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6.5.1. Proprietary Information. All proprietary information developed specifically for City by Consultant in connection with, or resulting from, this Agreement, including but not limited to inventions, discoveries, improvements, copyrights, patents, maps, reports, textual material, or software programs, but not including Consultant's underlying materials, software, or know-how, shall be the sole and exclusive property of City, and are confidential and shall not be made available to any person or entity without the prior written approval of City. Consultant agrees that the compensation to be paid pursuant to this Agreement includes adequate and sufficient compensation for any proprietary information developed in connection with or resulting from the performance of Consultant's services under this Agreement. Consultant further understands and agrees that full disclosure of all proprietary information developed in connection with, or resulting from, the performance of Services by Consultant under this Agreement shall be made to City, and that Consultant shall do all things necessary and proper to perfect and maintain ownership of such proprietary information by City.
6.5.2. Reproduction Rights. Any and all patents and copyrights that arise from the services or the creation of work in carrying out this Agreement shall be vested in City, and Consultant hereby agrees to relinquish all claims to such copyrights in favor of City.
6.5.3. Use of Patented Materials. Consultant shall assume all costs arising from the use of patented or copyrighted materials, including but not limited to equipment, devices, processes, and software programs, used, or incorporated in the Services performed by Consultant under this Agreement. Consultant shall indemnify, defend, and save City harmless from any and all suits, actions, or proceedings of every nature for or on account of the use of any patented or copyrighted materials.
SECTION SEVEN: RELEASE OF INFORMATION/CONFLICTS OF INTEREST.
7.1 Confidentiality. All information gained by Consultant in performance of this Agreement shall be considered confidential and shall not be released by Consultant without City's prior written authorization. Consultant, its officers, employees, agents, or subcontractors, shall not without written authorization from the City Manager or unless requested by the City Attorney, voluntarily provide declarations, letters of support, testimony at depositions, response to interrogatories, or other information concerning the work performed under this Agreement or relating to any project or property located within the City. Response to a subpoena or court order shall not be considered "voluntary" provided Consultant gives City notice of such court order or subpoena.
7.2 Release of Confidential Information. Consultant shall promptly notify City should Consultant, its officers, employees, agents, or subcontractors be served with any summons, complaint, subpoena, notice of deposition, request for documents, interrogatories, request for admissions, or other discovery request, court order, or subpoena from any person or party regarding this Agreement and the work performed hereunder or with respect to any project or property located within the City. City retains the right, but has no obligation, to represent Consultant and/or be present at any deposition, hearing, or similar proceeding. Consultant agrees to cooperate fully with City and to provide the opportunity to review any response to discovery requests provided by Consultant. However, City's right to review any such response does not imply or mean the right by City to control, direct, or rewrite said response.
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7.3 Conflicts of Interest Prohibited. Consultant covenants that neither he/she nor any officer or principal of their firm have any interest in, or shall acquire any interest, directly or indirectly, which will conflict in any manner or degree with the performance of their services hereunder. Consultant further covenants that in the performance of this Agreement, no person having such interest shall be employed by them as an officer, employee, agent, or subcontractor.
Consultant further covenants that Consultant has not contracted with nor is performing any services, directly or indirectly, with any developer(s) and/or property owner(s) and/or firm(s) and/or partnership(s) owning property in the City or the study area and further covenants and agrees that Consultant and/or its subcontractors shall provide no service or enter into any agreement or agreements with a/any developer(s) and/or property owner(s) and/or firm(s) and/or partnership(s) owning property in the City or the study area prior to the completion of the work under this Agreement.
7.4 Covenant Against Contingent Fee. Consultant covenants that neither it nor any of its officers, employees, agents, or representatives employed or retained any company or person, other than a bona fide employee working for Consultant, to solicit or secure this Agreement.
Consultant further covenants that neither it nor any of its officers, employees, agents, or representatives has paid or agreed to pay any company or person, other than a bona fide employee of Consultant, any fee, commission, percentage, brokerage fee, gift, or any other consideration contingent upon, or resulting from, the award or making of this Agreement. For breach or violation of this provision, City shall have the right to annul this agreement without liability, or, at its discretion, to deduct from the Agreement price or consideration, or otherwise recover, the full amount of such fee, commission, percentage, brokerage fees, gift, or contingent fee.
SECTION EIGHT: LEGAL RELATIONS AND RESPONSIBILITIES.
8.1 Compliance with Law. Consultant shall keep itself fully informed of all existing and future state and federal laws and all county and city ordinances and regulations which in any manner affect those employed by it or in any way affect the performance of services pursuant to this Agreement. Consultant shall at all times observe and comply with all such laws, ordinances, and regulations and shall be responsible for the compliance of all work and services performed by or on behalf of Consultant.
8.2 Licenses, Permits, Fees and Assessments. Except as otherwise specified herein, Consultant shall obtain at its sole cost and expense such licenses, permits and approvals as may be required by law for the performance of the services required by this Agreement. Consultant shall have the sole obligation to pay for any fees, assessments and taxes, plus applicable penalties, and interest, which may be imposed by law and arise from or are necessary for the performance of the services required by this Agreement.
8.3 Covenant Against Discrimination. The Consultant covenants that, by and for itself, its heirs, executors, assigns and all persons claiming under or through them, that there shall be no discrimination against, or segregation of, any person or group of persons on account of race, color, creed, religion, sex, marital status, national origin, or ancestry in the performance of this Agreement.
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8.4 Independent Contractor. Consultant shall perform all services required herein as an independent contractor of City and shall remain at all times as to City a wholly independent contractor. City shall not in any way or for any purpose become or be deemed to be a partner of Consultant in its business or otherwise, or a joint venturer, or a member of any joint enterprise with Consultant. Consultant shall not at any time or in any manner represent that it or any of its agents or employees are agents or employees of City. Neither Consultant nor any of Consultant's employees shall, at any time, or in any way, be entitled to any sick leave, vacation, retirement, or other fringe benefits from City; and neither Consultant nor any of its employees shall be paid by City time and one-half for working in excess of forty (40) hours in any one week. City is under no obligation to withhold State and Federal tax deductions from Consultant's compensation.
Neither Consultant nor any of Consultant's employees shall have any property right to any position, or any of the rights an employee may have in the event of termination of this Agreement.
8.5 Non-liability of City Officers and Employees. No officer or employee of the City shall be personally liable to the Consultant, or any successor in interest, in the event of any default or breach by the City or for any amount that may become due to the Consultant or to its successor, or for breach of any obligation of the terms of this Agreement.
8.6 California Law. This Agreement shall be construed and interpreted both as to validity and to performance of the parties in accordance with the laws of the State of California.
Legal actions concerning any dispute, claim or matter arising out of or in relation to this Agreement shall be instituted in the Superior Court of the County of Orange, State of California, or any other appropriate court in such county, and Consultant covenants and agrees to submit to the personal jurisdiction of such court in the event of such action.
8.7 Disputes. In the event of any dispute arising under this Agreement, the injured party shall notify the injuring party in writing of its contentions by submitting a claim therefor.
The injured party shall continue performing its obligations hereunder so long as the injuring party commences to cure such default within ten (10) days of service of such notice and completes the cure of such default within forty-five (45) days after service of the notice, or such longer period as may be permitted by the Contract Officer; provided that if the default is an immediate danger to the health, safety and general welfare, City may take such immediate action as City deems warranted. Compliance with the provisions of this section shall be a condition precedent to termination of this Agreement for cause and to any legal action, and such compliance shall not be a waiver of any party's right to take legal action in the event that the dispute is not cured, provided that nothing herein shall limit City's right to terminate this Agreement without cause pursuant to Section 8.11.
8.8 Retention of Funds. City may withhold from any monies payable to Consultant sufficient funds to compensate City for any losses, costs, liabilities, or damages it reasonably believes were suffered by City due to the default of Consultant in the performance of the services required by this Agreement.
8.9 Waiver. No delay or omission in the exercise of any right or remedy of a non defaulting party on any default shall impair such right or remedy or be construed as a waiver.
City's consent or approval of any act by Consultant requiring City's consent or approval shall not
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be deemed to waive or render unnecessary City's consent to or approval of any subsequent act of Consultant. Any waiver by either party of any default must be in writing and shall not be a waiver of any other default concerning the same or any other provision of this Agreement.
8.10 Rights and Remedies are Cumulative. Except with respect to rights and remedies expressly declared to be exclusive in this Agreement, the rights and remedies of the parties are cumulative and the exercise by either party of one or more of such rights or remedies shall not preclude the exercise by it, at the same or different times, of any other rights or remedies for the same default or any other default by the other party.
8.11 Termination Prior To Expiration of Term. This section shall govern any termination of this Agreement, except as specifically provided in the following Section 8.12 for termination for cause. City reserves the right to terminate this Agreement at any time, with or without cause, upon ten (10) days' written notice to Consultant. Upon receipt of any notice of termination, Consultant shall immediately cease all services hereunder except such as may be specifically approved by the Contract Officer. Consultant shall be entitled to compensation for all services rendered prior to receipt of the notice of termination and for any services authorized by the Contract Officer thereafter in accordance with the Schedule of Compensation or such as may be approved by the Contract Officer, except as provided in Section 8.8.
8.12 Termination for Default of Consultant. If termination is due to the failure of Consultant to fulfill its obligations under this Agreement, City may, after compliance with the provisions of Section 8.7, take over work and prosecute the same to completion by contract or otherwise, and Consultant shall be liable to the extent that the total cost for completion of the services required hereunder exceeds the compensation herein stipulated (provided that City shall use reasonable efforts to mitigate such damages), and City may withhold any payments to Consultant for the purpose of setoff or partial payment of the amounts owed City as previously stated in Section 8.8.
8.13 Attorney's Fees. If either party to this Agreement is required to initiate or defend or made a party to any action or proceeding in any way connected with this Agreement, the prevailing party in such action or proceeding, in addition to any other relief which may be granted, whether legal or equitable, shall be entitled to reasonable attorney's fees, whether or not the matter proceeds to judgment.
8.14 Safety. The Consultant shall execute and maintain his/her work so as to avoid injury or damage to any person or property. The Consultant shall comply with the requirements of the specifications relating to safety measures applicable in particular operations or kinds of work. In carrying out his/her work, the Consultant shall at all times exercise all necessary precautions for the safety of employees appropriate to the nature of the work and the conditions under which the work is to be performed, and be in compliance with all applicable federal, state, and local statutory and regulatory requirements including California Department of Industrial Relations (Cal/OSHA) regulations; and the U.S. Department of Transportation Omnibus Transportation Employee Testing Act.
8.15 Compliance with California Unemployment Insurance Code Section 1088.8. If Consultant is a sole proprietor, then prior to signing the Agreement, Consultant shall provide to
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City a completed and signed Form W-9, Request for Taxpayer Identification Number and Certification. Consultant understands that pursuant to California Unemployment Insurance Code section 1088.8, City will report the information from Form W-9 to the State of California Employment Development Department, and that the information may be used for the purposes of establishing, modifying, or enforcing child support obligations, including collections, or reported to the Franchise Tax Board for tax enforcement purposes.
8.16 Prevailing Wages. Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects.
If the services are being performed as part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and if the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.
8.17 Unauthorized Use of City's Name. Except as required by law or with the prior written consent of City (which consent may be withheld in city's sole and absolute discretion), Consultant shall not use City's name, seal or logo in any marketing materials, magazine, trade paper, newspaper, television or radio production or other similar medium, nor shall Consultant state, imply or in any way represent to any third party that City has endorsed or approved Consultant or any of its services or products.
SECTION NINE: MISCELLANEOUS
9.1 Notices. Any notice, demand, request, consent, approval, communication either party desires or is required to give the other party or any other person shall be in writing and either served personally or sent by prepaid, first-class mail to the address set forth below. Either party may change its address by notifying the other party of the change of address in writing.
Notices personally delivered or delivered by a document delivery service shall be effective upon receipt. Notices delivered by mail shall be effective at 5:00 p.m. on the second calendar day following dispatch.
To City:
To Consultant:
CITY OF YORBA LINDA
Attention: Rick Yee, Deputy Director of Public
Works/Assistant City Engineer
4845 Casa Loma Avenue
Yorba Linda, CA 92886
BKF Engineers
Attention: Chris Rideout, Principal in Charge
4675 MacArthur Court,
Suite 400
Newport Beach, CA 92660
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9.2 Interpretation. The terms of this Agreement shall be construed in accordance with the meaning of the language used and shall not be construed for or against either party by reason of the authorship of this Agreement.
9.3 Integration; Amendment. This Agreement contains the entire understanding of the parties herein and supersedes any and all other written or oral understandings as to those matters contained herein, and no prior oral or written understanding shall be of any force or effect with respect to those matters covered thereby. No amendment, change or modification of this Agreement shall be valid unless in writing, stating that it amends, changes or modifies this Agreement, and signed by all the parties hereto.
9.4 Severability. In the event that part of this Agreement shall be declared invalid or unenforceable by a valid judgment or decree of a court of competent jurisdiction, such invalidity or inability to enforce shall not affect any of the remaining portions of this Agreement which are hereby declared as severable and shall be interpreted to carry out the intent of the parties hereunder unless the invalid provision is so material that its invalidity deprives either party of the basic benefit of their bargain or renders this Agreement meaningless.
9.5 Authority. The persons executing this Agreement on behalf of the parties hereto warrant that they are duly authorized to execute this Agreement on behalf of said parties.
9.6 Statutory References. All references in this Agreement to particular statutes, regulations, ordinances, or resolutions of the United States, the State of California, or the County of Orange shall be deemed to include the same statute, regulation, ordinance or resolution as hereafter amended or renumbered, or if repealed, to such other provisions as may thereafter govern the same subject.
9.7 Special Provisions. Any additional or supplementary provisions or modifications or alterations of this Agreement, if any, shall be set forth in an additional Exhibit “D” (“Special Provisions”) if any such Special Provisions exist. In the event of any discrepancy between the provisions of this Agreement and the Special Provisions, Special Provisions shall take precedence and prevail.
9.8 Contract Documents. The Agreement between the Parties shall consist of the following: (1) this Agreement, (2) the Consultant’s signed, original Proposal dated March 31, 2022 (“Consultant’s Proposal”), and (3) the City’s Request for Proposals, dated March 2022 (“City’s RFP), which shall all be referred to collectively hereinafter as the “Contract Documents”. The Consultant’s Proposal and the City’s RFP, which are both attached hereto as Exhibits “A” and “B”, are hereby incorporated by reference, and are made a part of this Agreement. All provisions of this Agreement, the Consultant’s Proposal, and the City’s RFP shall be binding on the Parties. Should any conflict or inconsistency exist in the Contract Documents, the conflict or inconsistency shall be resolved by applying the provisions in the highest priority document, which shall be determined in the following order of priority, (1st) the terms and conditions of this Agreement, (2nd) the provisions of the City’s RFP (Exhibit “B”) and (3rd) the provisions of the Consultant’s Proposal (Exhibit “A”). [SIGNATURES BEGIN ON NEXT PAGE]
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IN WITNESS WHEREOF, the parties have entered into this Agreement as of the date first written above.
CITY:
CITY OF YORBA LINDA
By:
Its:
CONSULTANT:
BKF ENGINEERS
By:
Name:
Title:
By: __________________________________
Dianna Honeywell, Finance Director
ATTEST:
By:
Marcia Brown, City Clerk
By:
Name:
Title:
APPROVED AS TO FORM
RUTAN & TUCKER, LLP
By:
City Attorney, City of Yorba Linda
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EXHIBIT A
SCOPE OF SERVICES
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) 21 BKF ENGINEERS F. / PROJECT UNDERSTANDING, OVERVIEW + APPROACH
PROJECT UNDERSTANDING
The current segment of Yorba Linda Boulevard between Imperial Highway and Lakeview Avenue is an east-west six-lane arterial highway. The westbound is improved with three continuous through lanes, two right-turn lanes to Imperial Highway northbound and one left-turn lane to Imperial Highway south bound. The Yorba Linda Boulevard east bound is improved with two continuous through lanes, one left turn lane and one through/right turn lane. The center median is striped except at the intersection where raised center median were constructed. The two intersections are only approximately 600 feet apart with heavy turning movements that often cause congestion at these intersections during the morning and evening peak commute periods. Currently the left turn pockets have limited storage capacity. As the traffic volume increases, it impacts the traffic flow at the through lanes as vehicles waiting to get into the left turn pocket.
The City of Yorba Linda (City) is seeking a consultant to provide comprehensive professional engineering services associated with the design and construction of street improvements and enhancements along Yorba Linda Boulevard from Imperial Highway to Lakeview Avenue to add a second left turn pocket in both the east and west directions at the Yorba Linda Boulevard/Imperial Highway intersection and the Yorba Linda Boulevard/Lakeview Avenue intersection. The improvements will provide greater travel efficiency and accommodate the demand generated by the Yorba Linda Town Center and improved traffic circulation in and out of the Town Center via Imperial Highway and Lakeview Avenue. The businesses in the area will benefit from the improved intersection operation to attract more traffic and thus increase local sales revenues.
The adjacent developments are commercial, retail, office, and restaurant land uses. This segment of Yorba Linda Boulevard provides primary access to these developments where many people work, shop and dine. The intersections with Imperial Highway and Lakeview Avenue are signalized, with posted speed of 40 MPH. There is an existing bus stop without concrete pads adjacent to Mimi's Cafe on the north side of Yorba Linda Boulevard approximately 240 feet west of the Imperial Highway. There is an existing storm drain catch basin also located on the north side of Yorba Linda Boulevard approximately 100 feet west of Imperial Highway. There are street lights and underground utilities within the street right of way including water and sewer lines. All four crosswalks at the Imperial Highway intersection are paved with decorative pavers and at the Lakeview Avenue intersection the striped cross walks are only present on east the north, east and south sides of the intersection. There is no crosswalk on the west side of the intersection.
This project will include the construction of raised center median islands on Yorba Linda Boulevard for the entire length of the project between Imperial Highway and Lakeview Avenue as shown on the Project Geometric Exhibit of the RFP. Yorba Linda Boulevard will be designed to a section generally consisting of a 4-foot-wide landscaped raise median, two 10-foot-wide left turn pockets, 11-foot-wide through lanes and a 8-foot-wide sidewalk.
Generally, the improvements will require right of way takes on the south side of Yorba Linda Boulevard. Some minor right of way takes will also require on the north side of Yorba Linda Boulevard west of Imperial Highway.
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) 22 BKF ENGINEERS F. / PROJECT UNDERSTANDING, OVERVIEW + APPROACH
Other improvements as part of implementation of the Project will include, but not limited to, removal and reconstruction of concrete curb and gutter, ADA accessible ramps with detectable warning surface, driveway approaches and sidewalks, retaining walls, miscellaneous utility adjustments, striping, pavement markings, signage improvements, street lights relocation, street trees removal, add and restore landscape, and traffic signal modifications include adding camera video detection at both intersections. It is our understanding that traffic control plans and SWPPP documents will be prepared by the contractor, if necessary.
We understand that it is the City’s intent to complete the engineering design and environmental phases of the Project. The proposal shall include engineering design (PS&E), environmental documentation, and as-needed bid and construction support services. The City intends to pursue funds for right of way and construction after the completion of the design phase.
Consulting services for the Project will include: project management including preparation of all meeting agenda and recording and distribution of all meeting minutes; site reconnaissance; utilities research; design survey and right of way research; prepare environmental documents; prepare a Final Water Quality Management Plan (WQMP); design of street and raised median improvements; coordination for utility adjustment; curb and gutter, ADA access ramp, sidewalk, and driveway design; landscape and irrigation design; signing and striping improvements; traffic signal modifications; preparation of bid documents; specifications and an engineer’s estimate of probable construction costs; bid and construction support; prepare right of way exhibits and/or rendering on affected properties for outreach purposes; attend one in-person and one virtual public outreach meetings. We included Ninyo and Moore on our team to provide review and concurrence of the previous geotechnical evaluation performed as part of the Town Center development.
PROJECT KEY ISSUES AND APPROACH
Understanding and managing the key issues associated with the project will be critical to the success of this design assignment. We have visited the project site and reviewed the materials provided with the RFP and City response to RFP questions to familiarize ourselves with the existing improvements and project implementation issues. We have identified the following issues that will need special attention with this Project. • Environmental Document – The critical path for successful completion of this project will rely on timely environmental studies, applications, and approvals. LSA will prepare an Initial Study/Mitigated Negative Declaration (MND) pursuant to California Environmental Quality Act (CEQA) Guidelines Section 15070, as amended to evaluate the potential environmental impacts of the project including anticipated transportation/traffic impacts as results of changes in circulation. Since this phase of the Project does not include any Federal funding, the proposed scope of work does not include any environmental analysis to comply with Federal regulations. This task will include preparation of a biological resources memorandum, a cultural resources memorandum, a Paleontological memorandum, an air quality/greenhouse gas analysis memorandum and noise impact memorandum and attendance at one public outreach meeting and three commission/council meetings to support the MND. • Landscape and Irrigation Design – Our landscape subconsultant, MIG, is highly familiar with the City of Yorba Linda’s Landscape Maintenance District (LMAD). MIG will create a sustainable design by using indigenous and drought resistant materials where appropriate as well as complementing the existing plant palette to match LMAD/ Town Center design. We understand the City is interested in a plant palette which is sustainable and integrates into current design standards, and a design solution which allows for safety for both motorists and pedestrians.
We look for additional sustainable design options such as using recycled water systems with evapotranspiration controllers, solar powered lighting, site amenities from recycled materials, and incorporating bioswales whenever possible and feasible in the design process.
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) 23 BKF ENGINEERS F. / PROJECT UNDERSTANDING, OVERVIEW + APPROACH
The planting of the new medians will require the existing asphaltic concrete and or concrete paving and base material to be removed in order to provide adequate soil depth for shrubs to root and establish. The existing soil under the existing AC or PCC roadway will need to be tested for soil fertility to confirm no sterilant or contamination are in the soil. The soil will be amended per the soils report prior to any plant material being installed. Typically, several feet of existing soil might need to be removed and new topsoil installed depending on what the testing finds.
From a traffic calming and safety design point, MIG shall consider site visibility at left turn lanes as far as not proposing tall shrub material at the left turn medians which would impede visibility of opposing through traffic by left-turning motorists. We will also consider the maintenance of the medians as far as including a walking surface area adjacent to the curb to keep maintenance person from having to walk in the street. We will consider the type of trees to be low maintenance and to require little pruning. • Coordination with Other Stakeholders and Community Outreach – This Project will involve coordination with several stakeholders in addition to the City’s Department of Public Works. The Project will require coordination with local businesses adjacent to the project, the traveling public and the community at large. The Project may also involve coordination with utility companies for new irrigation electrical and water service and operators of project area bus service. The BKF Team will communicate with these stakeholders in the early stages of the project to gain an understanding of their needs and concerns. BKF Team including our landscape and environmental subconsultants will maintain open communications with these stakeholders throughout the life of the project to reduce the likelihood of unanticipated issues in the late project stages that could significantly delay the project schedule. The Project will require several forms of public outreach ranging from community meetings to formal City Council Public Hearings.
BKF Team project manager, has been the lead person responsible for public outreach and interface with project stakeholders for many similar projects in the past. This experience will ensure effective communication with the City and assist the City with the development of effective communication with the project stakeholders. • Traffic Safety and Construction Impacts to Residents and Businesses Owners – Due to the volume of traffic and adjacent commercial areas, it will be critical to minimize construction impacts. BKF will identify traffic control implementation measures on the plans, and in the specifications to closely monitor the contractor’s work and progress to ensure compliance with any mitigation measures and schedule constraints. The specifications will address circulation and access during construction. BKF will include provisions that will require the contractor to maintain safe pedestrian access at all times during construction. Specific items that BKF will address in the specifications will include, but are not limited to working hours, temporary lane closure hours and restrictions, identification of traffic control standards, emergency vehicle access, and maintaining access to local businesses.
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) 24 BKF ENGINEERS F. / PROJECT UNDERSTANDING, OVERVIEW + APPROACH
• Maintaining Project Schedule and Budget – BKF has successfully completed several similar projects on schedule and within budget. BKF will immediately begin the initial data collection and background research tasks for this project as soon as the notice to proceed is obtained. We will closely monitor our surveyors with field data collection, allowing the BKF team to make adjustments to stay on schedule if necessary.
The BKF Team has visited the Project site and the captions on the photographs of Figures 1 and 2 highlight some of the important elements of the roadway improvements and other components of the project.
MANAGEMENT TEAM
The key element in the management of the project will be to assign experienced staff who will dedicate their efforts to advance the design in an efficient and timely manner, using a comprehensive project work plan and schedule.
With this in mind, BKF has assembled a project team who can fulfill all of these goals. The core BKF team will be comprised of experienced individuals who will be dedicated to the assignment from start to finish participating in all aspects of the work.
The Project Manager for the BKF Team will be Sheila Amparo, PE, QSD. She actively leads project teams and manages the design of streetscape, intersection improvements and roadway improvements, ranging from project report and environmental documentation (PR/ED) into final design, bid phase support, construction support and project closeout.
Sheila is currently working on several similar projects closely collaborating with many municipalities and has a proven track record of implementing successful project management strategies. She uses effective communication, identifying project needs and project execution, and coordinates with the project team to assure the City’s goals and objectives are met. Sheila’s experience and congenial personality will help the team work together with the City and other involved agencies to reach the mutual goal of project success. She will be the principal point of contact with the City and will be responsible for developing a management plan to organize, monitor, and conduct the design of the project.
Specifically, Sheila’s project management and roadway engineering design experience includes the following significant projects:
• Jeffrey/Walnut Intersection Improvement Project; City of Irvine • Trabuco/Remington Traffic Signal Improvement Project; City of Irvine • Lakeland Road Street Improvements; City of Santa Fe Springs • Harvard/Michelson Intersection Improvement; City of Irvine • Lakewood/Florence Intersection Improvement Project; City of Downey FIGURE 1 FIGURE 2
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) 25 BKF ENGINEERS F. / PROJECT UNDERSTANDING, OVERVIEW + APPROACH
Sheila will be supported by Chris Rideout, PE (Principal in Charge) and Roger Chung, PE, CFM, ENV SP, QSD/P, F ASCE (Quality Control Supervisor). Chris is a Registered Civil Engineer in the State of California with over 30 years of professional civil and transportation engineering experience. He has successfully overseen and managed numerous types of transportation improvement projects that required extensive analysis to determine cost-effective recommendations to improve traffic operations. He will oversee project tasks to ensure that proper resources are provided to complete the project on time and within budget and that precise, quality design plans and construction documents are submitted to the City.
Roger is a Registered Civil Engineer in the State of California with over 20 years of experience with expertise in general civil, water quality, hydrology and hydraulics design and has extensive experience in preparing design plans, specifications, and cost estimates for variety of projects. He has been involved in numerous projects in San Bernardino, Riverside, Orange, Los Angeles, San Diego, Kern and Ventura Counties.
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) 26 BKF ENGINEERS F. / PROJECT UNDERSTANDING, OVERVIEW + APPROACH
We understand that managing, building consensus, and obtaining project approvals and permits are often more challenging than preparing the actual design documents. Ensuring that these processes are managed will allow projects to be delivered on schedule and within budget.
BKF’s management philosophy integrates the following key components: managing the process; defining the critical issues; developing coordinated design documents; and validating implementation.
COMPONENT 1: MANAGING THE PROCESS
▪ PROJECT WORK PROGRAM: Upon the City’s Notice to Proceed (NTP) BKF’s Principal in Charge, Chris Rideout, PE and Project Manager, Sheila Amparo, PE, QSD will be available to meet and review the Project goals and based on the specific tasks, will assign a team who will be committed to the Project for the duration. We will develop a detailed project work program that identifies tasks, permits, and deliverables tailored to deliver the Project. We intend for this work program to be a living document that we update regularly to reflect the progress and needs of the Project.
▪ DEFINED SCHEDULE: We will develop our work program with reference to a schedule in Microsoft Project format.
Sheila will update the schedule with the completion of each phase, discuss and gain concurrence with the City. The schedule is a critical tool for the Project Team, City, and other Stakeholders to ensure all agree to the tasks and delivery dates. It is imperative to regularly review the baseline schedule and identify any potential tasks that are slipping behind schedule. If this situation occurs, Sheila will work with the team to establish a recovery plan to bring the design schedule back into alignment with the baseline schedule. This recovery schedule will be discussed with the City to ensure concurrence moving forward.
▪ DESIGN FEE: The BKF Team had develop a fee for our services based on the agreed to scope of services and schedule.
COMPONENT 2: DEFINING CRITICAL ISSUES
▪ CRITICAL CONSIDERATIONS: For street/roadway projects, the Project Team will prepare geometric alignment studies to ensure the objective and standards for the improvements are adequately addressed. This early establishment and agreement with the City on the geometrics will allow the Project Team to identify critical issues, such as right of way acquisitions and utility relocations that require lengthy lead times that may affect the Project schedule and budget.
▪ DEFINING CONSTRUCTION RISK: Risk assessment is key to managing the overall construction budget. Our experience is that characterizing subsurface soils and utilities is critical to managing unknowns that could lead to contractor change order and/or delays. BKF will work with City Staff to identify on any environmental considerations/ mitigations early on in the project to ensure the project stays on schedule and can meet the environmental needs of the project as the design is developed. Comprehensive Construction Staging and Traffic Handling plans depicting vehicle/pedestrian circulation as well as efficient Contractor work areas are critical in clearly showing the intent/limit of any closures.
▪ STAKEHOLDERS: Understanding the concerns of the Project’s stakeholders at the earliest stage in the design process is essential to prevent delays or conflicts. BKF will coordinate and attend all meetings to understand goals and objectives of all stakeholders and confirm they are aligned properly with the City. Engaging all stakeholders from the beginning of the design process through construction will minimize misunderstandings and will result in a project that meets all objectives.
