HomeMy WebLinkAboutEngineering Solutions Services Inc; 2023-09-26; PSA24-2307UTILPSA24-2307UTIL
City Attorney Approved Version 5/25/2023
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AGREEMENT FOR STATE REVOLVING FUND LOAN ADMINISTRATION SERVICES
ENGINEERING SOLUTIONS SERVICES, INC.
THIS AGREEMENT is made and entered into as of the ______________ day of
_________________________, 2023, by and between the City of Carlsbad, California, a municipal
corporation ("City") and Engineering Solutions Services, Inc., a California Corporation ("Contractor").
RECITALS
A. City requires the professional services of a consultant that is experienced in professional
services.
B. Contractor has the necessary experience in providing professional services and advice
related to professional services.
C. Contractor has submitted a proposal to City and has affirmed its willingness and ability to
perform such work.
NOW, THEREFORE, in consideration of these recitals and the mutual covenants contained herein,
City and Contractor agree as follows:
1. SCOPE OF WORK
City retains Contractor to perform, and Contractor agrees to render, those services (the "Services") that
are defined in attached Exhibit "A", which is incorporated by this reference in accordance with this
Agreement’s terms and conditions.
2. STANDARD OF PERFORMANCE
While performing the Services, Contractor will exercise the reasonable professional care and skill
customarily exercised by reputable members of Contractor's profession practicing in the Metropolitan
Southern California area and will use reasonable diligence and best judgment while exercising its
professional skill and expertise.
3. TERM
The term of this Agreement will be effective for a period of one (1) year from the date first above written.
The City Manager may amend the Agreement to extend it for three (3) additional (1) year periods or parts
thereof. Extensions will be based upon a satisfactory review of Contractor's performance, City needs, and
appropriation of funds by the City Council. The parties will prepare a written amendment indicating the
effective date and length of the extended Agreement.
4. TIME IS OF THE ESSENCE
Time is of the essence for each and every provision of this Agreement.
5. COMPENSATION
The total fee payable for the Services to be performed during the initial Agreement term shall not exceed
forty-five thousand dollars ($45,000). No other compensation for the Services will be allowed except for
items covered by subsequent amendments to this Agreement. If the City elects to extend the Agreement,
the amount shall not exceed forty-five thousand dollars ($45,000) per Agreement year. The City reserves
the right to withhold a ten percent (10%) retention until City has accepted the work and/or Services
specified in Exhibit "A".
Incremental payments, if applicable, should be made as outlined in attached Exhibit "A".
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6. CONSTRUCTION MANAGEMENT SOFTWARE
Procore Project Management and Collaboration System. This project may utilize the Owner’s Procore
(www.procore.com) online project management and document control platform. The intent of utilizing
Procore is to reduce cost and schedule risk, improve quality and safety, and maintain a healthy team
dynamic by improving information flow, reducing non-productive activities, reducing rework and
decreasing turnaround times. The Contractor is required to create a free web-based Procore user
account(s) and utilize web-based training / tutorials (as needed) to become familiar with the system.
Unless the Engineer approves otherwise, the Contractor shall process all project documents through
Procore because this platform will be used to submit, track, distribute and collaborate on project. If
unfamiliar or not otherwise trained with Procore, Contractor and applicable team members shall
complete a free training certification course located at http://learn.procore.com/procore-certification-
subcontractor. The Contractor is responsible for attaining their own Procore support, as needed, either
through the online training or reaching out to the Procore support team. It will be the responsibility of the
Contractor to regularly check Procore and review updated documents as they are added. There will be no
cost to the Contractor for use of Procore.
It is recommended that the Contractor provide mobile access for Windows, iOS located at
https://apps.apple.com/us/app/procore-construction-management/id374930542 or Android devices
located at https://play.google.com/store/apps/details?id=com.procore.activities with the Procore App
installed to at least one on-site individual to provide real-time access to current posted drawings,
specifications, RFIs, submittals, schedules, change orders, project documents, as well as any deficient
observations or punch list items. Providing mobile access will improve communication, efficiency, and
productivity for all parties. The use of Procore for project management does not relieve the contractor of
any other requirements as may be specified in the contract documents.
7. STATUS OF CONTRACTOR
Contractor will perform the Services in Contractor's own way as an independent contractor and in pursuit
of Contractor's independent calling, and not as an employee of City. Contractor will be under control of
City only as to the result to be accomplished but will consult with City as necessary. The persons used by
Contractor to provide services under this Agreement will not be considered employees of City for any
purposes.
The payment made to Contractor pursuant to the Agreement will be the full and complete compensation
to which Contractor is entitled. City will not make any federal or state tax withholdings on behalf of
Contractor or its agents, employees or subcontractors. City will not be required to pay any workers'
compensation insurance or unemployment contributions on behalf of Contractor or its employees or
subcontractors. Contractor agrees to indemnify City within thirty (30) days for any tax, retirement
contribution, social security, overtime payment, unemployment payment or workers' compensation
payment which City may be required to make on behalf of Contractor or any agent, employee, or
subcontractor of Contractor for work done under this Agreement. At the City’s election, City may deduct
the indemnification amount from any balance owing to Contractor.
