HomeMy WebLinkAbout2011-01-05 PacketCITY OF UKIAH
CITY COUNCIL AGENDA
Regular Meeting
CIVIC CENTER COUNCIL CHAMBERS
300 Seminary Avenue
Ukiah, CA 95482
January 5, 2011
6:00 p.m.
1. ROLL CALL
2. PLEDGE OF ALLEGIANCE
3. PROCLAMATIONS/INTRODUCTIONS/PRESENTATIONS
a. Proclamation: National Mentoring Month
4. PETITIONS AND COMMUNICATIONS
5. APPROVAL OF MINUTES
a. Regular Minutes of December 15, 2010
6. RIGHT TO APPEAL DECISION
Persons who are dissatisfied with a decision of the City Council may have the right to a review of that decision by a court.
The City has adopted Section 1094.6 of the California Code of Civil Procedure, which generally limits to ninety days (90)
the time within which the decision of the City Boards and Agencies may be judicially challenged.
7. CONSENT CALENDAR
The following items listed are considered routine and will be enacted by a single motion and roll call vote by the City
Council. Items may be removed from the Consent Calendar upon request of a Councilmember or a citizen in which event
the item will be considered at the completion of all other items on the agenda. The motion by the City Council on the
Consent Calendar will approve and make findings in accordance with Administrative Staff and/or Planning Commission
recommendations.
a. Update Report On Local Emergency Declaration Regarding Drought And Water Shortage
Status
b. Update Report Regarding Status Of Water Emergency Conditions Necessitating
Emergency Resolution To Expedite Construction Of Oak Manor Drive Water Well
C. Report Of Acquisition Of Professional Consulting Services From EBA Engineering For
Preparation Of Mandated Reports For The Ukiah Landfill
8. AUDIENCE COMMENTS ON NON-AGENDA ITEMS
The City Council welcomes input from the audience. If there is a matter of business on the agenda that you are
interested in, you may address the Council when this matter is considered. If you wish to speak on a matter that is not
on this agenda, you may do so at this time. In order for everyone to be heard, please limit your comments to three (3)
minutes per person and not more than ten (10) minutes per subject. The Brown Act regulations do not allow action to be
taken on audience comments in which the subject is not listed on the agenda.
9. PUBLIC HEARINGS (6:15 PM)
10. UNFINISHED BUSINESS
a. Re-Adoption Of Ukiah Mobilehome Park Rent Stabilization Ordinance
b. Report On Award Of Bicycle Transportation Agreement (BTA) Funding For The NWP Rail
Trail Phase 1 Project, Authorize City Manager To Execute The BTA Agreement, And
Approve Budget Amendment
C. Status Report And Consideration Of Prequalification Process For Riverside Park
Development Project Funded By California Resources Agency River Parkways Grant
d. Update In Connection With Administrative Civil Liability Complaint No. R1-2010-0070 As
Issued By The California Regional Water Quality Control Board
11. NEW BUSINESS
a. Discussion And Possible Appointment Of Planning Commission Members
b. Approve The Purchase Of A Backhoe To Case Power & Equipment In The Amount Of
$102,748.90.
C. Report to City Council of Proposal to Explore Comprehensive Efficiency and Conservation
Measures Program and Authorization of City Manager to Sign Decision Schedule with
Honeywell
12. COUNCIL REPORTS
13. CITY MANAGERXITY CLERK REPORTS
14. CLOSED SESSION - Closed Session may be held at any time during the meeting
a. Conference with Le al Counsel -Existin Litigation
Government Code Section 54956.9
Name of case: (Ukiah Valley Sanitation District v. City of Ukiah, SCUK1057183
b. Conference with Legal Counsel-Anticipated Litigation Initiation of litigation pursuant to
subdivision c of Government Code Section 54956.9: (1 case)
C. Conference with Labor Negotiator 54957.6)
Agency Representative: Jane Chambers, City Manager
Employee Organizations: Miscellaneous Unit and Management Unit
d. Conference with Real Property Negotiators (§54956.8)
Property: APN 180-080-57, 58, 59, 62, 63, 64, 65, 66, 67, and 180-110-08, 09, 10
Negotiator: Jane Chambers, Executive Director
Negotiating Parties: Ukiah Redevelopment Agency and Northwest Atlantic (Costco)
Under Negotiation: Price & Terms
15. ADJOURNMENT
Please be advised that the City needs to be notified 72 hours in advance of a meeting if any specific
accommodations or interpreter services are needed in order for you to attend. The City complies with ADA
requirements and will attempt to reasonably accommodate individuals with disabilities upon request.
Materials related to an item on this Agenda submitted to the City Council after distribution of the agenda packet are
available for public inspection at the front counter at the Ukiah Civic Center, 300 Seminary Avenue, Ukiah, CA
95482, during normal business hours, Monday through Friday, 8:00 am to 5:00 pm.
I hereby certify under penalty of perjury under the laws of the State of California that the foregoing agenda was
posted on the bulletin board at the main entrance of the City of Ukiah City Hall, located at 300 Seminary Avenue,
Ukiah, California, not less than 72 hours prior to the meeting set forth on this agenda.
Dated this 29th day of December 2010.
JoAnne Currie, City Clerk
3a
PROC LAMATION
UMA City Couneil
"National Mentoring Month"
WHEREAS, the future of Mendocino County rests on the hopes and dreams of its
children and youth; and
WHEREAS, mentors offer valuable encouragement, motivation and hope for our
youth by providing a consistent role model,
WHEREAS, too many youth will face struggles with alcohol and other drugs,
gangs, teen pregnancy and educational failure; and
WHEREAS, research has shown mentored youth are 52% less likely to skip a day of
school, 46% less likely to start using drugs, and 27% less likely to start drinking; and
WHEREAS, relationships with caring mentors offer youth valuable encouragement,
motivation and support to guide them toward making positive choices; and
WHEREAS, mentor programs, mentor collaboratives, public, private and faith-
based organizations throughout California are committed to increasing the number of
trained mentors statewide,
WHEREAS, partnerships between businesses, education and mentoring programs
are an effective way for businesses to support youth within their community,
WHEREAS, mentoring before, during and after school has become an effective
strategy used by schools to increase student attendance and academic performance,
WHEREAS, mentoring collaboratives that are supported by the entire community
(i.e., the local chamber, local law enforcement, service clubs, faith- based organizations,
local media organizations, etc.) are more visible and therefore more successful,
WHEREAS, hundreds of Mendocino County youth are waiting for mentors; and
WHEREAS, National Mentoring Month provides an opportunity to recognize and
commend the efforts of these programs and raise community awareness of the importance
of mentoring and the need for trained mentors;
NOW, THEREFORE BE IT RESOLVED, that the Ukiah City Council does hereby
recognize January 2011 as "National Mentoring Month," and encourages Mendocino
County residents to honor the role models in their lives by becoming mentors to youth in
their community and supporting the work of two mentoring agencies in the County: Big
Brothers Big Sisters of Mendocino County, and Court Appointed Special Advocates, as well
as other mentoring venues.
DATED: January 5, 2011
Mari Rodin, Mayor
Item 5a
CITY OF UKIAH
CITY COUNCIL MINUTES
Regular Meeting
CIVIC CENTER COUNCIL CHAMBERS
300 Seminar Avenue
Ukiah, CA 95482
12/15/2010
6:00 pm
1. ROLL CALL
Ukiah City Council met at a Regular Meeting on December 15, 2010, the notice for
which being legally noticed on December 10, 2010. Mayor Thomas called the meeting to
order at 6:02 pm. Roll was taken with the following Councilmembers present: Landis,
Crane, Rodin, Baldwin, and Mayor Thomas. Councilmembers absent: None. Staff
present: City Manager Chambers, Assistant City Manager Sangiacomo, City Attorney
Rapport, Deputy Director of Public Works-Engineering and Streets Seanor, Community
Services Administrator Merz-Marsolan, Interim Finance Director Carmichael, Finance
Controller Newell, Finance Director Elton, and City Clerk Currie.