PROJECT MANAGEMENT
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) 27 BKF ENGINEERS F. / PROJECT UNDERSTANDING, OVERVIEW + APPROACH
COMPONENT 3: DEVELOPING COORDINATED DESIGN DOCUMENTS
▪ COORDINATION: The communication conduit with the City will be with Sheila Amparo, PE, QSD, Project Manager.
This single point of contact eliminates possible misunderstandings and duplication of effort. We will assign a Deputy Project Manager to each engagement depending on the expertise needed. This team will be responsible for solving technical challenges while developing the design in accordance with the City’s goals. We will coordinate the work with other consultants, Staff, and other agencies to ensure collaboration and obtain Project approvals. ▪ COORDINATING AGENCIES: BKF’s experience with public infrastructure projects has taught the value of having clear direct communication and of being accessible at all times during critical project stages. We believe our working relationships with local, state and federal agencies will allow us to streamline the process by minimizing costly lags in communication.
▪ TECHNOLOGY: BKF implements the latest technology to develop designs including AutoCAD Civil 3D. We also have specialized simulation software to assist in the design of infrastructure including AutoTurn, StormCAD, WaterCAD, SewerCAD, HEC HMS, and HEC RAS. For preparation of illustrative exhibits, we have Adobe Illustrator, Photoshop, and InDesign. All staff has access to the most current Microsoft Office applications suite.
COMPONENT 4: VALIDATING IMPLEMENTATION
▪ INTERNAL QA/QC: BKF will complete an internal review of all project documents. Under direct communication with Sheila, Roger Chung, PE, CFM, ENV SP, QSD/P, F. ASCE (QA/QC) will check the documents for errors, perform a constructability review, ensure our documents are coordinated with other disciplines, and suggest alternatives for cost savings. During this period all consultants on the team are required to review not only their own work, but evaluate the other disciplines designs to ensure there are no conflicts and design intent is consistent among the team members. Please see the QA/QC flowchart at the end of this section. ▪ PROBABLE CONSTRUCTION COST: Evaluating the potential construction cost throughout the Project’s life is essential to create a feasible project. BKF is consistently involved in the design and construction of numerous projects each month that provide excellent insight into construction trends and costs. With each submittal, BKF will prepare an opinion of cost to assist in developing a project budget.
With BKF’s four-component approach, a detailed work plan, and continually monitoring, we believe that partnering is both aligned and reinforced. This ensures that the City together with BKF’s leadership and the team’s technical expertise, will meet its goals and objectives for a successful Project.
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) 28 BKF ENGINEERS F. / PROJECT UNDERSTANDING, OVERVIEW + APPROACH
PROJECT CONTROLS
BKF’s project controls process helps assist the Project Manager in producing and delivering quality documents that meet the project delivery, cost and quality objectives. BKF will keep the City of Yorba Linda informed and will work to exceed expectations and maintain the project on schedule.
PROJECT MANAGEMENT
▪ PROJECT MANAGEMENT: As Project Manager, Sheila Amparo, PE, QSD will be responsible for the day-to-day management of the project design team, including the technical management of the project. ▪ PROJECT KICKOFF MEETING/PUBLIC OUTREACH/PDT MEETINGS: BKF will develop the agenda, invite project team members and stakeholders and administer a project kick-off meeting. This meeting will confirm project scope, deliverables, schedule, communication conduits, invoicing, and establish future Project Development Team (PDT) meetings. BKF will prepare meeting minutes and distribute to all in attendance for review and concurrence. Our team will attend Project Development Meetings, Public Outreach, and City Council Meetings to support City Staff and the convey the Project goals.
▪ MASTER PROJECT SCHEDULE/PROGRESS REPORTS: Upon receipt of a task order from the City, we will provide a Project Master Schedule in Microsoft Project to the City within 20 days of NTP. The schedule will be updated and distributed during PDT meetings to confirm the Project is tracking according to expectations. BKF will prepare progress reports indicating current tasks, outstanding items, schedule monitoring, and future anticipated meetings.
The progress reports will be prepared and submitted monthly to the City Project Manager prior to the 15th of every month for the duration of the project.
▪ MONTHLY INVOICING: BKF will collect, review and compile invoices from the design team on a monthly basis and will provide the City with the teams composite invoice. Invoices will delineate the current percent complete by task which along with the project schedule can be used to confirm effort, payment, and deliverables are in agreement.
DELIVERY CONTROL
▪ PROJECT WORK PROGRAM: The project work program will identify the tasks and deliverables expected throughout the project. The flexibility in the program will be updated to reflect the progress of the project and discussions with the stakeholders.
▪ DEFINED SCHEDULE: A Microsoft Project schedule will be based on the work plan jointly developed by the City and BKF. At each phase, BKF will update the schedule which will incorporate time for the City to review the documents. Any deviations in the schedule will be discussed promptly with the City.
▪ OUTSTANDING ISSUES MATRIX: BKF will track all outstanding design and program issues in a matrix to facilitate discussions with the City and internal team. This matrix tracks design issues, costs and the schedule.
$-
$50,000
$100,000
$150,000
$200,000
$250,000
$300,000
MAY JUN JUL AUG SEP OCT NOV DEC JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC JAN FEB MAR APR Jeffrey/Walnut Intersection Improvements Project
Anticipated Cumulated Burn Rate through February 2019
Projected Cumulated Burn Rate
Cumulated Invoice Amount
ID Task Name Duration Start Finish
1 CONTRACT AWARD/EXECUTION 1 day Wed 10/24/18 Wed 10/24/18 2 3 KICK-OFF MEETING 1 day Wed 10/31/18 Wed 10/31/18
4 KICK-OFF MEETING 0 days Wed 11/7/18 Wed 11/7/18
5 1 day? Wed 10/31/18 Wed 10/31/18
6 PICO RIVERA REGIONAL BIKEWAY (CIP NO. 21280) 451 days Wed 10/24/18 Wed 7/15/20 7 Task 1 - Project Management, Meetings and Outreach 150 days Wed 10/31/18 Tue 5/28/19 8 Task 1.1 - Project Administration 880 days Wed 10/31/18 Tue 3/15/22 9 Attend Kick-Off Meeting 1 day Wed 10/31/18 Wed 10/31/18 10 Attend Coordination Meetings 44 mons Wed 10/31/18 Tue 3/15/22 11 Community Outreach and Council Meetings 44 mons Wed 10/31/18 Tue 3/15/22 12 Task 2 - Project Report and Environmental Clearance 227 days Wed 10/31/18 Thu 9/12/19 13 Task 2.1 - Base/Preliminary Data Review 880 days Wed 10/31/18 Tue 3/15/22 14 Utility Record Request/Notification (Utility A, B and C Letters) 9 mons Thu 11/1/18 Wed 7/10/19 15 Utility Base Mapping 3 wks Thu 11/22/18 Wed 12/12/18 16 Utility Coordination Meetings (3 Meetings) 44 mons Wed 10/31/18 Tue 3/15/22 17 Task 3 - Preliminary Engineering 216 days Wed 10/31/18 Wed 8/28/19 18 Task 3.1 - Design Survey 15 days Thu 11/1/18 Wed 11/21/18 22 Task 3.2 - Records Research and Field Reviews 150 days Wed 10/31/18 Tue 5/28/19 26 Task 3.3 - NPDES Program Compliance 40 days Fri 4/17/20 Thu 6/11/20 27 NPDES Compliance Memo 4 wks Fri 4/17/20 Thu 5/14/20
28 NPDES Technical Documents and Design 8 wks Fri 4/17/20 Thu 6/11/20 29 Task 3.4 - Pavement Investigation 51 days Mon 1/28/19 Mon 4/8/19 30 Pavement Evaluation 10 wks Mon 1/28/19 Fri 4/5/19
31 Submit Draft Pavement Engineering Report 1 day Mon 4/8/19 Mon 4/8/19 32 Task 3.5 - Geotechnical Engineering 397 days Thu 11/8/18 Fri 5/15/20 33 Geotechnical Investigation Report 397 days Thu 11/8/18 Fri 5/15/20 34 408 Permit Application (For Geotechnical Borings at San Gabriel River) 84 days Thu 11/8/18 Tue 3/5/19 46 Conduct Geotechnical Borings 1 wk Mon 2/17/20 Fri 2/21/20 47 Prepare Geotechnical Investigation Report 12 wks Mon 2/24/20 Fri 5/15/20 48 Task 3.6 - Hydraulic Analysis 135 days Mon 3/9/20 Fri 9/11/20 49 Hydrology/Hydraulics Study Report 12 wks Mon 3/9/20 Fri 5/29/20 50 Draft and Final SUSMP 15 wks Mon 6/1/20 Fri 9/11/20
51 Task 3.7 - Concept Plans 58 days Wed 10/31/18 Fri 1/18/19 52 Task 3.7.1 - Concept Plans (Road, Bridge and Landscape) 2 wks Thu 11/15/18 Wed 11/28/18 55 Task 3.7.2 - Public Outreach and Meetings 1 day Mon 8/12/19 Mon 8/12/19 56 Task 3.7.3 - Final Concept Plans 1 wk Fri 8/2/19 Thu 8/8/19 59 Task 3.8 - Environmental Document 483 days Wed 10/31/18 Fri 9/4/20 60 PES Form and Intitial Study (ISA Check List) 70 days Wed 10/31/18 Tue 2/5/19 61 Prepare PES Form 15 days Wed 10/31/18 Tue 11/20/18
62 Caltrans Review #1 of PES Form 25 days Wed 11/21/18 Tue 12/25/18 63 Revise PES Form and Provide Additional Information to Caltrans 5 days Wed 12/26/18 Tue 1/1/19 64 Caltrans Review #2 25 days Wed 1/2/19 Tue 2/5/19
65 Technical Studies and NEPA Categorical Exclusion 82 days Wed 2/6/19 Thu 5/30/19 72 NEPA Revalidation 81 days Fri 5/15/20 Fri 9/4/20
73 Review NEPA Revalidation 1 wk Fri 5/15/20 Thu 5/21/20 74 Submit NEPA Revalidation to City 1 day Fri 5/22/20 Fri 5/22/20 75 City Review of NEPA Revalidation 1 wk Mon 5/25/20 Fri 5/29/20 76 Revise Revalidaton and Submit Final to City to Submit to Caltrans 5 days Mon 6/1/20 Fri 6/5/20 77 Caltrans Review 30 days Mon 6/8/20 Fri 7/17/20
78 Submit Revised NEPA Revalidation 5 days Mon 7/20/20 Fri 7/24/20 79 Caltrans Review 30 days Mon 7/27/20 Fri 9/4/20
80 CEQA Initial Study 126 days Wed 1/2/19 Wed 6/26/19
83 CEQA Initial Study (ADDENDUM) 249 days Tue 6/25/19 Fri 6/5/20 84 City Adopted CEQA Document 1 day Tue 6/25/19 Tue 6/25/19 10/3110/31
11/7
21 28 4 11 18 25 2 9 16 23 30 6 13 20 27 3 10 1724 3 10 1724 31 7 1421 28 5 12 19 26 2 9 16 23 30 7 14 21 28 4 11 18 25 1 8 1522 29 6 1320 27 3 1017 24 1 8 15 22 29 5 12 19 26 2 9 16 23 1 8 15 22 29 5 1219 26 3 1017 2431 7 14 21 28 5 12 19 26 2 9 16 23 30 6 13 20 27 4 1118 25 1 8 15 2229 6 13 2027 3 10 17 24 31 7 14 21 28 7 14 21 28 4 11 18 25 2 9 16 2330 6 13 2027 4 11 1825 1 8 15 22 29 5 12 19 26 3 10 17 24 31 7 14 2128 5 12 1926 2 9 1623 30 6 1320 27 6 13 Oct '18 Nov '18 Dec '18 Jan '19 Feb '19 Mar '19 Apr '19 May '19 Jun '19 Jul '19 Aug '19 Sep '19 Oct '19 Nov '19 Dec '19 Jan '20 Feb '20 Mar '20 Apr '20 May '20 Jun '20 Jul '20 Aug '20 Sep '20 Oct '20 Nov '20 Dec '20 Jan '21 Feb '21 Mar '21 Apr '21 May '21 Jun '21 Jul '21 Aug '21 Sep '21 Oct '21 Nov '21 Dec '21 Jan '22 Feb '22 Mar '22 Task Milestone Summary Project Summary Project Deliverable City Review Manual Summary Rollup Manual Summary Progress CITY OF PICO RIVERA REGIONAL BIKEWAY PROJECT (CIP NO. 21280) Mon 6/15/20 BKF NO. 20181006
LEGEND
SAMPLE PROJECT SCHEDULE
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) 29 BKF ENGINEERS F. / PROJECT UNDERSTANDING, OVERVIEW + APPROACH
▪ SCHEDULE RECOVERY: If a delay in the schedule is encountered, either by the stakeholders or by the design team, BKF will develop a comprehensive revised schedule to bring the project back in compliance with the project delivery date. BKF will develop this plan, gain commitment from sub-consultants and present and gain agreement from the City. The plan will include staffing augmentations, possible concurrent activities, and a monitoring mechanism to ensure the schedule recovery remains on track. BKF’s employees are experienced in all aspects of municipal projects, which allow us to easily share staff across design teams to avoid slippage in schedules.
COST CONTROL
▪ PROGRESS REPORTS: Our Project Manager, Sheila Amparo, PE, QSD/P, will provide progress reports to the City to demonstrate the team is tracking with the project schedule. These reports will be comprehensive in nature to keep all design team members, City, and project Stakeholders appraised of the status of various tasks, any schedule slippage, and corrective measures to bring the schedule back to the baseline. If a change in the scope of services is necessary, BKF will provide the City with a written addendum request to the City, and will not begin work until the City is in agreement with the amendment.
▪ CONSTRUCTION COST: BKF integrates cost estimates for each milestone delivery and compares to the baseline costs established early on in the project. BKF understands there are finite budgets associated with these capital improvement projects and will track and tailor the design accordingly. As stakeholders are engaged, scope creep can occur and BKF will identify any new project elements that are being introduced into the project. As the project progressed BKF will determine if the new items can be absorbed into the project. Alternatively, BKF can suggest bid alternates to allow for the greatest bidding flexibility for the City.
QUALITY CONTROL
Please refer to the following pages for BKF’s Quality Control approach.
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) 30 BKF ENGINEERS F. / PROJECT UNDERSTANDING, OVERVIEW + APPROACH
QUALITY ASSURANCE PROGRAM
BKF will dedicate a member of staff not directly related to the project as the Quality Assurance/Quality Control Manager.
This member of staff’s key role is to assure the Quality Control procedures delineated below are closely followed and the procedure documented.
LEVEL 1: INTERNAL REVIEW - EACH DISCIPLINE IS REQUIRED TO CONDUCT AN INTERNAL REVIEW PERFORMED PRIOR TO EACH MILESTONE SUBMITTAL.
A senior staff member at the firm, other than on the design team, shall review the documents prepared by the design team. This review will require that all items on the documents be highlighted in yellow indicating the review has occurred and there are no exceptions to the document. This process is for the entire document (i.e. north arrows, station call-outs, profile grid designation, etc.).
• If the reviewer identifies an item on the document that is not correct, then it is marked in red. If the reviewer has comments for clarifications, then it is marked in green. • After the review is complete, the document is returned to the design team with a signature (documentation) indicating the review is complete.
• The design team will review and address all items in red and meet with the reviewer on the items in green until a clarification allows for the reviewer to yellow the item, or a red mark is added. • The design team will then resolve the red marks and return the reviewers original markup along with a clean print.
The reviewer will document the comments that have been addressed by yellowing out the original red mark and placing yellow on the clean set, and signing the document.
LEVEL 2: INTER-DISCIPLINARY REVIEW - THIS REVIEW IS TO CONFIRM THAT THERE ARE NO INTERDISCIPLINARY CONFLICTS AND OCCURS AT THE 95% AND FINAL SUBMITTAL MILESTONES. • All disciplines provide their plans to BKF for collation. BKF will assemble the sets and distribute to the design team. • Each discipline will review the others and similar to the process delineated in Level 1 above, marking in yellow, red, or green, and return to BKF for collation.
• A meeting will be held with all the disciplines in attendance, and the documents with all red or green comments will be discussed and resolved between disciplines.
• The resolutions will be marked in red and returned to the designer for incorporation as described above in the Level 1 procedure.
LEVEL 3: FOR HIGHLY TECHNICAL/COMPLEX PROJECTS, BKF WILL RETAIN QUALIFIED REVIEWERS (EXTERNAL FIRM) TO PERFORM A PEER REVIEW OF THE PROJECT DESIGN AT THE 95% SUBMITTAL MILESTONE:
• Utilizing an external peer
reviewer to perform Quality
Control review.
• Review procedure is
consistent with that of a Level
1 Review.
BKF’s Quality Assurance / Quality
Control Manager will review the
documents to ensure the Level 1,
Level 2, and Level 3 procedures
have been met by all team
members and will document their
findings in support of the Quality
Assurance Program.
QA/QC MANAGEMENT PROCESS
BID READY PROJECT
INITIATION
1. Each consultant conducts interdisciplinary review
2. Team shares comments
3.Team resolution meeting
4.Incorporate resolved comments
1. QA/QC protocol established at project initiation
2.QA/QC maintained/documented throughout project lifespan
1. Each consultant conducts internal review
2.Incorporate resolved comments
LEVEL 1 QUALITY CONTROL:
INTERNAL REVIEW
LEVEL 2 QUALITY CONTROL:
INTERDISCIPLINARY REVIEW
QUALITY ASSURANCE PROCESS
65% SUBMITTAL 95% SUBMITTAL 100% FINAL
SUBMITTAL
1. Utilize an external peer review
2. Procedure is consistent with that of a Level 1 review.
LEVEL 3 QUALITY CONTROL:
PEER REVIEW
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) BKF ENGINEERS I. / PROPOSAL FORMS
City of Yorba Linda
Professional Engineering Consulting Services for the
YORBA LINDA BOULEVARD IMPROVEMENTS
From Imperial Highway to Lakeview Avenue
NON-COLLUSION AFFIDAVIT
The undersigned represents and certifies that:
1. This Proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization or corporation.
2. This Proposal is genuine and not collusive or sham.
3. The Proposer has not directly or indirectly induced or solicited any other Proposer to put in a false or sham proposal and has not directly or indirectly colluded, conspired, connived, or agreed with any other Proposer or anyone else to put in sham proposal or to refrain from submitting to this RFP.
4. The Proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price or to fix any overhead, profit or cost element of the proposal price or to secure any advantage against the City of Yorba Linda or of anyone interested in the proposed contract.
5. Proposer affirms that all statements contained in the Proposal and related documents are true and correct.
6. Proposer has not directly or indirectly submitted the proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay any fee to any person, corporation, partnership, company, association, organization, RFP depository, or to any member or agent thereof to effectuate a collusive or sham proposal.
7. Proposer has not entered into any arrangement or agreement with any City of Yorba Linda public officer in connection with this proposal.
8. Proposer understands that collusive bidding is a violation of State and Federal law and can result in fines, prison sentences, and civil damage awards.
I declare under penalty of perjury pursuant to the laws of the State of California and the United States that the foregoing facts are true and correct.
Executed this ______ day of ______, 2022, at ________________, California. ________________________________
Signature of Authorized Representative
________________________________ __________________________________ Name of Authorized Representative Title of Authorized Representative Executed this ______ da
____________________
Signature of Authorized
31 March Newport Beach
Chris Rideout, PE Principal/Vice President
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) BKF ENGINEERS I. / PROPOSAL FORMS
City of Yorba Linda
Professional Engineering Consulting Services for the
YORBA LINDA BOULEVARD IMPROVEMENTS
From Imperial Highway to Lakeview Avenue
CONSULTANT’S ACKNOWLEDGEMENT OF COMPLIANCE
WITH INSURANCE REQUIREMENTS FOR
AGREEMENT FOR PROFESSIONAL SERVICES
Consultant agrees, acknowledges, understands and is fully aware of the insurance requirements as specified in Section 5, Insurance Requirements of the attached sample Agreement for Professional Services and hereby accepts all conditions and requirements as contained therein.
Consultant:
Name (Please Print or Type)
By:
Consultant’s Signature & Title
Date:
Consultant’s Signature
Chris Rideout, PE. BKF Engineers
Principal/Vice President
March 31, 2002
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) BKF ENGINEERS I. / PROPOSAL FORMS
City of Yorba Linda
Professional Engineering Consulting Services for the
YORBA LINDA BOULEVARD IMPROVEMENTS
From Imperial Highway to Lakeview Avenue
CERTIFICATION OF PROPOSAL
TO THE CITY OF YORBA LINDA
The undersigned hereby submits its proposal and agrees to be bound by the terms and conditions of this Request for Proposal (RFP). By signing the Certification of Proposal and submitting a proposal to the City in response to this Request for Proposals, the Proposer hereby represents and certifies that:
A) No elected or appointed official, officer, or employee of the City has been or shall be compensated, directly or indirectly, in connection with this proposal or for any work connected with this proposal; should any agreement be approved in connection with this Request for Proposals (“Agreement”) no elected or appointed official, officer, or employee of the City, during the term of his/her service with the City, shall have any direct or indirect financial interest in the Agreement, or obtain any present, anticipated, or future financial interest or other material benefit arising therefrom;
B) No elected or appointed official, officer, or employee of the City shall have any financial interest, direct or indirect, in the Agreement nor shall any such official, officer, or employee participate in any decision relating to the Agreement which effects his/her personal financial interest or the financial interest of any corporation, partnership, or association in which they are, directly or indirectly, interested in violation of state law; C) The Proposer and its principals do not have now, nor shall it acquire any financial or business interest that would conflict with the performance of services under the Agreement; D) Proposer shall represent and certify that it does not and will not discriminate against any employee or applicant for employment because of race, religion, gender, color, national origin, sexual orientation, ancestry, material status, physical condition, pregnancy or pregnancy related conditions, political affiliation or opinion, age or medical condition; E) By submitting the response to this request, Proposer agrees, if selected, to furnish services to the City in accordance with this RFP;
F) Proposer has carefully reviewed its proposal and understands and agrees that the City is not responsible for any errors or omissions on the part of the Proposer and that the Proposer is responsible for them;
G) It is understood and agreed that the City reserves the right to accept or reject any or all proposals and to waive any informality or irregularity in any proposal received by the City; H) The proposal response includes all of the commentary, figures and data required by the Request for Proposal, dated _______.
1 of 2
03/03/2022
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) BKF ENGINEERS I. / PROPOSAL FORMS
City of Yorba Linda
Professional Engineering Consulting Services for the
YORBA LINDA BOULEVARD IMPROVEMENTS
From Imperial Highway to Lakeview Avenue
I) The proposal shall be valid for 180 days from the due date of this RFP.
Name of Proposer:
By:
(Authorized Signature)
Type Name:
Title:
Date:
2 of 2
(Authorized Signature)
BKF Engineers
Chris Rideout, PE
Principal/Vice President
March 31, 2022
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) BKF ENGINEERS J. / APPENDIX
APPENDIX SECTION
▪ ADDENDA NO. 1 : Addenda Receipt Certification Form
signed and Acknowledged
▪ SCOPE OF WORK: Scope of Services (Section IV of the RFP) has been included in this section of our proposal response
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) BKF ENGINEERS J. / APPENDIX
ADDENDUM RECEIPT CERTIFICATION
PROFESSIONAL ENGINEERING & DESIGN SERVICES FOR
YORBA LINDA BOULEVARD IMPROVEMENTS
(IMPERIAL HIGHWAY TO LAKEVIEW AVENUE)
Proposer acknowledges receipt of this Addendum and inclusion of its conditions in his -proposal by signature below and attachment of this Addendum to his proposal. PROPOSALS NOT CONTAINING THIS CERTIFICATION WILL BE REJECTED.
Addendum No. 1 Date: ______________
Received by: Date:
(Signature)
Name: Title:
(Print)
Bidder:
(Authorized Signature)
Name: Title:
(Print)
March 28, 2022
Chris Rideout, PE Principal/Vice President
March 28, 2022
Chris Rideout, PE Principal/Vice President
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) BKF ENGINEERS J. / APPENDIX
SCOPE OF SERVICES
As part of the Request for Proposal, the City has provided a detailed Scope of Services in Section IV. Therefore, in an effort to eliminate lengthy repetitions, we will address the Scope of Services as follows:
• If the City Scope of Services is consistent with our approach and needs for a specific task, we will simply state: “No exceptions to the Scope of Services”
• If BKF believes that in order deliver the Project there are additions, suggested modifications or clarifications, or deletions to the City’s Scope of Services we provided the following section of this proposal.
Below is our concurrence or deviation from the Scope of Services provided by the City:
1.0 Site Reconnaissance: CLARIFICATION PROVIDED
2.0 Utility Locating and Verification: CLARIFICATION PROVIDED
3.01 Topographic Survey and Right of way Research: CLARIFICATION PROVIDED
3.02 Geotechnical Investigation: CLARIFICATION PROVIDED
4.0 Environmental Document-IS/MND: CLARIFICATION PROVIDED
5.0 Design: CLARIFICATION PROVIDED
6.0 Design Support During Bid and Construction: CLARIFICATION PROVIDED
7.0 Public Outreach Exhibits: No exceptions to the Scope of Services
8.0 Water Quality Management Plan: CLARIFICATION PROVIDED
9.0 CRFP/Other Grant Application: No exceptions to the Scope of Services
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) BKF ENGINEERS J. / APPENDIX
CITY SCOPE OF SERVICES ADDITIONS, MODIFICATIONS, CLARIFICATIONS,
AND/OR DELETIONS
1.0 SITE RECONNAISSANCE – CLARIFICATION
BKF recommends that a site visit serve as our Kick-Off meeting along the project limits with City staff and the BKF Team. If the City is amenable to performing site visit with the BKF Team, the site visit may be utilized to review, assess, and identify the appropriate course of action. With the intersection improvements and widening along Yorba Linda Boulevard, our site visit will facilitate the preparation of the Basis of Design to be submitted to the City for review and approval. Once the Basis of Design is approved, our Team will progress the Project with clear direction and hit each milestone on schedule and within budget.
2.0 UTILITY LOCATING AND VERIFICATION – CLARIFICATION
Per the City’s Addendum No. 1, BKF’s proposal includes SCE coordination for the Street Light relocation, and provides for up 8 potholes for locating utilities. As it is our standard of practice with new traffic signals, we partner with Site Scan to perform the “X-Trench” potholes (see photo below) at the proposed traffic signal locations to full depth and diameter of the pole foundation. This method allows the design team to ensure that the locations of the new traffic signals are free and clear of existing utilities, and ensures the proper traffic signal types are ordered, which reduces delays during construction.
The BKF Team will submit an additional service request to perform the “X-Trench” potholes for the new traffic signals if requested by the City.
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) BKF ENGINEERS J. / APPENDIX
3.01 TOPOGRAPHIC SURVEY & RIGHT OF WAY RESEARCH: CLARIFICATION
EXISTING RIGHT OF WAY AND BASE-MAP
Monuments will be observed to retrace the centerlines and rights-of-way of Yorba Linda Boulevard within the project limits. The results will be incorporated into a base-map illustrating existing right of way conditions. Parcel lines will be based on available field evidence and records. Available agency research, prior surveys, and assessor parcel maps will be used to prepare the base-map. This will not be a full and complete boundary survey of all adjacent land parcels.
In an effort to reduce cost, and if the City has the GIS of the right of way within City boundaries, we recommend using the GIS to illustrate the existing right of way conditions. With the exception of parcels requiring partial takes and temporary construction easements, BKF will order and use the Title Reports of said parcels, map the parcel boundaries as the basis for the preparation of the Plat Maps and Legal Descriptions.
AERIAL TOPOGRAPHY
Current aerial topography and existing planimetrics data will be obtained for the site. The photography will be flown for use at a scale of 1” = 20’, with contours compiled at 1-foot intervals. Spot elevations and existing site features identifiable from photography will also be compiled. This line item includes the field work to set horizontal and vertical control required for the aerial effort, which will be based on OC Surveyor’s Horizontal (CCS83 (2017.50 epoch) and Vertical Control (NAVD88) Networks.
A color digital ortho-photo will be prepared from the photography. The ortho-photo will be a rectified image so as to closely match the compiled topography, providing the capability to prepare accurate, color exhibits on subsequent efforts.
SUPPLEMENTAL TOPOGRAPHY
As a supplement to the aerial effort, conventional ground survey will be used to spot verify the aerial topography and obtain additional detail in key areas. Cross-sections will be observed at 25-foot intervals. The supplemental data will be used in conjunction with the aerial mapping to create a topographic map that will be used as the basis for design.
RECORD OF SURVEY
Based on initial research and the extent of the survey, it is reasonably likely that material discrepancies exist between conflicting evidence in the field and previous filed records. Therefore, in accordance with Section 8762 of the State of California Business and Professions Code (The Land Surveyor’s Act) it is anticipated that a Record of Survey will be required. The Record of Survey will be prepared and filed with the County and will serve as an added benefit in memorializing the rights-of-way as a matter of public record. No new monuments are budgeted in this effort as it is anticipated that sufficient monuments exist to control this site for boundary purposes.
PROPOSED RIGHT OF WAY LEGAL DESCRIPTIONS AND EXHIBITS
A legal description and exhibit will be prepared for the locations where additional right of way will be dedicated to accommodate proposed improvements. A Preliminary Title Report will be required covering the properties affected by the above dedications, prior to the preparation of the documents. Nine title reports and associated research documents are included herein up to but not exceeding $1,500 per report. If costs associated with research and title records exceeds $1,500 for any parcel covered by a title report, said costs will be passed through to Client.