8. SUBCONTRACTING
Contractor will not subcontract any portion of the Services without prior written approval of City. If
Contractor subcontracts any of the Services, Contractor will be fully responsible to City for the acts and
omissions of Contractor's subcontractor and of the persons either directly or indirectly employed by the
subcontractor, as Contractor is for the acts and omissions of persons directly employed by Contractor.
Nothing contained in this Agreement will create any contractual relationship between any subcontractor
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of Contractor and City. Contractor will be responsible for payment of subcontractors. Contractor will bind
every subcontractor and every subcontractor of a subcontractor by the terms of this Agreement
applicable to Contractor's work unless specifically noted to the contrary in the subcontract and approved
in writing by City.
9. OTHER CONTRACTORS
The City reserves the right to employ other Contractors in connection with the Services.
10. INDEMNIFICATION
Contractor agrees to indemnify and hold harmless the City and its officers, officials, employees and
volunteers from and against all claims, damages, losses and expenses including attorney’s fees arising out
of the performance of the work described herein caused by any negligence, recklessness, or willful
misconduct of the Contractor, any subcontractor, anyone directly or indirectly employed by any of them
or anyone for whose acts any of them may be liable.
The parties expressly agree that any payment, attorney’s fee, costs or expense City incurs or makes to or
on behalf of an injured employee under the City’s self-administered workers’ compensation is included as
a loss, expense or cost for the purposes of this section, and that this section will survive the expiration or
early termination of this Agreement.
11. INSURANCE
Contractor will obtain and maintain for the duration of the Agreement and any and all amendments,
insurance against claims for injuries to persons or damage to property which may arise out of or in
connection with performance of the services by Contractor or Contractor’s agents, representatives,
employees or subcontractors. The insurance will be obtained from an insurance carrier admitted and
authorized to do business in the State of California. The insurance carrier is required to have a current
Best's Key Rating of not less than "A-:VII"; OR with a surplus line insurer on the State of California’s List of
Approved Surplus Line Insurers (LASLI) with a rating in the latest Best’s Key Rating Guide of at least “A:X”;
OR an alien non-admitted insurer listed by the National Association of Insurance Commissioners (NAIC)
latest quarterly listings report.
11.1 Coverage and Limits. Contractor will maintain the types of coverage and minimum limits indicated
below, unless the Risk Manager or City Manager approves a lower amount. These minimum amounts of
coverage will not constitute any limitations or cap on Contractor's indemnification obligations under this
Agreement. City, its officers, agents and employees make no representation that the limits of the
insurance specified to be carried by Contractor pursuant to this Agreement are adequate to protect
Contractor. If Contractor believes that any required insurance coverage is inadequate, Contractor will
obtain such additional insurance coverage, as Contractor deems adequate, at Contractor's sole expense.
The full limits available to the named insured shall also be available and applicable to the City as an
additional insured.
11.1.1 Commercial General Liability (CGL) Insurance. Insurance written on an “occurrence” basis,
including personal & advertising injury, with limits no less than $2,000,000 per occurrence. If a general
aggregate limit applies, either the general aggregate limit shall apply separately to this project/location
or the general aggregate limit shall be twice the required occurrence limit.
11.1.2 Automobile Liability. (if the use of an automobile is involved for Contractor's work for
City). $2,000,000 combined single-limit per accident for bodily injury and property damage.
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11.1.3 Workers' Compensation and Employer's Liability. Workers' Compensation limits as
required by the California Labor Code. Workers' Compensation will not be required if Contractor has no
employees and provides, to City's satisfaction, a declaration stating this.
11.1.4 Professional Liability. Errors and omissions liability appropriate to Contractor’s profession
with limits of not less than $1,000,000 per claim. Coverage must be maintained for a period of five years
following the date of completion of the work.
11.2 Additional Provisions. Contractor will ensure that the policies of insurance required under this
Agreement contain, or are endorsed to contain, the following provisions:
11.2.1 The City will be named as an additional insured on Commercial General Liability which
shall provide primary coverage to the City.
11.2.2 Contractor will obtain occurrence coverage, excluding Professional Liability, which will be
written as claims-made coverage.
11.2.3 This insurance will be in force during the life of the Agreement and any extensions of it
and will not be canceled without thirty (30) days prior written notice to City sent by certified mail pursuant
to the Notice provisions of this Agreement.
11.3 Providing Certificates of Insurance and Endorsements. Prior to City's execution of this Agreement,
Contractor will furnish certificates of insurance and endorsements to City.
11.4 Failure to Maintain Coverage. If Contractor fails to maintain any of these insurance coverages,
then City will have the option to declare Contractor in breach or may purchase replacement insurance or
pay the premiums that are due on existing policies in order to maintain the required coverages. Contractor
is responsible for any payments made by City to obtain or maintain insurance and City may collect these
payments from Contractor or deduct the amount paid from any sums due Contractor under this
Agreement.
11.5 Submission of Insurance Policies. City reserves the right to require, at any time, complete and
certified copies of any or all required insurance policies and endorsements.
12. BUSINESS LICENSE
Contractor will obtain and maintain a City of Carlsbad Business License for the term of the Agreement, as
may be amended from time-to-time.