2. PLEDGE OF ALLEGIANCE
3. PROCLAMATIONS/INTRODUCTIONS/PRESENTATIONS
a. Adoption of Resolution Declaring Results of Statewide General Municipal
Election of November 2, 2010 and Swearing in Ceremony for Councilmembers
Landis, Thomas, and Baldwin.
City Clerk Currie presented the item. Recommended Action(s): 1) Adopt
Resolution Reciting the Fact of the General Municipal Election held on November
2, 2010, Declaring the Result and Such Other Matters as Provided by Law. 2)
Direct the City Clerk to enter into the minutes a statement of results. 3) Direct the
City Clerk to present the Certificates of Election and Administer the Oath of
Office to the Newly Elected Officials
M/S Councilmember Rodin/Baldwin to approve Adoption of Resolution
Declaring Results of Statewide General Municipal Election of November 2, 2010.
Motion carried by the following roll call votes: AYES: Councilmember Landis,
Crane, Rodin, Baldwin, and Mayor Thomas. NOES: None. ABSENT: None.
ABSTAIN: None.
City Clerk Currie read a statement of election results, which is included for the
record. The whole number of ballots cast was 4759; the names of the persons
voted for member of city council were Mary Anne Landis with a total of 2366
votes, Benj Thomas with a total of 2294 votes, Phil Baldwin with a total of 2293
votes, and Kevin R. Grant with a total of 1750 votes; No measure(s) were voted
upon; and The number of votes given at each precinct to each person:
Page 1 12/15/2010
Precinct
Thomas
Grant
Baldwin
Landis
200001
95
86
82
80
200002
47
41
54
46
200003
298
212
263
292
200004
261
199
243
290
999122
0
1
0
0
999201
0
0
0
0
999202
103
66
82
104
999203
73
.66
68
82
999204
67
55
78
66
999205
85
88
70
93
999206
40
45
50
42
999207
35
30
42
31
999208
41
36
- - 57
38
999209
26
19
34
30
999211
64
36
84
65
999212
39
35
55
38
999213
71 T
55
88
68
999214
51
27
61
47
999215
92
42
88
97
999216
185
121
167
198
999217
35
10
36
35
999218
48
35
52
55
999219
58
42
73
60
999220
107
69
74
109
999221
0
0
0
0
999222
58
44
55
56
999223
39
29
79
55
999225
13
12
13
14
999226
24
30
35
31-
999227
43
36
48
42
999228
34
36
31
38
999229
69
63
55
68
999230
29
34
24
33
999231
64
48
52
61
999235
0
2
0
2
Total
Votes
2294
1750
2293
2366
Page 2
12/15/2010
Councilmembers Landis, Thomas, and Baldwin accepted a certificate of election
and gave an oath of office.
b. Incoming/Outgoing Mayor Presentations
Incoming Mayor Rodin presented outgoing Mayor Thomas with a plaque.
C. Reorganization of Council
Mayor Rodin assumed the gavel and presided over the meeting.
4. PETITIONS AND COMMUNICATIONS
5. APPROVAL OF MINUTES
a. Regular Minutes of December 1, 2010
M/S Baldwin/Thomas to approve minutes of December 1, 2010, as amended.
Motion carried by all AYE voice vote.
6. RIGHT TO APPEAL DECISION
7. CONSENT CALENDAR
a. Report of Disbursements for the Month of November 2010
b. Approval of Notice of Completion for Street Striping 2010, Specification No. 10-
16
C. Update Report on Local Emergency Declaration Regarding Drought and Water
Shortage Status
d. Update Report Regarding Status of Water Emergency Conditions Necessitating
Emergency Resolution to Expedite Construction of Oak Manor Drive Water Well
e. Approval of Notice of Completion for the Electrical Installation of Musco Sports
Cluster Green System and Site Utility Infrastructure at Anton Stadium,
Specification No. 10-07
f. Award of Bid for Purchase of Two Police Patrol Vehicles in the Amount of
$57,567.88 to Hoblit Motors
g. Adopt Resolution Authorizing Removal of Twenty Four Minute Parking Zone at
238-A Hospital Drive
M/S Thomas/Crane to approve Consent Calendar items 7a-7g. Motion carried by the
following roll call votes: AYES: Councilmembers Landis, Thomas, Crane, Baldwin, and
Mayor Rodin. NOES: None. ABSENT: None. ABSTAIN: None.
8. AUDIENCE COMMENTS ON NON-AGENDA ITEMS
Don Larson reported that in October 2010, Willits had a 10,000 step walk around the
community for a week of commemorating health and planet and suggested Ukiah hold
similar events.
Page 3 12/15/2010
JR Rose congratulated Councilmembers Landis, Thomas, and Baldwin on the election
and welcomed Mayor Rodin and Vice Mayor Landis. He reminded Council about his
cable show and invited them to participate.
9. PUBLIC HEARINGS (6:15 PM)
10. UNFINISHED BUSINESS
a. Adoption of the Identity Theft Prevention Program '
Finance Controller Newell and Finance Director Elton presented the item.
Recommended Action(s): Adopt the Identity Theft Program.
MIS Landis/Baldwin to approve Adoption of the Identity Theft Prevention
Program. Motion carried by the following roll call votes: AYES: Councilmembers
Landis, Thomas, Crane, Baldwin, and Mayor Rodin. NOES: None. ABSENT:
None. ABSTAIN: None.
b. Adoption of Resolution Amending Resolution No. 2009-07 Establishing
Utility Deposits, Service Fees and Rules Governing Utility Deposits
Finance Controller Newell and Finance Director Elton presented the item.
Recommended Action(s): Adopt Resolution amending Resolution 2009-07
establishing utility deposits, service fees and rules governing utility deposits.
M/S Crane/Landis to approve Recommended Action. Motion carried by the
following roll call votes: AYES: Councilmembers Landis, Thomas, Crane,
Baldwin, and Mayor Rodin. NOES: None. ABSENT: None. ABSTAIN: None.
C. Approve Plans and Specifications No. 10-19 for Renovation of Ukiah
Municipal Swimming Pool Facility
Community Services Administrator Merz-Marsolan presented the item.
Recommended Action(s): Approve plans and specifications no. 10-19 for
Renovation of 25 yard Swimming Pool and Pool House.
M/S Landis/Thomas to approve Plans and Specifications No. 10-19 for
Renovation of the 25 yard Swimming Pool and Pool House. Motion carried by
the following roll call votes: AYES: Councilmembers Landis, Thomas, Crane,
Baldwin, and Mayor Rodin. NOES: None. ABSENT: None. ABSTAIN: None,
d. Issuance of Request for Proposal for Enterprise Resource Planning
Software
Interim Finance Director Carmichael and Finance Director Elton presented the
item. Recommended Action(s): Approve the issuance of the Enterprise
Resource Planning Software and Service Request for Proposal.
Page 4 12/15/2010
M/S Landis/Crane to approve Issuance of Request for Proposal for Enterprise
Resource Planning Software. Motion carried by the following roll call votes:
AYES: Councilmembers Landis, Thomas, Crane, Baldwin, and Mayor Rodin.
NOES: None. ABSENT: None. ABSTAIN: None.
e. Award of Contract to Carollo Engineers for Engineering Services to
Prepare the Recycled Water Master Plan
MIS Crane/Landis to approve Recommended Action
Deputy Director of Public Works Engineering and Streets Division Seanor
presented the item. Recommended Action(s): Award contract to Carollo
Engineers for the preparation of the Recycled Water Master Plan.
Motion carried by the following roll call votes: AYES: Councilmembers Landis,
Thomas, Crane, Baldwin, and Mayor Rodin. NOES: None. ABSENT: None.