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) BKF ENGINEERS J. / APPENDIX
3.02 GEOTECHNICAL INVESTIGATION: CLARIFICATION
Based on Ninyo & Moore’s review of the geotechnical report for the property on the north side of Yorba Linda Boulevard that was provided by the City, variable soil conditions were encountered with a wide range of R-value soil strengths.
Preliminary pavement design recommendations were provided in the report based on an R-value of 5, which is a worsecase condition. Due to the potential variability in soil conditions, we recommend that additional samples are collected for R-value testing to evaluate the subgrade soils on the south side of Yorba Linda Boulevard.
Our services will include performing two relatively shallow borings at the site to evaluate the subgrade soils, and obtain subgrade soil samples for laboratory testing. The borings will be manually excavated with a hand-auger within existing landscape area between the sidewalk and the parking lot for the adjacent commercial properties. We will prepare a geotechnical report that will summarize our scope of services, findings, conclusions and recommendations for site grading and structural pavement design.
Based on our understanding, our scope of services include:
• Project planning and coordination, including a review of readily available geologic background pertinent to the site and previous geotechnical reports provided by the City. • Perform a site reconnaissance to locate proposed boring locations and coordinate with Underground Service Alert (USA) for underground utility location.
• Obtain an encroachment permit for performing our subsurface exploration in the landscape areas adjacent to the roadway, if required by the City.
• Perform subsurface exploration consisting of the excavating, logging and sampling of two hand auger borings in existing landscape areas, and collection of representative samples of the subgrade soils. The borings will be excavated utilizing manual equipment to a depth of 3 to 5 feet, or refusal. Samples will be returned to our laboratory for evaluation and testing. The borings will be backfilled with on-site soils and/or clean sand. • Geotechnical laboratory testing of soil samples to evaluate in-situ moisture content, gradation, R-value, and corrosivity.
• Data compilation and geotechnical analysis of field and laboratory data. • Preparation of a geotechnical report presenting our findings, conclusions, and recommendations. Our report will include a boring location plan, boring logs, laboratory test results, and recommendations for preparation of the subgrade and new asphalt concrete structural pavement sections.
4.0 ENVIRONMENTAL DOCUMENT – IS/MND: CLARIFICATION
We understand that the City has categorized this Project as requiring an IS/MND. Our proposal assumes an Initial Study/Mitigated Negative Declaration (IS/MND) to be the appropriate document for the environmental clearance under the California Environmental Quality Act (CEQA) for the Project. Based on the results of the Traffic Analysis, the selected alternative is expected to be cleared under the IS/MND.
However, the proposed alternative, individually or combined with other projects, are not anticipated to result in significant effects, be located on a hazardous waste site, or impact historical resources. In addition, if, based on the results of the traffic analysis it is determined that the improvements are expected to only serve as an operational improvement to the intersection, it is LSA’s opinion that the project could involve “…negligible or no expansion of use beyond that existing…” preparation of a Categorical Exemption (CE) under Section 15301 (c) of the CEQA Guidelines may be appropriate and has been included as an optional task. If a CE is found to be viable, the Project fee would be reduced per the fee proposal.
City of Yorba Linda - Yorba Linda Boulevard
Improvements (from Imperial Highway to Lakeview Ave) BKF ENGINEERS J. / APPENDIX
5.0 DESIGN: CLARIFICATION
BKF agrees with the Scope of Services. However, provided below is a list of anticipated plan sheets anticipated to be prepared for the project. There is no additional fee for the clarification.
ANTICIPATED PLAN SHEETS SHEET COUNT
Title Sheet 1 Sheet
Typical Cross-Sections and General Notes 1 Sheets
Construction Details 5 Sheets
Removal Plans 2 Sheets
Utility Composite Plans 1 Sheets
Street Improvement Plan and Profile 2 Sheet
Traffic Handling/Construction Staging Plans 3 Sheets
Striping and Signing Plans 2 Sheets
Traffic Signal Modification + Video Detection Installation Plans 2 Sheet Landscape, Irrigation Plans and Details 4 Sheets
Street Light (SCE Final Relocation Plans referenced in Bid Documents) - Anticipated Project Sheet Count 23 Sheets
6.0 DESIGN SUPPORT DURING BID AND CONSTRUCTION – CLARIFICATION The number of hours anticipated for providing construction support services is presently included in the fee matrix. Per the RFP, the stated hours provide for the following services:
▪ Attend Pre-Construction Conference
▪ Addressing Contract Change Orders
▪ Review of Contractor’s Submittals
▪ Respond to Requests for Information
▪ Prepare and Provide Project Record Drawings
8.0 WATER QUALITY MANAGEMENT PLAN – CLARIFICATION
Based on the geometrics of the from the preliminary design phase of the project, a final Water Quality Management Plan (WQMP) will be prepared. The final WQMP will be based on the approach defined in the P-WQMP or reflect the final project configuration. The final WQMP will conform to the requirements of the City’s NPDES permit as issued by the regional Water Quality Control Board.
City of Yorba Linda
Professional Engineering Consulting Services for the
YORBA LINDA BOULEVARD IMPROVEMENTS
From Imperial Highway to Lakeview Avenue
14 SECTION IV
SCOPE OF SERVICES
PROJECT DESCRIPTION
Yorba Linda Boulevard between Imperial Highway and Lakeview Avenue is a six-lane arterial highway. The close proximity of the Yorba Linda Boulevard/Imperial Highway and Yorba Linda Boulevard/Lakeview Avenue intersections along with heavy turning movements contribute to congestion at these intersections during the peak travel periods of the day. In particular, the left turn pockets in the east-west direction have limited storage capacity and as traffic volumes increase, this will impact the east-west traffic flow through this segment of Yorba Linda Boulevard. A traffic study performed by one of the City’s traffic engineering consultants indicates that adding a 2nd left turn pocket on Yorba Linda Boulevard at each intersection in the east-west direction will improve the level of service for the intersections and improve overall traffic circulation through the area.
Per the attached Project Geometric Exhibit, the proposed improvement will result in a 2nd left turn pocket addition in both the east and west directions at each intersection. This will require minor widening and realignment of the southerly side of Yorba Linda Boulevard. In order to achieve this realignment, some additional right of way will need to be acquired from properties to the south of Yorba Linda Boulevard.
The project is currently programmed in the City’s Capital Improvement Program (CIP). The City has been awarded OCTA M2 Comprehensive Transportation Program Funds (CTFP) funds for engineering design and environmental phases of the project. Once the design and environmental documents are complete, additional funds for right of way and construction will be pursued.
Services Requested:
1.0 Site Reconnaissance
Consultant shall conduct a field reconnaissance with the City team to scope out project limits, verify impacts, and provide value engineering to concept plan as necessary.
2.0 Utility Locating & Verification
City will initiate utility notifications upon project award. Consultant shall review available facility maps and verify the alignment (and depths, if applicable) of all overhead & underground utilities within the project limit. Consultant is expected to provide utility locating services. Consultant shall prepare a pothole report of findings, a utility exhibit identifying affected utilities and relocations, and utility base map for design purposes. Known facilities within the area include, but not limited to:
• City storm drain
• Southern California Edison
• Southern California Gas
• Time Warner Cable
• AT&T
• OC Sanitation District
• Yorba Linda Water District (sewer & water)
City of Yorba Linda
Professional Engineering Consulting Services for the
YORBA LINDA BOULEVARD IMPROVEMENTS
From Imperial Highway to Lakeview Avenue
15 Deliverable: Utility mapping/ pothole report of conduit alignments and depths
3.0 Topographic Survey & Right-of-way Research
Consultant shall survey the project limits at 25-feet intervals (i.e. right-of-way, parcel lines, centerline, gutter, top of curb, flowline, back of sidewalk/ finished grade, driveways, power poles, ADA ramps, fences, landscaping, trees, utility features, raised median, signing & striping, etc).
Consultant shall order up to nine (9) title reports for affected properties on the south side of Yorba Linda Blvd. and prepare plats and legals for anticipated acquisitions.
Deliverables: (1) Survey files (topography, DTM)
(2) Right-of-Way exhibits, plats & legals, title reports
3.0 Geotechnical Investigation
Previous geotechnical evaluation was performed as part of the Town Center development and included as an attachment to this RFP. If Consultant believes any supplemental geotechnical investigation is needed, please provide scope and basis for the supplemental evaluation.
Deliverable: Supplemental Geotechnical Report (if applicable)
4.0 Environmental Document – IS/MND
Consultant shall prepare an Initial Study/ Mitigated Negative Declaration for the project. Tasks should include all technical studies and protocol surveys required for approval and impacts to adjacent properties as part of right-of-way acquisition. CEQA determination will be performed and coordinated with City’s Planning Department. Consultant shall include efforts to participate in typically anticipated public meetings as required as part of the regulatory process.
Deliverable: Environmental Document (IS/MND anticipated)
5.0 Design
Consultant shall prepare 35%, 65%, and 100% level plans, specifications, and estimates for the project. Estimates shall include costs for any utility relocations and right-of-way acquisitions. • Scope shall include complete plan set required for construction bid documents, including but not limited to street improvements, utility disposition, landscape and irrigation restoration, traffic signal modifications, signing & striping, and erosion control. • Street Improvements include roadway widening, realignment of curb and gutter, landscaped raise medians, ADA facilities, retaining walls, driveway & sidewalk reconstruction to join existing facilities.
• Landscape & Irrigation design & restoration shall be coordinated with City’s Landscape Maintenance Assessment District (LMAD), Public Works Maintenance, and Property Management on private property, behind sidewalk, and raised medians. Plant palette and irrigation layout to match LMAD/ Town Center design. • Traffic Signal Modifications include adding camera video detection to both intersections (Yorba Linda Blvd/Imperial Highway and Yorba Linda Blvd/Lakeview Avenue). These
City of Yorba Linda
Professional Engineering Consulting Services for the
YORBA LINDA BOULEVARD IMPROVEMENTS
From Imperial Highway to Lakeview Avenue
16 intersections currently have advance loop detection only. Traffic signal modifications shall be coordinated with City’s Traffic Manager.
• It is expected that Consultant will schedule Project Design Team (PDT) meetings biweekly with City team to coordinate and review submittal comments. • Preliminary Design (35% Submittal) - Consultant shall prepare preliminary 35% level plans with horizontal and vertical layout and preliminary estimate. • Final Design (65% & 100% Submittals) - Consultant shall prepare 65% & 100% contract documents including street improvement plans, engineer’s estimate of probable costs, and specifications.
Deliverables: (1) 35% Submittal – Plans and Opinion of Probable Construction Cost (PDF, Excel & AutoCAD files)
(2) 65% Submittal – Plans, Specifications, and Opinion of Probable Construction Cost (PDF, Excel, AutoCAD files)
(3) 100% Submittal – Final Signed Plans, Specifications, and Opinion of Probable Construction Cost (PDF, Excel, AutoCAD files)
6.0 Design Support During Bid and Construction
Provide bid assistance and design support during construction (i.e. answer RFI’s, review submittals, field verification) and prepare record drawings using the contractors red-lined set of plans.
• Deliverable: Record drawings in electronic format (AutoCAD 2020 files)
7.0 Public Outreach exhibits
Consultant shall assist the City with preparation of right-of-way exhibits and/or renderings on affected properties for outreach purposes. City staff will attend outreach meetings with property owners. Consultant should assume participation at one (1) public meeting and one (1) virtual meeting for public outreach.
• Deliverable: Right-of-way/ Public Outreach exhibits for affected properties
8.0 Water Quality Management Plan
Consultant shall determine project category and applicability of a Water Quality Management Plan (or equivalent document) utilizing green streets and low-impact development (LID) principles to meet Santa Ana Region MS4 requirements.
• Deliverable: Priority/Non-priority Water Quality Management Plan
9.0 CTFP/other Grant Application (Optional Task) *Consultant is not approved to proceed with optional task at this time. City may elect to have consultant proceed with optional tasks via signed change order/amendment in amounts included in the attached fee schedule.
Consultant shall prepare an OCTA CTFP (or other) grant application package for Right of Way and Construction phases of the project based on final design.
City of Yorba Linda
Professional Engineering Consulting Services for the
YORBA LINDA BOULEVARD IMPROVEMENTS
From Imperial Highway to Lakeview Avenue
17 CITY RESPONSIBILITIES
The City is providing the following reference documents:
• Project Geometric Exhibit
• Technical Memorandum – Analysis of Cost & Potential Impacts for Project Options • Geotechnical Report from Town Center Improvements
Standards of Work
CONFLICTS / DESIGN EXCEPTIONS. In case of conflict, ambiguities, discrepancies, errors, or omissions, Consultant shall submit the matter to City for clarification. Any work affected by such conflicts, ambiguities, discrepancies, errors or omissions which is performed by Consultant prior to clarification by City shall be at Consultant's risk and expense.
DELIVERABLE DOCUMENTS. Deliverables shall be prepared in English units and in conformance with the latest editions of applicable standards.
REFERENCE MATERIALS. The Consultant shall make use of additional reference material as appropriate. Consultant shall also be responsible for ensuring the most recent version of all reference materials are used, including any addenda and errata.
CONTACT
CHRIS RIDEOUT, PE
PRINCIPAL IN CHARGE
(949) 526-8462
[email protected]
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10434958.1 a05/25/22 -16-
EXHIBIT B
SCHEDULE OF COMPENSATION
Payment shall be on a “Fixed Fee” basis in accordance with the Consultants Schedule of Compensation attached herewith for the work tasks performed in conformance with Section 2.2 of the Agreement. Total compensation for all work under this contract shall not exceed Four Hundred Forty-Three Thousand Three Hundred Sixty-Four Dollars ($443,364.00) except as specified in Section 1.2 - Changes and Additions to Scope of Services of the Agreement.
CITY OF YORBA LINDA
YORBA LINDA BOULEVARD IMPROVEMENTS
FROM IMPERIAL HIGHWAY TO LAKEVIEW AVENUE
TOTAL HOURS TOTAL FEE
HRS COST HRS COST HRS COST HRS COST HRS COST HRS COST HRS COST HRS COST HRS COST HRS COST HRS COST HRS COST
1.0 Site Reconnaissance
1.1 Project Management, PDT, Stakeholders, Property Owners Meetings $0 36 $8,280 14 $2,898 $0 14 $2,366 $0 12 $1,272 $0 $0 72 $12,020 $0 20 $3,750 168 $30,586
1.2 Site Visit and Preliminary Photographs $0 8 $1,840 8 $1,656 $0 8 $1,352 $0 $0 $0 6 $1,115 6 $1,150 $0 10 $1,150 46 $8,263 Geotechnical Engineering Services $0 $0 58 $8,907 $8,907
2.0 Utility Locating and Verification $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 0 $0
2.1 Utility Coordination & Notices (includes SCE Coordination)* $0 8 $1,840 10 $2,070 $0 20 $3,380 $0 12 $1,272 $0 $0 $0 $0 $0 50 $8,562
2.2 Utilities Potholing $0 4 $920 8 $1,656 $0 16 $2,704 16 $2,352 $0 $7,632
2.3 Utilities Conflict Base Map $0 4 $920 10 $2,070 $0 20 $3,380 24 $3,528 $0 $0 $0 $0 $0 $0 58 $9,898
3.0 Topographic Survey and Right-of-Way Research $0
1.3 Survey and Survey Control Data $0 4 $920 30 $6,210 $0 12 $2,028 48 $7,056 $0 56 $17,640 $0 $0 $0 $0 150 $33,854
3.1 Right of Way Requirements Determination $0 4 $920 12 $2,484 $0 20 $3,380 $0 $0 $0 $0 $0 $0 $0 36 $6,784
3.2 Resolved Boundary and Record of Survey $0 $0 18 $3,726 $0 $0 42 $6,174 $0 36 $11,340 $0 $0 $0 $0 96 $21,240
3.3 Plat Maps and Legal Descriptions (9) $0 4 $920 12 $2,484 $0 $0 72 $10,584 $0 $0 $0 $0 $0 88 $13,988
4.0 Environmental Document - IS/MND WITH AB52 CONSULTATION 460 $71,245 $71,245
5.0 Design (Including Specifications and Estimates) $0
5.1 Title Sheet 1 $0 4 $920 $0 8 $1,536 12 $2,028 12 $1,764 $0 $0 $0 $0 $0 $0 28 $6,248
5.2 Typical Cross-Sections and General Notes 1 $0 6 $1,380 $0 16 $3,072 16 $2,704 12 $1,764 $0 $0 $0 $0 $0 $0 34 $8,920
5.3 Construction Details (includes Intersection Detail) 5 $0 8 $1,840 16 $3,312 $0 30 $5,070 30 $4,410 $0 $0 $0 $0 $0 $0 84 $14,632
5.4 Removal Plans 2 $0 4 $920 $0 8 $1,536 12 $2,028 20 $2,940 $0 $0 36 $7,424
5.5 Utility Composite Plans 1 $0 4 $920 $0 8 $1,536 16 $2,704 20 $2,940 $0 $0 $0 $0 $0 $0 40 $8,100
5.6 Street Improvement Plan and Profile 2 $0 24 $5,520 36 $7,452 $0 60 $10,140 60 $8,820 $0 $0 $0 $0 $0 $0 180 $31,932
5.7 Traffic Handling/Construction Staging Plans 3 $0 8 $1,840 16 $3,312 $0 30 $5,070 30 $4,410 $0 $0 $0 $0 $0 84 $14,632
5.8 Striping and Signing Plans 2 $0 4 $920 12 $2,484 $0 16 $2,704 16 $2,352 $0 $0 48 $8,460
5.9 Traffic Signal Modification & Video Detection Installation Plans 2 150 $20,100 $20,100
5.10 Landscape, Irrigation Plans and Details 4 141 $22,535 $22,535
6.0 Design Support During Bid and Construction $0 4 $920 8 $1,656 8 $1,536 $0 $0 $0 $0 25 $3,785 $0 25 $3,275 62 $11,172
7.0 Public Outreach Exhibits $0 8 $1,840 12 $2,484 $0 12 $2,028 $0 0 $0 $0 46 $7,170 $0 $0 $0 78 $13,522
8.0 Water Quality Management Plan $0 4 $920 16 $3,312 20 $3,840 8 $1,352 $0 0 $0 $0 $0 $0 $0 28 $9,424 REIMBURSABLES (TITLE REPORTS $13,500, POTHOLE $9,600, AERIAL WITH PHOTO$3,000, MILEAGE $500) $26,600 $2,558 $1,914 0 $31,072 Not to Exceed Agreement Total Amount: 0 $0 150 $34,500 238 $49,266 68 $13,056 322 $54,418 402 $59,094 24 $2,544 92 $55,580 218 $34,605 538 $86,973 58 $8,907 205 $30,189 1394 $429,132
OPTIONAL SERVICES
CTFP/Other Grant Application ***$7,000
* EXCLUDES CONVERTING CADD FILES PER SCE'S CADD STANDARDS. IF REQUIRED, BKF WILL SUBMIT AN ADDITIONAL SERVICE REQUEST TO THE CITY FOR REVIEW AND APPROVAL $169 $147 $106 $315
2 - MAN SURVEY CREW
** AS PRESENTED DURING OUR INTERVIEW, WE HAVE WORKED WITH EPIC LAND SOLUTIONS ON MULTIPLE PROJECTS. IF REQUESTED BY THE CITY, WE WILL PROVIDE A SCOPE AND FEE FOR RIGHT OF WAY ACQUISITION SERVICES (i.e. APPRAISALS, NEGOTIATIONS, PURCHASE AND SALE AGREEMENTS, ETC)
CITY OF YORBA LINDA
YORBA LINDA BOULEVARD IMPROVEMENTS FROM IMPERIAL HIGHWAY TO LAKEVIEW AVENUE
SENIOR PROJECT
ENGINEER/SURVEYOR
SAEED KERAYECHIAN
$192
BKF ENGINEERS MIG LSA NINYO & MOORE WGZE
ENGINEERING/SURVEY MANAGER
HOOMAN JALAIE/NATE PARKER
$264 $230 $207
TASK
NO.
Work Task or Item
DESCRIPTION
NO. OF SHEETS
PRINCIPAL
CHRIS RIDEOUT
ASSOCIATE
SHEILA AMPARO
PROJECT ENGINEER/SURVEYOR
NICHOLAS WOO, JOSEPH SILVA
DESIGN ENGINEER/STAFF
SURVEYOR
HONGZHI QILIN/TRAVIS FREITAG
SENIOR PROJECT ASSISTANT
JASMINE MA
***OPTIONAL TASK - Listed fees for optional tasks are not included in agreement award amount (Total). The City's contract representative may request that optional tasks be performed by consultant, at the listed rates, via written task order supplement.
2284/009410-1001
10434958.1 a05/25/22 -17-
EXHIBIT C
SCHEDULE OF PERFORMANCE
Consultants Project Schedule is attached and made a part of this agreement. Consultant shall complete services presented within the scope of work contained within Exhibit “A” in accordance with the attached project schedule.
H. / PROJECT SCHEDULE
32 BKF ENGINEERS
ID Task Name Duration Start Finish
1 Prepare 1 day Tue 5/17/22 Tue 5/17/22
2 3 KICK-OFF MEETING 4 NOTICE TO PROCEED 0 days Tue 5/24/22 Tue 5/24/22 5 KICK-OFF MEETING 0 days Tue 5/31/22 Tue 5/31/22
6 Yorba Linda Boulevard Improvements from Imperial Highway to Lakeview Avenue
462 days Tue 5/31/22 Wed 3/6/24
7 Task 0 - Project Development Meetings 180 days Tue 5/31/22 Mon 2/6/23 8 Task 0 - PDT Meetings 180 days Tue 5/31/22 Mon 2/6/23 9 Attend Kick-Off Meeting 0 days Tue 5/31/22 Tue 5/31/22 10 Attend Coordination Meetings 9 mons Tue 5/31/22 Mon 2/6/23 11 Task 1 - Site Reconnaissance 35 days Tue 6/7/22 Mon 7/25/22 12 Task 1 - Site Reconnaissance 35 days Tue 6/7/22 Mon 7/25/22 13 Site Visit 1 wk Tue 6/7/22 Mon 6/13/22
14 Prepare Preliminary Photographs 1 wk Fri 6/17/22 Fri 6/24/22 15 Geotechnical Engineering Services 6 wks Tue 6/14/22 Mon 7/25/22 16 Task 2 - Utility Locating and Verification 160 days Tue 6/14/22 Mon 1/23/23 17 Utility Coordination and Notices (included SCE Coordination) 3 wks Tue 6/14/22 Mon 7/4/22 18 Utilities Conflict Base Map 4 wks Wed 10/12/22 Tue 11/8/22 19 Utility Potholing 2 wks Tue 1/10/23 Mon 1/23/23
20 Task 3 - Topographic Survey & Right-of-Way Research 210 days Tue 6/14/22 Mon 4/3/23 21 Task 3 - Right-of-Way Engineering 210 days Tue 6/14/22 Mon 4/3/23 22 Survey and Survey Control Data 6 wks Tue 6/14/22 Mon 7/25/22 23 Right of Way Requirements Determination 2 wks Tue 1/10/23 Mon 1/23/23 24 Resolved Boundary and Record of Survey 6 wks Tue 1/24/23 Mon 3/6/23 25 Plat Maps and Legal Descriptions (9) 4 wks Tue 3/7/23 Mon 4/3/23 26 Task 4 - Environmental Document - IS/MND 5 days Wed 6/15/22 Tue 6/21/22 27 Prepare Environmental Document - IS/MND 1 wk Wed 6/15/22 Tue 6/21/22 28 Task 5 Design (Including Specifications and Estimates) 202 days Tue 7/26/22 Wed 5/3/23 29 Task 5 PS&E Preparation 202 days Tue 7/26/22 Wed 5/3/23 30 Prepare 60% PS&E 10 wks Tue 7/26/22 Mon 10/3/22
31 Perform QA/QC Review 3 days Tue 10/4/22 Thu 10/6/22
32 Incorporate QC Comments 3 days Fri 10/7/22 Tue 10/11/22 33 Submit to City for Review 0 days Tue 10/11/22 Tue 10/11/22 34 City Review Period 2 wks Wed 10/12/22 Tue 10/25/22
35 60% Comments Review Meeting 1 day Mon 10/31/22 Mon 10/31/22 36 Prepare 90% PS&E 8 wks Mon 10/31/22 Fri 12/23/22
37 Perform QA/QC Review 3 days Mon 1/2/23 Wed 1/4/23
38 Incorporate QC Comments 3 days Thu 1/5/23 Mon 1/9/23 39 Submit 90% PS&E to City for Review 0 days Mon 1/9/23 Mon 1/9/23 40 City Review Period 2 wks Tue 1/10/23 Mon 1/23/23
41 90% Comments Review Meeting 1 day Fri 1/27/23 Fri 1/27/23 42 Prepare 100% PS&E 6 wks Mon 1/30/23 Fri 3/10/23
43 Perform QA/QC Review 2 days Mon 3/13/23 Tue 3/14/23
44 Incorporate QC Comments 3 days Wed 3/15/23 Fri 3/17/23 45 Submit to City for Review 0 days Mon 3/20/23 Mon 3/20/23 46 City Review Period 2 wks Fri 3/31/23 Thu 4/13/23
47 100% Comments Review Meeting 1 day Wed 4/19/23 Wed 4/19/23 48 Prepare Bid-Ready PS&E 1 wk Thu 4/20/23 Wed 4/26/23
49 Perform QA/QC Review 2 days Thu 4/27/23 Fri 4/28/23
50 Incorporate QC Comments 3 days Mon 5/1/23 Wed 5/3/23 51 Submit to City Complete 100% PS&E for Bidding 0 days Wed 5/3/23 Wed 5/3/23 52 Task 6 - Design Support During Bid and Construction 218 days Mon 5/8/23 Wed 3/6/24 53 Task 6 - Design Support During Bid and Construction 218 days Mon 5/8/23 Wed 3/6/24 54 City Advertise Project 1 day Mon 5/8/23 Mon 5/8/23
55 Bid Opening 1 mon Tue 5/9/23 Mon 6/5/23
56 Contract Award/Execution 1 day Tue 6/6/23 Tue 6/6/23 57 Pre-Construction Meeting 1 day Wed 6/14/23 Wed 6/14/23 58 Construction 9 mons Thu 6/15/23 Wed 2/21/24
59 Prepare As-Built Drawings 2 wks Thu 2/22/24 Wed 3/6/24 60 Task 7 - Public Outreach Exhibits 10 days Tue 1/10/23 Mon 1/23/23 61 Prepare Public Outreach Exhibits 2 wks Tue 1/10/23 Mon 1/23/23 62 Task 8 - Water Quality Management Plan 52 days Wed 10/12/22 Thu 12/22/22 63 Prepare Draft WQMP 6 wks Wed 10/12/22 Tue 11/22/22
64 Submital Draft WQMP 1 day Wed 11/23/22 Wed 11/23/22
65 City Review 2 wks Thu 11/24/22 Wed 12/7/22
66 Prepare Final WQMP 2 wks Thu 12/8/22 Wed 12/21/22
67 Submit Final WQMP to City for Approval 1 day Thu 12/22/22 Thu 12/22/22 68 Task 9 - CTFP/Other Grant Application (Optional Task) 20 days Tue 1/10/23 Mon 2/6/23 69 Prepare Grant Application 4 wks Tue 1/10/23 Mon 2/6/23 5/24
5/31
5/31
10/11
1/9
3/20
5/3
May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Qtr 2, 2022 Qtr 3, 2022 Qtr 4, 2022 Qtr 1, 2023 Qtr 2, 2023 Qtr 3, 2023 Qtr 4, 2023 Qtr 1, 2024 Task Milestone Summary Project Summary Project Deliverable City Review Manual Summary Rollup Manual Summary Progress
CITY OF YORBA LINDA
YORBA LINDA BOULEVARD IMPROVEMENTS FROM IMPERIAL HIGHWAY TO LAKEVIEW AVENUE Wed 3/30/22 BKF NO. 20211005
LEGEND
*Listed task start and finish dates are estimates and will be updated in accordance with the written notice to proceed from the City to Consultant. Time intervals for tasks to be completed will be fixed and honored by consultant. No task will exceed the listed time alottment without the City's written permission for extension of sub-task deliverable date in accordance with the provisions of this agreement. Page 396 of 551
PUBLIC WORKS DEPARTMENT
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: JAMIE LAI, P.E., DIRECTOR OF PUBLIC WORKS/CITY ENGINEER PREPARED BY: AUSTIN POSTOVOIT, SENIOR MANAGEMENT ANALYST SUBJECT: RESOLUTION NO. 2022-5807, AUTHORIZING THE CITY MANAGER TO
EXECUTE AGREEMENTS WITH THE CALIFORNIA DEPARTMENT OF
TRANSPORTATION FOR THE YORBA LINDA – PLACENTIA MULTIAGENCY ACTIVE TRANSPORTATION PLAN
RECOMMENDATION
It is recommended that the City Council:
1. Adopt proposed Resolution No. 2022-5807 (Attachment 1), authorizing the City Manager, or designee, to execute all Restricted Grant Agreements and any amendments thereto with Caltrans for the Yorba Linda – Placentia Multi-Agency Active Transportation Plan project; and
2. Approve supplemental budget appropriations of $9,809 from the Miscellaneous Grant Fund (207) and $1,272 from the Traffic Mitigation Fund (404) with a corresponding increase of $11,081 to the Capital Improvement Program (CIP) budget for the Yorba Linda – Placentia Multi-Agency Active Transportation Plan project (TC221001).