13. ACCOUNTING RECORDS
Contractor will maintain complete and accurate records with respect to costs incurred under this
Agreement. All records will be clearly identifiable. Contractor will allow a representative of City during
normal business hours to examine, audit, and make transcripts or copies of records and any other
documents created pursuant to this Agreement. Contractor will allow inspection of all work, data,
documents, proceedings, and activities related to the Agreement for a period of three (3) years from the
date of final payment under this Agreement.
14. OWNERSHIP OF DOCUMENTS
All work product produced by Contractor or its agents, employees, and subcontractors pursuant to this
Agreement is the property of City. In the event this Agreement is terminated, all work product produced
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by Contractor or its agents, employees and subcontractors pursuant to this Agreement will be delivered
at once to City. Contractor will have the right to make one (1) copy of the work product for Contractor’s
records.
15. COPYRIGHTS
Contractor agrees that all copyrights that arise from the services will be vested in City and Contractor
relinquishes all claims to the copyrights in favor of City.
16. NOTICES
The name of the persons who are authorized to give written notice or to receive written notice on behalf
of City and on behalf of Contractor under this Agreement.
For City For Contractor
Name Shoshana Aguilar Name Sudi Shoja
Title Senior Management Analyst Title Project Manager
Department Utilities Department Address 23232 Peralta Dr., Ste. 112
City of Carlsbad Laguna Hills, CA 92653
Address 5950 El Camino Real Phone No. 949-637-1405
Carlsbad, CA 92008 Email sudi@engineeringsolutionsservices.net
Phone No. 760-814-0241
Each party will notify the other immediately of any changes of address that would require any notice or
delivery to be directed to another address.
17. CONFLICT OF INTEREST
Contractor shall file a Conflict of Interest Statement with the City Clerk in accordance with the
requirements of the City of Carlsbad Conflict of Interest Code. The Contractor shall report investments or
interests as required in the City of Carlsbad Conflict of Interest Code.
Yes ☐ No ☒
If yes, list the contact information below for all individuals required to file:
Name Email Phone Number
18. GENERAL COMPLIANCE WITH LAWS
Contractor will keep fully informed of federal, state and local laws and ordinances and regulations which
in any manner affect those employed by Contractor, or in any way affect the performance of the Services
by Contractor. Contractor will at all times observe and comply with these laws, ordinances, and
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regulations and will be responsible for the compliance of Contractor's services with all applicable laws,
ordinances and regulations.
Contractor will be aware of the requirements of the Immigration Reform and Control Act of 1986 and will
comply with those requirements, including, but not limited to, verifying the eligibility for employment of
all agents, employees, subcontractors and consultants whose services are required by this Agreement.
19. DISCRIMINATION AND HARASSMENT PROHIBITED
Contractor will comply with all applicable local, state and federal laws and regulations prohibiting
discrimination and harassment.
20. DISPUTE RESOLUTION
If a dispute should arise regarding the performance of the Services the following procedure will be used
to resolve any questions of fact or interpretation not otherwise settled by agreement between the parties.
Representatives of Contractor or City will reduce such questions, and their respective views, to writing. A
copy of such documented dispute will be forwarded to both parties involved along with recommended
methods of resolution, which would be of benefit to both parties. The representative receiving the letter
will reply to the letter along with a recommended method of resolution within ten (10) business days. If
the resolution thus obtained is unsatisfactory to the aggrieved party, a letter outlining the disputes will
be forwarded to the City Manager. The City Manager will consider the facts and solutions recommended
by each party and may then opt to direct a solution to the problem. In such cases, the action of the City
Manager will be binding upon the parties involved, although nothing in this procedure will prohibit the
parties from seeking remedies available to them at law.
21. TERMINATION
In the event of the Contractor's failure to prosecute, deliver, or perform the Services, City may terminate
this Agreement for nonperformance by notifying Contractor by certified mail of the termination. If City
decides to abandon or indefinitely postpone the work or services contemplated by this Agreement, City
may terminate this Agreement upon written notice to Contractor. Upon notification of termination,
Contractor has five (5) business days to deliver any documents owned by City and all work in progress to
City address contained in this Agreement. City will make a determination of fact based upon the work
product delivered to City and of the percentage of work that Contractor has performed which is usable
and of worth to City in having the Agreement completed. Based upon that finding City will determine the
final payment of the Agreement.
City may terminate this Agreement by tendering thirty (30) days written notice to Contractor. Contractor
may terminate this Agreement by tendering thirty (30) days written notice to City. In the event of
termination of this Agreement by either party and upon request of City, Contractor will assemble the work
product and put it in order for proper filing and closing and deliver it to City. Contractor will be paid for
work performed to the termination date; however, the total will not exceed the lump sum fee payable
under this Agreement. City will make the final determination as to the portions of tasks completed and
the compensation to be made.
22. COVENANTS AGAINST CONTINGENT FEES
Contractor warrants that Contractor has not employed or retained any company or person, other than a
bona fide employee working for Contractor, to solicit or secure this Agreement, and that Contractor has
not paid or agreed to pay any company or person, other than a bona fide employee, 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 warranty, City will have the right to annul this
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Agreement without liability, or, in its discretion, to deduct from the Agreement price or consideration, or
otherwise recover, the full amount of the fee, commission, percentage, brokerage fees, gift, or contingent
fee.