ABSTAIN: None.
f. Discussion and Possible Action to Approve of Authorize the City
Manager/Executive Director to Negotiate and Execute an Exclusive
Negotiating Agreement With Costco Wholesale Corporation
Heard at the Ukiah Redevelopment Agency Meeting. Item continued.
11. NEW BUSINESS
a. Fiscal Year-End June 30, 2010 Projections Update
City Manager Chambers and Finance Director Elton presented the item.
Headings for Attachment 1 and 2 should be Adopted and Current Projection
instead of Manager Proposal and Council Approved. Recommended Action:
Receive update report.
City Council received report.
b. Discussion and Possible Action Regarding Council Board, Committee,
and Commission Appointments
Mayor Rodin presented the item. Recommended Action(s): Discuss and
appointment of City Councilmembers to various boards, committees, and
commissions.
LAFCO board has two city seats, one is Ukiah with Ukiah's alternate being
Willits. If the alternate be someone from City of Ukiah instead of Willits,
Councilmember Thomas will be the alternate.
Page 5 12/15/2010
COMMITTEE
ASSIGNED TO
Greater Ukiah Chamber of Commerce Liaison
Thomas
ex officio
Landis/Alternate
City Selection Committee
Mayor
Investment Oversight Committee
Thomas
Library Advisory Board
Thomas
Landis/Alternate
Main Street Program Board of Directors
Thomas
ex officio
Landis/Alternate
Mendocino Council of Governments (MCOG)
Rodin
Thomas/Alternate
Mendocino County Inland Water and Power
Thomas
Commission
Baldwin/Alternate
Mendocino County Airport Land Use Commission
Mayor
Mendocino Solid Waste Mgmt. Authority (MSWMA)
Landis
Baldwin/Alternate
Mendocino Transit Authority (MTA) Board of Directors
Thomas
Baldwin/Alternate
Northern California Power Agency (NCPA)
Thomas
Electrical Utility
Director/Alternate
Transmission Agency of Northern California (TANC)
Thomas/Public Utility
Director
Russian River Watershed Association
Rodin
Landis/Alternate
Sun'House Guild ex officio liaison
Thomas
Economic Development & Financing Corp. (EDFC)
Landis
Rodin/Alternate
Mendocino County Local Area Formation Commission
Rodin
(LAFCO)
Holly Madrigal
(Willits)/Alternate
Public Advisory Committee (Courthouse)
Rodin/Landis
Exploration w/City Hauler of Solid Waste Disposal
Landis/Thomas
Alternatives
Sales Tax Sharing
Rodin/Baldwin
UVSD Governance
Baldwin/Landis
By consensus, City Council accepted appointments.
Councilmember Baldwin expressed
more of a say through the liaisons
committees. Staff is to. look at
opportunities.
his concern regarding City Council having
to the various boards, commissions, and
how to agendize such liaison reporting
Page 6 12/15/2010
12. COUNCIL REPORTS
Councilmember Crane expressed a concern regarding a potential breach of Brown Act
issue in the form of a serial meeting of an email from a firm on behalf of someone who
wants to develop in Ukiah. The email was forwarded to all Councilmembers by staff and
requested City Manager Chambers look into it.
Mayor Rodin reported that the Mendocino Council of Governments on December 6,
2010, awarded Ukiah $66,215 from the Local Transportation Fund 2% Bicycle &
Pedestrian Funding for the NWP Rail Trail, Phase 1 project. This amount will serve as
the 10% match to the City's NWP Rail Trail, Phase 1 Bicycle Transportation Account
(BTA) funded project. Rodin also reported that a League of California Cities Redwood
Region meeting is being held in Cloverdale, Friday. January 14, 2011, and maybe a
councilmember will attend.
Councilmember Baldwin inquired if the, City has existing protocol for Councilmember
meeting with vendors or contractors. Baldwin requested the sign and code enforcement
regarding commercial signage be agendized. He also requested agendizing
reestablishing polling places to Ukiah in March.
Councilmember Thomas, at the request of Doug Hammerstrom, accepted an
appointment on the Community Services Policy Committee and reported Andrea Ivy with
Main Street resigned.
Councilmember Landis requested local purchasing preference be agendized
13. CITY MANAGER/CITY CLERK REPORTS
City Manager Chambers reported that the legality of the publishing of the Mobilehome
Rent Stabilization Ordinance is being questioned by Bruce and Judy Hatch. The
ordinance will be brought back for readoption in January 2011. Chambers reported that
a letter was received from Google Fiber; they are taking more time to make the selection
because more than 1,100 cities applied.
No Closed Session.
14. CLOSED SESSION - Closed Session may be held at any time durinq the meeting
a. Conference with Legal Counsel -Existing Litigation
Government Code Section 54956.9
Name of case: (Ukiah Valley Sanitation District v. City of Ukiah, SCUK1057183
b. Conference with Legal Counsel. Anticipated Litigation
Initiation of litigation pursuant to subdivision c of Government Code Section
54956.9: (1 case)
C. Conference with Labor Negotiator 54957.6)
Agency Representative: Jane Chambers, City Manager
Employee Organizations: Miscellaneous Unit and Management Unit
d. Conference with Real Property Negotiators (§54956.8)
Property: APN 180-080-57, 58, 59, 62, 63, 64, 65, 66, 67, and 180-110-08, 09,
10
Negotiator: Jane Chambers, Executive Director
Page 7 12/15/2010
Negotiating Parties: Ukiah Redevelopment Agency and Northwest Atlantic
(Costco)
Under Negotiation: Price & Terms
15. ADJOURNMENT
There being no further business, the meeting adjourned at 8:49 pm.
JoAnne M. Currie, City Clerk
Page 8 12/15/2010
ITEM NO.:
MEETING DATE:
City oJ-Tikiah.
AGENDA SUMMARY REPORT
7a
January 5th, 2011
SUBJECT: UPDATE REPORT ON LOCAL EMERGENCY DECLARATION REGARDING DROUGHT
AND WATER SHORTAGE STATUS
Summary: In drought conditions, the City may declare a local emergency under the California Emergency
Services Act ("ESA"). In addition, the City Council under the Ukiah City Code may declare a Water Shortage
Emergency as a Stage I, II or III emergency. At its meeting of April 15, 2009, the City Council adopted a
RESOLUTION DECLARING A LOCAL EMERGENCY UNDER THE STATE EMERGENCY SERVICES ACT
AND A STAGE I WATER SHORTAGE EMERGENCY UNDER SECTION 3602 THE UKIAH CITY CODE.
(Attachment #1).
The resolution contains recitals setting forth the drought conditions and the response to those conditions by
the State, Mendocino County, the Sonoma County Water Agency and the State Water Resources Control
Board which the resolution seeks to address. Please refer to those recitals for details.
Subsequent to adoption of the resolution, City staff has responded further to the water shortage emergency by
replying to the Sonoma County Water Agency (SCWA) regarding actions that the City of Ukiah has taken, and
will be taking, to address water conservation. Attachment #2 is a copy of that letter. The letter outlined
actions that the City is taking, responded to SCWA's request for water use information, and included an outline
of the City of Ukiah's water conservation program for 2009.
As a result of the drought, the City Council has considered many different aspects of the water shortage issue.
Under Council's direction, staff has implemented a series of water conservation and education measures. In
addition, the City has a full time staff position dedicated to implementing these measures.
Water demand has decreased by 20.8% from the 2008 quantities and 19.0% as compared to the 2004
quantities. Staff assumes that this is as a result of our conservation efforts. This will affect our revenues and
staff is working on solutions for this issue as we analyze the fee study that is currently being prepared by an
outside consulting firm.