BACKGROUND
The California Department of Transportation (Caltrans) oversees funding for and administration of a variety of regional planning activities and projects in conjunction with local agencies. One way that Caltrans implements regional planning activities is through a competitive grant funding award to eligible agencies, which includes the Sustainable Transportation Planning Grants (STPG). This grant program includes the Sustainable Communities Grant, which seeks to encourage local and regional planning that furthers state goals, including, but not limited to, the goals and best practices cited in the Regional Transportation Plan Guidelines adopted by the California Transportation Commission.
The City of Yorba Linda as lead agency, in conjunction with the City of Placentia and the Placentia-Yorba Linda Unified School District (PYLUSD) collaborated to develop a project that is eligible for STPG grant funding. The multi-agency group developed a proposal for a comprehensive Active Transportation Plan (ATP) that incorporates identified bicycle and
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pedestrian improvements, Safe Routes to School (SRTS) and multi-use trail plans. The project aims to create a cohesive ATP for the Cities of Yorba Linda and Placentia and their school district. This bi-city ATP is needed to add and to connect infrastructure for safer, more accessible walking and biking for school children, families, residents (combined population of 119,000) and visitors, as well as for improving the multi-use trail network for exercise and recreation.
The project submitted for consideration, Yorba Linda – Placentia Multi-Agency Active Transportation Plan project (TC221001), was previously included in the Capital Improvement Project budget. Placentia, in addition to providing project support, committed to sharing in any potential local project match in equal parts with Yorba Linda, should an award be granted. The competitive grant application was submitted by the City of Yorba Linda (lead agency) and considered by Caltrans amongst those of competing agencies for a potential grant award.
DISCUSSION
Caltrans provided notice that City of Yorba Linda submission was conditionally approved for award of grant funding provided certain conditions are met as outlined in the conditional grant award documents in April of 2021. The conditional award outlines the scope of services for the grant funded project as well as the total project cost ($406,427) and proportional City funded match amount. The City of Yorba Linda is eligible to receive Federal and/or State funding for certain transportation planning related plans, through Caltrans for the proposed STPG grant program. A condition of the potential grant award is that a Restricted Grant Agreement (RGA) must be executed with Caltrans before grant funds can be reimbursed through the Transportation Planning Grant Program. Staff recently provided Caltrans staff with final responses, revisions and requested accompanying documentation for the project in accordance with established deadlines.
The City’s proposed multi-agency project is slated to begin no sooner than November of 2022, and all project work must be completed by the Grant Expiration Date of February 28, 2025. City staff will work with City of Placentia to execute a fair share cooperative agreement prior to November 2022. Although the RGA is still being developed by Caltrans along with other grant documents, the requirements of the grant program obligate the City to approve a resolution no later than July 3, 2022. In consideration of the approaching deadline, staff has prepared the required documentation to delegate authorization to execute the agreements, any amendments and associated documentation to the City Manager.
Therefore, staff is recommending that Council adopt Resolution 2022-5807, authorizing the City Manager, or designee, to execute all Restricted Grant Agreements and any amendments thereto with Caltrans for the Yorba Linda – Placentia Multi-Agency Active Transportation Plan project.
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FISCAL IMPACT
The City of Yorba Linda’s Capital Improvement Program budget includes previously budgeted funds for the Yorba Linda Placentia Multi-Agency Active Transportation Plan (Project # TC221001). Caltrans notice of conditional grant award to the City of Yorba Linda was presented in an amount that exceeded the initially expected grant award amount. This increase requires a proportional increase to the project budget for both the grant amount and the City’s proportional local match. The total project cost is increasing by $11,081 for a revised project total of $406,427, with the City’s cost share amount increasing to $46,618.
The grant award and local matching funds amount proportions remain unchanged at 88.53% and 11.47% respectively. The City’s matching funds are budgeted in the Traffic Mitigation Fund (404) and Measure M2 Fund (212).
The Fiscal-Year 2022-23 Mid-Term budget adjustments for this funding source will be reflected in the Capital Improvement Budget which is being concurrently considered for Council Approval on June 21, 2022. Therefore, staff recommends that Council approve an appropriation in an amount of $9,809 from the Miscellaneous Grants Fund (207) which will be eligible for reimbursement from Caltrans. Staff is also requesting an appropriation of $1,272 from the Traffic Mitigation Fund (404) to cover the City’s increased proportional cost share. It should be noted that the City’s cost share amount will be offset by a fair share reimbursement from the City of Placentia.
ALTERNATIVES
The City Council may consider not approving the proposed resolution and appropriation; however, doing so would effectuate a forfeiture of potential grant funding award from Caltrans.
ATTACHMENTS
1. Resolution No. 2022-5807- Authorizing the City Manager to Execute Grant Agreements with Caltrans on behalf of the City.
RESOLUTION NO. 2022-5807
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
YORBA LINDA, CALIFORNIA, AUTORIZING THE CITY
MANAGER TO EXECUTE AGREEMENTS WITH THE
CALIFORNIA DEPARTMENT OF TRANSPORTATION FOR
THE YORBA LINDA-PLACENTIA MULTI-AGENCY ACTIVE
TRANSPORATION PLAN
WHEREAS, The California Department of Transportation (Caltrans) announced a call for Sustainable Transportation Planning Grant (STPG) applications for Sustainable Communities Competitive and Strategic Partnerships Grants; and WHEREAS, the City of Yorba Linda (lead agency), the City of Placentia, and the Placentia-Yorba Linda Unified School District (PYLUSD) will collaborate to develop a comprehensive Active Transportation Plan (ATP) that incorporates identified bicycle and pedestrian improvements, Safe Routes to School (SRTS) and multi-use trail plans; and WHEREAS, the City of Yorba Linda submitted an competitive grant application to the California Department of Transportation for the proposed project titled the Yorba LindaPlacentia Multi-Agency Active Transportation Plan; and WHEREAS, Caltrans provided notice that City of Yorba Linda submission was conditionally approved for award of grant funding provided certain conditions are met; and WHEREAS, the City Council of the City of Yorba Linda is eligible to receive Federal and/or State funding for certain transportation planning related plans, through the California Department of Transportation; and
WHEREAS, a Restricted Grant Agreement is needed to be executed with the California Department of Transportation before such funds can be reimbursed through the Transportation Planning Grant Program; and
WHEREAS, Whereas the City of Yorba Linda wishes to delegate authorization to execute the these agreements and any amendments thereto to the City Manager of the City of Yorba Linda; and
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Yorba Linda resolves as follows:
The City of Yorba Linda authorizes the City Manager, or designee, to execute all Restricted Grant Agreements and any amendments thereto with the California Department of Transportation.
PASSED, APPROVED AND ADOPTED at a regular meeting of the City Council of the City of Yorba Linda on this 21st day of June, 2022.
RESOLUTION NO. 2022-5807
PAGE NO. 2
_______________________________
CARLOS RODRIGUEZ, MAYOR
CITY OF YORBA LINDA
ATTEST:
MARCIA BROWN, CITY CLERK
CITY OF YORBA LINDA
APPROVED AS TO FORM:
RUTAN & TUCKER LLP
_____________________________
CITY ATTORNEY
STATE OF CALIFORNIA )
ss.
COUNTY OF ORANGE )
I, MARCIA BROWN, City Clerk of the City of Yorba Linda, California, DO HEREBY CERTIFY, that the foregoing Resolution was adopted at a regular meeting of the City Council of the City of Yorba Linda held on the 21st day of June, 2022, and was carried by the following roll call vote:
AYES: COUNCILMEMBERS:
NOES: COUNCILMEMBERS:
ABSENT: COUNCILMEMBERS:
_________________________________
MARCIA BROWN, CITY CLERK
CITY OF YORBA LINDA
PUBLIC WORKS DEPARTMENT
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: JAMIE LAI, P.E., DIRECTOR OF PUBLIC WORKS/CITY ENGINEER PREPARED BY: AUSTIN POSTOVOIT, SENIOR MANAGEMENT ANALYST SUBJECT: APPROVAL OF AN AMENDMENT TO THE MAINTENANCE SERVICE AGREEMENT WITH WEST COAST ARBORISTS, INC., FOR TREE
SERVICES AND ASSOCIATED MAINTENANCE
RECOMMENDATION
It is recommended that the City Council:
1. Approve an additional contract renewal amendment for tree maintenance services to allow for an additional one-year (Fiscal Year 2022/23) term with the option for an additional subsequent extension, with West Coast Arborists (WCA), Inc., in an amount not to exceed $1,352,370.
BACKGROUND
On June 7, 2016, the City Council awarded a Tree Maintenance Service Contract to West Coast Arborists, Inc., for citywide services rendered for the Local Landscape Maintenance Assessment District, Public Works and Parks and Recreation departments. This contract encompasses all maintenance pruning as well as incidental tree management services such as inventory maintenance and emergency response duties. WCA’s award was approved after evaluation of bids for tree maintenance were solicited for servicing more than 25,000 trees which fall within the Landscape Maintenance Assessment District (LMAD). In addition, in an attempt to maximize economies of scale, the production trimming for approximately 4,000 trees managed by the Parks and Recreation Department and 3,500 street trees managed by the Operations and Maintenance Division of Public Works were included in the agreement.
The City has renewed and amended the agreement on multiple occasions to allow utilizing Council approved extensions and provision of expanded unanticipated work. Since 2016, the contractual services have been rendered in a satisfactory manner and WCA has implemented several innovative technologies including City tree inventorying. All
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contractually allowable extensions have been exhausted and final expiration was set to occur on My 31st, 2022. In advance of the expiration, staff sought a one-month contract extension while procurement activities were pursued. The one-month contract extension also allowed the contract term to come into alignment with the City’s Fiscal Year, which enables staff to more efficiently track expenditures and implement budget measures. The one-month extension term is valid through June 30th, 2022.
DISCUSSION
During the procurement review process staff identified inordinately high Consumer Price Index (CPI) increases, increased labor and materials costs as well as staffing shortage factors contributing to the likelihood of a disproportionate cost increase for a new contract award. As such, staff determined that three potential options were likely for procuring tree trimming services for the upcoming Fiscal Year: conduct a new Invitation for Bids (IFB), conduct a follow-on procurement with WCA (ie. Piggyback) or request an “additional” term renewal period for WCA’s existing agreement. Staff evaluated these three options and determined that an additional term extension, beyond the initially awarded 6-year potential contract term, is the most cost-effective option.
Staff explored potentially conducting a new procurement at the present time but found that it would likely yield the highest increase in unit prices and overall contract costs. Given the particularly volatile fluctuation and increases in CPI and labor costs, staff projects that this procurement option would be least favorable to the city at this time. Other local agencies awarding agreements for similar services within the past several months realized average increases of approximately 25% over their prior contract amounts. While each agency has unique agreement scopes and needs – it can be projected that a similar increase can be expected if open bidding takes place at this time.
Staff also considered a follow-on procurement option to procure services as well. A followon procurement, also known as “piggy-backing”, is a form of procurement wherein an agency utilizes the competitively solicited rates from an awarded agreement of another agency. This option would have seen staff request award of a new contract to acquire the same commodities or services at the same or lower price from another public entity. It essentially allows the City to “use” another agencies’ competitively bid award as a basis for its own award. However, this option likely would compel the City to modify the scope of work and fee structure to fit the contract it would piggyback to mirror that of another agency.
Proposed fee structures were evaluated and found to be less favorable to Yorba Linda’s needs. Further, the only feasible Piggyback options would have been with West Coast Arborist, as most recent bidders for local agencies had rates higher than WCA’s. Staff did inquire about “prospective” piggyback agency rates and conducted estimates based on the past 6-years of service levels. The most favorable estimate for piggybacking would likely result in a 21%-27% increase.
Staff also inquired as to whether or not WCA would be amenable to simply extending the agreement for an additional 1-year term at a moderate increase, based largely off of a CPI
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level inflation factor. A similar procurement method was recently used by a neighboring City which cancelled bids and extended an agreement with WCA for considerable cost savings. Staff proceeded to negotiate with WCA over the course of several weeks to establish an updated rate schedule which ultimately resulted in an aggregate contract increase of only 8.5%. Further, the majority of individual unit prices would stay below CPI and the average line-item percentage increase was only 7% (as shown in “Attachment 2” of the proposed Amendment). Staff also negotiated a subsequent one-year additional term extension for the Fiscal Year 2023-24, at the City’s sole option, should market volatility still be present at that time. The second potential extension l caps the increase to t 7% for that term. Therefore, staff recommends that Council approve a one-year additional contract renewal in an amount of $1,352,370 for Fiscal Year 2022/23, and a potential additional renewal for Fiscal Year 2023/24. This additional period will allow for potential cost escalation factors to subside, and for staff to more thoroughly evaluate program needs in an attempt to reduce future year costs.
FISCAL IMPACT
The combined annual budget allocation for tree services within the LMAD, Parks and Recreation, and Public Works budgets for Fiscal Year 2022/23 is sufficient to cover the costs of the proposed amendment. Staff proactively increased budget projections during the annual budget process, in anticipation of inflation and labor increases. The proposed Fiscal Year budget is planned for approval on June 21st, 2022 and incorporates requisite budget increases necessary to cover the proposed contractual costs. The $1,352,370 annual amendment amount is generally apportioned across the three comprising departments/divisions as noted below:
LMAD (Account No. 2010350-432300) – 75% of total Contract Amount Public Works Maintenance (Account No. 1010330-432300) – 15% of Total Contract Amount
P&R Parks Maintenance (Account No. 1010460-432300) – 10% of Total Contract Amount
The approximate proportions of planned contract budget may be adjusted during the Fiscal Year based upon actual utilization by each division. Additional requests for a similar amount will be made for future Fiscal Year budgets, should the additional one-year renewal be sought for Fiscal Year 2023/24.
ALTERNATIVES
The City Council may choose not to approve the recommended additional term renewal amendment with West Coast Arborists. Should this alternative be selected, it is recommended that Council alternatively approve an additional two-month term extension to allow staff sufficient time to conduct an alternative procurement process. As noted in the Discussion section of this report, pursuing this alternative is not recommended due to the high likelihood of drastic cost escalations.
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ATTACHMENTS
1. Sixth Amendment to the Agreement with West Coast Arborists
1 AMENDMENT NO. 6 TO
WEST COAST ARBORISTS, INC.
TREE SERVICES AND MAINTENANCE WITHIN LANDSCAPE MAINTENANCE ASSESSMENT
DISTRICT / PARKS / STREETS WITHIN THE CITY OF YORBA LINDA THIS AMENDMENT No. 6 is made and entered into this 1st day of July, 2022, by and between the City of Yorba Linda, 4845 Casa Loma Avenue, Yorba Linda, California 92886, a municipal corporation of the State of California (hereinafter referred to as “City”), and West Coast Arborists, Inc., 2200 E. Via Burton St., Anaheim, CA 92806 (hereinafter referred to as “Contractor”).
WITNESSETH:
WHEREAS, the City and the Contractor entered into an Agreement for Tree Services and Maintenance within Landscape Maintenance Assessment District / Parks/ Streets within the City of Yorba Linda as per the original Agreement dated June 29, 2016; and
WHEREAS, the City and the Contractor entered into Amendment No. 1 to the original agreement dated June 1, 2019; and
WHEREAS, the City and the Contractor entered into Amendment No. 2 to the original agreement dated December 17, 2019; and
WHEREAS, the City and Contractor entered into Amendment No. 3 to the original agreement dated June 1, 2020; and WHEREAS, the City and Contractor entered into Amendment No. 4 to the original agreement dated April 20th, 2021, to increase the compensation of the agreement based upon CPI for the preceding year for unit costs and a corresponding increase in the total compensation in the Agreement for the one-year renewal period, and extend the term of the agreement from June 1, 2021 to May 31, 2022; and
WHEREAS, the City and Contractor entered into Amendment No. 5 to the original agreement dated April 22nd, 2022, to increase the compensation of the agreement by Seventy-Five Thousand Dollars ($75,000) for provision of additional services, and extend the term of the agreement from May 31, 2021 to June 30, 2022; and WHEREAS, the City intends to extend the agreement for a one (1) year additional term from July 1, 2022 through June 30, 2023 pursuant to the City’s Council Approval, and allow for an additional (1) year term extension for a term from July 1,2023, through June 30th, 2024 ; and
WHEREAS, the City and Contractor mutually agreed to an updated schedule of compensation for the additional one (1) year term, which will be incorporated into the Agreement and Sixth Amendment as an attachment; and WHEREAS, the City intends to amend the total compensation of the Agreement by an additional One Million Three Hundred Fifty-Two Thousand Three Hundred Seventy Dollars ($1,352,370) for services rendered through June 30, 2023, which represents an approximate eight and a half percent (8.5%) increase in compensation beyond the preceding annual contract amount; and
NOW, THEREFORE, in consideration of mutual promises and covenants herein, the Parties agree to extend and amend the Agreement as follows:
2 1. Section 3.1.2, Term of the Agreement, is amended to allow for up to (2) additional consecutive one-year term renewals, at the unilateral option and sole discretion of the City.
2. The Term specified in Amendment No. 5 shall be extended for an additional one-year period from July 1, 2022 to June 30, 2023.
3. In accordance with Section 3.3.1 Compensation of the Agreement, the schedule of fees as incorporated into the Agreement are amended to include and incorporate the revised fee schedule attached hereto as Attachment “A-2” for the additional one-year service period from July 1, 2022, through June 30, 2023. The total compensation for services from July 1, 2022, through June 30, 2023 shall not exceed One Million Three Hundred Fifty-Two Thousand Three Hundred Seventy Dollars ($1,352,370).
4. The total compensation for the second potential one (1) year term of the agreement from July 1, 2023 through June 30, 2024, may be increased upon renewal to reflect a not-to-exceed Consumer Price Index (CPI) change in cost, or seven percent (7.0%) increase, whichever is less. Further, the rates may be adjusted each renewal year on July 1, 2023, provided that the City elects to renew the agreement for an addition term in its sole discretion, and upon written request for an increase from Contractor one-hundred twenty (120) days prior to July 1, all based upon the percentage change in the CPI for All Urban Consumers for the Los AngelesRiverside-Orange County Metropolitan Area ("Index") published by the United States Department of Labor, Bureau of Statistics for the preceding year (December to December) calculated to the nearest one cent.
5. Except as amended pursuant to this Amendment No. 6, all provisions of the Agreement shall remain in full force and effect, and shall govern the services provided under this Amendment No. 6. [SIGNATURES ON FOLLOWING PAGE]
///
3 CITY OF YORBA LINDA
Dated: By:
Mark A. Pulone
City Manager
ATTEST:
Marcia Brown
City Clerk
__________________________
Dianna Honeywell
Finance Director/ City Treasurer
WEST COAST ARBORISTS, INC.
APPROVED AS TO FORM: By:
RUTAN & TUCKER LLP (Print)
(Signature)
Todd Litfin
City Attorney Title: ________________________________
Dated:
4 Attachment "A-2"
City of Yorba Linda
Tree Maintenance Services provided by West Coast Arborists, Inc.
FY 2022-2023 Rate Schedule (July 1, 2022 - June 30, 2023) LMAD / Parks / Public Works
Service Description Unit Rate/ Unit Cost*
1 Grid Prune 0‐12 DBH Each $60.00
2 Grid Prune 13‐24 DBH Each $80.00
3 Grid Prune 25+ DBH Each $150.00
4 Service Request Prune Each $188.00
5 Service Request Response Each $210.00
6 Service Request Full Prune Each $280.00
7 Complete Removal 0‐12 DBH Each $280.00
8 Complete Removal 13‐24 DBH Each $410.00
9 Complete Removal 25+ DBH Each $900.00
10 LMAD Complete Removal Inch $35.00
11 LMAD Slope Removal Inch $35.00
12 Slope Tree Removal 0‐12 DBH Each $280.00
13 Slope Tree Removal 13‐24 DBH Each $410.00
14 Slope Tree Removal 25+ DBH Each $900.00
15 Stump Grinding Inch $20.00
16 Plant 15 Gal in Cut Out Each $260.00
17 Plant 15‐gal tree Each $170.00
18 Plant 24" box tree Each $350.00
19 Plant 36" box tree Each $1,000.00
20 Tree Watering Man Hour $94.00
21 Consulting Arborist Services Man Hour $155.00
22 Crew Rental Man Hour $94.00
23 Emergency Response Man Hour $120.00
FISCAL YEAR 2022-2023 AGGREGATE NOT-TO-EXCEED CONTRACT AMOUNT: $1,352,370 *The updated unit prices listed shall be in effect during the FY2022-2023 (July 1, 2022 - June 30, 2023). These rates shall be utilized as a basis for a potential future term rate, which may be increased via future amendment.
Any increase to these rates shall be based upon agreed CPI increases, up to a not to exceed increase of 7% for both individual line-item rates and the aggregate annual amount.
PUBLIC WORKS DEPARTMENT
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: JAMIE LAI, P.E., DIRECTOR OF PUBLIC WORKS/CITY ENGINEER PREPARED BY: ARMANDO JAIME, PUBLIC WORKS SUPERINTENDENT SUBJE CT: AWARD OF MAINTENANCE AGREEMENT FOR ON-CALL CONCRETE
REPAIR SERVICES TO S&H CIVILWORKS
RECOMMENDATION
It is recommended that the City Council:
1. Award a Maintenance Agreement to S&H Civilworks of Colton, CA for On-Call Concrete Repair Services in an amount of $612,000.00 (or approximately $306,000.00 per year) for an initial two-year term, July 1, 2022, to June 30, 2024, with two (2) potential additional two-year terms subject to Council approval of extensions; and
2. Authorize the City Manager to approve additional annual expenditures of up to $45,900 per contract term year (15% of the annual agreement value) via contract amendment for potential additional services and unanticipated work that may arise; and
3. Authorize the City Manager to approve contract renewals, including any authorized increases, provided for within this agreement.
BACKGROUND
The Public Works Department is responsible for the City’s concrete maintenance and repairs within the public rights-of-ways. The proposed On-Call Concrete Repair Services Agreement has a two-year initial term but may be extended at the City’s unilateral discretion, to renew this Agreement for no more than two (2) additional two-year terms. The scope of work for this proposed concrete repair services contract includes the routine removal and replacement of sidewalks, curb and gutter, installation of handicap access curb ramps, concrete repairs prior to the annual slurry seal project and miscellaneous concrete repairs throughout the City.
The City’s purchasing policy typically restricts the total potential term of an awarded agreement to not more than five years. However, in review with the City Attorney, staff recommends that a marginally longer contract timeframe would be beneficial to the City, in
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order to garner more favorable contractual offerings. Extending prospective bidders, the potential for longer term contracts allows them to purchase equipment with less risk and develop stable crew structures. This approach increases the attractiveness of the contract and typically yields lower bid prices.
DISCUSSION
Formal bidding procedures have been followed in conformance with the State Public Contract Code and the City of Yorba Linda Municipal Code. Seven bids were received, and the public bid opening was completed on May 26, 2022, at 11:00 A.M. The results are as follows:
Table 1 – Bid Summary
Bidder City Amount of Bid
S&H Civilworks Colton $306,000.00
Ruiz Concrete & Paving, Inc. Long Beach $326,400.00
CT & T Concrete Paving, Inc. Diamond Bar $379,500.00
Gentry General Engineering, Inc. Rancho Cucamonga $420,400.00 Lucas Builders, Inc. La Habra $451,490.00
Onyx Paving Company, Inc. Anaheim $555,000.00
Falkon Construction, Inc. Walnut $702,805.01
S&H Civilworks has provided similar concrete repair services to other public agencies.
References were verified, and positive comments were received regarding their quality of work and ability to stay within budget and on schedule. Based upon this information, staff is recommending the award of the On-Call Concrete Repair Services to S&H Civilworks as the lowest responsive and responsible Bidder.
FISCAL IMPACT
Sufficient funds are available for the recommended On-Call Concrete Repair Services contract award under the:
Capital Improvement Program Fund’s (401) Street Improvement category (Account No. 4010050-461620), specifically within the following projects: City’s Sidewalk, Curb & Gutter Repair Program (SI211005) and the Citywide ADA Ramp Program (SI211006) and,
Public Works Infrastructure Maintenance operating account for Public Works Construction (1010330-432500).
ALTERNATIVES
The City Council may choose not to award the proposed On-Call Concrete Repair Services contract and reject all bids. Staff does not recommend this alternative because it will require the bidding process to restart and a month-to-month agreement with the current or other vendor would be required, until the new procurement process for On-Call Concrete Repair
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Services contractor is completed. A healthy number of bids were received, and the bid received from S&H Civilworks is competitive and there is no guarantee that re-advertising for these services will result in lower bids.
ATTACHMENTS
1. Contract Agreement
CITY OF YORBA LINDA
MAINTENANCE AGREEMENT
FOR
ON-CALL CONCRETE REPAIR SERVICES
(2-YEAR CONTRACT)
1. PARTIES AND DATE.
This Contract is made and entered into this 21st day of June, 2022, by and between the City of Yorba Linda, a municipal organization organized under the laws of the State of California with its principal place of business at 4845 Casa Loma Avenue, Yorba Linda, California 92886 (“City”) and S&H Civilworks, a California corporation, with its principal place of business at 1801 Hilltop Dr., Colton, Ca. 92324 (“Contractor”). City and Contractor are sometimes individually referred to as “Party” and collectively as “Parties” in this Contract.
2. RECITALS.
2.1 City. City is a municipal corporation organized under the laws of the State of California, with power to contract for services necessary to achieve its purpose.
2.2 Contractor. Contractor desires to perform and assume responsibility for the provision of certain construction services required by the City on the terms and conditions set forth in this Contract. Contractor represents that it is experienced in providing Concrete Repair Services to public clients, that it and its employees or subcontractors have all necessary licenses and permits to perform such street improvement construction services in the State of California, and that it is familiar with the plans of City.
2.3 Project. City desires to engage Contractor to render such services for:
ON-CALL CONCRETE REPAIR SERVICES
(“Project”) as set forth in this Contract.
The work to be performed consists of furnishing all materials, equipment, tools, labor, and incidentals as required by the Plans, Specifications and Contract Documents for the above stated project.
The general items of work consist of, but are not limited to installation or concrete repairs, such as curb and gutter, sidewalks, driveway approaches, access ramps and other miscellaneous concrete repairs, traffic control, adjust utility manholes or valves to grade and root removal.
2.4 Project Documents & Certifications. Contractor has obtained, and delivers concurrently herewith, insurance documents and other certifications as required by the Contract.
3. TERMS
3.1 Term. The term of this agreement shall be from July 1, 2022 to June 30, 2024,
unless earlier terminated as provided herein. The city shall have the unilateral option, at its sole discretion, to renew this agreement for no more than two (2) additional two-year terms. The contractor shall complete the services within the term of this agreement and shall meet any other established schedules and deadlines. The contracted unit prices may be adjusted after each contract term, at the sole discretion of the City, and upon written request for an increase from Contractor ninety (90) days prior to the termination of the contract term. The same method of unit price adjustment shall apply to all future contract renewal years.
3.2 Contractor’s Basic Obligation; Scope of Work. Contractor promises and agrees, at its own cost and expense, to furnish to the Owner all labor, materials, tools, equipment, services, and incidental and customary work necessary to fully and adequately complete the Project, including all structures and facilities necessary for the Project or described in the Contract (hereinafter sometimes referred to as the “Work”), for a Total Contract Price as specified pursuant to this Contract. All Work shall be subject to, and performed in accordance with the above referenced documents, as well as the exhibits attached hereto and incorporated herein by reference.
3.3 Change in Scope of Work. Any change in the scope of the Work, method of performance, nature of materials or price thereof, or any other matter materially affecting the performance or nature of the Work shall not be paid for or accepted unless such change, addition or deletion is approved in advance and in writing by a valid change order executed by the City.
3.4 Standard of Performance; Performance of Employees. Contractor shall perform all Work under this Contract in a skillful and workmanlike manner, and consistent with the standards generally recognized as being employed by professionals in the same discipline in the State of California. Contractor represents and maintains that it is skilled in the professional calling necessary to perform the Work. Contractor warrants that all employees and subcontractors shall have sufficient skill and experience to perform the Work assigned to them. Finally, Contractor represents that it, its employees and subcontractors have all licenses, permits, qualifications and approvals of whatever nature that are legally required to perform the Work, including a City Business License, and that such licenses and approvals shall be maintained throughout the term of this Contract. As provided for in the indemnification provisions of this Contract, Contractor shall perform, at its own cost and expense and without reimbursement from the City, any work necessary to correct errors or omissions which are caused by the Contractor’s failure to comply with the standard of care provided for herein. Any employee who is determined by the City to be uncooperative, incompetent, a threat to the safety of persons or the Work, or any employee who fails or refuses to perform the Work in a manner acceptable to the City, shall be promptly removed from the Project by the Contractor and shall not be re-employed on the Work.
3.5 Control and Payment of Subordinates; Contractual Relationship. City retains Contractor on an independent contractor basis and Contractor is not an employee of City. Any additional personnel performing the work governed by this Contract on behalf of Contractor shall at all times be under Contractor’s exclusive direction and control. Contractor shall pay all wages, salaries, and other amounts due such personnel in connection with their performance under this Contract and as required by law. Contractor shall be responsible for all reports and obligations respecting such additional personnel, including, but not limited to: social security taxes, income tax withholding, unemployment insurance, and workers’ compensation insurance.
3.6 City’s Basic Obligation. City agrees to engage and does hereby engage Contractor as an independent contractor to furnish all materials and to perform all Work according to the terms and conditions herein contained for the sum set forth above. Except as otherwise provided in the Contract, the City shall pay to Contractor, as full consideration for the satisfactory performance by the Contractor of the services and obligations required by this Contract, the above referenced compensation in accordance with compensation provisions set forth in the Contract.
