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

1. SCOPE OF SERVICES. Subject to the terms and conditions set forth in this Contract, Consultant shall undertake and complete the services described in Exhibit A.

Consultant shall provide said services at the time, place, and in the manner specified in Exhibit A and compatible with the standards of the profession. Consultant agrees that it shall produce a fully complete project that is acceptable to the City.

2. COMPENSATION. City shall pay Consultant for services outlined in Exhibit B according to the fee not to exceed the schedule detailed in Exhibit C, which is attached to this Contract and incorporated by this reference. Consultant agrees this fee is for full remuneration for performing all services and furnishing all staffing and materials called for in the scope of services. The payments shall be made on a monthly basis upon receipt and approval of Consultant’s invoice. Total compensation for services and reimbursement for costs shall not exceed $300,000 or as otherwise mutually agreed to in a Contract Amendment.

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

4. INDEMNITY AND HOLD HARMLESS. Pursuant to the full language of California Civil Code §2782, design Professional agrees to indemnify, including the cost to defend, City of Stockton and its officers, officials, employees, and volunteers from and against any and all claims, demands, costs, or liability that arise out of, or pertain to, or relate to the negligence, recklessness, or willful misconduct of Design Professional and its employees or agents in the performance of services under this contract, but this indemnity does not apply to liability for damages arising from the sole negligence, active negligence, or willful acts of the City of Stockton; and does not apply to any passive negligence of the

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Professional Services Contract – Siegfried Engineering, Inc. – B Street Roundabouts, Project No. WT25053 / Federal Project No. HSIPL-5008(225) (Updated 10/18/23) City of Stockton unless caused at least in part by the Design Professional. The City of Stockton agrees that in no event shall the cost to defend charged to the Design Professional exceed that professional’s proportionate percentage of fault. This duty to indemnify shall not be waived or modified by contractual agreement or acts of the parties.

5. SCHEDULE AND TERM. Consultant shall perform the scope of work as described in Exhibit A according to the schedule detailed in Exhibit C, 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, 2030, unless extended by mutual agreement through the issuance of a Contract Amendment. a. Invoices submitted by Consultant to City must contain a brief description of work performed, time used and City project number. Payment shall be made within thirty (30) days of approval of invoice by City. b. Upon completion of work and acceptance by City, Consultant shall have sixty (60) days in which to submit final invoicing for payment. An extension may be granted by City upon receiving a written request thirty (30) days in advance of said time limitation. City shall have no obligation or liability to pay any invoice for work performed which Consultant fails or neglects to submit within sixty (60) days, or any extension thereof granted by the City, after work is accepted by City.

6. CONFORMANCE TO APPLICABLE LAWS. Consultant shall comply with all applicable Federal, State, and Municipal laws, rules, and ordinances. Consultant shall not discriminate in the employment of persons or in the provision of services under this Contract on the basis of any legally protected classification, including race, color, national origin, ancestry, sex or religion of such person.
a. TITLE VI
Title VI of the Civil Rights Act of 1964 requires that “no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance.” (42 USC Section 2000d). http://www.dol.gov/oasam/regs/statutes/titlevi.htm.

The City of Stockton requires compliance with the requirements of Title VI in all of its programs and activities regardless of funding source. b. DISCRIMINATION AND HARASSMENT POLICY
The City of Stockton has a Discrimination and Harassment Policy (Exhibit E).

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,

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Professional Services Contract – Siegfried Engineering, Inc. – B Street Roundabouts, Project No. WT25053 / Federal Project No. HSIPL-5008(225) (Updated 10/18/23) investigating, and resolving complaints of discrimination and harassment in the workplace.
c. LABOR STANDARDS PROVISIONS/CALIFORNIA LABOR CODE
The bidder shall understand that conditions set forth in Chapter 1, Part 7, Division 2 of the California Labor Code shall be considered part of the contract agreement.
https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=LAB &division=2.&title=&part=7.&chapter=1.&article=2.
d. PREVAILING WAGE RATES
Consultant and any subcontractor shall pay each employee engaged in the trade or occupation not less than the prevailing hourly wage rate. In accordance with the provisions of Section 1770 of the Labor Code, the Director of Department of Industrial Relations of the State of California has determined the general prevailing 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.

Consultant performing the work under this contract shall obtain a copy of the wage rate determination and shall distribute copies to each subcontractor. As the wage determination for each craft reflects an expiration date, it shall be the prime Consultant and each subcontractor's responsibility to ensure that the prevailing wage rates of concern is current and paid to the employee. i. The Consultant 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 Consultant shall be responsible for posting said wage rates at a prominent location at the work site and shall maintain same in good readable condition for the duration of the work.
ii. Should the Consultant choose to work on a Saturday, Sunday or on a holiday recognized by the Labor Unions, the Consultant shall reimburse the City the actual 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 Consultant, or by any subcontractor under Consultant, in the execution of this contract, for each calendar day during which any laborer, worker, or mechanic is required or permitted to work more than eight (8) hours and who is not paid the general prevailing rate of per diem wages for holiday

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Professional Services Contract – Siegfried Engineering, Inc. – B Street Roundabouts, Project No. WT25053 / Federal Project No. HSIPL-5008(225) (Updated 10/18/23) 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. PAYROLL RECORDS The Consultant to whom the contract is awarded shall ensure that the prime and each subcontractor will, in accordance with Section 1776 of the Labor Code, maintain certified payroll records. A copy of said records shall be provided with each invoice to the Public Works Department, Attention: Contract Compliance Officer. It shall be the Consultant’s responsibility to obtain copies of the current prevailing wage rate determination for all subcontractors. Additionally, certified payroll records must be uploaded to the DIR website as required by labor code. iv. APPRENTICESHIP STANDARDS The Consultant shall comply with the provisions established in Section 1777.5 of the Labor Code concerning the 1) 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. APPENDIX A AND E OF THE TITLE VI ASSURANCES
During the performance of this contract, the contractor, for itself, its assignees, and successors in interest agrees to comply with the Appendix A and E of the Title VI Assurances attached as Exhibit F. 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.

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

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

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Professional Services Contract – Siegfried Engineering, Inc. – B Street Roundabouts, Project No. WT25053 / Federal Project No. HSIPL-5008(225) (Updated 10/18/23)

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

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

11. TERMINATION. The City may terminate this Contract upon thirty (30) calendar days written notice to Consultant with the reason for termination stated in the notice. The Contract shall then be deemed terminated and no further work shall be performed by Consultant. If the Contract is so terminated, the Consultant shall be paid for that percentage of work actually completed at the time the notice of termination is received.

12. CONSULTANT STATUS. In performing the obligations set forth in this Contract, Consultant shall have the status of an independent contractor and Consultant shall not be considered to be an employee of the City for any purpose. All persons working for or under the direction of Consultant are its agents and employees and are not agents of the City. Subcontractors shall not be recognized as having any direct or contractual relationship with the City. The persons engaged in the work, including employees of subcontractors and suppliers, will be considered employees of Consultant. The Consultant shall be responsible for the work of subcontractors, which shall be subject to the provisions of this Contract. The Consultant 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 Consultant, such persons shall be entirely and exclusively under the direction, supervision, and control of Consultant. 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 Consultant.

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i. It is further understood and agreed that Consultant must issue W-2 forms or other forms as required by law for income and employment tax purposes for all of Consultant’s personnel.
ii. As an independent contractor, Consultant 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 employeremployee relationship exists by reason of this Contract.

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

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

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

To Consultant:

Siegfried Engineering, Inc.
3428 Brookside Rd
Stockton, CA 95219
To City:

City of Stockton
Public Works Director
501 W. Weber Ave, Bldg. 2
Stockton, CA 95203

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

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

Consultant agrees that City or its delegate shall have the right to review, obtain, and copy all records pertaining to performance of the Contract. Consultant agrees to provide City or its delegate with any relevant 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. Consultant agrees to maintain such records for a period of three years from the date that final payment is made.

Professional Services Contract – Siegfried Engineering, Inc. – B Street Roundabouts, Project No. WT25053 / Federal Project No. HSIPL-5008(225) (Updated 10/18/23)

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Professional Services Contract – Siegfried Engineering, Inc. – B Street Roundabouts, Project No. WT25053 / Federal Project No. HSIPL-5008(225) (Updated 10/18/23)

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

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

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

21. GOVERNING LAW. California law shall govern any legal action pursuant to this 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.

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

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

24. FEDERAL PROVISIONS. Consultant shall comply with the Federal Aid Consultant Contract Provisions which are attached hereto as Exhibit G and incorporated herein by this reference.

25. 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.

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

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Professional Services Contract – Siegfried Engineering, Inc. – B Street Roundabouts, Project No. WT25053 / Federal Project No. HSIPL-5008(225) (Updated 10/18/23)

27. 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 SIEGFRIED ENGINEERING, INC.

By: By:

JOHNNY FORD Signature

CITY MANAGER
ATTEST:

Print Name
By:

KATHERINE ROLAND, CMC, CPMC Title:

CITY CLERK
APPROVED AS TO FORM:

By: _

DEPUTY CITY ATTORNEY

Paul Schneider President
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Project Summary
The City of Stockton is advancing the design of roundabouts at B Street & Boeing Way and B Street & Industrial Drive to improve safety, reduce vehicle speeds, and enhance overall intersection operations under the Highway Safety Improvement Program (HSIP). These intersections serve a mix of local, industrial, and commercial tra'ic, including frequent heavy truck movements, and require a thoughtful, context-sensitive design that balances safety with operational e'iciency.

Siegfried brings extensive experience delivering roundabouts and complete streets improvements throughout Stockton, along with direct familiarity with the B Street and Boeing Way corridor through prior engineering work supporting nearby industrial development. This local knowledge, combined with our inhouse civil, survey, geotechnical, landscape, and outreach capabilities, positions our team to e'iciently advance the project from initial concepts through final PS&E and construction support.

Our approach is centered on developing a practical, buildable roundabout design that fits within existing constraints, accommodates large vehicle movements, and minimizes impacts to surrounding businesses and infrastructure. Through early validation of geometry, proactive utility coordination, streamlined environmental compliance, and close collaboration with the City, we will deliver a well-coordinated, bidready project that meets HSIP objectives and supports the City’s long-term transportation goals. It is assumed that the center area will be hardscape, rock, and synthetic but that no plating or irrigation will be included.

The following detailed work plan outlines how our team will execute each task, maintain schedule and quality, and ensure successful project delivery.

Task 1 | Background Research
Siegfried will research and review existing topographic mapping, photos, right of way maps, “as-built” plans, record maps, surveys, assessor maps, local street improvement plans, collision reports, sight distance, approach speed, total pedestrians and vehicle volumes, public transit routes, grade, need of advance warning signs and flashers, and other geometrical and operational characteristics for the project.

Siegfried will conduct field reconnaissance of the entire project limits. Siegfried will work with all pertinent utilities to identify conflicts, coordinate utility plan reviews, conduct necessary coordination meetings, and locate designed improvements as required to facilitate any utility relocations. Siegfried will coordinate with the City to the maximum extent possible to route this information to utility companies.

Siegfried will show all existing utilities that will be impacted or cause impact by the proposed project.

Siegfried will arrange and coordinate with all utility companies, within the project sphere, to resolve any utility issues.

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The team will review existing street lighting as-builts, collision reports, pedestrian, and vehicle volumes (if available), sight distance, truck and bus routes, and approach speeds.

A field reconnaissance will be conducted to observe the tra'ic patterns, identify existing street lighting infrastructure.

The team will obtain intersection volumes during the school year including auto, pedestrian, and bicycle volumes during the weekday a.m., afternoon school pick-up, and p.m. peak hours.

Siegfried will identify required permits, prepare all permit applications, and assist the City with negotiations relative to permit conditions, if required. Permit fees will be paid by the City.

Task 2 | Environmental Services
The City of Stockton proposes to utilize federal Highway Safety Improvement Program (HSIP) funding to design and construct roundabouts at the intersections of B Street and Boeing Way, and B Street and Industrial Drive. The purpose of the project is to reduce driver speed and tra'ic collisions.

Caltrans District 10 Division of Local Assistance will be responsible for issuing NEPA approval for the project. Based on the project description provided in the RFP as well as desktop research completed for the project area, it is expected that a Preliminary Environmental Study (PES) form will be required, and that the results of the PES form will identify the need to complete an Air Quality Checklist and PM10/PM2.5 Interagency Consultation to address Air Quality and Conformity, a Phase I Initial Site Assessment to address potential for hazardous materials, a Location Hydraulic Study Memo – No Significant Encroachment to address construction of the Boeing Way roundabout within a floodplain, and a Community Impacts Technical Memo to address potential e'ects from tra'ic detours, utility relocations, possible right-of-way acquisitions and reductions in parking. ESA will prepare these documents and consult and coordinate with Caltrans District 10 environmental sta' to obtain approval of these documents, which will support Caltrans’ issuance of a NEPA Categorical Exclusion (CE).

The City of Stockton will be the California Environmental Quality Act (CEQA) Lead Agency for the project.

It is expected that the project would qualify as Categorically Exempt from CEQA.

Task 2.1 | Preliminary Environmental Assessment Form: ESA will review the Preliminary ESA and will review the Preliminary Environmental Study (PES) form prepared by the City.

Task 2.2 | Air Quality Conformity: ESA will complete Interagency Consultation (IAC) for PM10/PM2.5.

This will consist of preparation of a San Joaquin Valley Hot Spot Checklist for Interagency Consultation and project presentation materials for submittal to the San Joaquin Valley Project-Level Conformity Working Group. ESA will submit the required materials to the Working Group for public circulation, and attend the Working Group meeting to present the project.

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Following completion of the IAC process, ESA will prepare a Caltrans-format Air Quality Conformity Findings Checklist to document the project’s conformity with federal air quality requirements, including the conclusions of the IAC process.

Task 2.3 | Phase I Initial Site Assessment: ESA will prepare a Phase I Initial Site Assessment (Phase I ISA) in general accordance with the Caltrans SER Chapter 10 requirements and the American Society for Testing and Materials (ASTM) Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process (ASTM E1527-21), and the U.S. Environmental Protection Agency (EPA) Final Rule regarding Standards and Practices for All Appropriate Inquiries (70 Federal Register [FR] 66070, July 1, 2005; 40 Code of Federal Regulations [CFR] Part 312) (AAI Rule). To support completion of the Phase I ISA, ESA will review regulatory agency and other records to help identify site conditions, conduct a physical setting review, review historic land use, conduct a site reconnaissance and vicinity survey, and conduct interviews of past and present owners or occupants of the subject property, if possible.

Following these investigations, ESA will prepare a Phase ISA Report to document the results of the investigations and recommendations. The report will include findings, opinions, conclusions, and significant data gaps, if any, that could a'ect the identification of Recognized Environmental Conditions at the subject property. If the ISA identifies any such gaps in the records, they will be disclosed and discussed, including by identifying sources consulted to address them and comment upon their significance with regard to the ability to identify conditions indicative of releases and threatened releases of hazardous substances on, at, in, or to the subject property. The Phase I ISA will include illustrations and pertinent regulatory agency documentation regarding the subject property.

Task 2.4 | Location Hydraulic Study (LHS) Memo – No Significant Encroachment: ESA will prepare a Location Hydraulic Study (LHS) Memo – No Significant Encroachment to address the construction of a roundabout at the B Street and Boeing Way intersection, which is within a Zone AO (Depth 1-foot) Flood Hazard Area. The LHS Memo – No Significant Encroachment is used to address projects that encroach into a floodway or base floodplain, but which have low or no risk for impact.

Task 2.5 | NEPA Categorical Exemption: ESA will review the project for application of a NEPA Categorical Exemption (CE), and prepare a CE Support Memo for the project file that describes why a CE is the appropriate level of documentation for the project and documents the investigations completed during the review. ESA will rely on the information prepared to support the PES Form and technical studies prepared to support NEPA review, specifically as it pertains to hazardous materials, cultural resources, and biological resources, to inform the CE Support Memo.