Developments from the SWRCB
On May 28, 2009, the State Water Resources Control Board (SWRCB) issued an amendment to Order WR
2009-0027-DWR, Order WR 2009-0034-EXEC. The amended order conditionally approves Sonoma County
Water Agency's (SCWA) petition to reduce the flow in the Russian River from July 6 through October 2, 2009
to 25 cubic feet per second (cfs) for the upper Russian River and 35 cfs for the lower Russian River if during
Continued on page
2
Recommended Action: 1. City Council receive the status report on water shortage emergency
Alternative Council Option(s): N/A
Loitizens advised: N/A
Requested by: Jane Chambers, City Manager
Prepared by: Lauren McPhaul, Public Works Water & Sewer Project Coordinator
Coordinated with: Tim Eriksen, Director of Public Works and City Engineer
Attachments: Attachment 1 - Resolution
Attachment 2 - Letter to SCWA `-k~ ' - Z
Approved:
J Chambers, ity Manager
Subject: Drought and Water Shortage Status
Meeting Date: January 5th, 2011
Page 2 of 2
the period from April 1 through June 30 total inflow to Lake Mendocino is less than or equal to 25,000 acre-
feet.
The amended order confirms a water conservation goal for Mendocino County of 50% (compared to 2004)
from April 6, 2009 until the expiration of this order (October 2, 2009), "By May 6, 2009, SCWA shall submit a
plan to the State Water Resources Control Board to obtain the cooperation and participation of agricultural and
municipal Russian River water user to reach a water conservation goal of 25 percent in Sonoma County and
50 percent in Mendocino County for the period of April 6, 2009 until the expiration of this order (October 2,
2009).
The amended order modified the original order issued on April 6, 2009. From July 6 through October 2, 2009,
minimum in-stream flow shall remain at or above 25 cfs, if Lake Mendocino storage is less than 65,630 acre
feet on July 1, 2009 (instead of total inflow to Lake Mendocino less than or equal to 25,000 acre-feet).
On October 27, 2009 the County of Mendocino Water Agency discussed the current water storage situation in
the Ukiah Valley. The discussion led to the consideration of repealing the County emergency order for all
water purveyors to limit water usage by 50%. The Agency was not comfortable with the language in the
repealing order as prepared by staff and requested staff to bring the order back for adoption at the next
regularly scheduled meeting. On November 3, 2009 the County of Mendocino retracted the 50% conservation
requirement. However, the Board of Supervisors recommended that each water district strive to achieve 25%
conservation on a voluntary basis. The City of Ukiah in the coming weeks must consider how to address this
voluntary request by the County of Mendocino.
Updated Staff Actions
Staff has continually monitored this issue in response to the City Council concerns about this emergency and
the length of time that it has been in effect. On December 16, 2009 City Council repealed the mandatory
water rationing, however, Stage I voluntary rationing is still in place. Lake Mendocino storage is now 74,862
acre-feet. With all the water, drought seems unimaginable, but we all know this summer as temperatures rise
water shortages will become the norm. Staff recommends the continuation of the voluntary conservation
measures. It should be noted that the construction of the pump house at Oak Manor well #8 is completed.
Water Treatment Plant personnel are in the final stages of testing the well motor and other components before
putting the well in service.
Reaional Issues
The administrative draft of The Water Supply Assessment for the Ukiah Valley Area Plan (UVAP) has been
released for comment. This plan was originally drafted a few months ago. The original was flawed with
inaccurate data. County staff has done an admiral job at rewriting this document. However, with the recent
changes in county staff at the water agency, the status of this study is uncertain.
ATTACHMENT___
RESOLUTION NO. 2009-17
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
M All DECLARING A LOCAL EMERGENCY
PURSUANT TO THE EMERGENCY SERVICES ACT AND
A STAGE I WATER EMERGENCY UNDER SECTION 3602
OF THE UR AH CITY CODE
WHEREAS,
1. Lake Mendocino and the Russian River are one current source of water for the City of
Ukiah and the primary source of water for other domestic and agricultural users of water in
Mendocino and Sonoma Counties; and
2. Average rainfall through March for the area contributing ran-off to Lake Mendocino
is 42 inches and the rainfall total through March 2009 is 23 inches; and
3. There have been below average rainfall and reduced storage in Lake Mendocino in
2004, 2007 and 2008; and
4. Average rainfall for April - June is 4.8 inches; and
• 5. Even average rainfall for the remainder of the rainy season cannot compensate for the
extremely low rainfall this year; and
6. Lake Mendocino held approximately 53,000 acre feet on April 1, 2009, with a Lake
level of 727.63 feet; and
7. The average Lake storage in April is 84,448 acre feet, the Lake storage in April 2007
was 66,617 acre feet and the average Lake storage in October is 55,854 acre feet, more water at
the end of the dry summer season than is currently stored in the Lake; and '
8. The historically low water storage level in Lake Mendocino this year is part of a
statewide water shortage caused by inadequate rainfall which has prompted Governor
Schwarzenegger to declare a statewide emergency under the Emergency Services Act due to
these drought conditions and
g. Mendocino County has declared a local emergency due to drought conditions under
the Emergency Services Act; and
10. On April 6, 2009, the State Water Resources Control Board ("SWR.CB") has
approved an Urgency Change Petition filed by the Sonoma County Water Agency ("SCWA") to
reduce in-stream flows in the Russian River to 75 cfs from April 6-June 30, 2009 and to as low
as 25 efs for theperiod July 1-October 2, 2009, if cumulative total inflow to Lake Mendocino is
equal to or less than 25,000 acre feet for the period April l: June 30,2009; and
I I The order approving temporary changes to the minimum in-stream flows required by the
appropriative rights permits issued to SCWA is subject to several conditions, including a condition
requiring the SCWA to submit a plan by May 6, 2009, to the;SWRCB to "obtain the cooperation
and participation`o£agricultural and municipal Russian River water users to reach a water
conservation goal of 25 percent'in Sonoma County and 50 percent in Mendocino County for the
period ofApril 6, 2009 until the expiration of this order (October 2, 2009)' and
12. A local emergency under the California Emergency Services Act (Government Code
§8550 et seq.) is defined in Section 8558(c) as the duly' proclaimed existence of conditions of disaster
or of extreme peril to the safety of persons and property within the territorial limits of the City caused
by such conditions as drought which are or are likely to be beyond the control of the services,
personnel, equipment, and facilities of individual local governments and which require the combined
forces of other political subdivisions to combat; and
13. The historically low rainfall and water storage in Lake Mendocino qualifies as a local
emergency under the statutory definition and
14. In a declared local emergency, local agencies may provide'mutual aid as needed pursuant
to, agreements or resolutions, state agencies may provide mutual aid to local agencies pursuant to
agreement or at the direction ofthe Governor, costs incurred by the City in providing mutual aid
pursuant to agreements or resolution constitute a charge against the state, when approved by the
Governor in accordance with adopted regulations, and the City Council may promulgate orders and
regulations for the duration of the emergency to provide protection for life and property (see
Government Code 8631-86-34); and
15. In a declared local emergency, the City Council must review the state of the emergency
not less than every 21 days after first declaring the emergency; and
16. Under Uldah City Code Section 3602, the City Council may by resolution declare a
water emergency, specify the degree of emergency and place Into effect the appropriate provisions of
Division 4, Chapter 1, Article I I of the Ukiah City Code pertaining to a Water Shortage Emergency;
and
17. In a Stage I water emergency the Mayor shall issue a proclamation urging citizens to
institute such water conservation measures on a voluntary basis as maybe required to reduce
water demand to coincide with available supply; and
18. The City Council has already authorized the development of a groundwater well on
an emergency basis to provide the City with an additional water source this summer that does not
rely on the Russian River or water stored in Lake; Mendocino; and -
19. Stage 11 and M water emergencies impose various mandatory conservation measures
on City residents, including a prohibition on "nonessential water use" in a Stage 11 water
emergency and a limit on the daily use of water by different classes of water user in a Stage III
emergency; and
2
20. The City can declare 'a Stage H or Stage II emergency, if voluntary measures or less
sever mandatory measures does not achieve an adequate reduction in the use of Russian River
water or in water use generally to meet the available supply;
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Ukiah hereby:
1. Declares a local emergency due to drought under the Emergency Service Act.
2. Declares a Stage I Water Storage Emergency under Uldah City Code Section 3602.
3. Directs the City Manager:
a. to identify and encourage the use as a Russian River water user of voluntary
measures to reach a water conservation goal of 50 percent for the period of April 6, 2009 to
October 2, 2009 C Conservation Period"), and to report back to the City Council at each. City
Council meeting field during that same time period on the measures identified, the means used to
encourage their use, the amount of water use reduction, and the status' of the emergency
conditions,; .