3.7 Compensation and Payment.
3.7.1 Amount of Compensation. As consideration for performance of the Work required herein, City agrees to pay the Contractor the Total Contract Price of Six Hundred Twelve Thousand Dollars and No Cents ($612,000.00) provided that such amount shall be subject to adjustment pursuant to the applicable terms of this Contract or written change orders approved and signed in advance by the City.
3.7.2 Payment of Compensation. If the Work is scheduled for completion in thirty (30) or less calendar days, City will arrange for payment of the Total Contract Price upon completion and approval by City of the Work. If the Work is scheduled for completion in more than thirty (30) calendar days, City will pay Contractor on a monthly basis as provided for herein.
On or before the fifth (5th) day of each month, Contractor shall submit to the City an itemized application for payment in the format supplied by the City indicating the amount of Work completed since commencement of the Work or since the last progress payment. These applications shall be supported by evidence which is required by this Contract and such other documentation as the City may require. The Contractor shall certify that the Work for which payment is requested has been done and that the materials listed are stored where indicated.
Contractor may be required to furnish a detailed schedule of values upon request of the City and in such detail and form as the City shall request, showing the quantities, unit prices, overhead, profit, and all other expenses involved in order to provide a basis for determining the amount of progress payments. Contractor shall submit as part of the invoice a the certified payroll to the City.
City shall review and pay all progress payment requests in accordance with the provisions set forth in Section 20104.50 of the California Public Contract Code. No progress payments will be made for Work not completed in accordance with this Contract.
3.7.3 Contract Retentions. If applicable, the City may retain from each approved progress estimate, Five percent (5%) will be deducted and retained by the City, and the remainder will be paid to Contractor. All Contract retainage shall be released and paid to the Contractor and subcontractors pursuant to California Public Contract Code Section 7107.
3.7.4 Other Retentions. In addition to Contract retentions, the City may deduct from each progress payment an amount necessary to protect City from loss because of: (1) liquidated damages which have accrued as of the date of the application for payment; (2) any sums expended by the City in performing any of Contractor’s obligations under the Contract which Contractor has failed to perform or has performed inadequately; (3) defective Work not remedied; (4) stop notices as allowed by state law; (5) reasonable doubt that the Work can be completed for the unpaid balance of the Total Contract Price or within the scheduled completion date; (6) unsatisfactory prosecution of the Work by Contractor; (7) unauthorized deviations from the
Contract; (8) failure of the Contractor to maintain or submit on a timely basis proper and sufficient documentation as required by the Contract or by City during the prosecution of the Work; (9) erroneous or false estimates by the Contractor of the value of the Work performed; (10) any sums representing expenses, losses, or damages as determined by the City, incurred by the City for which Contractor is liable under the Contract; and (11) any other sums which the City is entitled to recover from Contractor under the terms of the Contract or pursuant to state law, including Section 1727 of the California Labor Code. The failure by the City to deduct any of these sums from a progress payment shall not constitute a waiver of the City’s right to such sums.
3.7.5 Substitutions for Contract Retentions. In accordance with California Public Contract Code Section 22300, the City will permit the substitution of securities for any monies withheld by the City to ensure performance under the Contract. At the request and expense of the Contractor, securities equivalent to the amount withheld shall be deposited with the City, or with a state or federally chartered bank in California as the escrow agent, and thereafter the City shall then pay such monies to the Contractor as they come due. Upon satisfactory completion of the Contract, the securities shall be returned to the Contractor. For purposes of this Section and Section 22300 of the Public Contract Code, the term “satisfactory completion of the contract” shall mean the time the City has issued written final acceptance of the Work and filed a Notice of Completion as required by law and provisions of this Contract. The Contractor shall be the beneficial owner of any securities substituted for monies withheld and shall receive any interest thereon. The escrow agreement used for the purposes of this Section shall be in the form provided by the City.
3.7.6 Payment to Subcontractors. Contractor shall pay all subcontractors for and on account of work performed by such subcontractors in accordance with the terms of their respective subcontracts and as provided for in Section 10262 of the California Public Contract Code. Such payments to subcontractors shall be based on the measurements and estimates made and progress payments provided to Contractor pursuant to this Contract.
3.7.7 Title to Work. As security for partial, progress, or other payments, title to Work for which such payments are made shall pass to the City at the time of payment. To the extent that title has not previously been vested in the City by reason of payments, full title shall pass to the City at delivery of the Work at the destination and time specified in this Contract. Such transferred title shall in each case be good, free and clear from any and all security interests, liens, or other encumbrances. Contractor promises and agrees that it will not pledge, hypothecate, or otherwise encumber the items in any manner that would result in any lien, security interest, charge, or claim upon or against said items. Such transfer of title shall not imply acceptance by the City, nor relieve Contractor from the responsibility to strictly comply with the Contract, and shall not relieve Contractor of responsibility for any loss of or damage to items.
3.8 Termination. This Contract may be terminated by City at any time by giving Contractor seven (7) days advance written notice. In the event of termination by City for any reason other than the fault of Contractor, City shall pay Contractor for all Work performed up to that time as provided herein. In the event of breach of the Contract by Contractor, City may terminate the Contract immediately without notice, may reduce payment to the Contractor in the amount necessary to offset City’s resulting damages, and may pursue any other available recourse against Contractor. Contractor may not terminate this Contract except for cause.
In the event this Contract is terminated in whole or in part as provided, City may procure, upon such terms and in such manner as it may determine appropriate, services similar to those terminated. Further, if this Contract is terminated as provided, City may require Contractor to provide all finished or unfinished documents, data, diagrams, drawings, materials or other matter prepared or built by Contractor in connection with its performance of this Contract.
3.9 Completion of Work. When the Contractor determines that it has completed the Work required herein, Contractor shall so notify City in writing and shall furnish all labor and material releases required by this Contract. City shall thereupon inspect the Work. If the Work is not acceptable to the City, the City shall indicate to Contractor in writing the specific portions or items of Work which are unsatisfactory or incomplete. Once Contractor determines that it has completed the incomplete or unsatisfactory Work, Contractor may request a reinspection by the City. Once the Work is acceptable to City, City shall pay to Contractor the Total Contract Price remaining to be paid, less any amount which City may be authorized or directed by law to retain.
Payment of retention proceeds due to Contractor shall be made in accordance with Section 7107 of the California Public Contract Code.
3.10 City’s Representative. The City hereby designates Armando Jaime, Public Works Superintendent, or his designee, to act as its representative for the performance of this Contract (“City’s Representative”). City’s Representative shall have the power to act on behalf of the City for all purposes under this Contract. Contractor shall not accept direction or orders from any person other than the City’s Representative or his or her designee.
3.11 Contractor’s Representative. The Contractor’s herby designates Jesse Soto, President or his designee, to act as its representative for the performance of this Contract (“Contractor’s Representative”). Before starting the Work, Contractor shall submit in writing the qualifications and experience of its proposed representative who shall be subject to the review and approval of the City (“′Contractor’s Representative”). Following approval by the City, the Contractor’s Representative shall have full authority to represent and act on behalf of the Contractor for all purposes under this Contract. The Contractor’s Representative shall supervise and direct the Work, using his best skill and attention, and shall be responsible for all construction means, methods, techniques, sequences and procedures and for the satisfactory coordination of all portions of the Work under this Contract. Contractor’s Representative shall devote full time to the Project and either he or his designee, who shall be acceptable to the City, shall be present at the Work site at all times that any Work is in progress and at any time that any employee or subcontractor of Contractor is present at the Work site. Arrangements for responsible supervision, acceptable to the City, shall be made for emergency Work which may be required. Should Contractor desire to change its Contractor’s Representative, Contractor shall provide the information specified above and obtain the City’s written approval.
3.12 Contract Interpretation. Should any question arise regarding the meaning or import of any of the provisions of this Contract or written or oral instructions from City, the matter shall be referred to City’s Representative, whose decision shall be binding upon Contractor.
3.13 Loss and Damage. Contractor shall be responsible for all loss and damage which may arise out of the nature of the Work agreed to herein, or from the action of the elements, or from any unforeseen difficulties which may arise or be encountered in the prosecution of the Work
until the same is fully completed and accepted by City. However, Contractor shall be responsible for damage proximately caused by Acts of God, within the meaning of Section 4150 of the California Government Code, only to the extent of five percent (5%) of the Total Contract Price as specified herein. In the event of damage proximately caused by “Acts of God,” the City may terminate this Contract upon three (3) days advanced written notice.
3.14 Indemnification. Contractor shall defend, indemnify and hold the City, its officials, officers, employees, volunteers and agents free and harmless from any and all claims, demands, causes of action, costs, expenses, liability, loss, damage or injury, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any acts, omissions or willful misconduct of Contractor, its officials, officers, employees, agents, consultants and contractors arising out of or in connection with the performance of the Work or this Contract, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. Contractor shall defend, at Contractor’s own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against City, its directors, officials officers, employees, agents or volunteers.
Contractor shall pay and satisfy any judgment, award or decree that may be rendered against City or its directors, officials, officers, employees, agents or volunteers, in any such suit, action or other legal proceeding. Contractor shall reimburse City and its directors, officials, officers, employees, agents and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided.
3.15 Insurance.
3.15.1 Time for Compliance. Contractor shall not commence Work under this Contract until it has provided evidence satisfactory to the City that it has secured all insurance required under this section. In addition, Contractor shall not allow any subcontractor to commence work on any subcontract until it has provided evidence satisfactory to the City that the subcontractor has secured all insurance required under this section.
3.15.2 Types of Insurance Required. As a condition precedent to the effectiveness of this Contract for work to be performed hereunder and without limiting the indemnity provisions of the Contract, the Contractor in partial performance of its obligations under such Contract, shall procure and maintain in full force and effect during the term of the Contract, the following policies of insurance. If the existing policies do not meet the insurance requirements set forth herein, Contractor agrees to amend, supplement or endorse the policies to do so.
3.15.2.1 Commercial General Liability. Commercial General Liability Insurance which affords coverage at least as broad as Insurance Services Office “occurrence” Form CG 0001, with minimum limits of at least $1,000,000 per occurrence, and if written with an aggregate, the aggregate shall be double the per occurrence limit. Defense costs shall be paid in addition to the limits. Products and completed operations coverage shall be maintained for a minimum of two years after completion of the project.
The policy shall contain no endorsements or provisions limiting coverage for (1) explosion, collapse or underground hazard (XCU); (2) products and completed operations; (3) contractual liability; (4) third party action over claims; (5) cross liability exclusion for claims
or suits by one insured against another; or (6) contain any exclusions contrary to the Contract.
3.15.2.2 Automobile Liability Insurance. Automobile Liability Insurance with coverage at least as broad as Insurance Services Office Form CA 0001 covering “Any Auto” (Symbol 1) with minimum limits of $1,000,000 each accident.
3.15.2.3 Contractors Pollution Liability. (Include this clause if there is a pollution liability exposure.)
Contractors Pollution Liability Insurance covering all of the contractor's operations to include onsite and offsite coverage for bodily injury (including death and mental anguish), property damage, defense costs and cleanup costs with minimum limits of $5 million per loss and $10 million total all losses. The policy shall contain no endorsements or provisions limiting contractual liability or coverage for cross liability of claims or suits by one insured against another.
Non-owned disposal site coverage shall be provided if handling, storing or generating hazardous materials or any material/substance otherwise regulated under environmental laws/regulations.
For projects involving transportation of hazardous waste/materials, include coverage for loading/unloading from the project site to final disposal locations, and all disposal locations shall be scheduled as non-owned disposal sites.
If coverage is written on a claims-made basis, the retroactive date shall precede the effective date of the initial Contract and continuous coverage will be maintained or an extended reporting period will be exercised for a period of at least three (3) years from termination or expiration of this Contract.
3.15.2.4 Workers’ Compensation. Workers’ Compensation Insurance, as required by the State of California and Employer’s Liability Insurance, with a limit of not less than $1,000,000 per accident for bodily injury and disease.
3.15.3 Endorsements. Required insurance policies shall not be in compliance if they include any limiting provision or endorsement that has not been submitted to the City for approval.
3.15.3.1 The policy or policies of insurance required by Section 3.16.2.1 (Commercial General Liability) and 3.16.2.3 (Contractors Pollution Liability) shall be endorsed to provide the following:
(1) Additional Insured: The City, its officials, officers, employees, agents, and volunteers shall be additional insureds with regard to liability and defense of suits or claims arising out of the performance of the Agreement.
Additional Insured Endorsements shall not (1) be restricted to
"ongoing operations"; (2) exclude "contractual liability"; (3) restrict coverage to "sole" liability of Contractor; or (4) contain any other exclusions contrary to the Contract.
(2) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non-payment of premium.
3.15.3.2 The policy or policies of insurance required by Section
3.16.2.2 (Automobile Liability) shall be endorsed to provide the following:
(1) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non-payment of premium.
3.15.3.3 The policy or policies of insurance required by Section 3.16.2.4 (Workers’ Compensation) shall be endorsed to provide the following:
(1) Waiver of Subrogation: A waiver of subrogation stating that the insurer waives all rights of subrogation against the indemnified parties.
(2) Cancellation: The policy shall not be canceled or the coverage suspended, voided, reduced or allowed to expire until a thirty (30) day prior written notice of cancellation has been served upon the City except ten (10) days prior written notice shall be allowed for non-payment of premium.
3.15.4 Primary and Non-Contributing Insurance. All insurance coverages shall be primary and any other insurance, deductible, or self-insurance maintained by the indemnified parties shall not contribute with this primary insurance. Policies shall contain or be endorsed to contain such provisions.
3.15.5 Waiver of Subrogation. Required insurance coverages shall not prohibit Contractor from waiving the right of subrogation prior to a loss. Contractor shall waive all subrogation rights against the indemnified parties. Policies shall contain or be endorsed to contain such provisions.
3.15.6 Deductible. Any deductible or self-insured retention must be approved in writing by the City and shall protect the indemnified parties in the same manner and to the same extent as they would have been protected had the policy or policies not contained a deductible or self-insured retention.
3.15.7 Evidence of Insurance. The Contractor, concurrently with the execution of the Contract, and as a condition precedent to the effectiveness thereof, shall deliver either certified
copies of the required policies, or original certificates and endorsements on forms approved by the City. The certificates and endorsements for each insurance policy shall be signed by a person authorized by that insurer to bind coverage on its behalf. At least fifteen (15 days) prior to the expiration of any such policy, evidence of insurance showing that such insurance coverage has been renewed or extended shall be filed with the City. If such coverage is cancelled or reduced, Contractor shall, within ten (10) days after receipt of written notice of such cancellation or reduction of coverage, file with the City evidence of insurance showing that the required insurance has been reinstated or has been provided through another insurance company or companies.
3.15.8 Failure to Maintain Coverage. Contractor agrees to suspend and cease all operations hereunder during such period of time as the required insurance coverage is not in effect and evidence of insurance has not been furnished to the City. The City shall have the right to withhold any payment due Contractor until Contractor has fully complied with the insurance provisions of this Contractor.
In the event that the Contractor's operations are suspended for failure to maintain required insurance coverage, the Contractor shall not be entitled to an extension of time for completion of the Work because of production lost during suspension.
3.15.9 Acceptability of Insurers. Each such policy shall be from a company or companies with a current A.M. Best's rating of no less than A:VII and authorized to do business in the State of California, or otherwise allowed to place insurance through surplus line brokers under applicable provisions of the California Insurance Code or any federal law.
3.15.10 Insurance for Subcontractors. All Subcontractors shall be included as additional insureds under the Contractor's policies, or the Contractor shall be responsible for causing Subcontractors to purchase the appropriate insurance in compliance with the terms of these Insurance Requirements, including adding the City as an Additional Insured to the Subcontractor's policies.
3.16 Bond Requirements.
3.16.1 Faithful Performance Bond. If required by law or otherwise specifically requested by City attached hereto and incorporated herein by reference, Contractor shall execute and provide to City concurrently with this Contract a Faithful Performance Bond in an amount required by the City and in a form provided or approved by the City. If such bond is required, no payment will be made to Contractor until the bond has been received and approved by the City.
3.16.2 Material and Labor Bond. If required by law or otherwise specifically requested by City attached hereto and incorporated herein by reference, Contractor shall execute and provide to City concurrently with this Contract a Material and Labor Bond in an amount required by the City and in a form provided or approved by the City. If such bond is required, no payment will be made to Contractor until the bond has been received and approved by the City.
3.16.3 Bond Provisions. Should, in City’s sole opinion, any bond become insufficient or any surety be found to be unsatisfactory, Contractor shall renew or replace the effected bond within (ten) 10 days of receiving notice from City. In the event the surety or
Contractor intends to reduce or cancel any required bond, at least thirty (30) days prior written notice shall be given to the City, and Contractor shall post acceptable replacement bonds at least ten (10) days prior to expiration of the original bonds. No further payments shall be deemed due or will be made under this Contract until any replacement bonds required by this Section are accepted by the City. To the extent, if any, that the Total Contract Price is increased in accordance with the Contract, the Contractor shall, upon request of the City, cause the amount of the bond to be increased accordingly and shall promptly deliver satisfactory evidence of such increase to the City. To the extent available, the bonds shall further provide that no change or alteration of the Contract (including, without limitation, an increase in the Total Contract Price, as referred to above), extensions of time, or modifications of the time, terms, or conditions of payment to the Contractor, will release the surety. If the Contractor fails to furnish any required bond, the City may terminate the Contract for cause.
3.16.4 Surety Qualifications. Only bonds executed by an admitted surety insurer, as defined in California Code of Civil Procedure Section 995.120, shall be accepted. The surety must be a California-admitted surety with a current A.M. Best’s rating no less than A:VII and satisfactory to the City. If a California-admitted surety insurer issuing bonds does not meet these requirements, the insurer will be considered qualified if it is in conformance with Section 995.660 of the California Code of Civil Procedure, and proof of such is provided to the City.
3.17 Safety. Contractor shall execute and maintain its work so as to avoid injury or damage to any person or property. Contractor shall comply with the requirements of the specifications relating to safety measures applicable in particular operations or kinds of work. In carrying out its Work, the Contractor shall at all times be in compliance with all applicable local, state and federal laws, rules and regulations, and shall exercise all necessary precautions for the safety of employees appropriate to the nature of the Work and the conditions under which the Work is to be performed. Safety precautions as applicable shall include, but shall not be limited to, adequate life protection and life saving equipment; adequate illumination for underground and night operations; instructions in accident prevention for all employees, such as machinery guards, safe walkways, scaffolds, ladders, bridges, gang planks, confined space procedures, trenching and shoring, fall protection and other safety devices, equipment and wearing apparel as are necessary or lawfully required to prevent accidents or injuries; and adequate facilities for the proper inspection and maintenance of all safety measures. Furthermore, Contractor shall prominently display the names and telephone numbers of at least two medical doctors practicing in the vicinity of the Project, as well as the telephone number of the local ambulance service, adjacent to all telephones at the Project site.
3.18 Warranty. Contractor warrants all Work under the Contract (which for purposes of this Section shall be deemed to include unauthorized work which has not been removed and any non-conforming materials incorporated into the Work) to be of good quality and free from any defective or faulty material and workmanship. Contractor agrees that for a period of one year (or the period of time specified elsewhere in the Contract or in any guarantee or warranty provided by any manufacturer or supplier of equipment or materials incorporated into the Work, whichever is later) after the date of final acceptance, Contractor shall within ten (10) days after being notified in writing by the City of any defect in the Work or non-conformance of the Work to the Contract, commence and prosecute with due diligence all Work necessary to fulfill the terms of the warranty at its sole cost and expense. Contractor shall act sooner as requested by the City in response to an
emergency. In addition, Contractor shall, at its sole cost and expense, repair and replace any portions of the Work (or work of other contractors) damaged by its defective Work or which becomes damaged in the course of repairing or replacing defective Work. For any Work so corrected, Contractor’s obligation hereunder to correct defective Work shall be reinstated for an additional one-year period, commencing with the date of acceptance of such corrected Work.
Contractor shall perform such tests as the City may require to verify that any corrective actions, including, without limitation, redesign, repairs, and replacements comply with the requirements of the Contract. All costs associated with such corrective actions and testing, including the removal, replacement, and reinstitution of equipment and materials necessary to gain access, shall be the sole responsibility of the Contractor. All warranties and guarantees of subcontractors, suppliers and manufacturers with respect to any portion of the Work, whether express or implied, are deemed to be obtained by Contractor for the benefit of the City, regardless of whether or not such warranties and guarantees have been transferred or assigned to the City by separate agreement and Contractor agrees to enforce such warranties and guarantees, if necessary, on behalf of the City.
In the event that Contractor fails to perform its obligations under this Section, or under any other warranty or guaranty under this Contract, to the reasonable satisfaction of the City, the City shall have the right to correct and replace any defective or non-conforming Work and any work damaged by such work or the replacement or correction thereof at Contractor’s sole expense. Contractor shall be obligated to fully reimburse the City for any expenses incurred hereunder upon demand.
3.19 Laws and Regulations. Contractor shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Contract or the Work, including all Cal/OSHA requirements, and shall give all notices required by law. Contractor shall be liable for all violations of such laws and regulations in connection with Work. If the Contractor observes that the drawings or specifications are at variance with any law, rule or regulation, it shall promptly notify the City in writing. Any necessary changes shall be made by written change order. If the Contractor performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, the Contractor shall be solely responsible for all costs arising therefrom. Contractor shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Contract, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations.
3.20 Permits and Licenses. Contractor shall be responsible for securing City permits and licenses necessary to perform the Work described herein, including, but not limited to, a City Business License. While Contractor will not be charged a fee for any City permits, Contractor shall pay the City’s applicable business license fee.
3.21 Trenching Work. If the Total Contract Price exceeds $25,000 and if the Work governed by this Contract entails excavation of any trench or trenches five (5) feet or more in depth, Contractor shall comply with all applicable provisions of the California Labor Code, including Section 6705. To this end, Contractor shall submit for City’s review and approval a detailed plan showing the design of shoring, bracing, sloping, or other provisions to be made for worker protection from the hazard of caving ground during the excavation of such trench or trenches. If such plan varies from the shoring system standards, the plan shall be prepared by a registered civil or structural engineer.
3.22 Hazardous Materials and Differing Conditions. As required by California Public Contract Code Section 7104, if this Contract involves digging trenches or other excavations that extend deeper than four (4) feet below the surface, Contractor shall promptly, and prior to disturbance of any conditions, notify City of: (1) any material discovered in excavation that Contractor believes to be a hazardous waste that is required to be removed to a Class I, Class II or Class III disposal site; (2) subsurface or latent physical conditions at the site differing from those indicated by City; and (3) unknown physical conditions of an unusual nature at the site, significantly different from those ordinarily encountered in such contract work. Upon notification, City shall promptly investigate the conditions to determine whether a change order is appropriate.
In the event of a dispute, Contractor shall not be excused from any scheduled completion date and shall proceed with all Work to be performed under the Contract, but shall retain all rights provided by the Contract or by law for making protests and resolving the dispute.
3.23 Underground Utility Facilities. To the extent required by Section 4215 of the California Government Code, City shall compensate Contractor for the costs of: (1) locating and repairing damage to underground utility facilities not caused by the failure of Contractor to exercise reasonable care; (2) removing or relocating underground utility facilities not indicated in the construction drawings; and (3) equipment necessarily idled during such work. Contractor shall not be assessed liquidated damages for delay caused by failure of City to provide for removal or relocation of such utility facilities.
3.24 Prevailing Wages. Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects.
If the Services are being performed as part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and if the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the Services available to interested parties upon request and shall post copies at the Contractor’s principal place of business and at the project site. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.
3.25 Apprenticeable Crafts. When Contractor employs workmen in an apprenticeable craft or trade, Contractor shall comply with the provisions of Section 1777.5 of the California Labor Code with respect to the employment of properly registered apprentices upon public works.
The primary responsibility for compliance with said section for all apprenticeable occupations shall be with Contractor.
3.26 Hours of Work. Contractor is advised that eight (8) hours labor constitutes a legal day’s work. Pursuant to Section 1813 of the California Labor Code, Contractor shall forfeit a penalty of $25.00 per worker for each day that each worker is permitted to work more than eight (8) hours in any one calendar day and forty (40) hours in any one calendar week, except when payment for overtime is made at not less than one and one-half (1-1/2) times the basic rate for that worker.
3.27 Payroll Records. In accordance with the requirements of California Labor Code Section 1776, Contractor shall keep accurate payroll records which are either on forms provided by the Division of Labor Standards Enforcement or which contain the same information required by such forms. Responsibility for compliance with California Labor Code Section 1776 shall rest solely with Contractor, and Contractor shall make all such records available for inspection at all reasonable hours.
3.28 Contractor’s Labor Certification. By its signature hereunder, Contractor certifies that he is aware of the provisions of Section 3700 of the California Labor Code which require every employer to be insured against liability for Worker’s Compensation or to undertake selfinsurance in accordance with the provisions of that Code and agrees to comply with such provisions before commencing the performance of the Work. A certification form for this purpose, which is attached to this Contract as Exhibit “C” and incorporated herein by reference, shall be executed simultaneously with this Contract.
3.29 Labor and Material Releases. Contractor shall furnish City with labor and material releases from all subcontractors performing work on, or furnishing materials for, the work governed by this Contract prior to final payment by City.
3.30 Equal Opportunity Employment. Contractor represents that it is an equal opportunity employer and that it shall not discriminate against any employee or applicant for employment because of race, religion, color, national origin, ancestry, sex, age or other interests protected by the State or Federal Constitutions. Such non-discrimination shall include, but not be limited to, all activities related to initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination.
3.31 Anti-Trust Claims. This provision shall be operative if this Contract is applicable to California Public Contract Code Section 7103.5. In entering into this Contract to supply goods, services or materials, the Contractor hereby offers and agrees to assign to the City all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C.
Section 15) or under the Cartwright Act (Chapter 2, commencing with Section 16700, of Part 2 of Division 7 of the Business and Professions Code) arising from purchases of goods, services, or materials pursuant to the Contract. This assignment shall be made and become effective at the time the City tender final payment to the Contractor, without further acknowledgment by the Parties.
3.32 Notices. All notices hereunder and communications regarding interpretation of the terms of the Contract or changes thereto shall be provided by the mailing thereof by registered or certified mail, return receipt requested, postage prepaid and addressed as follows:
City Contractor
City of Yorba Linda S&H Civilworks
4845 Casa Loma Avenue 1801 Hilltop Dr.
Yorba Linda, CA 92885 Colton, Ca. 92324
Attn: Armando Jaime Attn: Jess Soto
Any notice so given shall be considered received by the other Party three (3) days after deposit in
the U.S. Mail as stated above and addressed to the Party at the above address. Actual notice shall be deemed adequate notice on the date actual notice occurred, regardless of the method of service.
3.33 Entire Contract; Modification. This Contract contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. This Contract may only be modified by a writing signed by both Parties.
3.34 Time of Essence. Time is of the essence in the performance of this Contract.
3.35 Assignment Forbidden. Contractor shall not, either voluntarily or by action of law, assign or transfer this Contract or any obligation, right, title or interest assumed by Contractor herein without the prior written consent of City. If Contractor attempts an assignment or transfer of this Contract or any obligation, right, title or interest herein, City may, at its option, terminate and revoke the Contract and shall thereupon be relieved from any and all obligations to Contractor or its assignee or transferee.
3.36 Governing Law. This Contract shall be governed by the laws of the State of California. Venue shall be in Orange County.
3.37 Counterparts. This Contract may be executed in counterparts, each of which shall constitute an original.
3.38 Successors. The Parties do for themselves, their heirs, executors, administrators, successors, and assigns agree to the full performance of all of the provisions contained in this Contract.
3.39 Attorneys’ Fees. If either Party commences an action against the other Party, either legal, administrative or otherwise, arising out of or in connection with this Contract, the prevailing Party in such action shall be entitled to have and recover from the losing Party reasonable attorneys’ fees and all other costs of such action.
3.40 Claims of $375,000 or Less. Notwithstanding any other provision herein, claims of $375,000 or less shall be resolved pursuant to the alternative dispute resolution procedures set forth in California Public Contract Code §§ 20104, et seq.
3.42 Prohibited Interests.
3.41.1 Solicitation. Contractor maintains and warrants that it has not employed nor retained any company or person, other than a bona fide employee working solely for Contractor, to solicit or secure this Contract. Further, Contractor warrants that it has not paid nor has it agreed to pay any company or person, other than a bona fide employee working solely for Contractor, any fee, commission, percentage, brokerage fee, gift or other consideration contingent upon or resulting from the award or making of this Contract. For breach or violation of this warranty, City shall have the right to terminate this Contract without liability.
3.41.2 Conflict of Interest. For the term of this Contract, no member, officer or employee of City, during the term of his or her service with City, shall have any direct interest in this Contract, or obtain any present or anticipated material benefit arising therefrom. In addition, Contractor agrees to file, or to cause its employees or subcontractors to file, a Statement of Economic Interest with the City’s Filing Officer as required under state law in the performance of the Work.
3.42 Certification of License. Contractor certifies that as of the date of execution of this Contract, Contractor has a current contractor’s license of the classification indicated below under Contractor’s signature.
3.43 Authority to Enter Agreement. Contractor has all requisite power and authority to conduct its business and to execute, deliver and perform the Contract. Each Party warrants that the individuals who have signed this Contract have the legal power, right and authority to make this Contract and bind each respective Party.
IN WITNESS WHEREOF, each of the Parties has caused this Contract to be executed on the day and year first above written.