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Upon completion of the CE Support Memo, ESA will prepare a Notice of Exemption (NOE) in the City’s preferred format and provide it to the City for their signature and posting at the County Clerk-Recorder’s o'ice and State Clearinghouse.

Deliverables:
• Preliminary Environmental Study Form
• Virtual Field Review Meeting Attendance, if needed.
• San Joaquin Valley Hot Spot Checklist for Interagency Consultation, San Joaquin Valley ProjectLevel Conformity Working Group project presentation, attendance at San Joaquin Valley ProjectLevel Conformity Working Group meeting, and Caltrans Air Quality Conformity Findings Checklist. • Phase I Initial Site Assessment
• Location Hydraulic Study Memo – No Significant Encroachment • Community Impacts Assessment Memo
• NEPA Notice of Exemption and CE Support Memo

ASSUMPTIONS
• The City will prepare the CEQA CE and PES
• Caltrans will determine that the project qualifies as a Screened Undertaking and completion of cultural resources investigations and reporting would not be required. • Unless otherwise specified, each deliverable will be reviewed up to four times as follows: 1) design team/prime review; 2) City of Stockton sta9 review; 3) Caltrans first review; 4) Caltrans final review/approval. Reviews by multiple people/divisions within each agency will be consolidated into a single, compiled set of reviews for each agency before providing comments to ESA. • All deliverables will be provided in electronic format, unless otherwise specified. Electronic format will include PDF and/or Microsoft Word. Accessible formatting pursuant to the Revised Section 508 standards of the federal Rehabilitation Act of 1973 will not be required. • Technical reports and consultations will be completed pursuant to Caltrans templates and applicable guidance and regulations current as of the date of this proposal submittal (March 2026).
• Air Quality Conformity Interagency Consultation will be completed via a Zoom meeting, and no public comments or Conformity Working Group comments will be received on the project. It is assumed that the project will not be a Project of Air Quality Concern (POAC).

Task 3 | Utility Coordination
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Siegfried will perform utility investigations and coordination with utility owners throughout the project development process. Siegfried will be present at all necessary meetings with each utility owner.

Siegfried will be responsible for, but not limited to, the following:
• Prepare a project limits map and request utility information from each utility owner within the area of work.
• Prepare Utility Letter “A” during preliminary design phase to the a9ected utility owners for City to review and approve prior to transmitting to utility owners. Information on existing utilities obtained as a result of the “A” letter will be transferred to base maps in both plan and profile view. A copy of the utility data obtained from utility owners will be provided to the City and the originals will be filed in the project files.
• Prepare Utility Letter “B” during 65% design phase to the a9ected utility owners for City to review and approve prior to transmitting to utility owners. Two sets of half-sized 65% plans will be provided to each utility owner as an attachment to the letter. The letter will request that utility owners verify any utility conflicts with proposed improvements and indicate whether any future utilities are proposed in the area that may require accommodation through the improved area.

Information on existing utilities obtained as a result of the “B” letter will be used to determine potential utility conflicts and to resolve the conflicts identified. A copy of the utility data obtained from utility owners will be provided to the City and the originals will be filed in the project files. • Prepare Utility Letter “C” during 100% design phase to the a9ected utility owners for City to review and approve prior to transmitting to utility owners. Two sets of half-sized 100% plans will be provided to each utility owner as an attachment to the letter. The letter will indicate to the utility owners whether any changes have been made to the project plans since the Utility Letter “B” and will request written confirmation of utility relocations and utility relocation schedule. A copy of the utility data obtained from utility owners will be provided to the City and the originals will be filed in the project files.
• Siegfried will meet with utility companies as needed to ensure that conflicts are identified and relocations performed if necessary.
• Siegfried will use data provided by utility companies and perform field work such as: ground penetrating radar, or other technology to confirm depth information. This field work should be performed as soon as possible so that conflicts can be identified, and utility companies can be notified of any necessary relocating.

Task 4 | Plans, Specifications, and Estimate
Siegfried will prepare complete PS&E documents, which include design improvement plans, tra'ic control plans, electrical plans, drainage plans, planting and irrigation plans, technical specifications, and engineer’s estimate. The PS&E shall be prepared according to the City’s standards and current CA EXHIBIT A Page 13 of 67 EXHIBIT 1
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MUTCD, as appropriate. Siegfried will use modeling software to determine acceptable Level of Service (LOS) and geometric layout and submit recommendations to City for concurrence. Prepare a base map showing existing information to facilitate the design of all the necessary improvements. The base map limits shall be su'icient to cover all necessary improvements within the project area.

Roundabout Design Process – Intermediate Reviews
Improvement plans for roundabout addition and striping, roadway, drainage, electrical, erosion control and or water pollution prevention and miscellaneous plans shall be submitted for review to the City at 15% (geometric review only), 30%, 65%, 95% and 100% completion stage. The Siegfried will provide one electronic (PDF format). With each stage, the review comments from the previous stage shall be itemized and a written response to each shall be prepared in a comment matrix. The original red-line comments from the reviewing agency shall be returned with the succeeding submittal.

Siegfried will provide a project specification outline and project estimates at the 65% submittal and complete project estimate and specification at 100% submittal. A 100% check print must be submitted for review by sta' prior to a 100% set of plans being plotted on mylars.

Task 4.1 | Initial 15% Geometric Review: Siegfried and AMG will submit a 15% basic geometry review for initial feedback prior to developing the 30% design package. This will give the team some initial comments and direction based on counts and field verification. • A field review of the area will be performed, including obtaining any measurements needed.

Photographs will be taken to support e9icient design activities. • Any utility conflicts will be identified.
• Siegfried and AMG will collaborate with the design team and City sta9 to define the critical factors that could influence the roundabout layout and footprint, with a focus on identifying any existing physical elements (such as major utilities or specified areas of right-of-way acquisition) to be avoided. The intent of the roundabout is to fit within the existing curb to curb width. AMG will consider the turning movements of school and transit buses as well as ladder fire trucks. While the intersection is not on a designated truck route, maneuverability for WB-40 semi-trucks will also be tested to assess how such vehicles would maneuver through the intersection. • Preliminary geometric alignment design concept layout (15% design) for the single-lane roundabout will be prepared in AutoCAD using the survey data supplemented by field notes and measurements. The design will be consistent with state-of-the-practice roundabout design methods and will include the locations of curbs, striping, median and splitter islands, truck apron(s), the central island, pedestrian facilities, and bicycle facilities. The layout will be carried through transitions to tie in points on the existing roadways.

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Task 4.1.A | Design Criteria: Roundabout design criteria will be established for the project based on performance-based methods contained in the Guide for Roundabouts, NCHRP Report 1043, 2023. WTrans will collaborate with the City to define appropriate design vehicles. Preferred design treatments to accommodate bicyclists and transitions to adjacent bike lanes, including bike ramps and provision of wide peripheral pathways, will also be identified with Sta' since such decisions may play a role in the intersection’s overall footprint and geometry. Through this e'ort W-Trans will also identify areas where there may be flexibility in design parameters in consideration of the site’s context.

Task 4.1.B | Tra6ic Analysis: AMG will perform a tra'ic operational analysis including projected levels of service (LOS) and queuing for the intersection using SIDRA roundabout analysis software. A tra'ic analysis technical memorandum will be prepared summarizing operation under the following scenarios:
• Existing school year volumes during the a.m. peak hour, afternoon school release peak hour, and p.m. peak hour
• Future volumes as developed from available sources or growth factors provided by the City • Deliverables: Draft of the Tra9ic Analysis technical memorandum and the15% Geometric Layout.

Task 4.2 | Preliminary 30% Design: At a minimum the 30% design will include a basic geometric configuration of roadway striping layouts, curb alignments at round corner improvements, and typical cross sections. Siegfried will consider turning motions of Stockton Unified School District, Stockton Fire Department, San Joaquin Regional Transit District, and Stockton Waste Management vehicles, as well as semi-trucks with trailers when designing the project.

Any utility conflicts will be identified. If appropriate, the conflicts will be forwarded to the a'ected utility for further action. In addition, PTZ cameras will be added at each intersection.

The design team and City sta' will collaborate to define the critical factors that could influence the roundabout layout and footprint, with a focus on identifying any existing physical elements (such as major utilities or specified areas of right-of-way acquisition) to be avoided. The intent of the roundabout is to fit within the existing curb to curb and right of way width. Preferred design treatments to accommodate bicyclists such as wide peripheral pathways will also be identified with City Sta', since such decisions may play a major role in the intersection’s overall footprint and geometry, movements that must accommodate large design vehicles will also be confirmed.

The team will perform a tra'ic operational analysis for the intersection using Synchro or SIDRA roundabout software. The team will prepare a tra'ic analysis technical memorandum summarizing existing tra'ic operation including level of service (LOS) and queuing, roundabout level of service (LOS) and queuing projections under the following scenarios:

EXHIBIT A Page 15 of 67 EXHIBIT 1
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• Existing school year volumes during the a.m. peak hour, afternoon school release peak hour, and p.m. peak hour
• Future volumes as developed from available sources or growth factors The design will be consistent with state-of-the-practice roundabout design methods and will include the locations of curbs, striping, median and splitter islands, truck apron(s), the central island, pedestrian facilities, and bicycle facilities. The layout will be carried through transitions to tie in points on the existing roadways. The 30% plans will address all operational and design elements such as lighting, pole locations, drainage, curbing, and tra'ic control concepts, in su'icient detail to prepare a detailed engineers estimate of the project costs.

Deliverables:
• Draft and Final Electronic format of the Tra9ic Analysis tech memo, 30% plans, engineers estimate.

Task 4.3 | PS&E (65% Complete): At a minimum the design will be developed to adequately identify locations of utilities, right-of-way, geometric features, and other design elements. Project estimates and specifications will be included at this stage. 65% plans will be prepared for the various aspects of the design, as indicated below:
• Adjustments to the geometry for the roundabout based on the City’s review of the initial 30% concept plan will be prepared in AutoCAD and provided to the City for input and review. • Topography and demolition plans.
• Grading and drainage plans.
• Paving and Geometric plans.
• Signing and striping plans will be prepared using CAMUTCD and Caltrans Standard Plans at a 1”=40’ scale for both locations illustrating the signing, striping, pavement markings and 200’ from the intersection. Callout striping details and quantities will be shown on the 65% submittal. • A photometric analysis will be conducted using Visual lighting software for the roundabout based on ANSI/IES RP-8-22 guidelines. A photometric exhibit will be provided to the City for their review. • Street light poles, service equipment enclosures will be included on the plans. The level of detail will be su9icient for decision-making and cost estimating, but details that are unnecessary will not be included so that such work would not be wasted if the design subsequently changes. PTZ cameras will be located at each intersection.
• Tra9ic Control and Detour Plan
• A preliminary construction cost estimate will be prepared for the project. • Technical specifications for the roadway, underground, lighting, signage and striping work will be prepared based on the Caltrans Special Provisions and modified to meet the City requirements.

EXHIBIT A Page 16 of 67 EXHIBIT 1
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Task 4.4 | PS&E (90% Complete): The review comments from the 65% submittal shall be itemized and a written response to the comments shall be prepared in a comment matrix. The original red-line mark-up from the City shall be returned with the succeeding submittal.

Task 4.5 | Final PS&E (100% Complete): Complete design revisions from PS&E 90% design. Detailed project estimates and specifications shall be included at this stage. This is the final design, including final construction staging and work zone tra'ic control, and utility coordination. Siegfried will coordinate with PG&E for power service as needed. Siegfried will provide the necessary final PS&E documents in a bidready form. Project files and the Project Engineer’s/Resident Engineer’s file will also be submitted with the Final PS&E.

Task 4.6 | Quality Control: The PS&E shall be subject to quality control reviews before submittal. These reviews will ensure conformance to City and Caltrans Standards, as well as minimize typographical omissions. Siegfried will provide a signed Quality Control Checklist at the time of each deliverable submittal.

Task 5 | Public Outreach
Siegfried will research and develop a coded database of potentially interested parties, which will be updated throughout the project with names from the public meeting sign-in; information from the project team; and from telephone, e-mail and personal contacts. The database will be coded according to interest and involvement with the project. Among the groups on the stakeholders list will be the following:
• District 6 Council member and other elected and appointed o9icials • Residents and property owners adjacent to the proposed project area • Businesses and other establishments adjacent to the project area • Emergency responders
• School District
• Public Transit
• Utility Companies
• Pertinent City sta9
There will be a minimum of one (1) Public Information Meeting to present concepts and design features to the neighboring residents and businesses, and to the public. Siegfried, in collaboration with City sta', will determine the locations near the project site to have each meeting. The meeting(s) will be designed primarily to provide information on the project features, goals, and construction impacts.

Siegfried will schedule the meeting(s) and make all meeting arrangements; write, design, and issue meeting notices by first-class mail to stakeholders and by third-class mail to nearby residents; prepare agendas, sign-in sheets, comment sheets, signage, and other print materials; facilitate meeting EXHIBIT A Page 17 of 67 EXHIBIT 1
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proceedings; assist with exhibits and a PowerPoint presentation to illustrate concepts and plan elements; provide refreshments; record public comments/ assist with appropriate responses; and prepare a detailed meeting report. The meeting should be scheduled after the 65% plans and environmental documents have been prepared.

Task 6 | Coordination/Meetings
Siegfried will attend a design kick-o' meeting and other subsequent meetings with the City (in-person or virtual), as needed, to finalize the design. Siegfried will attend a pre-construction meeting, a post construction meeting, and meet and assist sta' during construction as required.

Siegfried will prepare and provide a comprehensive schedule to reflect the timeframe for each stage/task of the proposed scope of work, utilizing Microsoft Project.

The project schedule shall show a base line, tasks, duration, milestones, assignments, critical paths, and other relevant data. The project schedule shall be maintained and updated monthly throughout the PS&E phase of the project.

Task 7 | Design Support During Construction
Siegfried provide bid support services to the City by assisting in responding to all Requests for Information (RFI) during the project advertisement phase. Siegfried will also provide design support during construction. These services include responding to RFI(s), submittal reviews and approval, altering project plans to address any changes needed, attendance of the pre-construction meeting, consultation with the construction contractor.

Siegfried assumes that the City will perform the construction management in-house which includes resident engineer and inspection duties.

Task 8 | As-built Drawings
Siegfried will prepare as built drawings upon receipt of red-lines from the contractor. Siegfried will produce one complete set of as built drawings in Auto Cad. Changes should be reflected on the mylars either by hand or a new printed sheet.

Task 9 | Preserving and Perpetuating Survey Monuments
Siegfried will identify, and list survey monuments, and show existing survey monuments on construction plans.

Siegfried will include language in the PS&E package to preserve all monumentation a'ected by the work being performed in accordance with Section 8771 of the Professional Land Surveyors Act in the Business EXHIBIT A Page 18 of 67 EXHIBIT 1
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and Professionals Code of the State of California. Siegfried will sign the Acknowledgment of Monument Preservation.

Task 10 | Rights of Entry
Although not anticipated from our initial assessment, Siegfried will assist the City in obtaining rights of entry documentation from property owners where design work is required on their property. Siegfried will send out letters to property owners with a right of entry form (provided by the City) and any exhibits needed to adequately portray the work to be done.