b. to notify the City Council, if the City Manager determines that a Stage I Water
Emergency is not reducing water use to match the available supply and to recommend a Stage R
or III emergency, if necessary to achieve that level of water use;
c. at City Council meetings during the Conservation Period to recommend
temporary rules or orders to supplement or modify mandatory conservation measures in a Stage
II or III Water Storage Emergency to reduce water use to the available supply and to achieve the
conservation; goals in Order WR 2009-0027-DWR issued by the Division of Water Rights of the
State Water Resources Control Board;
c, to work with other' local governments in the County, including the incorporated
cities and county water districts, to preserve as much water as possible for use during the dry summer
months and for the fall return of Chinook Salmon to the Russian River; and
d. to coordinate mutual aid efforts to address the local emergency between and among
political subdivisions in Mendocino and Sonoma Counties and state agencies.
PASSED AND ADOPTED on April 15, 2009, by the following roll call vote:
AYES: CounciImembers Landis,
NOES: None
ABSTAIN: None
ABSENT: None
ATTES;
L' d ro ity Clerk
Thomas, Crane, Rodin, aid Mayor Baldwin
Philip E. aldwin, Mayor
April 28, 2009 0
Lynn F'lorey
Sonoma County Water Agency
Principal Program Specialist
A.O. Box 11628
Santa Rosa, CA 95406
Dear Ms. Morey;
This letter is written in response to your letter dated April 17, 2009. I do not know when
your letter was received by the City of Ukiah, but it arrived-at our water treatment plant
rather than in any office at City Hall. The letter was just brought to my attention late
yesterday.
I had been expecting a request to respond to Sonoma County Water Agency for
information related to the State Water Resources Control Board's ruling, and, therefore,
am making an effort to meet your deadline of today's date. In future, it would be helpful
if you could copy and/or address critical dated correspondence about these current
drought conditions directly to my office, as that will assist us in making timely replies.
Attached, please find the diversion volumes information requested in your letter. You
will see that overall annual Water use since 2004 has been reduced by 11.4%. Water use
in the months of April through October has been reduced since.2004 by 13%. Diversion
volume during the months April through October has also been reduced, for some 25%
between 2004 and 2007, and 16% between 2004 and 2008 use.
Reduced use over the last few years is a result of the City's commitment to institute
conservation measures in both the irrigation and domestic use of water in our community.
Attached please find the City of Ukiah's Water Conservation Program which outlines
current activities the City is taking to address water conservation.
With regard to immediate drought related conditions, here are some technical and rate
related factors that the City of Ukiah must deal with as the summer and high irrigation
use time approaches:
The City's water supply is obtained from a Ranney collector well and Wells 43
and #4. The Ranney and Well #3 draw water from an alluvial zone along the
Russian River. The pumping capacity of both the Ranney collector and Well #3
are affected by the amount of flow in the river. If that water is not available
during this summer, the only source of water available as of this date will be Well
44, which is percolated groundwater.
• On February 27, 2009 Governor Arnold Schwarzenegger declared a water
shortage. On February 26, 2009, the City received a letter front Victoria A.
300 SEMINARY AVENUE UKIAH, CA 95482-5400
Phone# 7071463-6200 Fax# 707/463-6204 Web Address: www.cityofuklah.com
City staff is actively seeking stimulus funding for a system to deliver recycled
water from the City's wastewater treatment plant. At the current time, it is
anticipated that the wastewater treatment plant could begin to produce recycled
water by August of 2d09. A distribution system is under design and plans will be
developed within the next few months. Funding for this important resource
deliver project will be explored from allpossible resources, as the City fully
recognizes the value of using recycled water to lower the demand for surface
water in our area. Although a recycled water distribution system cannot be in
place for this sunnier, the City will pursue developing this resource.
With regard to efforts to identify and prevent water waste mid unreasonable use: Typical
water waster penalties include, in the order implemented:
1. Educational letter or visit
2. Educational visit and warning.
3. Citation
4. Installation of flow restrictor and possible fine
5. Shutoff and reconnection fee
The City will identify water wasters through monitoring the water meters and citizen
reports.
In closing, please review all aspects of the attached conservation measures and water use
detail in addressing the four questions of your letter, in addition to the specific issues
addressed in the above bullet points.
Please call me at 707- 463- 5213 if you have questions regarding this information.
Sincerely,
?ane A. C ambers
Manager
Attachments: 1. City of Ukiah Water Use
2. City of Ukiah Water Conservation Program 1009
City of Uldah Water Use
Annual Water Use
MG
2008
1192.968
-11A% 2008/2004
2007
1219.964
-9.3% 2007/2004
2006
1248.424
-7.2% 2006/2004
2005
1223.542
-9.1% 2005/2004
2004
1345,744
Water Use (MG)
2004
2007 2008
2009 2007/2004
2008/2004
April
96.743
87.507 87.865
-10%
•9%
May
145.402
121.506 132.345
-16%
-9%
June
162.897
149.782 143.469
-8%
-12%
July
185.876
164.473 158.899
-1296
615%
August
179.326
162.859 157,056
-9%
•12%
Sept.
155.798
134.481 130.508
-1456
-17%
Oct:
109.224
83,777 91.724
-23%
-1690
Total
MG
1036.266
904.385 901.866
-13%
-13%
ac-ft
3180
2175 2768
Diversion Volume (MG)
2004
2007 2008
2009 2007/2004
2008/2004
April
57.046
27.598 62.754
-52%
10%
May
112.803
72.833 111.365
-35%
=1%
June
129.493
109.976 .102.115
-15%
-21%
July
131.935
105.631 109.09
-2096
-17%
August
126,768
104 101.593
-17%
-20%
Sept.
117.755
88.134 85;318
-25%
-28%
Oct.
96.734
72.864 73.465
-25%
-24%
Total
MG
772.534
581.694 645.695
-25%
_16%
ac-ft
2371
1785 1982
The City of Ukiah
Water Conservation Program
2009
The unpredictability of its water supplies and ever increasing demand on California's complex
water resources have resulted, in a coordinated effort by the California Department of Water
Resources (DWR), water utilities, environmental organizations, and other interested groups to
develop a list of urban water conservation demand management measures (DMM) for
conserving water. This consensus building effort resulted in a Memorandum of Understanding
(MOU) Regarding Urban Water Conservation in California, as.amended September 16, 1999,
among parties, which formalizes an agreement to Implement these DMMs and makes a
cooperative effort to reduce the consumption of California's water resources. The MOU is
administered by the California Urban Water Conservation Council (CUWCC). The DMMs as
defined in the MOU are generally recognized as standard definitions of water conservation
measures.
1. CUWCC Demand Management Measures Implemented
The existing conservation The City of Ukiah has had a water conservation program in place
since the late 1970's. During the past five years, the City has expanded its program and public
outreach. The City reduced the amount of water it used by over 9.3% In 2007 and 11.4% in
2008 compared to 2004..
Currently, the City's conservation program Includes the following DMM$:
DMM 1. Water survey programs for single-family residential and multi-family residential
connections.