23. CLAIMS AND LAWSUITS
By signing this Agreement, Contractor agrees that any Agreement claim submitted to City must be
asserted as part of the Agreement process as set forth in this Agreement and not in anticipation of
litigation or in conjunction with litigation. Contractor acknowledges that if a false claim is submitted to
City, it may be considered fraud and Contractor may be subject to criminal prosecution. Contractor
acknowledges that California Government Code sections 12650 et seq., the False Claims Act applies to this
Agreement and, provides for civil penalties where a person knowingly submits a false claim to a public
entity. These provisions include false claims made with deliberate ignorance of the false information or in
reckless disregard of the truth or falsity of information. If City seeks to recover penalties pursuant to the
False Claims Act, it is entitled to recover its litigation costs, including attorney's fees. Contractor
acknowledges that the filing of a false claim may subject Contractor to an administrative debarment
proceeding as the result of which Contractor may be prevented to act as a Contractor on any public work
or improvement for a period of up to five (5) years. Contractor acknowledges debarment by another
jurisdiction is grounds for City to terminate this Agreement.
24. JURISDICTION AND VENUE
Any action at law or in equity brought by either of the parties for the purpose of enforcing a right or rights
provided for by this Agreement will be tried in a court of competent jurisdiction in the County of San
Diego, State of California, and the parties waive all provisions of law providing for a change of venue in
these proceedings to any other county.
25. SUCCESSORS AND ASSIGNS
It is mutually understood and agreed that this Agreement will be binding upon City and Contractor and
their respective successors. Neither this Agreement nor any part of it nor any monies due or to become
due under it may be assigned by Contractor without the prior consent of City, which shall not be
unreasonably withheld.
26. ENTIRE AGREEMENT
This Agreement, together with any other written document referred to or contemplated by it, along with
the purchase order for this Agreement and its provisions, embody the entire Agreement and
understanding between the parties relating to the subject matter of it. In case of conflict, the terms of the
Agreement supersede the purchase order. Neither this Agreement nor any of its provisions may be
amended, modified, waived or discharged except in a writing signed by both parties.
27. AUTHORITY
The individuals executing this Agreement and the instruments referenced in it on behalf of Contractor
each represent and warrant that they have the legal power, right and actual authority to bind Contractor
to the terms and conditions of this Agreement.
[signatures on following page]
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CONTRACTOR CITY OF CARLSBAD, a municipal corporation of
the State of California ENGINEERING SOLUTIONS SERVICES, INC., a
California corporation
By: By:
(sign here) Vicki V. Quiram, Utilities Director, as
authorized by the City Manager
Sudabeh Shojah
President, Secretary, & CFO
(print name/title)
By:
(sign here)
(print name/title)
If required by City, proper notarial acknowledgment of execution by contractor must be attached. If a
corporation, Agreement must be signed by one corporate officer from each of the following two groups.
Group A Group B
Chairman, Secretary,
President, or Assistant Secretary,
Vice-President CFO or Assistant Treasurer
Otherwise, the corporation must attach a resolution certified by the secretary or assistant secretary under
corporate seal empowering the officer(s) signing to bind the corporation.
APPROVED AS TO FORM:
CINDIE K. McMAHON, City Attorney
BY: _____________________________
Deputy City Attorney
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City of Carlsbad
Proposal to Provide
Clean Water State Revolving Fund Compliance Services for the
Supervisory Control and Data Acquisition (SCADA)
Modernization Project
Submitted By:
Engineering Solutions Services
23232 Peralta Drive, Suite112
Laguna Hills, CA 92653
(949)637-1405
EXHIBIT A
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~ngineering
OOolutions
E]ervices
Proposal to Provide
Clean Water State Revolving Fund Compliance Services for the
SCADA Modernization Project
1
Scope of Work
ESS has provided funding management and compliance monitoring services for state and federal
projects on behalf of several agencies since the start of our company. As you will read in the subsequent
sections, ESS’s approach to funding management and compliance monitoring is holistic and ensures that
all management and compliance tasks are met efficiency and promptly. Our approach can be broken
down into the below general tasks which are as follows:
1.CWSRF Management and Development of Work Plan Structure (WPS).
2.Procurement assistance to ensure project specifications and contractor documents meet the
requirements of the funding agreement.
3.Compliance with all applicable federal, state and local regulations such as required labor wages
(as-per the Davis-Bacon Act and CA Department of Industrial Relations), Disadvantaged
Business Enterprise (DBE) advertisements, American Iron and Steel (AIS), Buy America
regulations, and other requirements.
4.Assemble invoices and change orders, complete required forms, and coordinate with the City on
reimbursement requests.
5.Draft quarterly progress reports including environmental compliance, project schedule, and
amount of project expenses incurred.
6.Assist and coordinate CWSRF closeout process.
7.File records and coordinate the SWRCB project audit.
The subsequent sections provide more details regarding the above tasks and the specific actions ESS and
the City will have to perform to be in full compliance with SWRCB’s DWSRF funding guidelines.