EXHIBIT A Page 19 of 67 EXHIBIT 1
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Siegfried ESA AMG PROJECT
TOTAL
Task 1 Background Research and Surveys

1.1 Review Prior Documentation $7,000 $0 $4,000 $11,000

1.2 Topography and ROW $20,000 $0 $0 $20,000
Task 2 Environmental Services

2.1 Preliminary Environmental Assessment Form $1,000 $1,000 $0 $2,000

2.2 Air Quality Conformity $0 $6,000 $0 $6,000

2.3 Phase I ISA $500 $35,000 $0 $35,500

2.4 LHS $0 $13,000 $0 $13,000

2.5 Environmental Commitments Record & NEPA CE Form $500 $8,000 $0 $8,500

2.6 Coordination/Meetings $1,000 $3,000 $0 $4,000
Task 3 Utility Coordination

3.1 Utility Coordination $17,000 $0 $0 $17,000
Task 4 Plans and Estimates

4.1 Initial 15% Geometric Review $21,000 $0 $13,000 $34,000

4.2 Preliminary 30% Design $26,000 $0 $8,000 $34,000

4.3 65% Submittal $26,000 $0 $8,000 $34,000

4.4 95% Submittal $15,500 $10,000 $25,500

4.5 100% and Final Submittals $6,000 $0 $5,000 $11,000

4.6 Quality Control $6,000 $0 $2,000 $8,000
Task 5 Public Outreach

5.1 Outreach Meetings and Plan $10,000 $0 $0 $10,000
Task 6 Coordination & Meetings

6.1 Meeetings and Management $10,000 $0 $2,500 $12,500
Task 7 DESIGN SUPPORT DURING CONSTRUCTION

7.1 ESDC $5,000 $0 $3,000 $8,000
Task 8 As Built Drawings

8.1 As Built Drawings $1,500 $0 $500 $2,000
Task 9 PRESERVING & PERPETUATING SURVEY MONUMENTS

9.1 Preserving Survey Monuments $3,500 $0 $0 $3,500
Task 10 RIGHT OF ENTRY

10.1 Right of Entry Coordination $500 $0 $0 $500
Total Cost $178,000 $66,000 $56,000 $300,000
Paul J. Schneider, PE, QSD/QSP
President | Managing Principal
Proposed Fee for the City of Stockton
B Street Roundabouts Project No. WT25053 (HSIPL-5008(225)) EXHIBIT B Page 20 of 67 EXHIBIT 1
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Proposed Fee for the City of Stockton B Street Roundabouts Project No. WT25053 (HSIPL-5008(225)) Consultant:

Siegfried
Direct Labor
Principal QA/QC Adam Merrill 24 $98.50 $2,364.00
Principal Civil PM Seth Warren 140 $98.50 $13,790.00
Principal Survey Kevin Genasci 24 $98.50 $2,364.00
Principal Geotech Brad Quon 8 $98.50 $788.00
Design Principal Bob Norbutas 16 $75.00 $1,200.00
Project Engineer John Fadden 210 $56.74 $11,915.40
Associate Public Outreach Erin Cahoon 32 $53.00 $1,696.00 Engineer II Josie Fong 212 $41.50 $8,798.00
Surveyor II Manny Debranca 6 $38.50 $231.00
Engineer I Ytahane El Kheidi 110 $38.50 $4,235.00
Landscape Architect II Regina Paredes 24 $28.50 $684.00 Technician III Anthony Linnerman 80 $34.50 $2,760.00
Technician II Datlon Reed 40 $25.25 $1,010.00
Party Chief Scott Soares 32 $84.00 $2,688.00
Labor Costs
a) Direct Labor Cost $54,523.40
b) Anticipated Salary Increases $0
c) Total Direct Labor Costs [(a)+(b)] $54,523.40
Fringe Benefits
d) Fringe Benefits Rate 68.31%
e) Total Fringe Benefits [(c) x (d)] $37,244.94
Indirect Costs
f) Overhead Rate 59.48%
h) General and Administrative Rate 55.53%
g) Overhead [(c)x(f)] $32,430.52
i) Gen & Admin [(c)x(h)] $30,276.84
j) Total Indirect Costs [(e)+(g)+(i)] $99,952.30
Fee (Profit)
q) Rate 10%
k) Total Fixed Profit $15,447.57
Other Direct Costs (ODC)
Description Unit(s) Unit Cost Total
Mailers 1600.00 $0.600 $960.00
Mileage 151.60 $0.770 $116.73
Utility Locating 1.00 $5,000.00 $5,000.00
Rental Space 1 $2,000 $2,000.00
l) Total Other Direct Costs $8,076.73
Subconsultants
W-Trans
ESA
m) Total Subconsultants
Total Siegfried Cost $178,000.00
Total Project Cost $300,000.00
$122,000.00
$56,000.00
$66,000.00
EXHIBIT B Page 21 of 67 EXHIBIT 1
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Proposed Fee for the City of Stockton B Street Roundabouts Project No. WT25053 (HSIPL-5008(225)) Sub-Consultant:

ESA
Direct Labor
Principal Consultant 4 M. Logue 20 $99.48 $1,989.60
Managing Consultant 1 Aga Napiatek 100 $65.31 $6,531.00 Assc Consultant 4 - Enviro Planner 3 TBD 63 $49.13 $3,095.19 Princ Consultant 4 - Archaeologist TBD 2 $89.72 $179.44 Managing Const. 2 - Arch. Historian TBD 2 $68.66 $137.32 Managing Cons. 3 - LS Architect TBD 2 $69.27 $138.54
Princ Cons. 3 - Spec./Haz Mat Tech TBD 40 $86.36 $3,454.40 Senior Consultant 3 - GIS TBD 26 $56.76 $1,475.76
Associate Consultant 4 - Editor/Pubs TBD 29 $54.93 $1,592.97 Project Technician 4 - Accountant TBD 12 $54.32 $652
Labor Costs
a) Direct Labor Cost $19,246.06
b) Anticipated Salary Increases $0
c) Total Direct Labor Costs [(a)+(b)] $19,246.06
Fringe Benefits
d) Fringe Benefits Rate 50.30%
e) Total Fringe Benefits [(c) x (d)] $9,680.77
Indirect Costs
f) Overhead Rate 147.60%
h) General and Administrative Rate 0.00%
g) Overhead [(c)x(f)] $28,407.18
i) Gen & Admin [(c)x(h)] $0.00
j) Total Indirect Costs [(e)+(g)+(i)] $38,087.95
Fee (Profit)
q) Rate 15%
k) Total Fixed Profit $8,600.10
Other Direct Costs (ODC)
Description Unit(s) Unit Cost Total
l) Travel/Mileage Costs 85.57 $0.770 $65.89
m) Mailers, AV, Rental Space $1.29 $0.00
n) Printing 0 $1.00 $0.00
o) Subconsultant Costs
p) Total Other Direct Costs [(l)+(m)+(n)+(o)] $65.89
Total Cost $66,000.00
EXHIBIT B Page 22 of 67 EXHIBIT 1
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Proposed Fee for the City of Stockton B Street Roundabouts Project No. WT25053 (HSIPL-5008(225)) Sub-Consultant:

AMG
Direct Labor
Principal PM Joy Bhattacharya 16 $141.41 $2,262.56
Principal QA/QC Christopher Thnay 16 $128.32 $2,053.12
Senior Project Engineer Chris Higbee 124 $74.90 $9,287.60 Design Technician Ryan Sabiniano 110 $46.08 $5,068.80
Administrator TBD 6 $46.44 $278.64
Labor Costs
a) Direct Labor Cost $18,950.72
b) Anticipated Salary Increases $0
c) Total Direct Labor Costs [(a)+(b)] $18,950.72
Fringe Benefits
d) Fringe Benefits Rate 51.07%
e) Total Fringe Benefits [(c) x (d)] $9,678.13
Indirect Costs
f) Overhead Rate 0.00%
h) General and Administrative Rate 87.46%
g) Overhead [(c)x(f)] $0.00
i) Gen & Admin [(c)x(h)] $16,574
j) Total Indirect Costs [(e)+(g)+(i)] $26,252.43
Fee (Profit)
q) Rate 10%
k) Total Fixed Profit $4,520.32
Other Direct Costs (ODC)
Description Unit(s) Unit Cost Total
l) Travel/Mileage Costs 359.13 $0.770 $276.53
m) Copies $0.00 $0.00
n) Permit Fees (itemize), Plan sheets (ea.)
o) Subconsultant Costs - Traffic Counts 1 $6,000.00 $6,000.00 p) Total Other Direct Costs [(l)+(m)+(n)+(o)] $6,276.53 Total Cost $56,000.00
EXHIBIT B Page 23 of 67 EXHIBIT 1
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EXHIBIT C

EXHIBIT 1
632

B STREET ROUNDABOUTS
Project No. WT25053 / Federal Project No. HSIPL-5008(225) Insurance Requirements for Professional Services
Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees.

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

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

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

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

4. Professional Liability (Errors and Omissions) Insurance appropriates to the Consultant’s profession, with limit no less than $5,000,000 per occurrence or claim, $5,000,000 aggregate.

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

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

EXHIBIT D Page 25 of 67 EXHIBIT 1
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Additional Insured Status
The City of Stockton, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant 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 Consultant’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). 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 Consultant’s insurance coverage shall be primary and non-contributory and at least as broad as ISO CG 20 01 12 19 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 Consultant’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 Consultant may use Umbrella or Excess Policies to provide the liability limits as required in this agreement. The policies shall be provided on a true “following form” coverage basis, with coverage at least as broad as provided on the underlying Commercial General Liability insurance.

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
Consultant hereby grants to City of Stockton a waiver of any right to subrogation which any insurer of said Consultant may acquire against the City of Stockton by virtue of the payment of any loss under such insurance. Consultant 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 D Page 26 of 67 EXHIBIT 1
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Self-Insured Retentions
Self-insured retentions must be declared to and approved by the City of Stockton. The City of Stockton may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related expenses within the retention. The policy language shall provide, or be endorsed to provide, that the selfinsured retention may be satisfied by either the named insured or City of Stockton.

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 claimsmade policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of work.

Verification of Coverage
Consultant 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 All required documents are to be received and approved by the City of Stockton before work commences. However, failure to obtain the documents prior to the work beginning shall not waive the Consultant’s obligation to provide them. The City of Stockton reserves the right to require complete, certified copies of all required insurance policies, including endorsements, at any time.

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

Duration of Coverage
CGL & Excess liability policies for any construction related work, including, but not limited to, maintenance, service, or repair work, shall continue coverage for a minimum of 5 years for Completed Operations liability coverage. Such Insurance must EXHIBIT D Page 27 of 67 EXHIBIT 1
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be maintained, and evidence of insurance must be provided for at least five (5) years after completion of the contract of work .

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

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

City of Stockton
Its Officers, Officials, Employees, and Volunteers
501 W. Weber Avenue
Building 1, 4th Floor
Stockton, CA 95203

EXHIBIT D
EXHIBIT 1
636
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 E Page 29 of 67 EXHIBIT 1
637
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 nonemployee 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 E Page 30 of 67 EXHIBIT 1
638
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 E Page 31 of 67 EXHIBIT 1
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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 E Page 32 of 67 EXHIBIT 1
640
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 E Page 33 of 67 EXHIBIT 1
641
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 E Page 34 of 67 EXHIBIT 1
642
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 nonemployees 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 E Page 35 of 67 EXHIBIT 1
643
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 nonemployee to cease the conduct.

EXHIBIT E Page 36 of 67 EXHIBIT 1
644
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 E Page 37 of 67 EXHIBIT 1
645
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 E Page 38 of 67 EXHIBIT 1
646
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 E Page 39 of 67 EXHIBIT 1
647
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 E Page 40 of 67 EXHIBIT 1
648

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 E Page 41 of 67 EXHIBIT 1
649

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
::ODMA\GRPWISE\COS.PER.PER_Library:96180.1
EXHIBIT E Page 42 of 67 EXHIBIT 1
650
APPENDIX A of the Title VI Assurances
During the performance of this Agreement, the contractor, for itself, its assignees and successors in interest (hereinafter collectively referred to as CONSULTANT) agrees as follows:
a. Compliance with Regulations: CONSULTANT shall comply with the regulations relative to nondiscrimination in federally assisted programs of the Department of Transportation, Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time, (hereinafter referred to as the REGULATIONS), which are herein incorporated by reference and made a part of this agreement.
b. Nondiscrimination: CONSULTANT, with regard to the work performed by it during the AGREEMENT, shall not discriminate on the grounds of race, color, sex, national origin, religion, age, or disability in the selection and retention of sub-applicants, including procurements of materials and leases of equipment.

CONSULTANT shall not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including employment practices when the agreement covers a program set forth in Appendix B of the Regulations.
c. Solicitations for Sub-agreements, Including Procurements of Materials and Equipment: In all solicitations either by competitive bidding or negotiation made by CONSULTANT for work to be performed under a Sub- agreement, including procurements of materials or leases of equipment, each potential sub-applicant or supplier shall be notified by CONSULTANT of the CONSULTANT’S obligations under this Agreement and the Regulations relative to nondiscrimination on the grounds of race, color, or national origin. d. Information and Reports: CONSULTANT shall provide all information and reports required by the Regulations, or directives issued pursuant thereto, and shall permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the recipient or FHWA to be pertinent to ascertain compliance with such Regulations or directives.

Where any information required of CONSULTANT is in the exclusive possession of another who fails or refuses to furnish this information, CONSULTANT shall so certify to the recipient or FHWA as appropriate, and shall set forth what efforts CONSULTANT has made to obtain the information. e. Sanctions for Noncompliance: In the event of CONSULTANT’s noncompliance with the nondiscrimination provisions of this agreement, the recipient shall impose such agreement sanctions as it or the FHWA may determine to be appropriate, including, but not limited to:

EXHIBIT F Page 43 of 67 EXHIBIT 1
651
i. withholding of payments to CONSULTANT under the Agreement within a reasonable period of time, not to exceed 90 days; and/or ii. cancellation, termination or suspension of the Agreement, in whole or in part. Page 34 of 39 May 2023 Local Assistance Procedures Manual Exhibit 10-R A&E Boilerplate Agreement Language
f. Incorporation of Provisions: CONSULTANT shall include the provisions of paragraphs (1) through (6) in every sub-agreement, including procurements of materials and leases of equipment, unless exempt by the Regulations, or directives issued pursuant thereto.

CONSULTANT shall take such action with respect to any sub-agreement or procurement as the recipient or FHWA may direct as a means of enforcing such provisions including sanctions for noncompliance, provided, however, that, in the event CONSULTANT becomes involved in, or is threatened with, litigation with a sub-applicant or supplier as a result of such direction, CONSULTANT may request the recipient enter into such litigation to protect the interests of the State, and, in addition, CONSULTANT may request the United States to enter into such litigation to protect the interests of the United States.

EXHIBIT F Page 44 of 67 EXHIBIT 1
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Appendix E of the Title VI Assurances
(US DOT Order 1050.2A)
During the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the “contractor”) agrees to comply with the following nondiscrimination statutes and authorities; including but not limited to:

Pertinent Nondiscrimination Authorities:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part 21.
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects);
• Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on the basis of sex);
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits discrimination on the basis of disability); and 49 CFR Part 27;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits discrimination on the basis of age);
• Airport and Airway Improvement Act of 1982, (49 U.S.C. § 4 71, Section 4 7123), as amended, (prohibits discrimination based on race, creed, color, national origin, or sex);
• The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all of the programs or activities of the Federal-aid recipients, subrecipients and contractors, whether such programs or activities are Federally funded or not);
• Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. §§ 12131-12189) as implemented by Department of Transportation regulations at 49 C.F.R. parts 37 and 38;
EXHIBIT F Page 45 of 67 EXHIBIT 1
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• The Federal Aviation Administration's Nondiscrimination statute (49 U.S.C. § 47123) (prohibits discrimination on the basis of race, color, national origin, and sex);
• Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, which ensures discrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations; • Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin discrimination includes discrimination because of limited English proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100);
• Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education programs or activities (20 U.S.C. 1681 et seq).