CITY OF YORBA LINDA S&H CIVILWORKS
By: By:
Carlos Rodriguez
Mayor Name:
Title:
Attest:
[If Corporation, TWO SIGNATURES, President OR Vice President AND Secretary, AND CORPORATE SEAL OF CONTRACTOR REQUIRED]
By:
Marcia Brown By:
City Clerk
Name:
By: ___________________________ Title:
Dianna Honeywell
Finance Director/City Treasurer
By:
Name:
Title:
Approved as to Form:
By:
Rutan & Tucker, LLP
City Attorney
NOTE: ALL SIGNATURES OF “CONTRACTOR” MUST BE NOTARIZED. (IF CORPORATION, TWO NOTARIZED SIGNATURES - PRESIDENT OR VICE PRESIDENT AND SECRETARY – AND CORPORATE SEAL OF CONTRACTOR
REQUIRED)
(END OF SIGNATURES)
PARKS AND RECREATION DEPARTMENT
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: MIKE KUDRON, DIRECTOR OF PARKS AND RECREATION
PREPARED BY: BRAD SKEENE, PARKS AND FACILITIES MANAGER
SUBJECT: CONTRACT AMENDMENT FOR JANITORIAL SUPPLIES FOR CITY
FACILITIES TO AMERICAN CHEMICAL & SANITARY SUPPLY COMPANY, INC.
RECOMMENDATION
It is recommended that the City Council approve:
1. A contract amendment with American Chemical & Sanitary Supply Company from the base amount of $42,000 per fiscal year to $75,000 for FY 2021/22;
2. Extend the initial contract by one year in the amount of $75,000 for FY 2022/23.
BACKGROUND
On July 1, 2019, the City entered into an agreement with American Chemical & Sanitary Supply Company, Inc. for an initial three year agreement totaling $126,000. Approval of this recommendation will increase the total contract amount to $234,000. To provide better pricing and service, this purchase agreement was structured with a three-year initial term and the flexibility to offer a total of two (2) one-year extensions to create opportunities for long-term relationships. This allows vendors to justify hiring the proper amount of labor and would give the vendor the confidence needed to move forward on the purchase of new equipment or supplies.
Per the provisions of the current agreement, American Chemical & Sanitary Supply Company, Inc. would like to extend and amend the current purchase agreement with the City.
The contract amendment will increase the annual contract amount to $75,000 annually for Fiscal Years 2021/22 and 2022/23. The original amount of $42,000 per year is not sufficient to accommodate increased prices and the additional facility, the Cultural Arts Center.
The Janitorial Supplies for City Facilities agreement includes the janitorial supplies for city parks, City Hall, Thomas Lasorda Jr. Field House, Community Center, City Yard, Public Library, Cultural Arts Center and the Police Services building.
C O N T R A C T A M E N D M E N T F O R J A N I T O R I A L S U P P L I E S F O R
C I T Y F A C I L I T I E S T O A M E R I C A N C H E M I C A L & S A N I T A R Y S U P P L Y C O M P A N Y , I N C .
P a g e | 2
FISCAL IMPACT
The funds for this contract amendment have been appropriated in both the Fiscal Year 2021/22 and 2022/23 operating budgets of the Parks and Recreation Department, Library and Police Services.
ALTERNATIVES
1. Do not approve a contract amendment and provide direction to staff.
ATTACHMENTS
1. Amendment No. 1
AMENDMENT NO. 1 TO JANITORIAL SUPPLIES FOR CITY FACILITIES AGREEMENT THIS AMENDMENT is made and entered into this 21st day of June 2022, by and between the City of Yorba Linda, 4845 Casa Loma Avenue, Yorba Linda, California 92886, a municipal corporation of the State of California (hereinafter referred to as “City”), and American Chemical and Sanitary Supply Company, Inc. (hereinafter referred to as “Contractor”) (collectively, the “Parties”).
WITNESSETH:
WHEREAS, the City and the Contractor entered into an Agreement for purchase of janitorial supplies for city facilities in a not-to-exceed amount of $42,000 per year, for the term July 1, 2019 through June 30, 2022; and
WHEREAS, the Agreement allows to renew the agreement for no more than two (2) additional one-year extensions; and
NOW, THEREFORE, in consideration of the mutual promises and covenants herein, the Parties agree to extend and amend the Agreement as follows:
1. The Term specified in Amendment No. 1 shall be extended the agreement to June 30, 2023.
2. The total compensation for services pursuant to this Amendment No. 1 shall be increased by Thirty-Three Thousand Dollars ($33,000) for fiscal year 2021/2022 and Seventy Five Thousand Dollars ($75,000) for fiscal year 2022/2023, for a total increase of One Hundred Eight Thousand Dollars ($108,000) , increasing the total compensation to Two Hundred Thirty Four Thousand Dollars ($234,000) unless otherwise approved in writing by the City.
3. Except as amended pursuant to this Amendment No. 1, all provisions of the Agreement shall remain in full force and effect, and shall govern the services provided under this Amendment No.
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IN WITNESS WHEREOF, the Parties have executed and entered into this Amendment to the Agreement.
CITY OF YORBA LINDA
Dated: By:
MARK A. PULONE
CITY MANAGER
ATTEST: By:
DIANNA HONEYWELL
FINANCE DIRECTOR
AMERICAN CHEMICAL AND SANITARY
SUPPLY COMPANY, INC.
Marcia Brown
City Clerk
APPROVED AS TO FORM: By:
RUTAN & TUCKER LLP (Print)
(Signature)
Todd Litfin
City Attorney Title:________________________________
Dated:
PARKS AND RECREATION DEPARTMENT
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: MIKE KUDRON, DIRECTOR OF PARKS AND RECREATION
PREPARED BY: BRAD SKEENE, PARKS AND FACILITIES MANAGER
SUBJECT: CONTRACT AMENDMENT FOR PARK TURF AND LANDSCAPE
MAINTENANCE SERVICES TO MERCHANTS LANDSCAPE SERVICES,
INC.
RECOMMENDATION
It is recommended that the City Council approve a contract amendment for $201,864, increasing the total not to exceed agreement compensation to $962,195 from July 1, 2018, to June 30, 2023, unless otherwise approved in writing by the City.
BACKGROUND
Due to the amount of labor needed and capital investment required to be properly equipped to maintain the City’s park turf and landscape maintenance areas, this maintenance agreement was structured with a three-year initial term and the flexibility to offer a total of two (2) one-year extensions to create opportunities for long-term relationships. This allows vendors to justify hiring the proper amount of labor and would give the vendor the confidence needed to move forward on the purchase of new equipment, which translates into better service and completion of tasks per schedule.
Per the provisions of the current agreement, Merchants Landscape Services, Inc. would like to extend and amend the current service agreement with the City for the second and final extension of the agreement and has sought no escalation in compensation as is provided for in the original agreement.
Contract extensions are included in the City contract documents in order to allow the City to continue working with high quality contractors once they secure the contract through the competitive bidding process. Merchants Landscape Services, Inc. has provided high quality and responsive service at a reasonable price. During these last few years of industry wide low staffing levels, Merchants Landscape Services, Inc. have been able to meet the city’s maintenance expectations as well as perform additional maintenance requirements as they arose. Staff is more than satisfied with the performance of the vendor and desires to extend the agreement.
CONTRACT AMENDMENT FOR PARK TURF AND LANDSCAPE MAINTENANCE SERVICES TO MERCHANTS LANDSCAPE SERVICES, INC.
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The Park Turf and Landscape Maintenance Services areas include turf mowing, turf edging and planter/slope maintenance at Arroyo Park, Brush Canyon Park, Bryant Ranch Sports Fields, Eastside Community Park, Henry “Hank’’ Wedaa Park, Jean Woodard Park, Mustang Fields, San Antonio Park, Shapell Park, Travis Ranch Youth Park, Veterans Park, Vista del Verde Park and Yorba Linda Middle School Sports Fields.
FISCAL IMPACT
The funds for this agreement extension have been appropriated in the Fiscal Year 2022- 2023 operating budget of the Parks and Recreation Department.
ALTERNATIVES
1. Do not approve a contract amendment and provide direction to staff.
ATTACHMENTS
1. Amendment No 1
AMENDMENT NO. 1 TO PARK TURF AND LANDSCAPE MAINTENANCE SERVICES
AGREEMENT
THIS AMENDMENT is made and entered into this 21st day of June 2022, by and between the City of Yorba Linda, 4845 Casa Loma Avenue, Yorba Linda, California 92886, a municipal corporation of the State of California (hereinafter referred to as “City”), and Merchants Landscape Services, Inc. (hereinafter referred to as “Contractor”) (collectively, the “Parties”).
WITNESSETH:
WHEREAS, the City and the Contractor entered into an Agreement for park turf and landscape maintenance services in the amount of $475,092.00, for the term July 1, 2018 through June 30, 2021; and
WHEREAS, the City and the Contractor entered into Change Order No. 1 increasing the total compensation set forth in Section 3.3.1 of the Agreement by eighty three thousand three hundred seventy five dollars ($83,375.00), additionally the City and the Contractor entered into Change Order No. 2 increasing the total compensation by two hundred one thousand eight hundred sixty four dollars ($201,864.00) increasing the total compensation to seven hundred sixty thousand three hundred thirty one dollars ($760,331.00) for the initial three year time period and the first of the additional one-year term extensions of the Agreement; and
WHEREAS, the Agreement allows to renew the agreement for no more than two (2) additional one-year extensions; and
NOW, THEREFORE, in consideration of the mutual promises and covenants herein, the Parties agree to extend and amend the Agreement as follows:
1. The Term specified in Amendment No. 1 shall be extended the agreement to June 30, 2023.
2. The total compensation for services pursuant to this Amendment No. 1 shall be increased by an amount of Two Hundred One Thousand Eight Hundred Sixty Four Dollars ($201,864.00), increasing the total not to exceed Agreement compensation to Nine Hundred Sixty Two Thousand One Hundred Ninety Five Dollars ($962,195.00) from July 1, 2019, to June 30, 2023, unless otherwise approved in writing by the City.
3. Except as amended pursuant to this Amendment No. 1, all provisions of the Agreement shall remain in full force and effect, and shall govern the services provided under this Amendment No.
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IN WITNESS WHEREOF, the Parties have executed and entered into this Amendment to the Agreement.
CITY OF YORBA LINDA
Dated: By:
CARLOS RODRIGUEZ
MAYOR
ATTEST: By:
DIANNA HONEYWELL
FINANCE DIRECTOR
MERCHANTS LANDSCAPE SERVICES, INC.
Marcia Brown
City Clerk
APPROVED AS TO FORM: By:
RUTAN & TUCKER LLP (Print)
(Signature)
Todd Litfin
City Attorney Title:________________________________
Dated:
PARKS AND RECREATION DEPARTMENT
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: MIKE KUDRON, DIRECTOR OF PARKS AND RECREATION
PREPARED BY: BRAD SKEENE, PARKS AND FACILITIES MANAGER
SUBJECT: CONTRACT AMENDMENT FOR FACILITY AND PARK LANDSCAPE MAINTENANCE SERVICES TO ARTISTIC MAINTENANCE, INC.
RECOMMENDATION
It is recommended that that the City Council approve a contract amendment, in the amount $258,984.94, increasing the total not to exceed Agreement compensation to $966,131.53 from July 1, 2019, to June 30, 2023, unless otherwise approved in writing by the City.
BACKGROUND
Due to the amount of labor needed and capital investment required to be properly equipped to maintain the City’s facility and park landscape maintenance areas, this maintenance agreement was structured with a three-year initial term and the flexibility to offer a total of two (2) one-year extensions to create opportunities for long-term relationships. This allows vendors to justify hiring the proper amount of labor and would give the vendor the confidence needed to move forward on the purchase of new equipment, which translates into better service and completion of tasks per schedule.
Per the provisions of the current agreement, Artistic Maintenance, Inc would like to extend and amend the current purchase agreement with the City for the first one-year extension and has sought no escalation in compensation as is provided for in the original agreement.
Contract extensions are included in the City contract documents in order to allow the City to continue working with high quality contractors once they secure the contract through the competitive bidding process. Artistic Maintenance, Inc. has provided high quality and responsive service at a reasonable price. Staff is more than satisfied with the performance of the vendor and desires to extend the agreement. This extension represents the first of the two potential extensions to the original contract agreement.
The Facility and Park Landscape Maintenance Services areas include turf mowing, turf edging and planter/slope maintenance at Yorba Linda City Hall, Yorba Linda Community Center, Thomas Lasorda Jr. Field House, Dominguez Ranch Trail, Henry “Hank” Wedaa Park, Jessamyn West Park, Las Palomas Tennis Park, Bryant Ranch Park, Yorba Linda Public Library/Cultural Arts Center, Hurless Barton Park and Trailside Park; and
CONTRACT AMENDMENT FOR FACILITY AND PARK LANDSCAPE MAINTENANCE SERVICES TO ARTISTIC MAINTENANCE, INC.
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planter/slope maintenance at Travis Ranch Activity Center, Vista del Verde Park, Arroyo Park, Yorba Linda Town Center Parking Structure, Lucia Kust Park and Gun Club Road Linear Park.
FISCAL IMPACT
The funds for this agreement extension have been appropriated in the Fiscal Year 2022- 2023 operating budgets of the Parks and Recreation Department and Library Department.
ALTERNATIVES
1. Do not approve a contract amendment and provide direction to staff.
ATTACHMENTS
1. Amendment No. 1
AMENDMENT NO. 1 TO FACILITY AND PARK LANDSCAPE MAINTENANCE SERVICES
AGREEMENT
THIS AMENDMENT is made and entered into this 21st day of June 2022, by and between the City of Yorba Linda, 4845 Casa Loma Avenue, Yorba Linda, California 92886, a municipal corporation of the State of California (hereinafter referred to as “City”), and Artistic Maintenance Services, Inc. (hereinafter referred to as “Contractor”) (collectively, the “Parties”).
WITNESSETH:
WHEREAS, the City and the Contractor entered into an Agreement for facility and park landscape maintenance services in the amount of $422,013.24, for the term July 1, 2019 through June 30, 2022; and
WHEREAS, the City and the Contractor entered into Change Order No. 1 increasing the total compensation set forth in Section 3.3.1 of the Agreement by two hundred fourteen thousand eight hundred sixty five dollars ($214,865), additionally the City and the Contractor entered into Change Order No. 2 increasing the total compensation by seventy thousand two hundred sixty eight dollars and thirty seven cents ($70,268.37) increasing the total compensation to seven hundred seven thousand one hundred forty six dollars and sixty one cents ($707,146.61) for the remainder of the initial three year time period of the Agreement; and WHEREAS, the Agreement allows to renew the agreement for no more than two (2) additional one-year extensions; and
NOW, THEREFORE, in consideration of the mutual promises and covenants herein, the Parties agree to extend and amend the Agreement as follows:
1. The Term specified in Amendment No. 1 shall be extended the agreement to June 30, 2023.
2. The total compensation for services pursuant to this Amendment No. 1 shall be increased by an amount of Two Hundred Fifty Eight Thousand Nine Hundred Eighty Four Dollars and Ninety Four Cents ($258,984.94), increasing the total not to exceed Agreement compensation to Nine Hundred Sixty Six Thousand One Hundred Thirty One Dollars and Fifty Three Cents ($966,131.53) from July 1, 2019, to June 30, 2023, unless otherwise approved in writing by the City.
3. Except as amended pursuant to this Amendment No. 1, all provisions of the Agreement shall remain in full force and effect, and shall govern the services provided under this Amendment No.
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IN WITNESS WHEREOF, the Parties have executed and entered into this Amendment to the Agreement.
CITY OF YORBA LINDA
Dated: By:
CARLOS RODRIGUEZ
MAYOR
ATTEST: By:
DIANNA HONEYWELL
FINANCE DIRECTOR
ARTISTIC MAINTENANCE SERVICES, INC.
Marcia Brown
City Clerk
APPROVED AS TO FORM: By:
RUTAN & TUCKER LLP (Print)
(Signature)
Todd Litfin
City Attorney Title:________________________________
Dated:
FINANCE DEPARTMENT
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: DIANNA HONEYWELL, FINANCE DIRECTOR / CITY TREASURER SUBJECT: FISCAL YEAR 2022/23 INVESTMENT POLICY
RECOMMENDATION
It is recommended that the City Council approve and adopt the annual Investment Policy for fiscal year 2022/23.
BACKGROUND
Effective January 1, 2006, Section 53646(a)(2) of the Government Code was modified to allow local agencies the option of adopting an annual Investment Policy or to adopt an Investment Policy that would remain in effect until changed. In June 2006, the City Council opted to adopt an Investment Policy each year, regardless of whether it changed or not.
DISCUSSION
The Investment Policy was recently updated in February 2022. Generally, the securities in the City’s portfolio are rated by both S&P and Moody’s and most of the time these ratings are the same. Occasionally, they differ, and this is called a “split rating”. While these securities are still in compliance with the Policy and California Government Code, it was a cause for concern so the Finance Committee, and later the City Council, directed staff to revise the Policy to eliminate purchases of securities with a split rating where one rating agency rates it lower than “A”. The policy now contains the following language to address the issue of split ratings:
Credit ratings, where shown, specify the minimum credit rating category required at purchase. For purposes of this Policy, the minimum rating will be determined by the lowest rating by Standard & Poor’s, Moody’s, or Fitch. In the event that an investment originally purchased within Policy guidelines is downgraded below the Policy requirements, the course of action to be followed by the City Treasurer will then be decided on a case-by-case basis, considering such factors as the reason for the downgrade, prognosis for recovery or further rating downgrades, and the market price of the security.
Additionally, a small change was made to reference the correct Government Code which addresses allowable investments. There was a reference to section 53635 in the California
FISCAL YEAR 2022/23 INVESTMENT POLICY
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Government Code related to allowable investments. There are no permitted investments in Section 53635 that the City can purchase, but Local Agency Investment Fund (LAIF), which is permitted, is described in Section 16429.1. The reference to Section 53635 was deleted and the reference to Section 16429.1 was added.
At this time, there are no further changes to the Policy.
FISCAL IMPACT
There is no direct fiscal impact associated with adoption of the Investment Policy.
ALTERNATIVES
None.
ATTACHMENTS
1.) Proposed City Council Policy F-10 for Fiscal Year 2022/23
POLICY: INVESTMENT POLICY
Number: F-10 Issue Number: 19
Page: 1 Date Adopted: June 21, 2022
Replaces: February 15, 2022
C I T Y C O U N C I L P O L I C I E S
I. PURPOSE
To establish guidelines for the prudent investment of public funds in a manner that will protect City funds, meet daily cash flow expenditures, and comply with all federal, state, and local laws and ordinances governing the investment of public funds.
II. BACKGROUND
Effective January 1, 2006, Section 53646(a)(2) of the Government Code was modified to allow local agencies the option of adopting an annual Investment Policy or to adopt an Investment Policy that would remain in effect until changed. In June 2006, the City Council opted to adopt an Investment Policy each year, regardless of whether it changed or not.
III. POLICY
It shall be the policy of the City of Yorba Linda to annually review and adopt an Investment Policy. This Policy applies to all financial assets and funds held by the City of Yorba Linda and the Successor Agency to the Yorba Linda Redevelopment Agency. All Funds reflected in the City’s Comprehensive Annual Financial Report are subject to this policy, including any new funds that are created, unless specifically exempted by the City Council.
Retirement-related funds in a trust and bank deposits (governed under the California Government Code’s “Deposit of Funds” provisions) are excluded from this Policy’s requirements.
IV. PROCEDURES
The City Treasurer shall annually review the City’s Investment Policy, and incorporate any changes in state law, recommendations from the City’s Investment Advisor, recommendations from the various national and state organizations of municipal finance officers, or other changes recommended by City staff. The revised Investment Policy shall be presented to the Finance Committee and the City Council for review and approval. (A) Responsibilities
No person may engage in investment activities except as provided under the terms of this Policy and the procedures established by the City Treasurer.
1. Responsibilities of the City Council
The City Council shall annually consider and adopt a written Investment Policy.
As provided in this Policy, the Council shall receive monthly City Treasurer Reports and the annual Investment Policy.
POLICY: INVESTMENT POLICY
Number: F-10 Issue Number: 19
Page: 2 Date Adopted: June 21, 2022
Replaces: February 15, 2022
C I T Y C O U N C I L P O L I C I E S
2. Responsibilities of the Finance Director / City Treasurer The Finance Director is appointed by and serves at the pleasure of the City Manager and is subject to his or her direction and supervision. The Finance Director is charged with responsibility for the conduct of all Finance Department functions.
The City Treasurer is appointed by the City Council and is charged with responsibility for carrying out all investment actions. The City Council has historically appointed the Finance Director to also serve as City Treasurer, and at least annually delegates its authority to invest and reinvest the City’s funds and to sell or exchange purchased securities to the City Treasurer in accordance with Government Code Section 53607. The City Treasurer may delegate the day-to-day investment activities to his/her designee(s) but not the responsibility for the overall investment program. If authorized by the City Council, the City Treasurer may also utilize the services of an external investment advisor to assist with the investment program.
3. Responsibilities of the City Manager
The City Manager is responsible for keeping the City Council fully advised as to the financial condition of the City.
4. Responsibilities of the Finance Department
Under the supervision of the Finance Director / City Treasurer, the Finance Department is charged with the responsibility for managing all public funds and securities belonging to or under the control of the City and Successor Agency and for the deposit and investment of those funds in accordance with principles of sound treasury management and applicable laws and ordinances.
Appropriate internal controls designed to ensure that assets of the City are protected from loss, theft, or misuse, including but not limited to separation of duties and multiple approvers for transactions, shall be maintained at all times in order to safeguard the City’s assets.
5. Responsibilities of the City’s Investment Advisor
Should the City determine that it is appropriate to engage a firm to manage the City’s investment portfolio, the Investment Advisor shall invest the City’s funds in investments that are in compliance with this policy and provide accurate and
POLICY: INVESTMENT POLICY
Number: F-10 Issue Number: 19
Page: 3 Date Adopted: June 21, 2022
Replaces: February 15, 2022
C I T Y C O U N C I L P O L I C I E S
timely reports of its investment activities to City staff. The Investment Advisor shall never take possession of the City’s funds or assets.
6. Responsibilities of the City’s Auditing Firm
The City’s auditing firm’s responsibilities shall include, but are not limited to, the examination and analysis of fiscal procedures and the examination, checking, and verification of accounts, revenues, and expenditures. A review of the City’s investment program is a part of this responsibility. (B) Prudent Investor Rule
The City of Yorba Linda makes its cash investments under the prudent investor rule (Government Code Section 53600.3), which states, in essence, that in investing and managing property, a trustee shall act with the care, skill, prudence, and diligence under the circumstances then prevailing, including, but not limited to, the general economic conditions and the anticipated needs of the City, that a prudent person acting in a like capacity and familiar with those matters would use in conduct of funds of a like character and with like aims, to safeguard the principal and maintain the liquidity needs of the City. Within the limitations of the Government Code and considering individual investments as part of an overall strategy, investment may be acquired as authorized by law.
This affords the City a broad spectrum of investment opportunities as long as an investment is deemed prudent as is allowable under the current laws of the State of California.
The City Treasurer and other individuals assigned to manage the investment portfolio, acting in accordance with state law and the intent and scope of the Investment Policy and other written procedures and exercising due diligence, shall be relieved of personal responsibility and liability for an individual security’s credit risk or market price changes, provided deviations from expectations are reported in a timely manner and appropriate action is taken to control adverse developments.
(C) Ethics and Conflicts of Interest
Officers and employees involved in the investment process shall refrain from personal business activity that conflicts with proper execution of the investment program or impairs their ability to make impartial investment decisions.
Additionally, the City Treasurer, other employees designated in the City’s conflict of interest code, and the City’s Investment Advisor, if one is used, are required to annually file applicable financial disclosures as required by the Fair Political
POLICY: INVESTMENT POLICY
Number: F-10 Issue Number: 19
Page: 4 Date Adopted: June 21, 2022
Replaces: February 15, 2022
C I T Y C O U N C I L P O L I C I E S
Practices Commission (FPPC) and are subject to California law relative to conflicts of interest.
(D) Level of Investment
The City strives to maintain the level of investment of all investable cash as near to 100 percent as possible through current and projected cash flow management.
The City Treasurer shall maintain a system to monitor and forecast revenues and expenditures so that City funds can be invested to the fullest extent possible while providing sufficient liquidity to meet the City’s reasonably anticipated cash flow requirements. Maturities of investments will be selected to provide necessary liquidity, manage interest rate risk, and optimize earnings. Because of inherent difficulties in accurately forecasting cash flow requirements, a portion of the portfolio should be continuously invested in readily available funds. (E) Investment Criteria
The City seeks safety and liquidity in all of its investments followed by yield.
Safety, liquidity, and yield are defined as follows:
1. Safety. Safety of principal is the foremost objective of the investment program. Investments shall be undertaken in a manner that seeks to ensure the preservation of capital in the overall portfolio.
2. Liquidity. The investment portfolio shall remain sufficiently liquid to meet operating requirements that may be reasonably anticipated. This is accomplished by structuring the portfolio so that securities mature concurrent with cash needs to meet anticipated demands.
3. Yield. The investment portfolio shall be designed with the objective of attaining a market rate of return, taking into account the investment risk constraints and liquidity needs. Return on investment is of secondary importance compared to the safety and liquidity objectives described above.
(F) Allowable Investments
Sections 53601 & 16429.1 of the California Government Code govern allowable investments. The City shall not invest in any investment authorized by the Government Code, but not explicitly listed in this Policy without the prior approval of the City Council. In the event that an apparent discrepancy is found between this Policy and the Government Code, the more restrictive parameters will take
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precedence. If collateral is required for a particular investment type, it will be provided in compliance with California Government Code requirements.
Furthermore, the City will not invest in inverse floaters, range notes, mortgagederived, interest-only strips, or any security that could result in zero interest accrual if held to maturity. Prior to investing in any pooled investment program (e.g., LAIF, LGIPs, mmfs), the City Treasurer should review the program’s documentation (e.g., investment policy, policies for participation, fees) to determine the appropriateness of the pool for City funds. Whenever the City has funds invested in a pooled investment program, the City Treasurer should periodically review the pool’s investment holdings.
The City shall diversify the investments within the portfolio to avoid incurring unreasonable risks inherent in over-investing in specific instruments, individual financial institutions, or maturities. To promote diversification, no more than 5% of the portfolio may be invested in the securities of any one issuer, regardless of security type; excluding U.S. Treasuries, federal agencies, supranationals, and pooled investments such as LAIF, money market funds, or local government investment pools.
Credit ratings, where shown specify the minimum credit rating category required at purchase. For purposes of this Policy, the minimum rating will be determined by the lowest rating by Standard & Poors, Moody’s or Fitch. In the event that an investment originally purchased within Policy guidelines is downgraded below the Policy requirements, the course of action to be followed by the City Treasurer will then be decided on a case-by-case basis, considering such factors as the reason for the downgrade, prognosis for recovery of further rating downgrades, and the market price of the security.
The weighted average duration of the investment portfolio shall not exceed 3.0 years. For those investment types for which this Policy does not specify a maturity limit, no individual investment shall exceed a maturity of five years from the date of purchase unless the City Council has granted express authority to make that investment either specifically or as a part of an investment program approved by the City Council no less than three months prior to the investment.
The following types of investments are authorized by this Policy:
1. U.S. Treasury Instruments. United States Treasury notes, bonds, bills, or certificates of indebtedness, or those for which the faith and credit of the United States are pledged for the payment of principal and interest.
There is no limitation as to the percentage of the City’s portfolio that may be invested in this category.
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2. State of California’s Local Agency Investment Fund (LAIF). A State of California-managed investment pool. The maximum amount invested in this category may not exceed the limit set by LAIF for operating accounts.
3. Local Government Investment Pools (“LGIP”). Shares of beneficial interest issued by a joint powers authority organized pursuant to Section 6509.7 that invests in the securities and obligations authorized in Government Code. The City will limit investments to LGIPs that seek to maintain a stable net asset value. There is no limitation as to the percentage of the City’s portfolio that may be invested in this category.
4. Municipal Debt. Registered state warrants or treasury notes or bonds of this state, including bonds payable solely out of the revenues from a revenue-producing property owned, controlled, or operated by the state or by a department, board, agency, or authority of the state.
Registered treasury notes or bonds of any of the other 49 states in addition to California, including bonds payable solely out of the revenues from a revenue-producing property owned, controlled, or operated by a state or by a department, board, agency, or authority of any of the other 49 states, in addition to California.
Bonds, notes, warrants, or other evidences of indebtedness of a local agency within this state, including bonds payable solely out of the revenues from a revenue-producing property owned, controlled, or operated by the local agency, or by a department, board, agency, or authority of the local agency.
Purchases are limited to securities rated in a rating category of “A” (longterm) or “A-1” (short-term) or their equivalents or better by an NRSRO. A maximum of 30% the City’s portfolio may be invested in this category.
5. Federal Agency Securities. Federal agency or United States government-sponsored enterprise obligations, participations, or other instruments, including those issued by or fully guaranteed as to principal and interest by federal agencies or United States government-sponsored enterprises. There is no limitation as to the percentage of the City’s portfolio that may be invested in this category.
6. Negotiable Certificates of Deposit. Negotiable certificates of deposit issued by a nationally or state-chartered bank, a savings association or a
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federal association, a state or federal credit union, or by a federally licensed or state-licensed branch of a foreign bank. Purchases are limited to securities rated in a rating category of “A” (long-term) or “A-1” (short-term) or their equivalents or better by an NRSRO. A maximum of 30% the City’s portfolio may be invested in this category.