TASK 1 – Kick-Off Meeting and Development of WPS
Summary of our general services for grants management is presented below:
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CWSRF Management
Funding Management Funding Close-Out
• Project File Share Set-up
• Identify and Compile Applicable
Regulations: CFR, State, and Local
• RFP/Project Engineering CWSRF
Compliance Specifications Preparation • Provide Audit Documentation
• Monitor Material Procurement • Final Project Invoicing
• CWSRF Reimbursement Request • Final Project Report
Invoicing • Participation in Final Project Audits
• CWSRF Quarterly Progress Reporting • Receipt of Final Funding Approval
• Monitor CWSRF Sunset
• Audit Management (Davis-Bacon, AIS,
DBE)
• CWSRF Close-out Process
gineering
olutions
ervices
Proposal to Provide
Clean Water State Revolving Fund Compliance Services for the
SCADA Modernization Project
2
Once the notice of intent to award has been issued, ESS will arrange for a meeting and will come
prepared with a WPS, which is a matrix of Federal (e.g., American Iron and Steel, Buy America, etc.),
State, and local compliance parameters. ESS prepares a WPS for all funding management efforts based
on the detailed analysis of the grant guidelines and the executed agreement. The WPS identifies detailed
funding requirements and populating it will help identify the necessary documents and resources, and
areas of responsibilities between team members and internal deadlines. The WPS will also serve as a
tool for both the City and ESS to track the required information and timing for full alignment with the
funding conditions.
Topics commonly found in the WPS include:
•SWRCB Funding: SWRCB agreement and related correspondence, and deadlines
•Internal Controls: Funding policies and/or internal control procedures
•Contracts: Advertising for implementation, consultant/contractor selection process and contracts,
and all related documents
•Invoices: Original vendor requests, identification of eligible and ineligible budget items, required
back up documents, change orders, approvals, reimbursement requests
•Accounting Records: Receipts, deposit slips, cancelled checks, bank statement ledgers for
receipts and disbursements
•Administration Costs: Contract and City personnel working on the project, timesheets, payrolls
and supporting documents
•Schedule: Project timeline, progress reports and reimbursement due dates leading to the funding
agreement deadline along with timelines for receiving the back-up documents
•Other related items such as photo documentation and as-builts
•ESS will propose monthly conference calls to learn about project status, update the schedule and
budget as needed and review upcoming deadlines.
A sample segment of a WPS appears below. It is organized for clarity and is an invaluable reference tool
that is used throughout the project compliance period. We will add the information gained at the Project
kick-off meeting to the WPS. We will also request a meeting with the SWRCB funding representatives
to discuss expectations and next steps. We will repeat these meetings periodically and specifically after
the first submittal to gain feedback and restructure our process if needed.
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gineering
olutions
ervices
Proposal to Provide
Clean Water State Revolving Fund Compliance Services for the
SCADA Modernization Project
3
Work Plan Structure Example
Requirements
Supporting
Documentation Resources Responsibility
Overseeing
Agency
1.0 FEMA Procurement Process
1.1 Micro Purchases
Contract aggregate amount < $3,500
• Do not require bids/solicitation
• Price must be reasonable and awarded to a responsible contractor
Local Agency CalOES
1.2 Small Purchases
Contracts < $150,000*
• Only qualified responsibly contractors should be solicited for quotes.
• Must receive an adequate number of quotes from qualified sources.
• If the lowest quote was not accepted, document the reason.
1.3 Sealed Bids
Contracts > $150,000*
• Advertised for bidding using an Invitation for Bids, and solicited to known contractors.
• Advertised period must provide sufficient time for contractors to respond.
• Minimum of 2 (preferably more) responsive/responsible bidders required.
Local Agency CalOES
1.4 Competitive Proposal
Contracts > $150,000*
• Price is negotiated after the contractor is selected.
• Must be advertised and the bid period must provide sufficient time for contractors to respond.
• Evaluation factors and their importance must be listed in the advertisement.
1.5 Non- Competitive Proposal
Acceptable when 1 or more of the following apply:
• The item is available only from a single source.
• Noncompetitive proposal was given express authorization from FEMA or CalOES.
2.0 Procurement Criteria
2.1 DBE Solicition Efforts
• Place DBEs/LSAs on solicitation lists & solicit to them when they are a potential source.
• Use the services of organizations such as Small Business Administrationa dn the Minority Business Development Agency.
• Require contractors who use subcontractors to follow the affirmative steps Good Faith Effort ESS
2.2 Labor Compliance Requirements
• Inclusion of federal wage determination in solicitation docuemnts.
• Update of the wage determination 10 days prior to bid openning.
• Inclusion of the labor compliance requirements in the contract docuemnts. ıŶ¯Labor
Compliance Requirements°Link to website±Link to website ESS
3.0 Local Financial Commitment Criteria
3.1 Financial Evaluation
There are two paths under this section: A Streamlined Financial Evaluation and if the sponsor does not meet that criteria then a
Standard Financial Evaluation must be complete. For both Project Financial Template; Financial Plan and supporting documentation
must be completed.
See Page 30-35: FY18 Reporting Instructions for the Section 5309 Small Starts Criteria.