EXHIBIT F Page 46 of 67 EXHIBIT 1
654
Local Assistance Procedures Manual Exhibit 10-R
A&E Boilerplate Agreement Language

January 2026
Federal-Aid Contract Provisions

B STREET ROUNDABOUTS
City Project No. WT25053 / Federal-Aid Project No. HSIPL-5008(225)

TABLE OF CONTENTS
Page
ARTICLE I INTRODUCTION .................................................................................................................... 3 ARTICLE II CONSULTANT’S REPORTS OR MEETINGS ...................................................................... 4 ARTICLE III STATEMENT OF WORK ..................................................................................................... 4 ARTICLE IV PERFORMANCE PERIOD .................................................................................................. 5 ARTICLE V ALLOWABLE COSTS AND PAYMENTS ............................................................................ 5 ARTICLE VI TERMINATION .................................................................................................................. . 6 ARTICLE VII COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS .................................... ..7 ARTICLE VIII RETENTION OF RECORD/AUDITS ................................................................................ ..7 ARTICLE IX AUDIT REVIEW PROCEDURES ....................................................................................... 8 ARTICLE X SUBCONTRACTING .......................................................................................................... 9 ARTICLE XI EQUIPMENT PURCHASE AND OTHER CAPITAL EXPENDITURES ............................. 10 ARTICLE XII STATE PREVAILING WAGE RATES .............................................................................. 11 ARTICLE XIII CONFLICT OF INTEREST ............................................................................................... 14 ARTICLE XIV REBATES, KICKBACKS OR OTHER UNLAWFUL CONSIDERATION ........................ 15

ARTICLE XV PROHIBITION OF EXPENDING LOCAL AGENCY, STATE, OR FEDERAL FUNDS FOR LOBBYING ..................................................................................................................................... 15 ARTICLE XVI NON-DISCRIMINATION CLAUSE AND STATEMENT OF COMPLIANCE .................... 16 ARTICLE XVII DEBARMENT AND SUSPENSION CERTIFICATION ................................................... 17 ARTICLE XVIII DISADVANTAGED BUSINESS ENTERPRISES (DBE) PARTICIPATION……………..17 ARTICLE XIX INSURANCE .................................................................................................................... 17 ARTICLE XX FUNDING REQUIREMENTS ............................................................................................ 17 ARTICLE XXI CHANGE IN TERMS ....................................................................................................... 18 ARTICLE XXII CONTINGENT FEE ........................................................................................................ 18 ARTICLE XXIII DISPUTES ..................................................................................................................... 18 ARTICLE XXIV INSPECTION OF WORK .............................................................................................. 18 ARTICLE XXV SAFETY ......................................................................................................................... 18 ARTICLE XXVI OWNERSHIP OF DATA ................................................................................................ 19 ARTICLE XXVII CLAIMS FILED BY LOCAL AGENCY’s CONSTRUCTION CONTRACTOR .............. 19 EXHIBIT G Page 47 of 67 EXHIBIT 1
655
Local Assistance Procedures Manual Exhibit 10-R
A&E Boilerplate Agreement Language

January 2026
ARTICLE XXVIII CONFIDENTIALITY OF DATA ................................................................................... 20 ARTICLE XXIX NATIONAL LABOR RELATIONS BOARD CERTIFICATION ...................................... 20 ARTICLE XXX EVALUATION OF CONSULTANT ................................................................................. 21 ARTICLE XXXI PROMPT PAYMENT ..................................................................................................... 21 ARTICLE XXXII TITLE VI ASSURANCES ............................................................................................. 21 ARTICLE XXXIII NOTIFICATION ........................................................................................................... 21 ARTICLE XXXIV CONTRACT ................................................................................................................ 21 ARTICLE XXXV SIGNATURES .............................................................................................................. 21 EXHIBIT G Page 48 of 67 EXHIBIT 1
656
Local Assistance Procedures Manual Exhibit 10-R
A&E Boilerplate Agreement Language

January 2026

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

The name of the “CONSULTANT” is as follows: SIEGFRIED ENGINEERING, INC.

Incorporated in the State of CALIFORNIA.

The Project Manager for the “CONSULTANT” will be Paul Schneider.

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

CITY OF STOCKTON
The Contract Administrator for LOCAL AGENCY will be MAURICIO ESPINOZA.

B. The work to be performed under this AGREEMENT is described in Article III Statement of Work and the approved CONSULTANT’s Cost Proposal dated March 24, 2026. The approved CONSULTANT’s Cost Proposal is attached hereto (Exhibit B) and incorporated by reference. If there is any conflict between the approved Cost Proposal and this AGREEMENT, this AGREEMENT shall take precedence.

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

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

E. LOCAL AGENCY is not required to make any deductions or withholdings from the compensation payable to CONSULTANT under the provisions of the AGREEMENT and is not required to issue W2 Forms for income and employment tax purposes for any of CONSULTANT's assigned personnel.

CONSULTANT, in the performance of its obligation hereunder, is only subject to the control or direction of the LOCAL AGENCY as to the designation of tasks to be performed and the results to be accomplished.

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

G. Except as expressly authorized herein, CONSULTANT's obligations under this AGREEMENT are not EXHIBIT G Page 49 of 67 EXHIBIT 1
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assignable or transferable, and CONSULTANT shall not subcontract any work, without the prior written approval of the LOCAL AGENCY. However, claims for money due or which become due to CONSULTANT from LOCAL AGENCY under this AGREEMENT may be assigned to a financial institution or to a trustee in bankruptcy, without such approval. Notice of any assignment or transfer whether voluntary or involuntary shall be furnished promptly to the LOCAL AGENCY.

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

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

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

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

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

ARTICLE III STATEMENT OF WORK
A. CONSULTANT Services
See Exhibit A, Scope of Services of the Professional Services Contract.

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

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

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

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

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

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G. Checking Shop Drawings
For AGREEMENTs requiring the preparation of construction drawings, make provision for checking shop drawings. Payment for checking shop drawings by CONSULTANT may be included in the AGREEMENT fee, or provision may be made for separate payment.

H. CONSULTANT Services During Construction
The extent, if any of CONSULTANT’s services during the course of construction as material testing, construction surveys. etc., are specified in the AGREEMENT together with the method of payment for such services.

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

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

ARTICLE IV PERFORMANCE PERIOD
A. This AGREEMENT shall go into effect on _________________, contingent upon approval by LOCAL AGENCY, and CONSULTANT shall commence work after notification to proceed by LOCAL AGENCY’S Contract Administrator. The AGREEMENT shall end on December 31, 2030, unless extended by AGREEMENT amendment.

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

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

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

B. In addition to the allowable costs incurred, LOCAL AGENCY will pay CONSULTANT a fixed fee of $300,000. The fixed fee is nonadjustable for the term of the AGREEMENT, except in the event of a EXHIBIT G Page 51 of 67 EXHIBIT 1
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significant change in the scope of work and such adjustment is made by AGREEMENT amendment.

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

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

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

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

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

City of Stockton
Public Works Department
ATTN: MAURICIO ESPINOZA
501 W. Weber Ave., Bldg. 2 – 3rd Floor
Stockton, CA 95202-9822
H. The total amount payable by LOCAL AGENCY including the fixed fee shall not exceed $300,000.

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

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

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

C. Notwithstanding any provisions of this AGREEMENT, CONSULTANT shall not be relieved of liability to LOCAL AGENCY for damages sustained by LOCAL AGENCY by virtue of any breach of this EXHIBIT G Page 52 of 67 EXHIBIT 1
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AGREEMENT by CONSULTANT, and LOCAL AGENCY may withhold any payments due to CONSULTANT until such time as the exact amount of damages, if any, due LOCAL AGENCY from CONSULTANT is determined.

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

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

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

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

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

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

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

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

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

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

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

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

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

2. If IOAI is unable to issue a cognizant letter per paragraph E.1. above, IOAI may require CONSULTANT to submit a revised independent CPA-audited ICR and audit report within three (3) months of the effective date of the management letter. IOAI will then have up to six (6) months to review the CONSULTANT’s and/or the independent CPA’s revisions.

3. If the CONSULTANT fails to comply with the provisions of this paragraph E, or if IOAI is still unable EXHIBIT G Page 54 of 67 EXHIBIT 1
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to issue a cognizant approval letter after the revised independent CPA audited ICR is submitted, overhead cost reimbursement will be limited to the accepted ICR that was established upon initial rejection of the ICR and set forth in paragraph E.1. above for all rendered services. In this event, this accepted ICR will become the actual and final ICR for reimbursement purposes under this AGREEMENT.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1. CONSULTANT shall maintain an inventory of all nonexpendable property. Nonexpendable property is defined as having a useful life of at least two years and an acquisition cost of five thousand dollars ($5,000) or more. If the purchased equipment needs replacement and is sold or traded in, LOCAL AGENCY shall receive a proper refund or credit at the conclusion of the AGREEMENT, or if the AGREEMENT is terminated, CONSULTANT may either keep the equipment and credit LOCAL AGENCY in an amount equal to its fair market value, or sell such equipment at the best price obtainable at a public or private sale, in accordance with established LOCAL AGENCY procedures; and credit LOCAL AGENCY in an amount equal to the sales price.

If CONSULTANT elects to keep the equipment, fair market value shall be determined at CONSULTANT’s expense, on the basis of a competent independent appraisal of such equipment.

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CONSULTANT, if it is determined to sell the equipment, the terms and conditions of such sale must be approved in advance by LOCAL AGENCY.

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

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

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

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

D. Payroll Records

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

2. The payroll records enumerated under paragraph (1) above shall be certified as correct by the CONSULTANT under penalty of perjury. The payroll records and all supporting documents shall be made available for inspection and copying by LOCAL AGENCY representatives at all reasonable hours at the principal office of the CONSULTANT. The CONSULTANT shall provide copies of certified payrolls or permit inspection of its records as follows:
a. A certified copy of an employee's payroll record shall be made available for inspection or furnished to the employee or the employee's authorized representative on request. b. A certified copy of all payroll records enumerated in paragraph (1) above, shall be made available for inspection or furnished upon request to a representative of LOCAL AGENCY, EXHIBIT G Page 57 of 67 EXHIBIT 1
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the Division of Labor Standards Enforcement and the Division of Apprenticeship Standards of the Department of Industrial Relations. Certified payrolls submitted to LOCAL AGENCY, the Division of Labor Standards Enforcement and the Division of Apprenticeship Standards shall not be altered or obliterated by the CONSULTANT. c. The public shall not be given access to certified payroll records by the CONSULTANT.

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

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

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

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

6. The CONSULTANT or Subconsultant shall have ten (10) calendar days in which to comply subsequent to receipt of written notice requesting the records enumerated in paragraph (1) above.

In the event the CONSULTANT or Subconsultant fails to comply within the ten (10) day period, he or she shall, as a penalty to LOCAL AGENCY, forfeit one hundred dollars ($100) for each calendar day, or portion thereof, for each worker, until strict compliance is effectuated. Such penalties shall be withheld by LOCAL AGENCY from payments then due. CONSULTANT is not subject to a penalty assessment pursuant to this section due to the failure of a Subconsultant to comply with this section.

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

F. Penalty

1. The CONSULTANT and any of its Subconsultants shall comply with Labor Code §1774 and §1775.

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

2. The amount of this forfeiture shall be determined by the Labor Commissioner and shall be based on consideration of mistake, inadvertence, or neglect of the CONSULTANT or Subconsultant in failing to pay the correct rate of prevailing wages, or the previous record of the CONSULTANT or Subconsultant in meeting their respective prevailing wage obligations, or the willful failure by the CONSULTANT or Subconsultant to pay the correct rates of prevailing wages. A mistake, inadvertence, or neglect in failing to pay the correct rates of prevailing wages is not excusable if EXHIBIT G Page 58 of 67 EXHIBIT 1
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the CONSULTANT or Subconsultant had knowledge of the obligations under the Labor Code.

The CONSULTANT is responsible for paying the appropriate rate, including any escalations that take place during the term of the AGREEMENT.

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

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

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

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

G. Hours of Labor
Eight (8) hours labor constitutes a legal day's work. The CONSULTANT shall forfeit, as a penalty to the LOCAL AGENCY, twenty-five dollars ($25) for each worker employed in the execution of the AGREEMENT by the CONSULTANT or any of its Subconsultants for each calendar day during which such worker is required or permitted to work more than eight (8) hours in any one calendar day and forty (40) hours in any one calendar week in violation of the provisions of the Labor Code, and in particular §§1810 to 1815 thereof, inclusive, except that work performed by employees in excess of eight (8) hours per day, and forty (40) hours during any one week, shall be permitted upon compensation for all hours worked in excess of eight (8) hours per day and forty (40) hours in any EXHIBIT G Page 59 of 67 EXHIBIT 1
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week, at not less than one and one-half (1.5) times the basic rate of pay, as provided in §1815.

H. Employment of Apprentices

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

2. CONSULTANTs and subconsultants are required to comply with all Labor Code requirements regarding the employment of apprentices, including mandatory ratios of journey level to apprentice workers. Prior to commencement of work, CONSULTANT and subconsultants are advised to contact the DIR Division of Apprenticeship Standards website at https://www.dir.ca.gov/das/, for additional information regarding the employment of apprentices and for the specific journey-to- apprentice ratios for the AGREEMENT work. The CONSULTANT is responsible for all subconsultants’ compliance with these requirements. Penalties are specified in Labor Code §1777.7.

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

B. CONSULTANT certifies that it has disclosed to LOCAL AGENCY any actual, apparent, or potential conflicts of interest that may exist relative to the services to be provided pursuant to this AGREEMENT. CONSULTANT agrees to advise LOCAL AGENCY of any actual, apparent or potential conflicts of interest that may develop subsequent to the date of execution of this AGREEMENT. CONSULTANT further agrees to complete any statements of economic interest if required by either LOCAL AGENCY ordinance or State law
C. The CONSULTANT hereby certifies that it does not now have, nor shall it acquire any financial or business interest that would conflict with the performance of services under this AGREEMENT.

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

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

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

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

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

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

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

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

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

ARTICLE XVI NON-DISCRIMINATION CLAUSE AND STATEMENT OF COMPLIANCE A. The CONSULTANT’s signature affixed herein and dated shall constitute a certification under penalty of perjury under the laws of the State of California that the CONSULTANT has, unless exempt, complied with the nondiscrimination program requirements of Gov. Code §12990 and 2 CCR §11102.

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

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

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

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

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

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

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

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

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

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

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

3. Does not have a proposed debarment pending; and

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

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

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

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

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

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

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

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

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

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

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

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

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

A. Any dispute, other than audit, concerning a question of fact arising under this AGREEMENT that is not disposed of by agreement shall be decided by a committee consisting of LOCAL AGENCY’s Contract Administrator and PENI BASALUSALU, DIRECTOR, who may consider written or verbal EXHIBIT G Page 63 of 67 EXHIBIT 1
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information submitted by CONSULTANT.

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

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

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

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

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

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

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

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

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

ARTICLE XXVI OWNERSHIP OF DATA
A. It is mutually agreed that all materials prepared by CONSULTANT under this AGREEMENT shall become the property of LOCAL AGENCY, and CONSULTANT shall have no property right therein whatsoever. Immediately upon termination, LOCAL AGENCY shall be entitled to, and CONSULTANT shall deliver to LOCAL AGENCY, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not, and other such materials as may have been prepared or accumulated to date by CONSULTANT in performing this AGREEMENT which is not CONSULTANT’s privileged information, as defined by law, or CONSULTANT’s personnel information, along with all other property belonging exclusively to LOCAL AGENCY which is in CONSULTANT’s possession. Publication of the information derived from work performed or data obtained in connection with services rendered under this AGREEMENT must be approved in writing by LOCAL AGENCY.

B. Additionally, it is agreed that the Parties intend this to be an AGREEMENT for services and each considers the products and results of the services to be rendered by CONSULTANT hereunder to be work made for hire. CONSULTANT acknowledges and agrees that the work (and all rights therein, including, without limitation, copyright) belongs to and shall be the sole and exclusive property of EXHIBIT G Page 64 of 67 EXHIBIT 1
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LOCAL AGENCY without restriction or limitation upon its use or dissemination by City.

C. Nothing herein shall constitute or be construed to be any representation by CONSULTANT that the work product is suitable in any way for any other project except the one detailed in this Contract. Any reuse by LOCAL AGENCY for another project or project location shall be at LOCAL AGENCY’s sole risk.