8. Commercial Paper. Commercial paper of “prime” quality of the highest ranking or of the highest letter and number rating as provided for by a nationally recognized statistical rating organization (NRSRO). The entity that issues the commercial paper shall meet all of the following conditions in either paragraph (1) or (2):
(1) The entity meets the following criteria: (A) Is organized and operating in the United States as a general corporation; (B) Has total assets in excess of five hundred million dollars
($500,000,000), and (C) Has debt other than commercial paper, if any, that is rated in a rating category of “A” or its equivalent or better by an NRSRO.
(2) The entity meets the following criteria: (A) Is organized within the United States as a special purpose corporation, trust, or limited liability company, (B) Has program-wide credit enhancements including, but not limited to, overcollateralization, letters of credit, or a surety bond, and (C) Has commercial paper that is rated “A-1” or better, or the equivalent, by an NRSRO.
Purchases are limited to securities that have a maximum maturity of 270 days. A maximum of 30% the City’s portfolio may be invested in this category.
9. Medium-Term Notes. Medium-term notes, defined as all corporate and depository institution debt securities with a maximum remaining maturity of five years or less, issued by corporations organized and operating within the United States or by depository institutions licensed by the United States or any state and operating within the United States.
Purchases are limited to securities rated in a rating category of “A” or its equivalent or better by an NRSRO. A maximum of 30% the City’s portfolio may be invested in this category.
10. Money Market Funds (“MMF”). Purchases are restricted to Government Money Market Funds. Furthermore, these Money Market Funds must have met either of the following criteria: (A) Attained the
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highest ranking or the highest letter and numerical rating provided by not less than two NRSROs, or (B) Retained an investment advisor with not less than five years’ experience and registered or exempt from registration with the SEC, with assets under management in excess of five hundred million dollars ($500,000,000). A maximum of 20% of the City’s portfolio may be invested in this category.
11. Supranational Obligations. United States dollar denominated senior unsecured unsubordinated obligations issued or unconditionally guaranteed by the International Bank for Reconstruction and Development, International Finance Corporation, or Inter-American Development Bank, with a maximum remaining maturity of five years or less, and eligible for purchase and sale within the United States.
Investments under this subdivision shall be rated in a rating category of “AA” or its equivalent or better by a Nationally Recognized Statistical Rating Organization (“NRSRO”). A maximum of 30% the City’s portfolio may be invested in this category.
12. Asset-Backed Securities. A mortgage passthrough security, collateralized mortgage obligation, mortgage-backed or other pay-through bond, equipment lease-backed certificate, consumer receivable passthrough certificate, or consumer receivable-backed bond of a maximum of five years’ maturity. Securities eligible for investment under this subdivision shall be rated in a rating category of “AA” or its equivalent or better by an NRSRO. A maximum of 20% the City’s portfolio may be invested in this category.
(G) Performance Standards
The investment portfolio shall be managed with the objective of obtaining a rate of return throughout budgetary and economic cycles, commensurate with the investment risk constraints and the cash flow needs. The City will employ an active management approach that allows for the sale of securities prior to their scheduled maturity dates for purposes of improving the portfolio’s credit quality, liquidity, or return in response to changing market conditions or City circumstances. This Policy recognizes that in a diversified portfolio occasional measured losses are inevitable and must be considered within the context of the overall portfolio's structure and expected investment return, with the proviso that adequate diversification and credit analysis have been implemented.
An appropriate performance benchmark shall be established against which portfolio performance shall be compared on a regular basis. The selected
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performance benchmark shall be representative of the City’s overall investment objectives and liquidity requirements.
(H) Investment Reporting and Portfolio Review
A monthly Treasurer’s Report shall be prepared and submitted to the City Council, which shall include a complete description of the portfolio, type of investments, issuers, and other relevant information.
The City Treasurer shall review the portfolio at least on a quarterly basis to verify that the securities in the portfolio are in compliance with this Policy and shall report any issues of material non-compliance in the next monthly Treasurer’s Report. Percentage holding limits and diversification requirements listed in this Policy apply at the time a security is purchased. If a percentage holding limit or diversification requirement is exceeded due to a subsequent change in the portfolio, it is not a compliance violation, but no additional securities may be purchased in that category or for that issuer until the holdings are back under the Policy limits. Credit ratings, where shown, specify the minimum credit rating category required at purchase. In the event a security held by the City is subject to a credit rating change that brings it below the minimum credit ratings specified in this Policy, the City Treasurer should notify the City Council of the change in the next monthly Treasurer’s Report. The course of action to be followed will then be decided on a case-by-case basis, considering such factors as the reason for the change, prognosis for recovery or further rating downgrades, and the market price of the security. If a security is determined to be out of compliance with this Policy due to a subsequent change in this Policy or the Government Code, it may be held to maturity unless there is a requirement that the security be sold. (I) Debt Proceeds
Debt proceeds and bond reserve funds are to be invested in accordance with their respective bond indenture. If the indenture is silent as to the permitted investments, the bond proceeds will be invested in the securities permitted by this Policy. Notwithstanding the other provisions of this Policy, the percentage limitations listed elsewhere in this Policy do not apply to bond proceeds and bond proceeds may be invested beyond five years if the maturities of such investments do not exceed the expected use of the funds, the investments are deemed prudent in the opinion of the City Treasurer, and the investments are not prohibited by the applicable bond documents. Tax and Revenue Anticipation Notes or other temporary financing proceeds shall not be invested for a term that exceeds the term of the debt.
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(J) Safekeeping
To protect against potential losses by collapse of individual securities dealers, all deliverable securities owned by the City, including collateral on repurchase agreements, shall be held in safekeeping by a third party bank trust department acting as agent for the City under the terms of a custody agreement executed by the bank and by the City. All deliverable securities will be received and delivered using standard delivery-versus-payment procedures.
(K) Qualified Financial Institutions and Broker/Dealers Investments not purchased directly from the issuer, shall be purchased either from an institution licensed by the state as a broker-dealer or from a member of a federally regulated securities exchange, from a national or state-chartered bank, from a savings association or federal association, or from a brokerage firm designated as a primary government dealer by the Federal Reserve Bank. If the City is utilizing a financial dealer or institution to execute transactions, the City Treasurer shall maintain a list of the firms that have been approved for investment purposes. A copy of this Policy shall be sent annually to all firms with which the City executes investments.
If the City has contracted with an Investment Advisor to provide investment services, the Investment Advisor may use their own list of approved issuers, brokers/dealers, and financial institutions with which to conduct transactions on the City’s behalf.
V. DEFINITIONS
AGENCIES: Securities issued by federal agency securities and/or Governmentsponsored enterprises (e.g. FNMA, FHLMC, FHLB).
AMORTIZED COST (or Book Value): For investments purchased at a discount, amortized cost constitutes cost plus interest earned to date.
ASKED: The price at which securities are offered for sale; also known as offering price.
ASSET-BACKED SECURITIES (ABS): Securities whose income payments and hence value is derived from and collateralized (or "backed") by a specified pool of underlying assets which are receivables. Pooling the assets into financial instruments allows them to be sold to general investors, a process called securitization, and allows the risk of investing in the underlying assets to be diversified because each security will represent a
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fraction of the total value of the diverse pool of underlying assets. The pools of underlying assets can comprise common payments credit cards, auto loans, mortgage loans, and other types of assets. Interest and principal is paid to investors from borrowers who are paying down their debt.
BASIS POINT: One hundredth of one percent (i.e. 0.01 percent).
BENCHMARK: A comparative base for measuring the performance or risk tolerance of the investment portfolio. A benchmark should represent a close correlation to the level of risk and the average duration of the portfolio’s investments.
BID: The price offered by a buyer of securities. (When you are selling securities, you ask for a bid.) See Offer.
BROKER: A broker brings buyers and sellers together for a commission.
CALLABLE BOND: A bond issue in which all or part of its outstanding principal amount may be redeemed before maturity by the issuer under specified conditions.
CERTIFICATE OF DEPOSIT (CD): A time deposit with a specific maturity evidenced by a Certificate. Large denomination CD’s are typically negotiable.
COMMERCIAL PAPER: An unsecured promissory note with a fixed maturity no longer than 270 days.
COLLATERAL: Securities, evidence of deposit or other property, which secures repayment of an investment. Also refers to securities pledged by a bank to secure deposits of public monies.
COMPREHENSIVE ANNUAL FINANCIAL REPORT (CAFR): The official annual report of the City. It includes financial statements in conformity with GAAP. It also includes supporting schedules necessary to demonstrate compliance with finance-related legal and contractual provisions, extensive introductory material, and a detailed Statistical Section.
COUPON: (a) The annual rate of interest that a bond’s issuer promises to pay the bondholder on the bond’s face value.
(b) A certificate attached to a bond evidencing interest due on a payment date.
CREDIT RISK: The risk to an investor that an issuer will default in the payment of interest and/or principal on a security and a loss will result.
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CUSTODIAN: A bank or other financial institution that keeps custody of stock certificates and other assets.
DEALER: A dealer, as opposed to a broker, acts as a principal in all transactions, buying and selling for his own account.
DEBENTURE: A bond secured only by the general credit of the issuer.
DELIVERY VERSUS PAYMENT: There are two methods of delivery of securities:
delivery versus payment and delivery versus receipt. Delivery versus payment is delivery of securities with an exchange of money for the securities. Delivery versus receipt is delivery of securities with an exchange of a signed receipt for the securities.
DERIVATIVES: (1) Financial instruments whose return profile is linked to, or derived from, the movement of one or more underlying index or security, and may include a leveraging factor, or (2) financial contracts based upon notional amounts whose value is derived from an underlying index or security (interest rates, foreign exchange rates, equities or commodities).
DISCOUNT: The difference between the cost price of a security and its maturity when quoted at lower than face value. A security selling below original offering price shortly after sale also is considered to be at a discount.
DISCOUNT SECURITIES: Non-interest bearing money market instruments that are issued a discount and redeemed at maturity for full face value (e.g., U.S. Treasury Bills, commercial paper.)
DIVERSIFICATION: Dividing investment funds among a variety of securities offering independent returns.
DURATION: A measure of the sensitivity of the price (the value of principal) of a fixedincome investment to a change in interest rates. This calculation is based on three variables: term to maturity, coupon rate, and yield to maturity. Duration is expressed as a number of years. The duration of a security is a useful indicator of its price volatility for given changes in interest rates. Rising interest rates mean falling bond prices, while declining interest rates mean rising bond prices.
FEDERAL DEPOSIT INSURANCE CORPORATION (FDIC): A federal agency that insures bank deposits.
FEDERAL FARM CREDIT BANK (FFCB): Government-sponsored institution that consolidates the financing activities of the Federal Land Banks, the Federal Intermediate
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Credit Banks and the Banks for Cooperatives. Its securities do not carry direct U.S.
Government guarantees.
FEDERAL FUNDS RATE: The rate of interest at which Fed funds are traded. This rate is currently pegged by the Federal Reserve through open-market operations.
FEDERAL HOME LOAN BANKS (FHLB): Government sponsored wholesale banks (currently 12 regional banks), which lend funds and provide correspondent banking services to member commercial banks, thrift institutions, credit unions and insurance companies. The mission of the FHLBs is to liquefy the housing related assets of its members who must purchase stock in their district Bank.
FEDERAL HOME LOAN MORTGAGE CORPORATION (FHLMC or Freddie Mac):
Established in 1970 to help maintain the availability of mortgage credit for residential housing. FHLMC finances these operations by marketing guaranteed mortgage certificates and mortgage participation certificates. FHLMC’s securities are highly liquid and are widely accepted. FHLMC is currently operated under conservatorship of the U.S. Government.
FEDERAL NATIONAL MORTGAGE ASSOCIATION (FNMA or Fannie Mae):
FNMA was chartered under the Federal National Mortgage Association Act in 1938.
FNMA is a Federal corporation working under the auspices of the Department of Housing and Urban Development (HUD). It is the largest single provider of residential mortgage funds in the United States. The corporation’s purchases include a variety of adjustable mortgages and second loans, in addition to fixed-rate mortgages. FNMA’s securities are also highly liquid and are widely accepted. FNMA is currently operated under conservatorship of the U.S. Government.
FEDERAL OPEN MARKET COMMITTEE (FOMC): Consists of seven members of the Federal Reserve Board and five of the twelve Federal Reserve Bank Presidents. The President of the New York Federal Reserve Bank is a permanent member, while the other Presidents serve on a rotating basis. The Committee periodically meets to set Federal Reserve guidelines regarding purchases and sales of Government Securities in the open market as a means of influencing the volume of bank credit and money.
FEDERAL RESERVE SYSTEM: The central bank of the U.S. which consists of seven member Board of Governors, 12 regional banks, and about 5,700 commercial banks that are members.
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA): The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 4,750 brokerage
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firms, about 167,000 branch offices and approximately 634,000 registered securities representatives.
INTEREST RATE RISK: The risk of gain or loss in market values of securities due to changes in interest-rate levels. For example, rising interest rates will cause the market value of portfolio securities to decline.
INVESTMENT POLICY: A clear and concise statement of the objectives and parameters formulated by an investor or investment manager for a portfolio of investment securities.
LIQUIDITY: A liquid asset is one that can be converted easily and rapidly into cash without a substantial loss of value. In the money market, a security is said to be liquid if the spread between bid and asked prices is narrow and reasonable size can be done at those quotes.
LOCAL AGENCY INVESTMENT FUND (LAIF): The aggregate of all funds from political subdivisions that are placed in the custody of the State Treasurer for investment purposes.
LOCAL GOVERNMENT INVESTMENT POOL (LGIP): A type of pooled investment program in which funds from local agency investors/participants are aggregated together for investment purposes.
MARKET VALUE: The price at which a security is trading and could presumably be purchased or sold.
MATURITY: The date upon which the principal or stated value of an investment becomes due and payable.
MEDIUM-TERM NOTES (MTNs): Unsecured corporate obligations. For purposes of the California Government Code, they have a maximum remaining maturity of five years or less.
MONEY MARKET: The market in which short-term debt instruments (bills, commercial paper, bankers’ acceptances, etc.) are issued and traded.
MONEY MARKET FUND. A type of mutual fund that invests exclusively in short-term investments.
MORTGAGE-BACKED SECURITIES (MBS): These securities represent an ownership interest in mortgage loans made by financial institutions (savings and loans, commercial banks, or mortgage companies) to finance the borrower’s purchase of a home or other
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real estate. MBS are created when these loans are packaged, or “pooled,” by issuers or servicers for sale to investors. As the underlying mortgage loans are paid off by the homeowners, the investors receive payments of interest and principal.
MUTUAL FUND: A fund operated by an investment company that raises money from shareholders and invests it on their behalf. Profits are distributed to shareholders after the investment company deducts its management fee. Mutual funds are regulated by the SEC.
NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION (NRSRO): A credit rating agency that issue credit ratings that the U.S. Securities and Exchange Commission (SEC) permits other financial firms to use for certain regulatory purposes.
The largest three NRSROs are Standard & Poor’s, Moody’s Investors Service and Fitch Ratings.
NEGOTIABLE: Something that can be sold or transferred to another party.
NEGOTIABLE CERTIFICATES OF DEPOSIT: Large denomination certificates of deposit with a fixed maturity date, which can be sold in the money market. They are not collateralized.
OFFER: The price asked by a seller of securities. (When you are buying securities, you ask for an offer.) See Asked and Bid.
OPEN MARKET OPERATIONS: Purchases and sales of government and certain other securities in the open market by the New York Federal Reserve Bank as directed by the FOMC in order to influence the volume of money and credit in the economy. Purchases inject reserves into the bank system and stimulate growth of money and credit; sales have the opposite effect. Open market operations are the Federal Reserve’s most important and most flexible monetary policy tool.
PAR VALUE: The amount of principal that must be paid at maturity. Also referred to as the face amount of a bond, normally quoted in increments of $1,000 per bond.
PORTFOLIO: Collection of securities held by an investor.
PRIMARY DEALER: A group of government securities dealers who submit daily reports of market activity and positions and monthly financial statements to the Federal Reserve Bank of New York and are subject to its informal oversight. Primary dealers include Securities and Exchange Commission (SEC)-registered securities broker-dealers, banks, and a few unregulated firms.
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PREMIUM: The amount by which a security sells above its par value.
PRINCIPAL: The face or par value of a debt instrument or the amount of capital invested in a given security.
PRUDENT INVESTORS RULE: An investment standard. In California, persons authorized to make investment decisions on behalf of a local agency are considered trustees and therefore fiduciaries subject to the Prudent Investor Rule. A trustee may invest in a security if it is one which would be bought by a prudent person of discretion and intelligence who is seeking a reasonable income and preservation of capital.
QUALIFIED PUBLIC DEPOSITORIES: A financial institution which does not claim exemption from the payment of any sales or compensating use or ad valorem taxes under the laws of this state, which has segregated for the benefit of the commission eligible collateral having a value of not less than its maximum liability and which has been approved by the Public Deposit Protection Commission to hold public deposits.
RATE OF RETURN: The yield obtainable on a security based on its purchase price or its current market price. This may be the amortized yield to maturity on a bond the current income return.
SAFEKEEPING: A service banks offer to clients for a fee, where physical securities are held in the bank’s vault for protection and book-entry securities are on record with the Federal Reserve Bank or Depository Trust Company in the bank’s name for the benefit of the client. As agent for the client, the safekeeping bank settles securities transactions, collects coupon payments, and redeems securities at maturity or, if called, on the call date.
SECONDARY MARKET: A market made for the purchase and sale of outstanding issues following the initial distribution.
SECURITIES: Investment instruments such as notes, bonds, stocks, money market instruments and other instruments of indebtedness of equity.
SECURITIES & EXCHANGE COMMISSION (sec): Agency created by Congress to protect investors in securities transactions by administering securities legislation.
SPREAD: The difference between two figures or percentages. It may be the difference between the bid (price at which a prospective buyer offers to pay) and asked (price at which an owner offers to sell) prices of a quote, or between the amount paid when bought and the amount received when sold.
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SUPRANATIONAL: Supranational entities are formed by two or more central governments with the purpose of promoting economic development for the member countries. Supranational institutions finance their activities by issuing debt, such as supranational bonds. Examples of supranational institutions include the European Investment Bank and the World Bank. Similarly to the government bonds, the bonds issued by these institutions are considered direct obligations of the issuing nations and have a high credit rating.
TREASURY SECURITIES. Obligations issued by the federal government, which are backed by the U.S. Government’s full faith & credit. Generally considered to have the lowest credit risk of any security. They are issued in a range of maturities:
• TREASURY BILLS. Are short-term, non-interest bearing discount security having initial maturities of one-year or less.
• TREASURY NOTES. Are Intermediate-term coupon-bearing securities having initial maturities from two to ten years.
• TREASURY BONDS. Are long-term coupon-bearing securities having initial maturities of more than ten years.
UNIFORM NET CAPITAL RULE: Securities and Exchange Commission requirement that member firms as well as nonmember broker-dealers in securities maintain a maximum ratio of indebtedness to liquid capital of 15 to 1; also called net capital rule and net capital ratio. Indebtedness covers all money owed to a firm, including margin loans and commitments to purchase securities, one reason new public issues are spread among members of underwriting syndicates. Liquid capital includes cash and assets easily converted into cash.
WEIGHTED AVERAGE MATURITY (OR DURATION): The sum of the amount of each investment multiplied by the number of days to maturity (or duration), divided by the total amount of investments.
YIELD: The annual rate of return on an investment expressed as a percentage of the investment. Income yield is obtained by dividing the current dollar income by the current market price for the security.
YIELD CURVE: Yield calculations of various maturities of instruments of the same quality at a given time to show yield relationships.
FINANCE DEPARTMENT
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: DIANNA HONEYWELL, FINANCE DIRECTOR / CITY TREASURER SUBJECT: RESOLUTION NO. 2022-5804 – FISCAL YEAR 2022/23 APPROPRIATIONS (GANN) LIMIT
RECOMMENDATION
Staff recommends that the City Council adopt Resolution No. 2022-5804 establishing the appropriations limit for fiscal year 2022/23.
BACKGROUND
Pursuant to Article XIIIB of the State Constitution and Section 7910 of the State Government Code, all government entities must adopt an annual appropriations limit. Resolution 2022- 5804 addresses this requirement.
DISCUSSION
The appropriations limit was originally based on actual appropriations for fiscal year 1978/79, and it is recalculated each year based on growth in population (using either the growth in the City or County population) and the rate of inflation (using either the growth in per capita income or new non-residential construction). The growth factors utilized in the calculation are provided by the State Department of Finance and the County of Orange. It is in the City’s best interest to choose between the population and rate of inflation factors based on which factor in each category will generate the largest increase to the appropriations limit.
The factors used for the fiscal year 2022/23 calculation were the change in the County’s population of (-0.23%) and the California per capita personal income growth factor of (7.55%). The City’s fiscal year 2022/23 appropriations limit and budgeted tax receipts are shown as part of the attached Resolution. For fiscal year 2022/23, the limit is calculated at $79.5 million with budgeted tax receipts of $41.7 million. The $37.8 million difference is the City’s margin for allowable growth in tax receipts.
FISCAL IMPACT
There is no fiscal impact associated with this report.
RESOLUTION NO. 2022-5804 – FISCAL YEAR 2022/23 APPROPRIATIONS (GANN) LIMIT
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ATTACHMENTS
1. Resolution No. 2022-5804 – Fiscal Year 2022/23 Appropriations (GANN) Limit.
RESOLUTION NO. 2022-5804
A RESOLUTION OF THE CITY COUNCIL OF THE CITY
OF YORBA LINDA APPROVING AND ADOPTING THE
APPROPRIATIONS LIMIT FOR FISCAL YEAR 2022/23
WHEREAS, the voters of California, on November 6, 1979, added Article XIIIB to the State Constitution placing a restriction on the amount of proceeds of tax revenues which can be appropriated by state and local governments during a fiscal year; and WHEREAS, Article XIIIB provides that the appropriations limit for each fiscal year is calculated by adjusting the base year appropriations of Fiscal Year 1978/79 for changes in the cost of living and population; and
WHEREAS, the City Council may choose to use as adjustment factors either the annual growth in California Per Capita Income or the growth in the non-residential assessed valuation due to new construction within the City, and the City’s population growth or the population growth of the County of Orange, as provided by the State Department of Finance; and
WHEREAS, the selection of adjustment factors, calculation of the limit, and budgeted tax receipts are attached as Exhibit A; and
WHEREAS, the City of Yorba Linda has complied with all the provisions of Article XIIIB in determining the appropriation limit for Fiscal Year 2022/23.
NOW, THEREFORE, BE IT RESOLVED that the appropriations subject to limitation for the City of Yorba Linda for Fiscal Year 2022/23 shall be $79,469,190.
PASSED, APPROVED AND ADOPTED by the City Council of the City of Yorba Linda, on the 21st day of June, 2022.
CARLOS RODRIGUEZ, MAYOR
CITY OF YORBA LINDA
ATTEST:
MARCIA BROWN, CITY CLERK
CITY OF YORBA LINDA
RESOLUTION NO. 2022-5804
PAGE NO. 2
APPROVED AS TO FORM:
RUTAN & TUCKER, LLP
CITY ATTORNEY
COUNTY OF ORANGE )
ss
STATE OF CALIFORNIA )
I, MARCIA BROWN, City Clerk of the City of Yorba Linda, California, DO HEREBY CERTIFY that the foregoing Resolution was adopted at a regular meeting of the City Council of the City of Yorba Linda held on the 21st day of June, 2022, and was carried by the following roll call vote:
AYES: COUNCILMEMBERS:
NOES: COUNCILMEMBERS:
ABSENT: COUNCILMEMBERS:
MARCIA BROWN, CITY CLERK
CITY OF YORBA LINDA
RESOLUTION NO. 2022-5804
PAGE NO. 3
EXHIBIT A
CITY OF YORBA LINDA
CALCULATION OF APPROPRIATION LIMIT
FISCAL YEAR 2022/23
APPROPRIATION LIMIT 2021/22 $74,060,800
2022/23 Adjustment Factors
Population: (Choose one population factor)
City -0.78%
County of Orange -0.23% 0.997700
Inflation: (Choose one Inflation factor) X
California Per Capita Income 7.55% 1.075500
Non-Residential Construction 0.0026%
Combined Adjustment Factor x 1.0730
APPROPRIATION LIMIT 2022/23 $79,469,190
(Budgeted Tax Receipts for fiscal year 2022/23 = $41,687,466)
PUBLIC WORKS DEPARTMENT
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: JAMIE LAI, P.E., DIRECTOR OF PUBLIC WORKS / CITY ENGINEER PREPARED BY: JESSE GUTIERREZ, ASSESSMENT DIST. MANAGER
SUBJECT: RESOLUTION NO. 2022-5808 - INTENT TO VACATE THE LANDSCAPE EASEMENT AT 24340 VIA LENARDO
RECOMMENDATION
It is recommended that City Council:
1. Adopt Resolution No. 2022-5808, declaring its intent to vacate the landscape easement at 24340 Via Lenardo; and
2. Direct staff to draft a release of liability agreement be executed by the property owner to allow the existing above grade irrigation lines to be left in place; and
3. Set July 19, 2022, as the Public Hearing date for the vacation process.
BACKGROUND
The property owner at 24340 Via Lenardo (“Subject Property”) has requested the vacation of the landscape easement on the property in order to extend his backyard. The Subject Property is located on Via Lenardo and is in Local Landscape Assessment District (LMAD) Zone L1-A. The easement is located on the slope at the rear of the property which abuts the BNSF railroad easement.
DISCUSSION
The property owner is requesting the vacation of the landscape easement, as depicted and described in the attached Legal Description “Exhibit to Resolution” to extend his back yard.
Staff reviewed the property owners request and found that the proposed improvement would be located within the city easement for landscape maintenance purposes. The easement area is located on at the rear landscaped slope abutting the BNSF railroad easement that was part of the original development.
The proposed improvements would conflict with the irrigation and maintenance operations of the landscaped area. The property owner indicated an interest in acquiring the landscape easement to extend their backyard. The existing irrigation system would be modified to
R E S O L U T I O N N O . 2 0 2 2 - 5 8 0 8 - I N T E N T T O V A C A T E T H E L A N D S C A P E E A S E M E N T A T 2 4 3 4 0 V I A L E N A R D O P a g e | 2
exclude the area proposed to be vacated. Staff reviewed the property owner’s proposed improvements within the landscape easement and find in favor of the vacation the landscape easement.
Streets and Highways Code Section 8300 et seq. sets forth the procedures for vacating public service easements such as the subject landscape easement. First, the City Council adopts a resolution declaring its intent to vacate the easement, instructs the City Clerk to set the hearing, and further, publishes and posts the required notices. By adopting the attached resolution, the City Council will initiate the process for partially vacating the referenced portion of the landscape easement.
The public hearing must be scheduled for a date that is at least fifteen (15) days after the date the proceedings were initiated. Additionally, the notice of the public hearing must be published for two successive weeks prior to the public hearing. Based upon these time constraints, City staff anticipates that the public hearing on the partial vacation of the easement will occur on July 19, 2022. At the public hearing, the City Council may order the partial vacation of the easement after hearing all testimony and evidence presented by interested persons, if the City Council finds that such easement is unnecessary for present or prospective public use.
Pursuant to Government Code 65402, the Planning Commission will need to make a finding that the proposed disposition of the property is consistent with the City’s General Plan. This is scheduled to occur at the next available Planning Commission meeting.
FISCAL IMPACT
The costs associated with the posting of public notices, staff time, and consultant time to prepare plat and legal descriptions will be covered using the deposited funds provided by the property owner.
ALTERNATIVES
Do not set the Public Hearing and provide alternative direction to staff.
ATTACHMENTS
1. Vicinity MAP
2. Resolution No. 2022-5808, with exhibits
Not to Scale
BASTANCHURY RD.
IMPERIAL HWY 90
YORBA LINDA BLVD.
LAKEVIEW AVE. FAIRMONT BLVD.
VILLAGE CENTER DR.
CA-91 HWY CITY OF YORBA LINDA YORBA RANCH RD. NORTH CA-57 HWY City of Yorba Linda
Public Works
KELLOGG DR.
VACATION SITE VICINITY MAP
ATTACHMENT No. 1
BNSF RAIL ROAD
LA PALMA
LOMAS DE YORBA VACATION SITE
VIA LENARDO
VACATION SITE
RESOLUTION NO. 2022-5808
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
YORBA LINDA, CALIFORNIA, DECLARING ITS INTENT
TO VACATE THE LANDSCAPE EASEMENT AT 24340 VIA
LENARDO
WHEREAS, the City Council of the City of Yorba Linda ("City Council") desires to initiate proceedings to vacate the landscape easement at 24340 Via Lenardo in the City of Yorba Linda, County of Orange, California (Subject Property); and WHEREAS, in order to vacate the landscape easement on the Subject Property, the City Council must find that it is unnecessary for present or prospective public use; and WHEREAS, in order for the City Council to initiate proceedings to vacate the landscape easement on the Subject Property, it must comply with the provisions of the Public Streets, Highways, and Service Easements Vacation Law of the Streets and Highway Code of the State of California (Streets and Highways Code §8300 et. seq.) ("Vacation Law"); and
WHEREAS, the Vacation Law requires specific procedures for the vacation of public streets and easements.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Yorba Linda as follows:
Section 1. The City Council, under the authority vested in it by the Vacation Law, hereby initiates proceedings to vacate the landscape easement on the Subject Property and set a hearing for all persons interested in or objecting to the proposed vacation the landscape easement on the Subject Property.
Section 2. The time and place for hearing all persons interested in or objecting to the proposed vacation is to be held on July 19, 2022, at 7:00 p.m. in the Council Chambers at 4845 Casa Loma Avenue, Yorba Linda, California.
Section 3. The City Clerk shall cause this Resolution to be posted and published in the manner prescribed by the Vacation Law.