The City tests customer meters upon request and Instructs customers In how to use their water
meter to determine If there is a leak on the demand side of the meter. The City provides toilet
leak detection tablets to customers.
DMM 3 System water audits, leak detection, and repair.
The City performs leak detection and repair on an ongoing basis, The City, also, calculates
system water losses annually and reports this information to DWR.
DMM 4. Metering with commodity rates for all new connections and retrofit of existing
connections.
The City water distribution system Is fully metered. The City is currently replacing old meters In
the system. The new meters will provide a more accurate reading of water use within the City.
The City recently went through a rate re-structuring that is believed will reduce water uses in the
future.
DMM S. Large landscape conservation programs and incentives.
The City's Planning Department reviews all landscape plans proposed for new developments.
Included in the City's Municipal Code is a requirement for all landscape planting to be "those
which grow well in Ukiah's climate without extensive irrigation." City staff reviews the water use
of its top 5 water users and holds meetings with them on a regblar basis to discuss landscape
conservation programs.
DMM'7. Public information programs.
The City believes public awareness of water conservation issues is an important factor in
ensuring a reliable water supply. The City promotes' public awareness of water conservation
through occasional bill stuffers, distribution of the Consumer Confidence Report, radio
broadcasts, newspaper articles, the City of`Ukiah's "Activity and Recreation Guide", distribution
of brochures and additional Information at local expositions and fairs, and on the City website
advertised to the community on a banner across a City thoroughfare. The City also provides
free of charge water conservation yard signs to encourage minimal use of water for lawn
irrigation.
Water conservation information and assistance is routinely provided to the public by the water
utility maintenance staff and meter readers while in the field. Field staff receives conservation
training to better assist customers and promote conservation. Door hangers are used to remind
customers of Ukiah'sVoluntary Water Conservation Program measures and to provide notice of
problems with outdoor water use.
DMM 8. School education programs
City staff presents information on water conservation to elementary school children in the
classroom. The City offers local schools tours of its water treatment plant and also provides
educational materials. Four science classes on public water supply at the high school are
offered once a year.
DMM 9. Conservation programs for commercial, industrial, and institutional accounts.
The City has only two industrial customers: Maverick Industries and Red Tail Ale Brewery. The
City surveys the water usage of these industries. Any new commercial, Industrial, or institutional
developments will be reviewed by the City Planning Department and must meet all requirements
of the Municipal Code.
DMM 41. Conservation pricing
In 2005, the City increased and re-structured its water rates to encourage more conservation.
The City has simplified its rate structure by eliminating rate codes and classifying customers
according to their meter size. The new rate structure incorporates the American Water Works
Association (AWWA) demand capacity guldelines so that price increases across meter size In
proportion to the potential demand a customer can place on the water system.
DMM 12. Conservation Coordinator.
The City's Conservation Coordinator Is essential to sustaining and improving Ukiah's ongoing
water conservation program. The conservation coordinator is responsible for implementing and
monitoring the City's water conservation activities. In practice, the City's water conservation
program includes the efforts of the Conservation Coordinator and all staff.
DMM 13. Water waste prohibition.
The City has adopted regulations that state In part:. "Where negligent or wasteful use of water
exists on a customer's premises... the City may discontinue the service.,:" (City Municipal Code
Article 7, Section 3671). The City first sends customers a letter calling their attention to the
wasteful practice and asking for correction. If the condition is not corrected within five days after
the written notice, service may be discontinued if necessary.
DMM 14. Residential ULFT'repiacement programs.
Since October 1992, the sale of tollets using more than 1.6 gallons per flush has been
prohibited by State and Federal regulations. 'these regulations are enforced in the City.
11. Additional Water Conservation Measures
In addition to the DMMs, the City has also taken the following actions;
1. Installation of five waterless urinals in the Ukiah Civic Center to support and promote the
use of waterless urinals to all City facilities and In the public sector. The use of these
urinals has received very positive feedback from Facilities staff who would like to install
these in the Ukiah Valley Conference Center.
2. Cooperative water conservation programs have been developed between the City and
the Mendocino County Water Agency, the Russian River Public Water Agencies, and the
Sonoma County Water Agency.,
3. The Ukiah City Council adopted the Ahwahnee Water Principles an April 4, 2007. The
Principles contain ideas for protecting and enhancing water quality, improving water
availability, making more efficient use of water, and conserving water as a scarce
resource. The Principles suggest a process for improving decision-making as it Impacts
water-related issues. The City Council reviewed the principles and determined the Ideas
and suggestions promote the Council's stated goals.
III. Future Water Conservation Activities
The City has recently undertaken a rate and revenue study of its water utility. A tiered inclining
block rate structure and excess use charge are being evaluated to-encourage water
conservation.
The City has submitted a pre-application to the State Water Rescurbes Control Board State
Revolving Fund to construct a recycled water system. The City's' Wastewater Treatment Plant
Improvement Project Is scheduled to be completed by June 2009. After the project is
completed, the plant will be capable of producing 2 million gallons per day (MGD) in the summer
and up to 7.5 MGD In the winter of Title 22 unrestricted use recycled water.
Other immediate and long-term conservation measures include: -
Installation of waterless urinals and dual flush tollets in all City buildings (immediate)
Sign the California' Urban Water Conservation Council's Memorandum of Understanding
Regarding Urban Water Conservation and implement the 14 best management practices
(long term)
• Water efficiency standards for new single-family development (long term)
• Water-efficient landscaping (long term)
• Water waste ordinance prohibiting; (immediate)
i. gutter flooding
2. carwash' fundraisers
3. non-recycling decorative water fountains
4. breaks or leaks in the water delivery system
• Incentives for Retrofits (long term)
1. low flow shower heads
2. toilet displacement devices
3. toilet flappers
4. faucet aerators
s. high efficiency washing machines
S. ultra-low flow toilets
ITEM NO.: 7b
MEETING DATE: January 5t", 2011
City of Wk ah.
AGENDA SUMMARY REPORT
SUBJECT: UPDATE REPORT REGARDING STATUS OF WATER EMERGENCY CONDITIONS
NECESSITATING EMERGENCY RESOLUTION TO EXPEDITE CONSTRUCTION OF
OAK MANOR DRIVE WATER WELL
Background: On March 4, 2009, at a regular meeting of the Ukiah City Council, an emergency resolution
was adopted to expedite the construction of a water well at Oak Manor Drive in Oak Manor Park to the
east of the tennis courts. Pursuant to Public Contracts Code Section 22050(b)(1), the City Council
delegated authority to the City Manager to order action pursuant to subparagraph (a)(1) of that section
and directed the City Manager to undertake all steps necessary to have the well constructed without
going through a formal competitive bidding process. Pursuant to Public Contracts Code Section
22050(b)(3), adoption of this resolution requires the City Manager to report back to the City Council at its
next regular meeting setting forth the reasons justifying why the emergency will not permit a delay
resulting from the formal competitive solicitation for bids for the well and why the action is necessary to
respond to the emergency.
Discussion: The reasons for the emergency were set forth in resolution number 2009-12. These
reasons continue to exist: 1) the State of Emergency declared by the Governor of California due to
drought conditions, 2) recommendation to municipalities from Victoria Whitney, Deputy Director for Water
Rights for the State of California Water Resources Control Board, that drought conditions may
necessitate suspension of surface water rights this summer and to secure groundwater sources, 3) the
time required to drill, develop, and construct a temporary connection from a new groundwater well into
the City's water distribution system is not sufficient to comply with the noticing requirements of the Public
Contracts Code formal bidding process.
Gobbi Well
The date of the bid opening for construction of the Gobbi Street well head and pump house was June 18,
2009. The contractor mobilized their equipment on site on July 13. Substantial completion of this project
Recommended Action(s): Receive the report.