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

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

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

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

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

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

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

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

C. CONSULTANT shall not comment publicly to the press or any other media regarding the AGREEMENT or LOCAL AGENCY’s actions on the same, except to LOCAL AGENCY’s staff, CONSULTANT’s own personnel involved in the performance of this AGREEMENT, at public hearings, or in response to questions from a Legislative committee.

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

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

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

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

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

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

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

The LOCAL AGENCY must verify all Exhibit 9-P information, monitor compliance with prompt payment requirements for DBE and non-DBE firms, and address any shortfalls to the DBE commitment and prompt payment issues until the end of the project. The LOCAL AGENCY must email a copy of Exhibit 9-P to [email protected] before the end of the month after receiving the EXHIBIT G Page 66 of 67 EXHIBIT 1
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Exhibit 9-P from the CONSULTANT.

ARTICLE XXXII TITLE VI ASSURANCES
Refer to the Professional Services Contract

ARTICLE XXXIII NOTIFICATION
Refer to the Professional Services Contract

ARTICLE XXXIV CONTRACT
Refer to the Professional Services Contract

ARTICLE XXXV SIGNATURES
Refer to the Professional Services Contract
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City of Stockton
Legislation Text
File #: 26-1028, Version: 1
ADOPTED 2026-2027 STATE AND FEDERAL LEGISLATIVE ADVOCACY PROGRAM FOLLOWUP

RECOMMENDATION
Informational only. No action to be taken.

Summary
Staff and consultants will provide an informational follow-up to the City’s annual State and Federal Legislative Advocacy Program, which was approved by Council motion on August 18, 2026 (Motion 2026-08-18-1005).

As requested by Council, the follow-up will outline actions taken over the past 18 months (January 2025 - June 2026) and include a checklist of completed objectives. Additionally, staff will provide an update to the development of an evaluation system for grading the efforts of our state and federal lobbying firms.

Attachment A - Federal Advocacy Accomplishments and Completed Objectives City of Stockton Page 1 of 1 Printed on 9/24/2026
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City of Stockton
Federal Advocacy Accomplishments and Completed Objectives January 2025 – June 2026
During the 18-month reporting period, Townsend Public Affairs (TPA) worked closely with City leadership and departments to advance Stockton's federal legislative, funding, and policy priorities. The following summarizes TPA's ongoing services, key actions taken, and objectives completed on behalf of the City.

Ongoing Federal Advocacy Services
Throughout the reporting period, TPA provided the following recurring services to support the City's federal advocacy program, maintain regular communication with City leadership and staff, and ensure accountability for advocacy activities. - Monthly Federal Legislative Updates
Prepared and delivered monthly federal legislative memoranda highlighting key congressional developments, federal policy changes, emerging legislative priorities, and issues affecting Stockton. These updates provide City leadership and departments with timely information on federal legislation, appropriations, executive actions, and opportunities to advance the City's priorities.
- Monthly Federal Grants Updates
Prepared and delivered monthly federal grants memoranda identifying available and upcoming federal funding opportunities aligned with the City's priorities. These updates highlight relevant grant programs, funding availability, eligibility requirements, application deadlines, and potential funding strategies to support Stockton's infrastructure, public safety, transportation, housing, and economic development objectives. - Biweekly Coordination Meetings with City Staff
Conducted biweekly check-in meetings with City leadership and staff to discuss federal legislative and funding developments, review the status of ongoing advocacy initiatives, identify emerging City priorities, coordinate federal funding applications, and establish next steps for advancing Stockton's federal agenda.
- Monthly Billing and Activity Memoranda
Prepared and submitted monthly billing memoranda documenting federal advocacy activities undertaken on behalf of the City. These memoranda outlined actions taken, meetings conducted, legislative and funding developments monitored, and progress made toward advancing the City's federal priorities.
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- Quarterly Federal Lobbying Disclosure Reports
Prepared and filed quarterly lobbying activity reports (Form LD-2) with the Secretary of the U.S. Senate and the Clerk of the U.S. House of Representatives, documenting federal lobbying activities undertaken on behalf of the City in accordance with applicable federal disclosure requirements.

Chronological Summary of Federal Advocacy Activities and Accomplishments January 2025
- Developed and managed a multi-year federal funding pipeline Worked with City departments and congressional offices to identify priority projects, develop competitive funding narratives, prepare and submit applications, and advocate for Stockton's public safety, transportation, workforce development, and infrastructure priorities. This work continued throughout the reporting period. - Provided guidance on federal grantmaking changes and funding uncertainty Advised the City on changes to the Department of Transportation's RAISE/BUILD grant program and provided timely analysis of the Administration's federal funding freeze, executive orders, and OMB directives. Evaluated potential implications for City funding and provided guidance on evolving federal grant requirements and funding risks. - Initiated advocacy on surface transportation reauthorization Engaged congressional offices, the U.S. Department of Transportation, the Build America Bureau, and the House Transportation and Infrastructure Committee to elevate Stockton's transportation priorities, advocate for local government needs, and identify federal infrastructure funding opportunities. These efforts continued throughout the reporting period.

January – March 2025
- Developed and submitted three FY26 community project funding requests Worked with City departments and congressional offices to finalize and submit federal funding applications for the Pershing Avenue Road Safety Improvement & Enhancements Project, Stockton Youth Employment Summer Success, and Safe Routes to Schools Sidewalk Gap Closure Project. TPA supported the development of project narratives, preparation of application materials, and coordination with congressional offices to advance the City's funding priorities through the FY26 appropriations process.

February 2025
- Secured congressional support for Stockton's Assistance to Firefighters Grant application

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Coordinated with Representative Harder's office to obtain a letter supporting the City's grant application and facilitated its delivery to the Federal Emergency Management Agency (FEMA), confirming receipt by the agency.

May 18–22, 2025
- Organized and led the City's first Washington, D.C. advocacy trip Coordinated meetings with congressional offices, federal agencies, and key stakeholders to advance Stockton's funding, infrastructure, public safety, and economic development priorities. Prepared briefing materials, facilitated delegation strategy, supported City representatives during meetings, and developed recommended follow-up actions.

June 2025
- Provided City-specific analysis of federal funding conditions Prepared and delivered a comprehensive memorandum examining the Administration's efforts to impose new federal funding conditions on local governments, including those designated as sanctuary jurisdictions. Developed in consultation with legal professionals and informed by Congressional Research Service analysis, the memorandum evaluated potential legal limitations on withholding congressionally appropriated funds, relevant federal court decisions, and the implications of new funding conditions for Department of Transportation and Department of Housing and Urban Development programs. TPA provided guidance to help the City evaluate potential risks to existing and future federal funding, understand its options when presented with new grant conditions, and make informed decisions regarding federal grant agreements.

July 2025
- Provided legislative analysis of the One Big Beautiful Bill Act Following passage of the legislation, TPA provided City leadership with a detailed analysis of major federal policy and funding changes, including modifications to Medicaid (Medi-Cal), the Supplemental Nutrition Assistance Program (SNAP/CalFresh), clean energy tax credits, and affordable housing incentives. The analysis outlined potential increases in state and local administrative and financial responsibilities, changes to program eligibility and work requirements, and the implications of reduced federal support for certain clean energy initiatives. TPA also identified changes to the Low-Income Housing Tax Credit program that could create additional opportunities for affordable housing development.

July 21–25, 2025
- Organized and led the City's second Washington, D.C. advocacy trip Facilitated additional meetings with federal decision-makers and industry stakeholders to build upon prior advocacy efforts, advance priority projects, and identify opportunities for federal partnership and investment.

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September 2025
- Prepared an assessment of federal government shutdown impacts Provided City leadership and departments with a detailed memorandum outlining the potential consequences of a federal government shutdown and the implications for City operations, federal funding, and public services. The analysis addressed potential disruptions to federal grant administration, delayed reimbursements and disbursements, reduced federal agency operations, and the continued availability of funding for transportation, housing, public safety, emergency management, and other municipal priorities. TPA identified potential risks to federally funded City projects, including delays in grant processing and the availability of federal agency personnel, and provided guidance to help Stockton anticipate and prepare for potential funding and operational disruptions.

October 2025
- Coordinated congressional advocacy to protect pending federal funding Helped organize and coordinate a coalition letter to congressional leadership representing 45 California public agencies, advocating for the protection of pending community project funding requests amid federal appropriations uncertainty. The coordinated effort elevated the concerns of local governments and emphasized the importance of preserving congressionally directed funding for critical community infrastructure and public service projects.

February 3, 2026
- Secured $1.25 million in enacted federal funding
TPA's advocacy helped deliver $1 million for the Combatting Crime in Real Time Project and $250,000 for the Pershing Avenue Road Safety Improvement and Enhancements Project through the FY26 appropriations process, with both projects receiving funding signed into law.

February 19, 2026
- Secured congressional support for the City's Delta Conveyance advocacy Helped draft and obtain a letter of support from Representative Harder as Stockton prepared to present its appeal regarding the Proposed Delta Conveyance Project to the Delta Stewardship Council.

March 2026
- Provided guidance on proposed federal reporting changes Advised City departments of a U.S. Department of the Treasury proposal that could impose additional reporting requirements on recipients of American Rescue Plan Act (ARPA) funding, including State and Local Fiscal Recovery Funds (SLFRF), Emergency Rental

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Assistance, and the Capital Projects Fund. TPA identified potential administrative and financial burdens associated with duplicative reporting requirements and provided recommendations to help the City prepare for possible changes, including reviewing previously submitted federal reports, documenting compliance with prior Treasury guidance, and assessing additional staff and financial resources that might be required. TPA also shared a draft comment letter and guidance from the U.S. Conference of Mayors to support the City's potential engagement in federal rulemaking and coordinated advocacy efforts with national local government organizations.

April 2026
- Provided analysis of the FY27 Presidential Budget Request and its potential Prepared and delivered an update to City leadership outlining the President's proposed federal funding reductions, including potential elimination of Community Development Block Grants (CDBG), HOME Investment Partnerships, Pathways to Removing Obstacles (PRO) to Housing, and the Continuum of Care program. TPA also highlighted proposed reductions affecting Department of Energy infrastructure programs, Environmental Protection Agency grants and State Revolving Funds, FEMA non-disaster programs, and federal cybersecurity funding.
- Supported the City in evaluating the status of its $8.4 million SS4A grant Responded to City concerns regarding the status of Stockton's implementation grant for the Main and Market Complete Streets Project following federal revisions to grant eligibility and project requirements. TPA reviewed updated U.S. Department of Transportation grant terms and conditions, provided the City with the latest federal guidance, and initiated efforts to obtain clarification from DOT regarding the award's implementation status and next steps.

May 5–8, 2026
- Organized and led the City's third Washington, D.C. advocacy trip Coordinated meetings with congressional offices, federal agencies, and committees to advance Stockton's federal priorities. Across the three advocacy trips, TPA facilitated more than two dozen meetings, including engagement with the Department of Justice, Federal Bureau of Investigation, U.S. Army Corps of Engineers, federal maritime and shipbuilding officials, the U.S. Navy, and private industry representatives to advance the City's public safety, maritime, infrastructure, workforce, and economic development interests.

June 2026
- Identified and positioned Stockton for DOJ’s Model Cities Initiative Building upon prior engagement with senior Department of Justice officials, who had encouraged Stockton to pursue the forthcoming initiative during a previous Washington, D.C. advocacy trip, TPA promptly notified City leadership and departments of the program's announcement and provided the full funding notice. TPA highlighted eligible activities,

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including personnel, equipment and technology, training, facility improvements, mental health and substance use services, reentry programs, victim services, and youth crime prevention. TPA also communicated the September 1 application deadline and offered to discuss the opportunity with City staff.
- Advanced more than $3.02 million in FY27 federal funding requests Advocated for $250,000 for the Fire Regional Training Center Expansion Project, $772,700 for the Police Department Real-Time Policing Technology Project, and $2 million for the School of Medicine Phase I Equipment Project through the FY27 congressional appropriations process. These funding requests remained under congressional consideration. - Initiated advocacy regarding proposed federal financial-assistance regulations Evaluated the White House Office of Management and Budget's proposed revisions to the Uniform Guidance governing federal grants, published May 29, 2026. Assessed potential changes to federal funding conditions, grant administration, and the authority of federal agencies to suspend, withhold, or terminate awards.

Additional Actions Outside the Requested Reporting Period July 2026
- Provided implementation guidance and regarding OMB's proposed revisions Prepared and delivered a detailed, City-specific memorandum examining the proposed changes to federal financial-assistance regulations and their potential impacts on Stockton's grant administration, financial oversight, and existing federal awards. TPA coordinated with congressional committees, members of Congress, and national local government organizations, including the U.S. Conference of Mayors, National Association of Counties, National League of Cities, and Government Finance Officers Association, to develop advocacy strategies and implementation recommendations. The memorandum provided actionable guidance on centralizing federal grant oversight, strengthening compliance and auditing procedures, reviewing grant terms and funding drawdown requirements, evaluating subrecipient obligations, and assessing potential financial risks associated with delayed or terminated federal awards. TPA also outlined opportunities for the City to provide public comments and engage its congressional delegation regarding the potential impacts of the proposed regulations on municipal services and federally funded projects.

August 2026
- Provided guidance regarding potential changes to federal E-Rate funding Alerted City leadership to the Federal Communications Commission's ongoing review of the E-Rate program, which provides telecommunications and internet connectivity discounts of 20% to 90% for eligible schools and libraries. TPA analyzed the FCC's proposed rulemaking and highlighted questions regarding the program's future, including the potential

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implications of reducing or terminating federal support. Provided background materials, relevant federal regulatory documents, and information regarding the positions of national education and library organizations. TPA also offered to submit formal comments to the FCC to communicate Stockton's concerns regarding the importance of continued federal support for school and library connectivity.

September 2026
- Provided guidance on FY27 federal appropriations
Delivered a comprehensive update to City leadership and departments regarding congressional passage of a continuing resolution extending federal government funding through December 11, 2026. The update also addressed extensions of certain federal infrastructure and surface transportation programs authorized under the Infrastructure Investment and Jobs Act, as well as the postponement of implementation of OMB's revised federal financial-assistance regulations.

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Advocacy is also about
making sure Stockton is
not competing at a
disadvantage.

Value
Overview
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Your State Legislative Advocates
California Public Policy Group
A Sacramento lobbying, grant writing, and consulting firm located one block from the State Capitol, representing roughly 42 California cities, utilities, and public agencies. Kyra Ross has represented the City of Stockton continuously since 2012, when the City retained her during the bankruptcy, first with Emanuels Jones & Associates and now with CPPG following EJA's integration into the firm. Same advocate, same institutional knowledge, same Capitol relationships.
2012
Year the City first
retained Kyra Ross
42 California local
agency
clients firmwide
$500M+
State and federal
funding
secured for CPPG
clients
The team behind the City's account
Kyra Ross
Senior Legislative Advocate
Principal in Charge, day-to-day lead
Sharon Gonsalves
Managing Director
State budget, water, transportation
Dan Carrigg
Senior Advisor
Local government, econ. development
Kindra Begley
Legislative Aide
Bill tracking, research, reporting
California Public Policy Group | City of Stockton | September 2026 7 690

WH AT THE CI TY RECEI VE S
A standing reporting cadence, all year long
WEEKLY State Legislative Report Every Friday during session. State actions, notable bills by policy area with position and location, and an updated bill tracking list for City staff.

EVERY TWO WEEKS Agenda, priority bill list, and
check-in call
A biweekly agenda and priority bill list to City staff, followed by a standing CPPG and City of Stockton check-in call.

MONTHLY Monthly Activity Report (MAR) A dated, line-by-line record of every action taken on the City's behalf:
calls, meetings, letters, coalition attendance, and documents sent.

ANNUALLY
End-of-year report and Council
presentation
A comprehensive year-in-review covering legislative outcomes, funding, and a forecast of next session, plus an on-site visit to present the legislative program to Council.