Section 4. The City Engineer shall post notices conspicuously along the line of the Subject Property at least two weeks prior to the public hearing on July 19, 2022. Such notices shall be posted not more than 300 feet apart, but at least three (3) notices shall be posted. Furthermore, each notice so posted shall make reference to the passage of this Resolution and shall state the time and place of the public hearing.
Section 5. The City Clerk shall certify as to the adoption of this Resolution.
PASSED, APPROVED AND ADOPTED at a regular meeting of the City Council of the City of Yorba Linda on this 21st day of June, 2022.
RESOLUTION NO. 2022-5808
PAGE 2
__________________________
CARLOS RODRIGUEZ, MAYOR
CITY OF YORBA LINDA
ATTEST:
____________________________
MARCIA BROWN, CITY CLERK
CITY OF YORBA LINDA
APPROVED AS TO FORM:
RUTAN & TUCKER LLP
__________________________
CITY ATTORNEY
STATE OF CALIFORNIA )
ss.
COUNTY OF ORANGE )
I, MARCIA BROWN, City Clerk of the City of Yorba Linda, California, DO HEREBY CERTIFY that the foregoing Resolution was adopted at a regular meeting of the City Council of the City of Yorba Linda held on the 21st day of June, 2022, and was carried by the following roll call vote:
AYES: COUNCILMEMBERS:
NOES: COUNCILMEMBERS:
ABSENT: COUNCILMEMBERS:
________________________________
MARCIA BROWN, CITY CLERK
CITY OF YORBA LINDA
PARKS AND RECREATION DEPARTMENT
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: MICHEAL KUDRON, DIRECTOR OF PARKS AND RECREATION
PREPARED BY: JEFF RUTH, RECREATION SUPERINTENDENT
SUBJECT: APPROVAL OF CHANGE ORDER NO 4 – RJM DESIGN GROUP, INC.-
ADVENTURE PLAYGROUND
RECOMMENDATION
It is recommended that the City Council:
Approve Change Order No 4 for with RJM Design Group, Inc. (RJM) in the amount of $28,290.
BACKGROUND
On July 20, 2021, City Council approved the plans and specifications and awarded the contract for the Adventure Playground Renovation project to Lehman Construction.
Construction began on September 13, 2021 and is expected to be completed in late fall 2022.
RJM was hired by the City of Yorba Linda in 2017 to conduct the Master Plan process for Adventure Playground. Following approval of the Master Plan, City Council approved Amendment No 2 with RJM on August 6, 2019, which revised the scope of services to include professional design, design development, construction documents, and construction administration services and resulted in Change Order No 2 to be approved in the amount of $562,100 for the renovation of Adventure Playground. Change Order No 3 was approved by City Council on June 7, 2022 providing additional construction administrative services through the completion of the project.
DISCUSSION
Change Order No. 4 in the amount of $28,290 includes $24,600 for design and preparation of construction documents for repairs and construction of an ADA compliant pathway from Casa Loma to the entrance of Adventure Playground, and a fifteen percent contingency of $3,690 to cover miscellaneous cost. Due to a recent CASp inspection to review ADA compliance of Adventure Playground and the path of travel from Casa Loma, the CASp inspector noted that several portions of the walkway do not meet current ADA standards. The pathway way from Casa Loma to the entrance of Adventure Playground is not in the current scope of work of the Adventure Playground renovation project and due to the topography
APPROVAL OF CHANGE ORDER NO 4 – RJM DESIGN GROUP, INC.-ADVENTURE
PLAYGROUND
P a g e | 2
through Hurless Barton Park, additional design work is necessary to identify and make the repairs. This pathway must be brought up to current ADA standards for Adventure Playground to open to the public.
FISCAL IMPACT
Change orders of this nature typically do not need City Council approval and are approved through a review by the City Manager. In this case, the original contract with RJM was for the Adventure Playground Master Plan and therefore this change order needs to be approved by City Council because it exceeds 15% of the original contract as identified in Administrative Policy: A-F-5 Purchase, Bidding, and Contracting. Therefore, this change order as well as all future change orders for RJM related to this project will require City Council approval.
Currently, $460,000 of the $915,491 contingency budget for Adventure Playground remains available to support this change order of $28,290.
A construction estimate will be identified once the site is surveyed and construction documents are prepared, however staff is anticipating construction to be between $120,000 to $200,000.
ALTERNATIVES
The City Council may not approve Change Order No 4 and provide direction to staff.
ATTACHMENTS
1. Change Order No 4 with RJM Design Group, Inc.
CITY CLERK'S OFFICE
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: MARCIA BROWN, CMC, CITY CLERK
SUBJECT: CANCELLATION OF THE JULY 5, 2022 CITY COUNCIL MEETING
RECOMMENDATION
It is recommended that the City Council direct staff to cancel the July 5, 2022 City Council meeting.
BACKGROUND
Ordinance No. 2011-963 allows Council to consider and approve by minute order the cancellation of a regularly scheduled City Council meeting.
DISCUSSION
As it stands now, staff has no significant issues to present to Council at the first meeting in July, and all routine matters could easily be placed on the July 19th agenda. Should there be any matters that arise requiring immediate attention, staff could contact Council to schedule a special City Council meeting if necessary.
FISCAL IMPACT
None.
CITY CLERK'S OFFICE
DATE: JUNE 21, 2022
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: MARCIA BROWN, CMC
SUBJECT: COMMITTEE AND AGENCY REPORTS
RECOMMENDATION
It is recommended that the City Council receive and file this report.
DISCUSSION
City Council members serve on a number of outside committees and agencies. Attached are updates received recently from these agencies.
ATTACHMENTS
1. Reports from City Council Organizations, Agencies and Committees
June 2022 The next and last regular meeting of the Commission for the current fiscal cycle is June 8, 2022, with the usual start time of 8:15 a.m. in the Planning Commission Hearing Room.
Here are upcoming items for the June 8 Regular Meeting:
Detachment from the City of Tustin
Over the past year, the Commission has seen an increase in applications submitted by landowners and cities to correct illogical boundaries bordering many cities and the County of Orange. Often, these boundaries create issues involving land use planning and confusion or duplication in the delivery of municipal services.
The June 8 agenda will include a proposal to adjust the boundary between the City of Tustin and the County of Orange for an area less than one acre that includes a vacant lot, proposed for the development of a single-family home. Under the current boundary, the landowner must seek land use approvals and improvements from two jurisdictions and has applied for the boundary adjustment, with the support of the City and County, to place the entire lot under the single jurisdiction of the County.
Annexation of the Hamer Island
The annexation of the Hamer unincorporated island to the City of Placentia represents the final official step in a process that began in 2020. In part to this process, the Commission has played a key role in the City providing fire and emergency medical services to the residents of the island prior to annexation and working collaboratively with the County and City teams to provide information to the residents and proactively assist with the annexation process. As we approach the finish line for the successful transition of another unincorporated area to an adjacent city, annexation of the Hamer Island will continue OC LAFCO’s effort to improve efficiency in municipal service delivery within these pockets. At the June meeting, the Commission will consider the City’s proposal to annex the island and the respective terms and conditions.
What’s Happening in Sacramento?
While the legislative session did not disappoint on the introduction of a few thousand bills, the number of bills of LAFCO-interest were key but relatively moderate. At the June meeting, the Commission will receive details on the status of bills reviewed by the Commission for the current session and highlights on those maintaining life through the committees with potential to head to Governor Newsom’s desk.
City Member Appointment
On May 19, current Alternate City Member Peggy Huang was appointed unanimously by the City Selection Committee to the Regular City seat for a term to commence July 1. OC LAFCO congratulates Commissioner Huang on receiving support of the Committee and her continued role with the Commission. As the Alternate City seat is now vacant, staff was notified by the Clerk of the Board that filing of the vacancy has been scheduled for the Committee’s next meeting in November.
June 2022 (Continued)
Other Announcements and Activities
Orange County Council of Governments (OCCOG)
Congratulations to Vice Chair Don Wagner and Commissioner Wendy Bucknum on their recent leadership appointments by the OCCOG Board of Directors. Commissioner Bucknum was elected by the Board to serve as OCCOG’s Chair and Commissioner Wagner will serve as the Vice Chair, beginning May 1. Commissioners Bucknum and Wagner also serve on multiple other committees, such as Southern California Association of Governments (SCAG), to further the regional and planning efforts of Orange County.
Upcoming CALAFCO Webinar
On June 23, CALAFCO will conduct a webinar, “Brave New World of HR: Hiring Headaches, Trends, and Opportunities in a Post-Pandemic World.” The session will focus on best practices for hiring in today’s climate and the imperfections of the virtual process. Executive Officer Carolyn Emery will provide a case presentation on what went well and not so well on the Commission’s most recent staff recruitment. Session registration to be provided by CALAFCO in the coming weeks.
No July Regular Meeting
As the OC LAFCO Strategic Planning Workshop will take place on July 13, 2022, there will be no regular meeting of the Commission during the month of July. Additional details to be provided prior to the workshop.
1 Marcia Brown
From: Peggy Huang
Sent: Friday, June 3, 2022 3:35 AM
To: Marcia Brown
Subject: Fwd: Regional Council & General Assembly Spotlight, June 2022
VIEW IN BROWSER | FORWARD TO A FRIEND
ABOUT
The Regional Council is
the governing board of
the Southern California
Association of
Governments and
consists of 86 elected
officials representing 191
cities, six counties,
county transportation
commissions,
transportation corridor
agencies, tribal
governments and air
districts in Southern
California.
AGENDA
Click here for current and
archived Regional
Council meeting
agendas.
HIGHLIGHTS FROM THE MEETING
ACTION
REGIONAL COUNCIL ADOPTS POLICY DEVELOPMENT
FRAMEWORK FOR CONNECT SOCAL 2024
SCAG’s next Regional Transportation Plan/Sustainable Communities Strategy, Connect SoCal 2024, will be prepared over the next two years in anticipation of an April 2024 adoption date. Today, the Regional Council adopted the Policy Development Framework for Connect SoCal 2024 which includes the plan’s
2 preliminary vision and goals, key policy priorities, including those identified by the board since 2020, and an outline of the focus and responsibility of each Policy Committee and the following three new subcommittees. Next Generation Infrastructure
Resilience & Conservation
Racial Equity & Regional Planning
These new subcommittees will help dive deeper into key areas for Connect SoCal to make recommendations on how to address these emerging issues within Connect SoCal 2024. The subcommittees will include members from each county with participation from invited business or civic leaders and practitioners with unique and valuable perspectives.
SCAG will now establish the subcommittees and prepare a more detailed agenda outlook for each of the Policy Committees to illustrate the progression of policy discussions leading up to plan analysis and production in summer 2023.
For more information on Connect SoCal, visit scag.ca.gov/connect-socal.
INFO
UPDATES ON REGIONAL HOUSING NEEDS ASSESSMENT:
STATE AUDIT & SCAG REFORM RECOMMENDATIONS
In a presentation to the Regional Council today, SCAG staff provided an update on the findings of the California State Auditor on the California Department of Housing and Community Development’s (HCD) Regional Housing Needs Assessment (RHNA) and the process for developing SCAG’s RHNA reform recommendations.
STATE AUDIT
In October 2021, the California State Joint Legislative Audit Committee approved an emergency audit to examine HCD’s regional determination process for the RHNA. The request for an audit was based on an assertion that “the public has almost no information on the formula that HCD uses to calculate these initial numbers,” citing confusion and mistrust among regional planning bodies and local jurisdictions, and the need for an independent and objective review of the process.
The findings conclude that HCD made several errors regarding data calculations and does not have a sufficient management review process. The audit found that lack of sufficient review and associated errors in the determination process risks eroding public confidence in HCD’s ability to address the state’s housing needs. Several of the audit’s findings suggest that HCD understated regional determination for regions included in the audit, and possibly others. The Auditor provided several recommendations to the State
3 Legislature, HCD and California Department of Finance to address these errors and inaccuracies in the process, including:
Institute a process to ensure staff performs multiple reviews of data in its assessments.
Establish a formal process to document its consideration of all factors required by state law.
Perform a formal analysis of healthy vacancy rates and historical trends.
Develop a formal process to review the appropriateness of councils of governments' proposed comparable regions.
SCAG RHNA REFORM RECOMMENDATIONS
During and after the 6th cycle RHNA process, a number of elected officials and stakeholders requested that SCAG pursue reforms at the State to the RHNA and Housing Element process. HCD, in collaboration with the Office of Planning and Research, is required by law to conduct a RHNA reform outreach process and make recommendations to the legislature by Dec. 31. In response, SCAG plans to develop recommendations for consideration as part of HCD’s RHNA reform stakeholder input process.
In the coming months, SCAG will hold a series of meetings with stakeholders to collect input on topics for RHNA reform, including the Housing Working Group on July 19 and the Technical Working Group on July 21. SCAG will also hold two special meetings of the Community, Economic and Human Development Committee to conduct a public input session on RHNA reform as well as get input from committee members. Based on these input sessions, staff will develop recommendations on RHNA reform and present them to both the Community, Economic and Human Development Committee and Regional Council.
For more information on SCAG’s RHNA program, visit scag.ca.gov/rhna.
NEWS FROM THE PRESIDENT
MESSAGE FROM PRESIDENT HARNIK
Today marked the first meeting of the Regional Council with newly elected SCAG President Jan Harnik. President Harnik has outlined her priorities to include accelerating housing development and addressing broadband connectivity to meet the goals of Connect SoCal 2024 as a part of SCAG’s long-range vision that aligns future housing and mobility needs with economic
4 and environmental goals. With new housing funding sources from the state, including Regional Early Action Planning (REAP) 2.0, President Harnik is confident that SCAG will play a leading role in supporting housing development and mobility options in the region and align funding with other adjacent and immediate needs, such as utilities and broadband infrastructure.
NEW MEMBERS AND COMMITTEE APPOINTMENTS
President Harnik welcome new Regional Council Members and announced appointments to SCAG’s Legislative/Communications and Membership Committee:
REGIONAL COUNCIL
Claudia Bill-de la Peña, Thousand Oaks, District 46
Margaret Clark, Rosemead, District 32
Denise Diaz, South Gate, District 25
Keith Eich, La Cañada Flintridge, District 36
Jess Talamantes, Burbank, District 42
LEGISLATIVE/COMMUNICATIONS AND MEMBERSHIP COMMITTEE
Peggy Huang, Transportation Corridor Agencies, Chair
Jose Luis Solache, Lynwood, District 26, Vice-Chair
Cindy Allen, Long Beach, District 30
Claudia Bill-de la Peña, Thousand Oaks, District 46
Lorrie Brown, Ventura, District 47
Margaret Finlay, Duarte, District 35
Alex Fisch, Culver City, District 41
Curt Hagman, San Bernardino County
Jan Harnik, Riverside County Transportation Commission Patricia Lock Dawson, Riverside, District 68
Clint Lorimore, Eastvale, District 4
Ray Marquez, Chino Hills, District 10
Michael Posey, Huntington Beach, District 64
Deborah Robertson, Rialto, District 8
David J. Shapiro, Calabasas, District 44
Cheryl Viegas-Walker, El Centro, District 1
Donald Wagner, Orange County
Alan Wapner, San Bernardino County Transportation Authority
SCAG LEADERSHIP SHARES REGION’S HOUSING AND
TRANSPORTATION PRIORITIES
President Harnik and members of the Regional Council had the pleasure of hosting a recent meeting with Senate Transportation Committee Chair Lena Gonzalez (D-Long Beach) to discuss our region’s housing and transportation
5 budget priorities, such as the Regional Council’s support for an augmentation to the Infill Infrastructure Grant program and using budget surplus dollars to fully fund the Active Transportation Program. Chair Gonzalez shared information on a number of her priorities as well, such as Senate Bill 1104, which would establish the Office of Freight within the Governor’s Office of Business and Economic Development to serve as the coordinating entity to steer the growth, competitiveness and sustainability for freight and ports across the state.
NEWS FROM THE EXECUTIVE DIRECTOR
REAP 2.0 DRAFT PROGRAM DEVELOPMENT FRAMEWORK
OUTREACH
Through April and May, SCAG’s Regional Early Action Planning Grants of 2021 (REAP 2.0) Draft Program Development Framework was widely shared with the public through email blasts, newsletters and two virtual information sessions, as well as on the SCAG website. The public comment period was open from April 19 to May 19. Six public comment letters were received during the comment period from the City of Los Angeles, Coachella Valley Association of Governments, and the Gateway Cities, South Bay Cities, San Gabriel Valley and Ventura councils of governments. Based on the comments received, SCAG generated a summary of themes and hosted an information session to share feedback. SCAG presented the final Program Development Framework to the Executive/Administration Committee in June and will seek adoption by the Regional Council in July.
For more information about the REAP 2.0 program, visit scag.ca.gov/reap2021.
CONNECT SOCAL LOCAL DATA EXCHANGE UPDATE/
REGIONAL DATA PLATFORM
SCAG introduced the Local Data Exchange (LDX) process to serve as an extensive data exchange process with local jurisdictions to support Connect SoCal 2024 development. SCAG will engage in the LDX process to gather the most updated information available from local jurisdictions covering land use and growth to help understand how the region is developing and the extent to which we are meeting our climate goals. Over the course of 2022, SCAG’s Local Information Services Team (LIST) plans to meet one-on-one (for 90 minutes) with all 197 local jurisdictions to discuss maps in their local context, provide background on the development of Connect SoCal 2024 and provide training on available tools in Regional Data Platform (RDP) to local
6 jurisdictions. Detailed information about the LDX process can be found in a letter that was sent via email to all Planning Directors in the region on May 23.
For Orange, Riverside and San Bernardino County jurisdictions, these meetings will be initiated by the subregional councils of government. For Imperial, Los Angeles and Ventura County jurisdictions, please select a meeting time at your earliest convenience.
The RDP is a revolutionary system for collaborative data sharing and planning designed to facilitate better planning at all levels – from cities and counties of all sizes up to the region as a whole. The platform includes publicly available resources and tools, which can be accessible to both the public and local jurisdictions. Cities and counties in the SCAG region can also take advantage of complementary GIS licenses. To date, more than 130 jurisdictions have received these licenses to support their local planning activities.
If you would like to explore the RDP or take part in the LDX process, contact the Local Information Services Team at [email protected] or visit the Regional Hub at hub.scag.ca.gov.
The full Executive Director's Report and past reports will be available on the SCAG website.
UPCOMING MEETINGS
JUNE
16th Equity Working Group
21st Legislative/Communications and Membership
Committee
23rd Safe & Active Streets Working Group
28th Transportation Conformity Working Group
29th Regional Transit Technical Advisory Committee
30th Executive/Administration Committee Retreat
JULY
1st Executive/Administration Committee Retreat
6th Executive/Administration Committee
7th Regional Council & Policy Committees
19th Housing Working Group
19th Legislative/Communications and Membership
Committee
21st Technical Working Group
26th Transportation Conformity Working Group
27th Modeling Task Force
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GOVERNMENTS
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(213) 236-1800 | scag.ca.gov
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Transportation Corridor Agencies
For the June 9, 2022, Meeting
BOARD MEETING HIGHLIGHTS
F/ETCA BOARD OF DIRECTORS
Peggy Huang, Chair,
YORBA LINDA
Joseph Muller, Vice Chair,
DANA POINT
Trevor O’Neil,
ANAHEIM
Farrah Khan,
IRVINE
Scott Voigts,
LAKE FOREST
Patricia Kelley,
MISSION VIEJO
Mark A. Murphy,
ORANGE
Anthony Beall,
RANCHO SANTA MARGARITA
John Taylor,
SAN JUAN CAPISTRANO
David Penaloza,
SANTA ANA
Austin Lumbard,
TUSTIN
Donald P. Wagner,
COUNTY OF ORANGE, 3RD DIST.
Doug Chaffee,
COUNTY OF ORANGE, 4TH DIST.
Lisa Bartlett,
COUNTY OF ORANGE, 5TH DIST.
Ryan Chamberlain, Ex-Officio
Member, CALTRANS DIST. 12
SJHTCA BOARD OF DIRECTORS
Will O’Neill, Chair,
NEWPORT BEACH
Janine Heft, Vice Chair,
LAGUNA HILLS
Richard Hurt,
ALISO VIEJO
Arlis Reynolds,
COSTA MESA
Richard Viczorek,
DANA POINT
Farrah Khan,
IRVINE
Fred Minagar,
LAGUNA NIGUEL
Cynthia Conners,
LAGUNA WOODS
Patricia Kelley,
MISSION VIEJO
John Taylor,
SAN JUAN CAPISTRANO
David Penaloza,
SANTA ANA
Donald P. Wagner,
COUNTY OF ORANGE, 3RD DIST.
Lisa Bartlett,
COUNTY OF ORANGE, 5TH DIST.
Ryan Chamberlain, Ex-Officio
Member, CALTRANS DIST. 12
73/133/241/261 TOLL ROADS
TCA BOARDS APPROVE FISCAL YEAR 2023 BUDGETS
The Joint Boards of Directors of the Transportation Corridor Agencies (TCA) adopted Fiscal Year 2023 (FY23) budgets with expenditures totaling $278.6 million – $134 million for the San Joaquin Hills Transportation Corridor Agency (SJHTCA) and $144.6 million for the Foothill/Eastern Transportation Corridor Agency (F/ETCA).
The budgets focus on debt management, furtherance of transportation improvements, regional mobility and innovation. They also support activities from TCA’s recently adopted, inaugural Strategic Plan. Key highlights include:
• The F/ETCA’s first planned early paydown of bonds totaling $125 million using cash on hand • Advancing the 241/91 Express Connector, State Route (SR) 73 Catalina View Improvements and SR 241 Loma Improvements • Beginning implementation of TCA’s Saddle Club Preservation Property Site Use Plan • Research and planning efforts for innovative technologies and services that will shape transportation and position The Toll Roads as corridors of the future
The approved budgets will allow the Agencies to meet important financial obligations as well as reduce overall expenses, continue to advance priority projects, maintain TCA’s strong financial position, credit ratings status and meet investor expectations.
BOARDS ADOPT ANNUAL CAPITAL IMPROVEMENT PLAN
The Joint Boards of Directors approved TCA’s FY23 Capital Improvement Plan (CIP). The CIP is updated annually to provide a summary of completed projects and outline proposed traffic improvements for residents and commuters. The CIP reflects the Capital Project Delivery section of the Agencies’ recently adopted seven-year Strategic Plan.
The initial portion of the 73, 133, 241 and 261 Toll Roads (accounting for 20% of Orange County’s highway system) was built to accommodate future, long-planned median and interchange operational improvements on an as-needed basis to keep pace with changing traffic conditions, the needs of drivers and regional mobility.
Current Capital Projects anticipated to be completed by 2030, include advancing the 241/91 Express Connector Project, the SR 241 Loma Improvements and the SR 73 Catalina View Improvements.
The Boards have approved funding these projects from the Agencies’ cash reserves, without the need for securing additional debt or requesting support from local, state or federal funding sources.
LOCAL DIGITAL AGENCY APPROVED FOR WEBSITE DESIGN, DEVELOPMENT
AND MANAGEMENT SERVICES
Irvine-based digital agency Web Advanced has been selected to provide website design, development and management services to the Agencies.
TCA’s investments and use of digital assets like the website are essential to cost containment and appealing to consumer preferences for how they want to manage their account and pay tolls. The current version of TheTollRoads.com launched in 2016 and averages more than 133,000 daily page views, 13,000 monthly account sign-ups, approximately 200,000 self-performed FasTrak® account updates monthly and 700,000 toll payments each month.
Web Advanced – a digital agency leader for transportation agencies in Southern California with 22 years of experience with complex, data driven websites – was chosen after an intensive, five-month procurement process. Web Advanced will be responsible for maintenance and management of the existing website and a redesign of the stie to enhance the user experience.
STATE LEGISLATIVE DISCUSSIONS AND AB 2594 (TING)
Following legislative updates – including an overview of pending state legislation that impact tolling agencies and congressional activities related to transportation – it was approved for the SJHTCA and F/ETCA Chairs to send a revised position letter on behalf of the Boards to the California State Legislature regarding Assembly Bill 2594.
The authorization was extended after an update regarding the status of the bill and the collaborative efforts of the author to work with TCA and the other toll agencies to address statewide concerns. AB 2594 would make numerous changes to the administration of bridge, road and express lane toll operations and the author has tentatively agreed to include amendments that mitigate those concerns.
Once the amendments are incorporated into the published bill text, the Boards could remove their opposition. The bill has passed the Assembly and will be heard in a Senate Transportation Committee at the end of June, which will occur before the next TCA Joint Boards of Directors meeting, making the advance authorization beneficial to staff’s efforts.
Laboratory Report, June 16, 2022 Attachment No. 1
Vector of the Month
The Roof Rat, Rattus rattus
The roof rat (Rattus rattus) is the leading
cause of rodent problems in Orange County. The
Orange County Mosquito and Vector Control
District receives several thousand roof rat
service requests from county residents each year.
The roof rat is not native to North America,
but was introduced into the western hemisphere
by colonists from Asia and Europe (Old World).
The Norway rat (Rattus norvegicus) and the
house mouse (Mus musculus) were also
transported into North America from the Old
World. With its introduction into North
America at major sea ports on the east and west
coasts, the roof rat quickly adapted to local
conditions and spread unchecked across the
continent. The roof rat is now found in all major
cities in the United States where it has become a
significant nuisance and public health threat.
Historically, the roof rat was distinguished by
its habits and association with human activity.
This close association with humans represents
the attribute of a “commensal” species that
derives benefit by exploiting the actions of other
species.
A typical roof rat reaches a total length of
15 to 18 inches, including the tail, at maturity.
Most individuals have large eyes, prominent
ears, a scaly tail that is one third longer than the
body. Coloration of the fur among individual
rats is highly variable with some appearing light
brown, others dark brown, and a few nearly jet
black. The color of the “belly” fur ranges from
white to dark gray or charcoal. Roof rats rarely
survive beyond 1 to 2 years of age under
favorable conditions. The reproductive potential
of this species is phenomenal. Females bear an
average of six litters per year with each litter
containing from 6 - 8 young demonstrating why
this species is capable of rapidly infesting and
overwhelming urban neighborhoods.
Roof rats move about urban neighborhoods
by using overhead utility lines, interconnecting
walls and fences, alley ways, and occasionally
underground drains. Their movements are
related to foraging and maintaining territories.
Roof rats will consume almost all types of
food, including backyard fruits and vegetables,
seeds and nuts, dog and cat food, and garden
snails. Their foraging habits frequently cause
structural damage and loss of personal property.
It is not uncommon for the wiring of the family
car to be gnawed, stripped, or severed.
Roof rats carry a variety of disease agents
that affect humans. Outbreaks of bubonic plague
during the “Dark Ages” were attributed to poor
sanitation, abundant populations of “urban” rats,
and heavy flea infestations on both roof and
Norway rats. Today, plague does not pose a
significant health risk to the residents of large
metropolitan areas. The disease is largely
restricted to rural settings where domestic cats,
infected by wild rodents (e.g., ground squirrels),
are becoming increasingly involved with
pneumonic transmission to humans. Orange
County residents are fortunate because existing
ecological conditions apparently do not support
a consistent and detectable level of plague
activity. This is perplexing as most communities
in suburban habitats support sizable populations
of rats, cats, ground squirrels, and fleas.
Although infrequent, evidence of bubonic
plague, Salmonella bacteria and Seoul
(hantavirus) virus has been found in roof rats by
the OCMVCD laboratory.
Roof Rat, Rattus rattus
Laboratory Report, June 16, 2022 Attachment No. 2
How to Keep Rodents Out of a Gas Grill
By: Jessica Lietz Updated December 14, 2018
Mice and rats nest in quiet, dark and out-of-the-way locations. Gas barbecue grills provide a waterproof and safe shelter for vermin such as mice and rats to breed, with the added benefit of leftover bits of food on which they gnaw. Take a few hours out of your day to ensure that your gas grill won't attract any of these unwelcome guests.
1. Remove any nesting material from the grill. Wear gloves and a face mask to protect yourself from exposure to rodent droppings.
2. Clean the gas grill to remove the rodent pheromones and any lingering bits of food, rodent droppings and urine. Use a metal grill brush or spatula to scrape away charred pieces of food. Then use an abrasive sponge to clean all cooking surfaces with a solution of 1 tablespoon of dish detergent to 1 quart of water. Rinse away the soapy water and place the grill in the sun to dry, or dry it with an old towel.
3. Disinfect all the tools used for cleaning. You do not want to spread bacteria or viruses from rodents. Use a solution of 1/4 cup bleach to 1 gallon of water to disinfect the sponge, grill brush and spatula. Launder the towel in a hot wash cycle in your washing machine.
4. Attach a piece of sheet metal onto the grill to close openings if there are any rusty areas or holes in the grill kettle. Use self-tapping sheet metal screws to do this. Do not use steel wool in a gas grill since the steel will burn and melt. Close the lid of the grill after each use. Invest in a zippered cover to enclose the grill when it is not in use. These precautions will ensure rodents cannot get back into your gas grill.
5. Eliminate possible nesting areas and food sources for rodents. Seal any cracks in your home's foundation with caulking made for use on concrete and fill holes with steel wool; mice can gain access through a hole the size of a nickel. Clean up any water and put pet food into closed plastic or metal containers. Get rid of old clothes, furniture or newspapers that mice and rats use for nesting material. After each use of your grill, throw out food packaging, crumbs and fat drippings. Place mouse or rat traps around the grill if you notice mouse or rat droppings. If the grill is a permanent structure in your backyard, seal all entry points that rodents could use to gain access to the grill. Place a trap inside of the grill.
Things You Will Need
o Dish soap