Continued on Paae 2
Alternative Council Option(s): Reject recommended action(s) and provide staff with alternate
direction.
Citizens advised: n/a
Requested by: Tim Eriksen, Director of Public Works / City Engineer
Prepared by: Lauren McPhaul, Public Works Water & Sewer Project Coordinator
Coordinated with: Jane Chambers, City Manager
Attachments: None.
Approved:
Ja a Chambers, City Manager
Subject: Update Report Regarding Status of Water Emergency Conditions Necessitating Emergency Resolution to
Expedite Construction of Oak Manor Drive Water Well
Meeting Date: January 5t", 2011
Page 2 of 2
was November 10t". The time required from the bid opening to substantial completion of the Gobbi Street
well head and pump house was approximately five months.
Oak Manor Well
In the December 16, 2009 Agenda Summary Report, Item 7d, a best case schedule was developed
assuming the Oak Manor well head and pump house bid in December 2009 and construction started no
later than January. With this schedule it was possible the Oak Manor well (Well #8) would have been
completed in May 2010. This completion date assumed a shortened bid period and no delays due to
weather or other circumstances.
Bids were issued on January 8, 2010. The revised schedule includes the January bid date and a 30 day
noticing period with bids due February 9t". The lowest, qualifying bid was submitted by Wipf Construction
in the amount of $377,000 and was approved by Council on February 17t". Construction began April 26,
2010.
The pump house at Oak Manor well #8 is complete. All equipment is in place and DPW staff is waiting on
Eaton technicians to inspect the motor and box. Electricity has been supplied to the well site. Water
Treatment Plant personnel are in the final stages of testing the well motor and other components before
putting the well into service.
ITEM NO.: 7c
MEETING DATE: January 5, 2011
City qj'-,Z-1k-jah
AGENDA SUMMARY REPORT
SUBJECT: REPORT OF ACQUISITION OF PROFESSIONAL CONSULTING SERVICES FROM
EBA ENGINEERING FOR PREPARATION OF MANDATED REPORTS FOR THE
UKIAH LANDFILL
Background & Discussion: In compliance with Section 1522 of the City Code, this report is submitted to
the City Council for the purpose of reporting the acquisition of professional consulting services costing more
than $5,000 but less than $10,000. The Public Works Department obtained a proposal from EBA
Engineering for preparation of the annual 2010 detection monitoring report, the first quarter landfill gas
monitoring report and filing respective data with State Geotracker Services for the Ukiah landfill. Staff
reviewed the proposal and found the proposed fee of $7,627 to be commensurate with the scope of work.
The quarterly reports are mandated requirements of the Regional Water Quality Control Board. Staff is in
the process of developing a request for proposals for an extended contract for environmental compliance
monitoring and reporting for the Ukiah landfill.
Fiscal Impact:
❑X Budgeted FY 10/11 F-1 New Appropriation
Not Applicable Budget Amendment Required
F-1 F
Amount Budgeted Source of Funds (title and Account Number Additional Appropriation Requested
$105,000 Landfill fund 660 660.3401.250.005
Recommended Action(s): Receive and file report of the acquisition of professional services from EBA
Engineering in the amount of $7,627 for preparation mandated reports for the Ukiah landfill. Report is
submitted pursuant to City Code.
Alternative Council Option(s): N/A
Citizens advised: None.
Requested by: Tim Eriksen, Director of Public Works / City Engineer
Prepared by: Rick Seanor, Deputy Director of Public Works - Engineering & Streets
Coordinated with: Jane Chambers, City Manager
Attachments: None.
Approved: _ -
J Chambers, City Manager
C'~~J af~Zlk:~aF
ITEM NO.: 10a
MEETING DATE: January 5, 2010
AGENDA SUMMARY REPORT
SUBJECT: RE-ADOPTION OF UKIAH MOBILEHOME PARK RENT STABILIZATION ORDINANCE
The Ukiah Mobilehome Park Rent Stabilization Ordinance was introduced on October 6, 2010, and adopted
by Council on October 20, 2010. It was subsequently published by the Ukiah Daily Journal within the legal
timeframe. However, it was a multi-page document and the Journal chose to spit the publishing in two
parts.
An objection to the split publication was raised by one of the affected mobilehome park owners in a letter
dated November 19, and received by the City on November 22. The City Manager responded by letter on
December 1 offering an opinion after consultation with the City Attorney, which concluded that the ordinance
could take effect, because the ordinance was "published or posted in substantially the manner and at the
time required by. . Government Code §36933. Subsequently, the City Manager received another letter
from David E. Shell, a Ukiah attorney representing the objecting mobilehome park owner, which argued that
the publication did not substantially comply, because in publishing each half of the ordinance in separate
installments, the publication could confuse the general public.
The City Attorney remains of the opinion that the publication of the ordinance substantially complied with the
statutory requirement, but acknowledges that there are no court cases applying the statute in these
circumstances and that, as a result, there is some uncertainty as to how a court might rule, if the ordinance
were challenged on this basis. The City Attorney also advises that in order to eliminate the publication issue,
the City Council must re-adopt the ordinance and, then, publish the ordinance or a summary of the
ordinance within 15 days after it is adopted. To publish a summary, the summary must be published and
posted not less than 5 days before the ordinance is adopted, in addition to its publication within 15 days
after the ordinance is adopted. The City Clerk will have published and posted the summary of the ordinance
as required before the January 5 regular City Council meeting.
The City Attorney also advises that the ordinance does not have to be re-introduced. Government Code
§36934 prohibits an ordinance from being adopted within five days of its introduction, but puts no limit on
the number of days that can pass before it is adopted.
Continued on Page 2
Recommended Action(s): (1) Motion to read ordinance by title only; (2) City Clerk reads ordinance;
(3) Re-adopt the Ukiah Mobilehome Park Rent Stabilization Ordinance with a new effective date of
February 4, 2011.
Alternative Council Option(s):
Citizens advised:
Requested by: Jane Chambers, City Manager
Prepared by: Linda Brown, Clerk of the Ukiah Mobilehome Rent Stabilization Program
Coordinated with: Jane Chambers, City Manager, David Rapport, City Attorney, JoAnne Currie, City
Clerk
Attachments: Ordinance
Approved:
J Chambers, City Manager
However, the ordinance was not read, when it was introduced. Although it was read before it was adopted,
the City Attorney advises that since it is being adopted again with a new effective date, a motion should be
made to read the ordinance by title only and the City Clerk should read the title before the ordinance is
adopted.
A copy of the Ordinance is attached. Cost for re-publication with the Journal will not be incurred.
Fiscal Impact:
Budgeted FY 10/11 1-1 New Appropriation 51 Not Applicable F-1 Budget Amendment Required
ATTACHMENT
ORDINANCE NO. 1126
ORDINANCE OF THE CITY COUNCIL OF THE CITY OF
UKIAH ADDING A NEW CHAPTER 8, ENTITLED:
"MOBILEHOME RENT STABILIZATION," TO DIVISION 1
OF THE UKIAH CITY CODE.
SECTION ONE.
The City Council of the City of Ukiah hereby ordains that a new Chapter 8,
entitled "Mobilehome Rent Stabilization" is hereby added to Division 1 of the
Ukiah City Code to read as follows.
DIVISION 1 BUILDING
CHAPTER 8 MOBILEHOME RENT STABILIZATION
2700: FINDINGS AND PURPOSE.
(A) The State of California has recognized, by the adoption of special
legislation regulating tenancies of mobilehome owners in mobilehome parks, that
there is a significant distinction between homeowners in mobilehome parks and
other dwelling units, and the State likewise has recognized that homeowners in
mobilehome parks, unlike apartment tenants or residents of other rental stock,
are in the unique position of having made a substantial investment in a
residence, the space for which is rented or leased as distinguished from owned.