Plus ongoing coalition representation on the City's behalf: Big City Mayors, the League of California Cities City Caucus, and the Public Works, PRA, and PEA working groups. 8 691

BEYOND T HE WEEKLY REPORT
In-depth analysis when the City needs it

THE STATE BUDGET CYCLE
Governor's Budget
January proposal, with City-specific funding
opportunities identified.

May Revision
Revised revenue picture and what it means for
City priorities.

June Adopted Budget
Final appropriations and trailer bill outcomes.

Suspense File Results
Which fiscal bills advanced and which were
quietly held, with amendments noted.

ISSUE AND MEASURE REPORTS
Statewide ballot measures
Analysis of the Cal Chamber 2026 measure
and other measures on the ballot.

Climate Bond 2026 primer
Opportunity Zones 2.0 memo
Data center legislation memo
AB 179 housing budget trailer bill
E-Bike State of Play

FUNDING ALERTS
Monthly grant opportunity alerts
Program-by-program alerts routed to the
responsible City departments, such as Extreme
Heat and Community Resilience and the Active
Transportation Program.

Municipal Funding Outlook
A monthly look at current and cyclical federal,
state, and regional grant programs.

Provided at no additional cost, outside
the contracted legislative scope.

Every report includes bill numbers, code sections, and links to the authoritative source City staff can trace any recommendation back to the bill text on leginfo, the agency docket, or the committee analysis. Where a figure comes from an advocacy coalition or a proponent rather than a neutral source, the report says so. Where something is uncertain, the report says that too.

California Public Policy Group | City of Stockton | September 2026 9 692
RESULTS: 2025 AND 2026 SESSI ONS
Protecting the City's authority, water, and revenue
2,500+ bills tracked in
2025 146 flagged to the City in 2025 2,000+ bills tracked in 2026 80 flagged to the City in 2026

STOPPED, NARROWED, OR DEFEATED
Delta Conveyance Project. Stopped budget trailer bill language to expedite the project (2025) and AB 2215 (2026), which the author pulled in July. Worked through a coalition including San Joaquin County, the City of Sacramento, and the Delta Counties Coalition.

High-Speed Rail preemption. Stopped SB 445 (2025), which would have overridden local permitting decisions, and stopped 2026 trailer bill language creating state-controlled tax increment financing districts within a half mile of proposed stations.

SB 634 (2025). Stopped language limiting the City's ability to enforce health and safety rules in shared spaces.

AB 339 (2025). Significantly narrowed contracting-out labor requirements the City opposed.

AB 1383 (2025-2026). Stopped a PEPRA change that would have raised pensionable compensation and cost cities hundreds of millions (2025).

In 2026 Governor Newsom Vetoed AB 1383 citing cost impacts.

ADVANCED OR SUPPORTED
SB 692. Tools to address homeless residents living in recreational vehicles, and options for abandoned RVs.

AB 1903. Construction defect litigation reform to incentivize condominium and townhouse construction.

SB 454. Ban on the use of PFAS.

AB 330. Protected and extended City revenues from prepaid wireless users.

AB 476 and AB 379. Enhanced penalties for metal theft and for human trafficking of 16 and 17 year olds.

SB 456. Allows local artists to paint murals without a contractor's license.
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RESULTS: FUNDI NG
Dollars brought back to Stockton
$37M+
in direct state funding secured
for the City to date
$8M+
secured under the current
contract since 2022
$500M
statewide HHAP round 7, held whole with the
Big City Mayors coalition. Stockton draws
from this pool.

STATE FUNDING SECURED FOR THE CITY
2023 $3,000,000 Morelli Park bubbler system and trash boom 2023 $3,100,000 Miracle Mile redevelopment: public safety substation 2023 $1,000,000 Vocational opportunities, adults with intellectual disabilities 2022 $20,000,000 Miracle Mile development grant
2022 $4,000,000 Aquatics and parks facilities
2022 $1,000,000 Homeless shelter navigation project
2021 $27,000,000 Hunter House, Cap and Trade
2021 $5,400,000 Aquatic facilities
2021 $2,000,000 Police equipment
2018 $3,000,000 Public safety helicopter
2016 $8,941,370 Hunter Street affordable housing
2015 $5,857,096 Anchor Village, Cap and Trade
2015 $4,000,000 Water hyacinth eradication
Also: $250,000 for Dentoni Park (2021). The 2018 helicopter remains the only local helicopter funded by the State.

THE BUDGET PICTURE, 2024 TO 2026
2024 and 2025. The State's deficit meant no
district requests were granted in either year, for Stockton or for any other city. 2026. Working through the Big City Mayors coalition, CPPG helped hold HHAP funding whole. That is the pool the City's homelessness dollars come from.

Looking to 2027. The next district request
cycle opens this fall. Getting City projects scoped and ready before January is key, and CPPG will lead that work with staff.

California Public Policy Group | City of Stockton | September 2026 11 694

PROTECTING WHAT IS ALREADY AWARDED
Winning the money is half the job
State awards carry expiration dates. Funding that is not encumbered or spent in time reverts to the State, and the City loses it without anyone ever voting to take it away. CPPG tracks those deadlines alongside City staff and moves early, while there is still time to act.

PROTEC TED
$1 million
2023 state award
August 2026. CPPG pushed the City to run a full review of expiration dates across its existing state awards. That review surfaced a lapse date on the City's 2023 $1 million award that was sooner than the City had understood.

CPPG advised City staff on how to approach the administering agency, secured the meeting, and the award is now protected.

AC TIVE N OW
$5 million
DTSC award, expires February 2027
In progress. CPPG is working with Senator McNerney's office to protect the City's $5 million Department of Toxic Substances Control award ahead of the February deadline.

This one is not resolved. CPPG will report progress through the weekly report and the biweekly check-in call until it is.
$1 million protected and $5 million actively defended, from work that started in the last two months. A dollar kept is worth the same as a dollar won, and it does not require a new appropriation, a new application, or a competitive process.

California Public Policy Group | City of Stockton | September 2026 12 695

WH ERE THIN GS S TAND T ODAY
September 2026, and the work ahead
Through September 30 The session ended August 31 and more than 900 bills sit on the Governor's desk. CPPG is converting the City's support and opposition letters into letters to the Governor and submitting them on the City's behalf.

October to December End-of-year report to the City, meetings with the Administration on pending bills, and a working session with City staff and Council to set the 2027 legislative program and funding priorities.

January 2027 Governor's Budget analysis, a legislative tracking matrix tailored to Stockton, and the start of the new bill cycle.

New Administration, new opportunities
A new Governor, Cabinet, and department directors in areas key to the City give Stockton the chance to build new relationships and advance its priorities.
13 696
Questions / Thank You
Kyra Ross | Senior Legislative Advocate | California Public Policy Group [email protected] | (916) 974-9270 | 1127 11th Street, Suite 300, Sacramento 14 697
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City of Stockton
Legislation Text
File #: 26-0963, Version: 2

ADOPT A RESOLUTION TO ALLOCATE FUNDING FROM THE HOMELESS HOUSING,

ASSISTANCE AND PREVENTION (HHAP) PROGRAM TO ELIGIBLE ORGANIZATIONS FOR

EXISTING HOMELESS PREVENTION SERVICE PROGRAMS, SHELTERS, EMERGENCY

HOUSING VOUCHERS AND CHILDCARE VOUCHERS

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

1. Approve and allocate HHAP funding totaling $1,019,288.08 for the Housing Justice Program operated by Amelia Ann Adams Whole Life Center (AAAWLC);

2. Approve and allocate HHAP funding totaling $1,019,288.09 for the Housing Assistance Program operated by Family Resource Center (FRC);

3. Approve and allocate HHAP funding totaling $5,000,000.00 for the operations of the St. Mary’s Community Services Campus (SMCS) operated by St. Mary’s Community Services;

4. Approve and allocate HHAP funding totaling $1,161,187.97 for the CATALYST Program operated by Children’s Home of Stockton (CHS);

5. Approve and allocate HHAP funding totaling $1,161,187.94 for the Housing Assistance Program operated by Lutheran Social Services (LSS);

6. Approve and allocate HHAP funding totaling $1,019,288.09 for the Childcare Voucher Program operated by Family Resource Center (FRC);

7. Approve and allocate HHAP funding totaling $1,325,880.00 for the Emergency Housing Vouchers Program operated by the Housing Authority of San Joaquin County (HASJC);

8. Approve findings pursuant to Stockton Municipal Code Section 3.68.070 that support an exception to the competitive bidding process;

9. Authorize the City Manager or designee to defund and reallocate awarded funding if the project is unable to meet the required spending obligations, or the Department of Housing and Community Development (HCD) does not approve the use of funds as detailed in this resolution. If defunded, the funding is to be reallocated to eligible projects that can meet HCD timelines and general requirements; and

10.Authorize the City Manager, or designee, to execute all documents, including subrecipient agreements and amendments, and take all necessary and appropriate actions to carry out the purpose and intent of the resolution.

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Summary
The State's HHAP funds are designed to support regionally coordinated efforts between the City, the County, and the Continuum of Care (CoC) to expand and develop local capacity to address immediate homelessness challenges throughout the state. HHAP funds are focused on moving homeless individuals and families into permanent housing and ensuring those individuals and families maintain their permanent housing. (Regional Goals- Attachment A) However, funds for all the City’s HHAP awards are limited to those that are operating and serving Stockton residents.

The City must allocate the remaining HHAP Round 5 allocation and begin to allocate and expend the initial Round 6 disbursement prior to receiving the second disbursement of Round 6. To meet these requirements, staff issued a competitive Notice of Funding Availability (NOFA) seeking service providers for Interim Housing Operations in 2025. In 2026, a competitive Funding Announcement was released seeking service providers who were currently providing Rapid Rehousing, Rental Assistance, and/or Landlord Incentive programs who utilized the Homeless Management System (HMIS) and Coordinated Entry Systems. All recommended programs were allocated funding previously through the following Council actions, Resolutions 2026-02-03-1205 (Attachment B) and 2025-07-15-1208 (Attachment C). The current recommendations will extend and increase the previous allocations to allow additional services to continue and thus rely upon the same competitive processes that occurred in 2025 and 2026. All recommended programs competed and scored high enough to receive allocations as indicated in the Scoring Tabulations included in (Attachment D), with the exception of the two voucher programs which are explained in detail following the brief descriptions of the competitive programs below.

Pursuant to those processes, staff recommends that Council approve a resolution authorizing the allocation of HHAP funding to the following projects (Additional program detail including population served and recent outcomes is include as Attachment E):

Amelia Ann Adams Whole Life Center, $1,019,288.08 - Housing Justice Program - Case Management to determine needs and necessary services such as: Eviction Prevention, Rapid Rehousing, Landlord Incentives, and Security Deposits.

Family Resource Center, $1,019,288.09 - Housing Assistance Program - Case Management to determine needs and necessary services such as: Eviction Prevention, Rapid Rehousing, Landlord Incentives, and Security Deposits.

St. Mary’s Community Center, $5,000,000.00 - St. Mary’s Community Services Campus Ops. - Operation of all shelters and housing (Men’s, Women’s, Family Shelter, Zeiter Navigation Center and Pathways Neighborhood) totaling over 600 beds, case management, transportation, meals, pet care, hygiene care and center, clothes distribution and donation center.

Children’s Home of Stockton, $1,161,187.97 - CATALYST Program - Housing, case management, transportation and meals.

Lutheran Social Services, $1,161,187.94- Project HOPE Youth Housing Solutions - Housing, case management, employment and education support, behavioral health services.

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The following two recommendations are a result of community need and require the Council’s support of suspending competitive bidding to allow single source procurement due to the specialized nature of the service programs; the critical (emergency) nature of timing to keep families supported through childcare vouchers and individuals housed through rental vouchers; and it being in the best interest of the City to do so. HHAP funding does not specify procurement processes, rather the funding relies upon the procurement processes of the agency grantee (City). In suspending competitive bidding for the reasons listed above and detailed in the Findings Section of this report, the City has adhered to its procurement policy and thus has met HHAP’s requirement.

Family Resource Center, $1,019,288.09 - The Childcare Voucher Program was approved for funding earlier this year, through Resolution No. 2026-02-03-1205 (Attachment A). With that allocation, the Family Resource Center was able to service all Stockton families on their wait list at the time (153 families). The current recommendation will maintain childcare stability for these families through the end of 2027. Case management is also available and strongly encouraged through this program. Given the ongoing community need, the good standing of the recipient organization, and their ability to consistently meet the terms of the funding requirements; staff recommends the allocation of HHAP funds for the Childcare Voucher Program through an amendment of their current contract.

Housing Authority of San Joaquin County, $1,325,880.00 - Emergency Housing Vouchers Program. With the reorganization and shifting of prioritization from the federal Department of Housing and Urban Development (HUD) last year, Housing Authority of San Joaquin County was notified that the Emergency Housing Vouchers (EHV), funded and distributed during COVID, would be ending in December of 2026. A full year before their initial anticipated expiration date. If the vouchers are allowed to end, over 300 Stockton residents are at extreme risk of becoming unsheltered. Given the positive strides that are being made in reducing homelessness within the City, failing to utilize HHAP funding to support these vulnerable residents seems counterproductive to the mission of reducing homelessness.

DISCUSSION
Background
Since the inception of HHAP in 2020, City Council has approved the application for and the acceptance of all awarded HHAP funding from Rounds 1-6. On August 12, 2025, Council approved by Motion 2025-08-12-1211 (Attachment F) the application of Round 6 funds. The approval of these recommendations will round out the final obligations for Round 5 and obligate the majority of Round 6 and expeditiously assist with the expenditure deadlines of both rounds. The deadline for the initial disbursement of Round 6 is June 30, 2027. Therefore, most of these contracts are for less than two years and include high quarterly expenditure and reporting obligations. A matrix of the HHAP funding timelines is included as (Attachment G).

Present Situation
The outcomes provided in the Point In Time (PIT Count), conducted every two years by HUDmandate, provide important data regarding the region’s scope of homelessness, system needs, and how best to strategically align resources. These findings, in conjunction with the City’s continued collaboration with the County and San Joaquin Continuum of Care (SJCoC), support the strategic City of Stockton Page 3 of 6 Printed on 9/24/2026
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allocation of state resources across the homelessness response system. Investments in shelter operations, permanent housing development, outreach coordination, prevention programs, coordinated entry, and regional partnerships have contributed to measurable improvements. These outcomes indicate that the County and City have strategically invested in resources that are making a positive difference. The City’s recommended HHAP investments continue to support these efforts.

Breakdown of remaining HHAP 5 and HHAP 6
All recommended funding allocations meet the following requirements:
· Operate within the City of Stockton and serve households experiencing or at risk of homelessness.
· Demonstrate alignment with City, SJ County, and SJCoC Regional Action Plan goals, including housing stability and system coordination.
· Participate in the Coordinated Entry System for participant referrals and tracking. · Maintain data accuracy and reporting compliance within HMIS. · Demonstrate measurable performance outcomes, at a minimum.

The two recommendations that require a single source procurement based on specialized service and critical/emergency need are recommended given the following information.

Childcare Vouchers
The initial allocation to Family Resource Center was approved based on a growing need that is exacerbated by a lack of additional state funding to support families at risk of homelessness who struggle with employment due to the need for safe, stable childcare. The Family Resource Center runs the only Childcare Voucher program in the City beyond the County and Delta College. The initial allocation supported 153 families with stable childcare. This second recommendation will keep families assisted for an additional 14 months. Currently, the waitlist has over 2,000 children in San Joaquin County, with 547 children in Stockton alone. The most vulnerable population on the waitlist is the 455 children under 2 years of age with an average monthly childcare cost of $1,151.15/monthly, ($13,813.80/annually). For 455 children, this translates into approximately $6,285,279/annually. The recipients of the recommended funding would be:
· Parents/families who are homeless or at risk of homelessness · Parents making 30% or less of the area median income (AMI) ~ $40,000 annually · Not receiving any other subsidies
· Seeking licensed child-care providers
The funding recommendation will not meet the full need in the community but will impact those it does reach and assist those families facing the decision of working or paying for childcare. As mentioned, these families will receive case management if they participate in the program.