Agreements with Cities and ESRI,
SANBAG Measure I 10 year
delivery plan, Measure I 2010-
2040 Strategic plan
Financial Assessment by
SANBAG & RailPros,
Project Cost Estimate
by HDR
SANBAG/RailPros/E
SS
Item
The following summarizes the information necessary to support the procurement criteria. Specific information on each of the criteria and measures can be found in the Hazard Mitigation Assistance Contracting Guidance published in
July 2018.
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olutions
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Proposal to Provide
Clean Water State Revolving Fund Compliance Services for the
SCADA Modernization Project
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Deliverable(s):
•Work Plan Structure for the SWRCB grant with tabs for agency records
•Meeting agendas
•Meeting minutes and updated WPS according to the input received in the meetings
✓ESS Team members have been successful in finalizing SWRCB grant agreements on
behalf of many agencies and are thoroughly familiar with all the grant requirements.
TASK 2 – Compliance with Grant Conditions, Federal, State, and City of Carlsbad Regulations
2.1 Proposal/Bid Procurement Assistance
ESS team members are thoroughly familiar with the requirements of the SWRCB CWSRF policy and
agreement details. ESS has experts on California Code of Regulations (CCR) and the Code of Federal
Regulations (CFR) requirements and ESS will guide the procurement and other compliance measures to
be followed throughout the life of the project. They will provide the required narratives to be included in
the procurement documents and will review the final package before their release. Prior to the
procurement process:
•ESS will provide the specification sections that need to be included in the RFP/bid documents.
•ESS will provide the applicable Federal Wage Determination issued within 10 days of the bid
opening and prepare an addendum as needed.
•ESS will assist in preparation of responses regarding questions that may come up during
proposal/bidding period.
2.2 Contract Award
ESS will use its extensive experience in project/construction management to assure a successful award
of the contract:
•Provide a comprehensive review of the RFP/bids for grant requirements including DBE, labor
compliance, and good faith efforts to assist in the assessment of contractor’s responsiveness.
•Review the proposal/bid package for compliance with other CWSRF requirements such as DBE,
and the required forms and certifications.
•Conduct consultant/contractor eligibility check before contract award.
Deliverable(s):
•Specification sections and addendums as needed
•Proposal/Bid review results
✓Our experience as former agency managers coupled with our expertise in managing
CWSRF projects will guarantee full compliance for the project.
TASK 3 – Grant Management
As mentioned in the previous section, ESS will work with SWRCB to ensure that all CWSRF
requirements are identified and achieved through a multistep process.
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3.1 Kick-Off Meeting
We will request to be added to the kick-off meeting agenda and will come prepared to provide the
consultant/contractor and the project management team with relevant information about the CWSRF
compliance and discuss a process to meet all the requirements.
ESS will also support the City of Carlsbad in other related requirements such as getting approval for
Project signage.
Deliverable(s):
•Documentation process for compliance with AIS, DBE and prevailing wages(if applicable)
•Review of Project sign template
3.2 Reimbursement Requests
ESS is thoroughly familiar with the types of information needed to complete the quarterly progress
report, reimbursement requests (Forms 259, 260, and 261). Depending on the CWSRF agreement
details, we are prepared to start the reimbursement process by:
1.Prepare the Final Budget Approval form and package that needs to be approved by SWRCB
management to allow for processing the reimbursement requests.
2.Process the reimbursement requests for planning and engineering expenses if stipulated in the
agreement.
3.ESS will request a copy of the invoices approved by the project management team.
4.ESS will review the invoices for eligible vs. ineligible expenditures and prepare reimbursement
forms accordingly and submit for City’s review and signature. ESS will request the appropriate
back up documents for all the eligible costs such as approved change orders.
Deliverable(s):
•Draft Reimbursement Requests for review and signature
•Submittal of finalized reimbursement requests to SWRCB
✓ESS has been processing reimbursement requests for a $50 million SRF funded project without
receiving comments or delays in payment for an agency with limited cash flow.
3.3 Progress Reports
As it is demonstrated in this proposal, ESS team members have extensive experience preparing progress
reports on behalf of various agencies. We will utilize our hands-on project management process to
develop the progress reports in a professional and consistent manner meeting the SWRCB requirements.
The following will be our proposed approach to receiving, storing, and organizing information, and
submitting progress reports, however, we remain flexible to meet the City’s preferred process:
1.ESS will request a copy of the weekly meeting minutes prepared by the project management team.
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2.We will then draft a progress report based on the information gained from the weekly meeting
minutes, approved progress payment and change orders.
3.ESS will then set up a conference call with the City’s Project Manager to ask questions and review
the categories on the template to gain additional information to complete the draft report
accordingly. This meeting time will allow all the questions to be answered in the most efficient
manner versus over several correspondences. Following this process has proven to relieve our clients
from dedicating extensive time to provide detailed information.
4.ESS will finalize the progress report based on the City’s comments. All progress reports will need to
have a complete photo documentation (mainly for the implementation portion) that will be added to
the final document.
5.We will review the draft final progress report to reaffirm compliance with SWRCB requirements.
ESS will then send the final draft version to the City for review and approval.