Emergency Housing Vouchers
A federal rental assistance program, EHV, was created by HUD through the 2021 American Rescue Plan Act (ARPA). Those eligible for this program were vulnerable people experiencing homelessness, those at risk of homelessness, and survivors fleeing domestic violence. The federal government City of Stockton Page 4 of 6 Printed on 9/24/2026
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provided about 70,000 vouchers to local public housing authorities nationwide. Original projections assumed funding would last well into the 2030s, but steep rent increases caused money to run out much faster. HUD announced in late 2025 that all remaining program funding will be exhausted before the end of 2026. Local housing agencies are attempting to move current participants onto regular Housing Choice Vouchers or other waiting lists, though funding shortages leave some households at risk of homelessness. Staff recommend supporting the EHV through this allocation, keeping 104 families housed through 2027. Programmatic updates include strengthening the relationships with current resource providers, such as San Joaquin County WorkNet and Family Resource Center. These resources provide linkages and pathways to allow for clarity around and toward self-sufficiency. Professional development training and skills are offered, as well as other resources such as food and childcare resources and availability. The additional year of support will help the Housing Authority of San Joaquin work with residents most able to become more selfsufficient in hopes of moving them onto other programs where they contribute a greater amount towards their own livelihood. The goal is to get those most able into better employment and/or living options prior to the current vouchers decline and ultimate termination. Also of note, the County has allocated $500,000 to the Housing Authority to help in the effort to keep the voucher recipients housed.

FINDINGS
Pursuant to Stockton Municipal Code section 3.68.070, contracts over $100,000.00 may be awarded without competitive bidding in cases where the City Council has approved findings which support and justify exceptions to the competitive bidding process. These circumstances may include, but are not to be limited to, the following:

These findings include:

1. When it is in the best interest of the City to do so, when the staff do not have the professional experience or capacity to carry out the scope of services.

2. Negotiated contracts following solicitation of competitive proposals.

The following are specific to the first finding:

1. The Childcare Voucher program provides the only previously Federal Subsidized program not run by San Joaquin County or Delta College within the City of Stockton.

2. Family Resource Center has a growing need for childcare voucher funding, exacerbated by a lack of additional state funding to support families at risk of homelessness who struggle with employment due to the need for safe, stable childcare.

3. The Childcare Voucher service provider is the lead agency for the Coordinated Entry System within the San Joaquin County, providing immediate access and intimate understanding to those families in need of said service.

4. Both programs provide case management for the duration of the recipients’ participation in the program. As found, case management is essential to the recipients’ success and ability to maintain housing. These programs also provide enhanced case management for other area programs, including job skill training through the County’s WorkNet.

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5. Both programs possess significant understanding of the SJC Region and of the complex issues of homelessness, housing, and vulnerable populations. Because of this knowledge and experience they are poised and proven to carry out the scope within the imperative expenditure timeline.

6. The Housing Authority of San Joaquin is the recipient and administrator of the Federal Subsidized EHV program as well as Choice Housing Vouchers within the City of Stockton and San Joaquin County.

7. The Emergency Housing Voucher program serves vulnerable people experiencing homelessness, those at risk of homelessness, and survivors fleeing domestic violence.

Without the recommended funding allocation, these individuals will be at considerable risk of homelessness.

FINANCIAL SUMMARY
There will be no financial impact to the City’s General Fund or any other unrestricted fund as a result of this action. Funding to support the recommendations is appropriated, budgeted and available in the Special Grant Fund (Fund 280, Sub-fund 282), Housing Division.

Attachment A - Regional Goals
Attachment B - Resolution 2026-02-03-1205
Attachment C - Resolution 2025-07-15-1208
Attachment D - Competitive Process Scoring Tabulations
Attachment E - HHAP Recommendations - Project Descriptions Attachment F - Approved Motion 2025-08-12-1211
Attachment G - HHAP Funding and Expenditure Deadlines
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ATTACHMENT A

REGIONAL GOALS
Goal 1: Establish a Coordinated and Engaged Regional System of Care.

Develop a fully coordinated and transparent system that can help obtain greater funding, identify shared priorities, and establish a formal coordinated entry system to identify, assess, and connect individuals to housing and services.

Goal 2: Increase Access and Reduce Barriers to Homeless Crisis Response Systems.

Engage unsheltered individuals, provide safe places to stay at night, and connect people to public benefits, services, and housing opportunities.

Goal 3: Ensure Households Experiencing Homelessness Have Access to Affordable and Sustainable Permanent Housing.

Invest in the creation, rehabilitation, and expansion of affordable housing options; and provide the support and tools necessary for people to maintain their housing and optimize their selfsufficiency successfully.

The Regional Goals were established in the Regional Homeless Action Plan, with San Joaquin County, the City of Stockton, and the San Joaquin Continuum of Care (SJCoC), working jointly to promote the coordinated and impactful delivery of homelessness supports and services across the full continuum of care. Through this Action Plan, the three partners commit to a coordinated regional approach to making homelessness rare, brief, and non-recurring.

The plan’s purpose is to lay out how the region will build, deploy, sustain, and strengthen actions across the full array of homelessness programs and resources, leveraging federal, state, and local investments. It builds upon and continues the vision and legacy of the community’s first strategic plan, A Community Response to Ending Homelessness. Five years later, it is time to update and advance our regional efforts and chart a continued path forward. We invite other local jurisdictions and community partners to join us.

Jointly, partners recognize the need for, and are committed to, fostering collaboration to further:
 A formal coordinated system that functions throughout the region,  A focus on solutions that can be measured and impactful, and  Significant investment in housing-focused services that increase successful transitions to long-term permanent housing.

The Action Plan is guided by the following vision statement, as developed through the 2019 community planning process:

We envision a future in which homelessness in San Joaquin County will be rare, brief, and nonrecurring, supported by a robust homeless crisis response system. People experiencing homelessness will be empowered through a responsive, nimble, housing focused system that provides effective, supportive, and humane services and housing, efficiently leveraging public and private resources.

This plan articulates regional actions to promote this vision, which are intended to:
 Increase coordination, strengthen cross-system partnerships, and improve the quality and use of data;
 Maximize the effective use of resources to support improved implementation and outcomes at every point along the continuum of care;
 Address disparities that underlie inequitable provision of services and outcomes for Black, Native and Indigenous, Latinx, Asian, Pacific Islanders, and other sub-populations disproportionately impacted by homelessness; and
 Expand access to housing and supports delivered in a low-barrier, trauma-informed, and culturally responsive manner.
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ATTACHMENT B
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ATTACHMENT B
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ATTACHMENT C
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ATTACHMENT C
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ATTACHMENT D
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ATTACHMENT D
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ATTACHMENT E
1 HHAP Funding Recommendation Project Descriptions
Organization and Project Name Target Population
Children’s Home of Stockton Transitional Aged Youth
Project Name # to be served
Catalyst Project 40 unique individuals
Scope of Work
The Catalyst Program will continue provide low-barrier shelter and supportive services to 40 unduplicated Transition Age Youth (ages 18–24) experiencing or at risk of homelessness in Stockton over a 24-month period. Services will include safe housing in four facilities, individualized case management, behavioral health support, life skills development, education and employment assistance. The program will support TAY participants with linkages to a coordinated network of community partners to ensure housing stability and self-sufficiency.

Deliverables
 Shelter & Housing Support
 Case Management & Transition Planning
 Employment & Education Services
 Behavioral Health & Life Skills Training
 Community Partnerships & Referrals
 Performance Outcomes & Reporting
Previous Award Previously Served
$409,000.00 18
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ATTACHMENT E
2 HHAP Funding Recommendation Project Descriptions
Organization and Project Name Target Population
Lutheran Support Services Transitional Aged Youth
Project Name # to be served
Project HOPE 22 unique individuals
Scope of Work
Lutheran Social Services will implement Project HOPE Youth Housing Solutions to provide low-barrier interim housing and intensive supportive services to 18 unaccompanied Transition Age Youth (ages 18–24) experiencing homelessness in Stockton over a 24-month period. The program will operate scattered-site shared apartments and Calaveras Quarters units, pairing housing with case management, employment and education support, behavioral health services, and life skills development.

Deliverables
 Housing Placement & Support
 Case Management Services
 Supportive Services
 Client Assistance
 Performance Outcomes & Reporting:

Previous Award Previously Served
$409,000.00 18
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ATTACHMENT E
3 HHAP Funding Recommendation Project Descriptions
Organization and Project Name Target Population
St. Mary’s Community Services Homeless – Families and Individuals Project Name # to be served
Campus Operations
Scope of Work
To develop a comprehensive, housing-focused and low barrier campus to address the needs of homeless individuals and families and develop pathways to permanent housing, consistent with the principles of housing first. SMCS provides a low barrier, housing focused service with the goal of moving people off the streets, out of shelter, and into housing. SMCS offers a comprehensive engagement model that begins with an intake process and culminates into ongoing case management to support housing placement and retention. Adherence to the SMCS Mission SMCS exists to create pathways out of homelessness and poverty by offering essential daily services and supportive programs provided with dignity.

Deliverables
 Provide low-barrier 24/7 shelter operations,
 Operate, Manage, and Maintain the following shelter / housing facilities:
o Family Shelter
o Men's Lodge
o Men's Lodge - Annex
o Women's Lodge
o Zelter Navigation Center
o Pathways
 Provide the necessary elements of a low-barrier emergency shelter:
o Food
o Hygiene
o Provislons for Pets,
Privacy, Storage of
Possessions
o Вeds
o Social Services
 Monthly Invoices
 Quarterly Performance Reports
 Annual Report
Previous Award Previously Served
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ATTACHMENT E
4 HHAP Funding Recommendation Project Descriptions
Organization and Project Name Target Population
Family Resource Center Homeless or At Risk – Families and Individuals Project Name # to be served
Housing Assistance
Scope of Work
Provide individualized support to individuals and families experiencing homelessness, housing instability, or transitioning into permanent housing.

Goal 1: Provide housing stability for homeless households or those facing homelessness.

Goal 2: Provide up to $2000 per unit to help offset the move in security deposit.

Goal 3: If funding available, provide as needed funds up to $2000 to prevent vacancy loss.

Promote housing stability, increase self-sufficiency, and connect participants to supportive services that address barriers to long-term success.

Will serve the following population: Individuals and families experiencing homelessness or at imminent risk, households transitioning from emergency shelters or transitional housing, people with barriers such as mental health needs, substance use issues, unemployment, domestic violence, or limited income.

Deliverables
 Increase access
 Improve economic stability
 Intake & Assessment:
 Continuous Support
 Progress Monitoring
 Resource Coordination
Previous Award Previously Served
$571,270.00
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ATTACHMENT E
5 HHAP Funding Recommendation Project Descriptions
Organization Target Population
Amelia Ann Adams Whole Life Center Homeless – Families and Individuals Project Name # to be served
Housing Justice Minimum 70
Scope of Work
AAAWLC will operate the Housing Justice Program (HJP) to stabilize Stockton residents at imminent risk of homelessness by providing short to medium term rental assistance, eviction prevention supports, move-in assistance, housing navigation, and case management. All households will be referred through the Coordinated Entry System (CES), and all data will be entered into HMIS to ensure alignment with regional homeless response efforts. The program will prioritize households with incomes at or below 30% of the area median income. Services will be delivered through a multidisciplinary team including a Program Director, Intake Specialist, Housing Navigator, and Case Managers, all trained in culturally responsive and trauma-informed care. Core program activities will include:
• enrollment and assessment of CES-referred households; • provision of rental assistance and eviction prevention funding; • housing search support and barrier reduction;
• stabilization and aftercare aimed at increasing long-term housing retention; • coordination with regional partners to ensure comprehensive support and warm handoffs.

Deliverables
 Program Enrollment & Assessment
 Rental Assistance & Eviction Prevention
 Housing Navigation
 Case Management & Stabilization
 Data Entry, Reporting & Compliance
 System Coordination
 Equity & Access
Previous Award Previously Served
$482,730.00 70+
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ATTACHMENT E
6 HHAP Funding Recommendation Project Descriptions
Organization Target Population
Housing Authority of San Joaquin County Homeless or At Risk – Families and Individuals Project Name # to be served
Emergency Housing Vouchers 104 households
Scope of Work
The Housing Authority of the County of San Joaquin (HACSJ) will administer the Emergency Housing Voucher Plus (EHV+) Program using operational practices consistent with the U.S. Department of Housing and Urban Development (HUD) Emergency Housing Voucher (EHV) and Housing Choice Voucher (HCV) programs, including household eligibility determination, rental assistance administration, landlord payments, compliance monitoring, participant communication, and program reporting.

HACSJ will monitor household participation and housing status throughout the assistance period and facilitate connections to appropriate local resources to support continued housing stability and economic self-sufficiency efforts.

Deliverables
 Provide rental assistance
 Reduce return to homelessness
 Promote self-sufficiency
Previous Award Previously Served
-- --
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ATTACHMENT E
7 Organization and Project Name Target Population
Family Resource Center Homeless or At Risk – Families and Individuals Project Name # to be served
Childcare Vouchers 135
Scope of Work
Provide childcare vouchers to eligible families with children ages 0-2 to help pay for safe, reliable, and developmentally appropriate childcare, enabling parents to work, attend school, or participate in job training. Target population will be families who reside in Stockton who meet income and work/school requirements.

Deliverables
 Case Management & Transition Planning
 Performance Outcomes & Reporting
Previous Award Previously Served
$700,000.00 135
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ATTACHMENT F
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ATTACHMENT G
HHAP Funding and Expenditure Timelines
The City of Stockton’s current HHAP allocations total to $42,288,936.07.

HHAP 1 HHAP 2 HHAP 3 HHAP 4 HHAP 5 HHAP 6
Amount Received
$6,460,265.43 3,053,944.00 $7,893,269.00 $6,196,518.22 $7,153,178.87 $11,531,786.79 Initial Obligation Deadline
05/31/2023 05/31/2023 05/31/2024 05/31/2025 06/30/2026 6/30/2027 Required Amount to Obligate
Requirement Met Requirement Met Requirement Met Requirement Met 75% of 1st disb. $4,027,005.24
75% of 1st disb.
$4,324,420.05
Amount Currently Obligated
Full Amount Full Amount Full Amount Full Amount $4,455,049.52 0 Required Obligation Met
Yes Yes Yes Yes Yes On track
Full Expenditure Deadline
6/30/2025 6/30/2026 6/30/2026 6/30/2027 06/30/2028 06/30/2029 To Date Remaining Amount to Obligate
0 0 0 0 $2,698,129.35 $4,324,420.05
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Resolution No.

STOCKTON CITY COUNCIL

RESOLUTION TO ALLOCATE FUNDING FROM THE HOMELESS HOUSING,

ASSISTANCE AND PREVENTION (HHAP) PROGRAM TO ELIGIBLE

ORGANIZATIONS FOR EXISTING HOMELESS PREVENTION SERVICE

PROGRAMS, SHELTERS, EMERGENCY HOUSING VOUCHERS AND CHILDCARE

VOUCHERS
The State's HHAP funds are designed to support regionally coordinated efforts between the City, the County, and the Continuum of Care (CoC) to expand and develop local capacity to address immediate homelessness challenges throughout the state.

HHAP funds are focused on moving homeless individuals and families into permanent housing and ensuring those individuals and families maintain their permanent housing.

However, funds for all the City’s HHAP awards are limited to those that are operating and serving Stockton residents; and
The City must allocate the remaining HHAP Round 5 allocation and begin to allocate and expend the initial Round 6 disbursement prior to receiving the second disbursement of Round 6. To meet these requirements, staff issued a competitive Notice of Funding Availability (NOFA) seeking service providers for Interim Housing Operations in 2025. In 2026, a competitive Funding Announcement was released seeking service providers who were currently providing Rapid Rehousing, Rental Assistance, and/or Landlord Incentive programs. The first five recommendations were allocated funding for the named programming through respective competitive processes and were successful in the scoring processes to receive funding recommendations; and The following two recommendations are a result of community need and require the Council’s support of suspending competitive bidding to allow single source procurement due to the specialized nature of the service programs; the critical (emergency) nature of timing to keep families supported through childcare vouchers and individuals housed through rental vouchers; and it being in the best interest of the City to do so. HHAP funding does not specify procurement processes, rather the funding relies upon the procurement processes of the agency grantee (City). In suspending competitive bidding for the reasons listed above and detailed in the Findings Section of this report, the City has adhered to its procurement policy and thus has met HHAP’s requirement; now, therefore,

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

1. The City Council approves and allocates HHAP funding totaling $1,019,288.08 for the Housing Justice Program operated by Amelia Ann Adams Whole Life Center (AAAWLC).
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2. The City Council approves and allocates HHAP funding totaling $1,019,288.09 for the Housing Assistance Program operated by Family Resource Center (FRC).

3. The City Council approves and allocates HHAP funding totaling $5,000,000.00 for the operations of the St. Mary’s Community Services Campus (SMCS) operated by St. Mary’s Community Services.

4. The City Council approves and allocates HHAP funding totaling $1,161,187.97 for the CATALYST Program operated by Children’s Home of Stockton (CHS).

5. The City Council approves and allocates HHAP funding totaling $1,161,187.94 for the Housing Assistance Program operated by Lutheran Social Services (LSS).

6. The City Council approves and allocates HHAP funding totaling $1,019,288.09 for the Childcare Voucher Program operated by Family Resource Center (FRC).

7. The City Council approves and allocates HHAP funding totaling $1,325,880.00 for the Emergency Housing Vouchers Program operated by the Housing Authority of San Joaquin County (HASJC).

8. The City Council approves and findings pursuant to Stockton Municipal Code Section 3.68.070 that support an exception to the competitive bidding process.

These findings include:
a. The Childcare Voucher program provides the only previously Federal Subsidized program not run by San Joaquin County or Delta College within the City of Stockton.
b. Family Resource Center has a growing need for childcare voucher funding, exacerbated by a lack of additional state funding to support families at risk of homelessness who struggle with employment due to the need for safe, stable childcare.
c. The Childcare Voucher service provider is the lead agency for the Coordinated Entry System within the San Joaquin County, providing immediate access and intimate understanding to those families in need of said service.
d. Both programs provide case management for the duration of the recipients’ participation in the program. As found, case management is essential to the recipients’ success and ability to maintain housing. These programs also provide enhanced case management for other area programs, including job skill training through the County’s WorkNet.
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e. Both programs possess significant understanding of the SJC Region and of the complex issues of homelessness, housing, and vulnerable populations.

Because of this knowledge and experience they are poised and proven to carry out the scope within the imperative expenditure timeline. f. The Housing Authority of San Joaquin is the recipient and administrator of the Federal Subsidized EHV program as well as Choice Housing Vouchers within the City of Stockton and San Joaquin County.
g. The Emergency Housing Voucher program serves vulnerable people experiencing homelessness, those at risk of homelessness, and survivors fleeing domestic violence. Without the recommended funding allocation, these individuals will be at considerable risk of homelessness.

9. The City Council authorizes the City Manager or designee to defund and reallocate awarded funding if the project is unable to meet the required spending obligations, or the Department of Housing and Community Development (HCD) does not approve the use of funds as detailed in this Resolution. If defunded, the funding is to be reallocated to eligible projects that can meet HCD timelines and general requirements.

10. The City Council authorizes the City Manager, or designee, to execute all documents, including subrecipient agreements and amendments, and take all necessary and appropriate actions to carry out the purpose and intent of the Resolution.

PASSED, APPROVED, and ADOPTED September 29, 2026 .

CHRISTINA FUGAZI
Mayor of the City of Stockton
ATTEST:

BONNIE PAIGE, CMC
Interim City Clerk of the City of Stockton
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ADOPT A RESOLUTION TO ALLOCATE FUNDING FROM THE

HOMELESS HOUSING, ASSISTANCE AND PREVENTION
(HHAP) PROGRAM TO ELIGIBLE ORGANIZATIONS FOR

EXISTING HOMELESS PREVENTION SERVICE PROGRAMS,

SHELTERS, EMERGENCY HOUSING VOUCHERS AND

CHILDCARE VOUCHERS

CITY COUNCIL MEETING
AGENDA ITEM 10.1
SEPTEMBER 29, 2026
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HHAP RECOMMENDATIONS
Homeless Prevention Recommendation People Served
Rental Assistance Family Resource Center $ 1,019,288.09 204 Families Rental Assistance Amelia Ann Adams Whole Life Center $ 1,019,288.08 100 Families Housing Vouchers Housing Authority of San Joaquin $ 1,325,880.00 104 Families Interim Housing
Shelter Operations St. Mary’s Community Services $ 5,000,000.00 5,000 People Transitional Housing - Youth Children’s Home of Stockton $ 1,161,187.97 40 Youth Transitional Housing - Youth Lutheran Social Services $ 1,161,187.94 24 Youth Service Coordination
Childcare Vouchers Family Resource Center $ 1,019,288.09 140 Children TOTAL $ 11,706,120.17
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PERFORMANCE IMPACT
Homeless Prevention Previous Contract Outcomes
Rental Assistance Family Resource Center $571,270.00 163 Families Rental Assistance Amelia Ann Adams Whole Life Center $482,730.00 120 Families Housing Vouchers Housing Authority of San Joaquin -- -- Interim Housing
Shelter Operations St. Mary’s Community Services Update 1,200 People Transitional Housing Children’s Home of Stockton $409,000.00 37 Youth Transitional Housing Lutheran Social Services $409,000.00 26 Youth Service Coordination
Childcare Vouchers Family Resource Center $700,000.00 140 Children 726

1. Approve the allocation of the following funding:

A: $ 1,019,288.08 - HOUSING JUSTICE PROGRAM - AMELIA ANN ADAMS WHOLE LIFE CENTER B: $ 1,019,288.09 - HOUSING ASSISTANCE PROGRAM - FAMILY RESOURCE CENTER C: $ 5,000,000.00 - ST. MARY’S COMMUNITY SERVICES CAMPUS OPERATIONS - ST. MARY’S COMMUNITY SERVICES D: $ 1,161,187.97 - CATALYST PROGRAM - CHILDREN’S HOME OF STOCKTON E: $ 1,161,187.94 - HOUSING ASSISTANCE PROGRAM - LUTHERAN SOCIAL SERVICES F: $ 1,019,288.09 - CHILDCARE VOUCHER PROGRAM - FAMILY RESOURCE CENTER G: $1,325,880.00 - EMERGENCY HOUSING VOUCHERS PROGRAM - HOUSING AUTHORITY OF SAN JOAQUIN COUNTY

2. Authorize the City Manager or designee to defund and reallocate awarded funding if the project is unable to meet the required spending obligations, or the Department of Housing and Community Development (HCD) does not approve the use of funds as detailed in this resolution. If defunded, the funding is to be reallocated to eligible projects that can meet HCD timelines and general requirements.

RECOMMENDATION 727
City of Stockton
Legislation Text
File #: 26-1071, Version: 1

COUNCIL COMMITTEE/BOARD AND COMMISSION MINUTES

RECOMMENDATION
Information item only. No action required.

City of Stockton Page 1 of 1 Printed on 9/24/2026
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MINUTES

PLANNING COMMISSION
MEETING OF APRIL 23, 2026
425 N El Dorado St. Stockton, CA

1. CALL TO ORDER/ROLL CALL - 5:30 PM
Roll Call

Present:

Terry Hull
Derek Graves
Jeff Sanguinetti
Pandora Crowder
Jazmine Hernandez
Robert Oakes

Absent:

Yolanda Amen.

2. PLEDGE TO FLAG
The pledge of allegiance was led by Commissioner Graves.

3. ADOPTION OF CONSENT CALENDAR

3.1 26-0326 REQUEST FOR A ONE-YEAR TIME EXTENSION FOR AN APPROVED

VESTING TENTATIVE MAP FOR TTLC STOCKTON-ASANO LLC SUBDIVISION PROJECT SITE AT 4849 CAROLYN WESTON BOULEVARD (APPLICATION NO.

P25-0237)
Legislation Text
Attachment A- Location, General Plan, Zoning MaR§
Attachment B - Planning Commission Resolution 2024-01-25-0501 Attachment C - AI;mroved Vesting Tentative MaP. for TTLC Stockton-Asano LLC Attachment D -AP.P.licant Reguest
ProP.osed Resolution - Recommending AP.12roval
Exhibit 1
�P.12roved Resolution 2026-04-23-0301
Approve Resolution 2026-04-23-0301 approving a one-year extension for the TTLC Stockton-Asano LLC Vesting Tentative Map.

Moved by: Jeff Sanguinetti, seconded by Pandora Crowder.

Vote: Motion carried 6-0
Yes: Terry Hull, Derek Graves, Jeff Sanguinetti, Pandora Crowder, Jazmine 742
Hernandez , and Robert Oakes.

Absent: Yolanda Amen.

4. PUBLIC COMMENT
None

5. PUBLIC HEARINGS/ENVIRONMENTAL ASSESSMENTS
None

6. NEW BUSINESS

6.1 26-0438 FISCAL YEAR 2026-2031 CAPITAL IMPROVEMENT PROGRAM - ENVISION STOCKTON 2040 GENERAL PLAN CONFORMITY DETERMINATION Legislation Text
Attachment A- Draft CIP 2026
Proposed Resolution - Recommending Approval
Approved Resolution 2026-04-23-0601
PowerPoint Presentation
Approve Resolution 2026-04-23-0601 finding that the 2026-2031 Capital Improvement Program (CIP) for Fiscal Years (FY) 2026-27 through 2030-31 conforms to the Envision Stockton 2040 General Plan.

Moved by: Jeff Sanguinetti, seconded by Derek Graves.

Vote: Motion carried 6-0
Yes: Terry Hull, Derek Graves, Jeff Sanguinetti, Pandora Crowder, Jazmine Hernandez , and Robert Oakes.

Absent: Yolanda Amen.

7. UNFINISHED BUSINESS
None

8. REPORTS/COMMUNICATIONS/INFORMATIONAL ITEMS

9. 10.

Michael McDowell, Assistant Director, Community Development - planning commissioner academy; staff support; attendance

COMMISSIONER COMMENTS
Commissioner Crowder - thanked staff and Vice Chair Sanguinetti ADJOURNMENT - 6:02 PM
Michael �McDowell
w�
Assistant Director, Community Development
Department
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MINUTES

PLANNING COMMISSION
MEETING OF MAY 14, 2026
425 N. El Dorado Street, Stockton CA

1. CALL TO ORDER/ROLL CALL - 5:30 PM
Roll Call

Present:

Terry Hull
Yolanda Amen
Jeff Sanguinetti
Pandora Crowder
Jazmine Hernandez
Robert Oakes

Absent:

Derek Graves.

Note: Commissioner Graves arrived to the dais at 5:45 PM

2. PLEDGE TO FLAG
The Pledge of Allegiance was led by Commissioner Amen.

3. ADOPTION OF CONSENT CALENDAR

3.1 26-0550 APPROVAL OF PLANNING COMMISSION MINUTES
Legislation Text
Attachment A - 2026-01-08 PC Minutes
Attachment B - 2026-01-22 PC Minutes
Approve Motion 2026-05-14-0301-01 separating the minutes for individual consideration and vote on each set of minutes.

Moved by: Jeff Sanguinetti, seconded by Robert Oakes.

Vote: Motion carried 6-0
Yes: Terry Hull, Yolanda Amen, Jeff Sanguinetti, Pandora Crowder, Jazmine Hernandez , and Robert Oakes.

Absent: Derek Graves.

Approve Motion 2026-05-14-0301-02 approving the minutes from the January 22, 2026 Planning Commission meeting.

Moved by: Terry Hull, seconded by Pandora Crowder.
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Vote: Motion carried 6-0
Yes: Terry Hull, Yolanda Amen, Jeff Sanguinetti, Pandora Crowder, Jazmine Hernandez , and Robert Oakes.

Absent: Derek Graves.

Approve Motion 2026-05-14-0301-03 approving the minutes from the January 8, 2026 Planning Commission meeting.

Moved by: Terry Hull, seconded by Pandora Crowder.

Vote: Motion carried 5-0
Yes: Terry Hull, Yolanda Amen, Jeff Sanguinetti, Pandora Crowder, and Robert Oakes.

Abstain: Jazmine Hernandez.

Absent: Derek Graves.

4. PUBLIC COMMENT
None
Commissioner CorresJ:;1ondence - Public Comment

5. PUBLIC HEARINGS/ENVIRONMENTAL ASSESSMENTS

5.1 26-0462 ADMINISTRATIVE USE PERMIT TO ESTABLISH A 1,987 SQUARE FOOT PAWN SHOP IN AN EXISTING BUILDING AT 2002 PACIFIC AVENUE (APN 127-020-24) (P26-0005)
Legislation Text
Attachment A - VicinitY. MaR
Attachment B - ARRlication
Attachment C - ResJ:;1onses to notice of Rending decision ProJ:;1osed Resolution
8RRroved Resolution 2026-05-14-0501
PowerPoint Presentation
Commissioner Discloures: Vice Chair Sanguinetti, Commissioner Crowder, and Chair Hull.

Note: The following person(s) spoke to the item: Mike Hakeem, Kevin Hernandez, and Kevin Dougherty.

Document Filed - Mike Hakeem
Approve Resolution 2026-05-14-0501

1. Finding that the project is categorically exempt from CEQA, pursuant to CEQA Guidelines Section 15301(a) (Existing Facilities); and
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2. Approving an Administrative Use Permit to establish a 1,987 square-foot Pawn Shop in an existing building located at 2002 Pacific Avenue, in accordance with the findings and subject to the conditions included in the proposed resolution with an amendment to Condition 7 to address the window display of merchandise and a new condition for a 12-month review for Use Permit compliance.

Moved by: Jeff Sanguinetti, seconded by Pandora Crowder.

Vote: Motion carried 7-0
Yes: Terry Hull, Derek Graves, Yolanda Amen, Jeff Sanguinetti, Pandora Crowder, Jazmine Hernandez , and Robert Oakes.

6. NEW BUSINESS

6.1 26-0423 2025 ANNUAL COMPLIANCE REVIEW FOR DEVELOPMENT

AGREEMENTS
Legislation Text
Attachment A - MaR of DeveloRment Agreements in 2025
Attachment B - DeveloRment Agreement Summaries
Attachment C - Annual Review Reguest Letters and ResRonses Attachment D - DeveloRment Agreement ComRliance Summa[Y.

Around the Bench Memo
PowerPoint Presentation
Note: Meeting went into recess at 6:44 PM and reconvened at 6:49 PM Approve Motion 2026-05-14-0601

1. Accepting the 2025 annual development agreement compliance review and project determinations indicating if applicants' progress complies or does not comply with the terms and conditions of their respective Development Agreement with the City provided herein; and

2. Directing staff to notify applicants of the compliance determinations.

Moved by: Robert Oakes, seconded by Terry Hull.

Vote: Motion carried 7-0
Yes: Terry Hull, Derek Graves, Yolanda Amen, Jeff Sanguinetti, Pandora Crowder, Jazmine Hernandez , and Robert Oakes.

7. UNFINISHED BUSINESS
None

8. REPORTS/COMMUNICATIONS/INFORMATIONAL ITEMS
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Stephanie Ocasio, Director of Community Development - Master property ta, ; accessory dwelling ordinance

9. COMMISSIONERS COMMENTS
Commissioner Crowder- remembrance of Adaline Sugitan; Miracle Mile Vice Chair Sanguinetti - City Staff appreciation
Commissioner Amen- North Side Stockton; South Side Stockton Chair Hull - buildings in South Stockton; previous project voted on, Wilson ay; thanked staff

10. ADJOURNMENT - 7:11 PM
Michael McDowell, Assistant Director
Community Development Department
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