6.Once the progress report is approved by the City, ESS will request a signature and will submit the
documents to SWRCB. All project progress reports will be submitted through SWRCB’s Financial
Assistance Application Submittal Tool (FAAST).
ESS will create an archive of all the submitted documents and any review comments that may be
received from SWRCB. The progress reports are due quarterly and require the following information: a
summary of progress including a description of progress since the last report, percent project complete,
percent contractor invoiced, and percent schedule elapsed; a description of compliance with
environmental requirements, a listing of change orders including amount, description of work, and
change in contract amount and schedule, and any problems encountered, proposed resolution, schedule
for resolution, and status of previous problem resolutions.
3.4 Environmental Compliance
ESS will review the environmental documents and include all the compliance measures in the WPS for
tracking purposes. ESS will note the documentation for meeting the compliance requirements as they are
developed and keep all the records that will be used in progress reports, final close out and audit
sessions.
3.5 Schedule for Report Submission
The WPS will include a schedule for submission of the required progress reports, final reports, and
invoices. This schedule will also include dates for reminder notices that will be sent to City staff for the
required information to meet the grant deadlines.
Deliverable(s):
•Checklist of information needed to complete draft quarterly progress reports will be sent with
reminders for upcoming deadlines
•Draft progress reports with updates on environmental process
•Finalize progress reports and submit to SWRCB
✓ESS will take full responsibility for all timelines and reminders to meet the grant
requirements.
✓ESS Project Managers bring their extensive experience on similar projects to create the
project documents and develop accurate and credible progress reports.
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3.6 DBE, AIS, and BABA requirements
ESS will review the DBE requirements, six good faith efforts, sub-contractor’s certifications and
payments for full compliance with SWRCB.
ESS will also review all updated AIS requirements and will identify all project components that are
required to comply with AIS based on the contractor’s cost items and components. ESS will
continuously check submittals of project components to ensure that all relevant steel products have the
required AIS certificates and will communicate De Minis requirements for minor components in the
project.
ESS will also review the applicable Buy America- Build America requirements and will inform the City
of the applicable section(s) to the Project as needed.
Deliverable(s):
•Ensure relevant six good faith efforts were achieved and DBE certifications (forms SWRCB 4500-
2,3,4) for subcontractors proposed for project implementation are obtained
•List of Project components that are required to comply with AIS
•Continuous monitoring of DBE requirements and Project submittals to ensure products purchased
have the required AIS certificates
•Ensure compliance with applicable BABA requirements (if applicable)
✓SWRCB conducted a stress-free audit on the $50 million wastewater treatment plant
project that ESS is managing for the City of Richmond and confirmed compliance with all
SRF requirements
3.7 Labor Compliance to meet EPA Requirements
Due to the nature of the Project, ESS proposes to facilitate a meeting with SWRCB Compliance Project
Manager to discuss the applicability and requirements of the grant for City’s Project.
While the project must meet EPA requirements, it also has to abide by the State Department of Industrial
Relations requirements. ESS will review the contract documents for applicable wage determination and
will discuss posting of the required information on site with the project inspectors. Certified payrolls
including all subcontractors will be requested. In addition, contractor will be required to provide
documentation about apprentice certifications and labor union agreements as needed.
ESS will coordinate with the City’s Project Manager to perform the monthly interview of all labor
classifications as-needed.
Deliverable(s) if deemed necessary:
•Meeting with SWRCB Compliance Department agenda and minutes
•Review certified payroll, fringe benefits, and various labor unions for the contractor and the
subcontractors on the project to meet the wage determination applicable to the project
•Review of employee interview & comparison with certified payroll
•Follow up on any incompliance or inconsistencies. ESS will set up tracking documents and will let
the project management team know of any non-compliance matters in a timely manner
•ESS will support the team in filling out the required EPA form 5700-52a
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TASK 4 – Project Closeout
ESS will prepare the closeout documents according to the SWRCB closeout guidance. ESS will work
with SWRCB to facilitate a site inspection visit so they can prepare an inspection report. ESS will also
include copies of audit reports performed to date as part of the closeout documentation. Environmental
compliance and its documentation will be another key subject for the project closeout. In summary, ESS
will prepare for the closeout from the kickoff meeting and will compile the information and
documentation collected through the life of the project to complete the closeout document. ESS will
make sure that all the SWRCB comments (if any) are addressed within the designated time.
4.1 Project Documentation
As it is noted above, the WPS will include all the project compliance requirements including Federal,
State and City requirements, environmental compliance measures along with details and checklists for
progress reports, reimbursement requests and project closeout.
The WPS will guide both the City staff and ESS in meeting all the requirements and provide a timeline
for managing the grant agreement. Using this comprehensive checklist developed by our SWRCB
experts will allow us to notify the City of any issues in a timely manner and reconcile as needed.
Depending on the City’s preferences, ESS will create a secured shared-drive folder to provide access for
all the documents. Additionally, ESS will format the shared-drive folders to meet the SWRCB audit
requirements to ensure optimal organization. Document will need to be submitted electronically to
SWRCB and record of all submission records will be filed and reported to the City’s Project Manager at
submission. SWRCB’s funding reporting System (FAAST) will be used for submittal of all
reimbursements and reports.
Deliverable(s):
•Filing system and access information
•Submittal confirmations for reports and reimbursement records
•Final transfer of grant records to the City in the desired format
4.2 Audit Preparation
As noted above, we will start setting up for a successful and stress-free audit from our kick-off meeting.
WPS will guide us on where to locate the applicable documents.
Upon notice of an audit request, ESS will communicate with SWRCB to learn about the preferred
method of reviewing documents: electronic or hard copy submittals. Based on their response, ESS will
prepare Audit Books (if paper copies are preferred) for each project that will contain the up-to-date
information for the audit. Our detailed filing system will allow us to be ready for an audit session at any
given time. We will also utilize our audit check list to review the documents needed and prepare for the
meeting. Including are some of the details that will be provided:
1.General Grant Requirements: internal controls, organization charts, City’s procurement policy,
grant policies and/or internal control procedures.
2.CWSRF Agreements:
•CWSRF Agreement: Fully executed funding agreement and amendments (if any).
•Correspondence with SWRCB.
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3.Project Specific Documents:
•Solicitation process documentation, detailing history of the process, and selection
process.
•Price/cost analysis, final budget approval form and supplemental documents, final
agreement(s), consultant/construction contracts. Contracts need to include required
contract provisions.
•Environmental compliance and documentation of mitigation measures.
•Progress Reports: submitted package along with all the backup documents.
•Reimbursement Requests: submitted reimbursement records along with all back up
documents and confirmations.
•Cash Documents: receipts, deposit slips, cancelled checks, and bank statements.
•Accounting Records: ledgers for receipts and cash disbursements.
•Project Completion Reports for approval of work, copies of completed studies and
project documents, final payments and as-builts for the construction phase.
•Contractor Invoices: records of all submitted invoices and records of payments by the City.
•Backup Documents: original vendor requests, identification of eligible and ineligible
budget items, back up documents, approvals, reimbursement requests
✓ESS was complimented by SWRCB and Federal auditors during an audit session for the $29
million wastewater treatment plant for the City of Palm Springs
✓ESS completed a successful audit on a $50 million CWSRF project in June 2023
TASK 5 – Quality Assurance/Quality Control (QA/QC)
Quality assurance begins with our highly qualified professional staff and project managers. Sudi Shoja will
serve as the project manager and the primary point of contact throughout the life of this contract. She will be
responsible for coordinating all work products, ESS team assignments, and staff assignments for this
project. Although our QA process is not unique, the intensity with which we carry out our QA process is the
foundation for our success.
We follow three principles:
•Do it right the first time: The more accurate the deliverable, the better the control.
•Avoid surprises: Keep our clients apprised of any potential issues or changes through clear and
consistent communication.
•Complete the project within budget and on time: Close schedule and cost monitoring keeps the
project on track.
As it is discussed above, ESS personnel have been responsible for similar work as employees and as
consultants. This ensures that all work products will be consistent, accurately reflect the scope of the
proposed project, and appropriately maintain internal consistency and accuracy. We will use meetings
and conference calls as needed during document development to facilitate discussion of issues, reviews
of preliminary and administrative drafts, and timely completion of each task. We value the opportunity
to serve as your consultant and our commitment to exhibit an exceptional level of transparency, ethics,
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and customer service is reflected throughout this RFP response. Also included in this commitment is our
pledge to solicit feedback regularly from the agency staff.
Methods that help assure quality include:
1.ESS uses a proactive method to develop a WPS to outline all the compliance requirements,
identify the necessary documents and resources, areas of responsibilities between team members
and internal deadlines. The WPS will also serve as a tool to track the project progress and
alignment with the funding by both City and ESS staff members.
2.Progress meetings and issuance of meeting minutes: ESS expects that the City will make staff roles
clear and inform ESS of any preferences in how staff are contacted.
3.Established process for review and final approval of submittals with ample time for the City staff.
4.Status report that will include updates on submitted reports and reimbursements.
5.ESS staff are trained to track their time spent on every project accurately and in 15 minutes
durations.
6.As a matter of course, ESS includes in all on-call contracts a monthly report that itemizes areas our
client would like to see summarized, along with invoices indicating actual times spent.
7.ESS conducts a post-submittal review of the process with City staff to receive input on the
completed process and to modify approach to gain maximum efficiency and client satisfaction. We
propose to have a review session after the first quarterly report submittal.
8.ESS will follow up with SWRCB on all submittals and revisit our process as needed.
9.ESS also performs annual surveys from its clients to find out on how to better serve them. Some of
the comments received are shared earlier in this RFP response.
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Cost Estimate
The cost of the as-needed grant compliance services, including reporting and filing reimbursements,
AIS, BABA, DBE monitoring will be billed on a time and materials basis for a recommended amount
of $45,000 without the prior written authorization of the City. As previously mentioned, ESS does not
propose any subcontracting for this project.
Discipline: Hourly Rate:
Principal/Project Manager $195
Project Engineer $185
Senior Grant Analyst $175
Grant Analyst $165
Clerical $87
Reimbursable: Cost:
Reproduction Cost
Courier Service Cost
Travel Cost
Transportation $0.57 per mile
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