The physical removal and relocation of a mobilehome from a rented or leased
space within a mobilehome park can be accomplished only at substantial cost
and inconvenience with a limited concurrent ability to find another location and, in
many instances, the removal requires a separation of the mobilehome unit from
appurtenances which have been made permanent, thus creating severe damage
and depreciation in value to the mobilehome.
Because of the limited availability of vacant spaces in mobilehome parks, the
age and condition of some mobilehomes and the cost of moving mobilehomes, it
is extremely difficult, if not impossible, to move a mobilehome from one park to
another within the City.
(B) There is presently within the City and the surrounding areas a shortage
of sites for the placement of mobilehomes.
(C) According to the Ukiah General Plan Housing Element, mobilehomes
presently constitute an important source of housing for persons of extremely low,
very low, low, and moderate income levels, who as a group are unable to afford
unreasonably large rent increases.
(D) A large number of persons living in mobilehomes are elderly, some of
whom live on small fixed incomes. These persons may expend a substantial
portion of their income on rent and may not be able to afford other housing within
the City.
(E) Rents for sites within mobilehome parks in the City have, prior to the
adoption of this chapter, increased substantially, with recent increases in one
park exceeding by a substantial amount the annual increase in the cost of living.
(F) Space rent increases at the time of sale or other transfer of a mobilehome
within a park have been shown to be substantially over the pre-transfer rent.
Such large rent increases at the time of sale of a mobilehome may unfairly
depress the sales price of the mobilehome and work an economic hardship on
the mobilehome owner. The annual rent increases and vacancy control
provisions of this chapter prevent this economic hardship while protecting the
property rights of owners.
(G) Because of the space shortage and potential for rapidly rising rents,
regulation is necessary to assure that economic hardship to a substantial number
of mobilehome owners in the City, many of whom are senior citizens on low fixed
incomes, does not occur.
(H) It is the purpose of this chapter to establish a speedy and efficient method
of reviewing certain requested mobilehome space rent increases in mobilehome
parks to protect mobilehome owners from arbitrary, capricious or unreasonable
site rent adjustments while insuring owners and/or operators and investors a fair
and reasonable return on their investment in their mobilehome park.
§2701: DEFINITIONS.
For the purpose of this chapter, the following words, terms and phrases shall
be defined as follows:
(A) "Affected mobilehome owners" means those mobilehome owners whose
space is not covered by a valid lease meeting the requirements of section
798.17(b) of the California Civil Code or otherwise legally exempt from local rent
control regulation.
(B) "Arbitrator" means a person who is neither a mobilehome owner nor has
an interest in a mobilehome park of a nature that would require disqualification
under the provisions of the Political Reform Act if the person were a designated
City employee, has experience in analysis of financial records, and meets one of
the following criteria:
2
(1) Licensed attorney or CPA who is qualified by experience or training to
conduct the arbitrations authorized by this chapter.
(2) Membership in the American Arbitration Association with expertise in
rental dispute arbitration; or
(3) Service as a judge in a state or federal court.
(C) "Capital improvement" means those improvements which directly and
primarily benefit and serve the existing mobilehome owners by materially adding
to the value of the park or adapting it to new uses, and which are required to be
amortized over the useful life of the improvements pursuant to the provisions of
the Internal Revenue Code. "Capital improvement costs" means all costs
reasonably and necessarily related to the planning, engineering and construction
of capital improvements and shall include debt service costs, if any, incurred as a
direct result of the capital improvement. Capital improvement does not include
ordinary maintenance or repairs or Capital replacements.
(D) "Capital replacement" means a capital expenditure as defined by the
Internal Revenue Code which replaces, upgrades or repairs an existing
improvement, such as, but not limited to, an on-site water or electrical distribution
or sewage collection system, a street, a parking area, or common facility, such as
a laundry, community kitchen or meeting room. If the expenditure qualifies for
treatment as a capital expenditure which must be depreciated under the Internal
Revenue Code, it is a capital replacement. If it can be fully deducted in one year
as a business expense, it does not qualify as a capital replacement.
(E) "City" means the City of Ukiah, California.
(F) "Clerk" means Clerk of the Ukiah Mobilehome Rent Stabilization
Program, who shall be an employee or independent contractor designated by the
City Manager as the Clerk and assigned the Clerk's duties as prescribed by this
chapter or as needed for the proper implementation of this chapter.
(G) "Consumer Price Index" or "CPI" means the Consumer Price Index for all
urban consumers in the San Francisco/Oakland/San Jose area published by the
United States Bureau of Labor Statistics.
(H) "Department" means the Department of Community Development of the
City of Ukiah.
(1) WRL" means the California Mobilehome Residency Law.
(J) "Mobilehome" means
(1) a structure designed for human habitation and for being moved
on a street or highway under permit pursuant to Section 35790 of the Vehicle
Code, including a manufactured home, as defined in Section 18007 of the Health
and Safety Code, and a mobilehome, as defined in Section 18008 of the Health
and Safety Code, but, except as provided in subdivision (2), does not include a
recreational vehicle, as defined in Section 799.29 of the Civil Code and Section
18010 of the Health and Safety Code or a commercial coach as defined in
Section 18001.8 of the Health and Safety Code.
(2) "Mobilehome," for purposes of this chapter, also includes trailers
and other recreational vehicles of all types defined in Section 18010 of the Health
and Safety Code, other than motor homes, truck campers, and camping trailers,
which are used for human habitation, if the occupancy criteria of either
paragraph (i) or (ii), as follows, are met:
(i) The trailer or other recreational vehicle occupies a
mobilehome site in the park, on November 15, 1992, under a rental agreement
with a term of one month or longer, and the trailer or other recreational vehicle
occupied a mobilehome site in the park prior to January 1, 1991.
(ii) The trailer or other recreational vehicle occupies a
mobilehome site in the park for nine or more continuous months commencing on
or after November 15, 1992.
"Mobilehome" does not include a trailer or other recreational vehicle located in a
recreational vehicle park subject to Chapter 2.6 (commencing with Section
799.20) of the Civil Code.
(K) "Mobilehome park" or "park" means any area of land within the City of
Ukiah where two or more mobilehome spaces are rented, or held out for rent, to
accommodate mobilehomes used for human habitation.
(L) "Mobilehome space" means the site within a mobilehome park intended,
designed or used for the location or accommodation of a mobilehome and any
accessory structures or appurtenances attached thereto or used in conjunction
therewith.
(M) "Mobilehome owner" means a person who is the owner of a mobilehome
and legally occupies the mobilehome within a mobilehome park. Unless
otherwise indicated, mobilehome owner includes tenants.
(N) "Owner" means the owner or operator of a mobilehome park or an agent
or representative authorized to act on said owner's or operator's behalf in
connection with the maintenance or operation of such park.
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(O) "Party" as used in this chapter refers to any affected mobilehome owner
and/or owner involved in proceedings under this chapter.
(P) "Prospective mobilehome owner" means a person who is in the process
of negotiating a tenancy in a mobilehome park.
(Q) "Rent" means the consideration paid for the use or occupancy of a
mobilehome space.
(R) "Rent stabilization administration fee" means the fee established from
time to time by resolution of the City Council in accordance with the provisions of
the chapter.
(S) "Rent increase" means any increase in base rent charged by an owner to
a mobilehome owner or offered to a prospective mobilehome owner.
(T) "Tenant" means the person or persons who have signed a lease of a
mobilehome park space as the lessee of the space.
2702: BASE RENT.
Except as provided in this chapter, an owner shall not demand, accept or
retain rent for a mobilehome space exceeding the base rent which shall be the
rent in effect for that space on the date this section becomes effective (the
"Effective Date"). If a previously rented mobilehome space was not rented on the
Effective Date, the base rent shall not exceed the rent in effect during the last
month the space was rented prior to that date, except as provided in this chapter.
Fora mobilehome space first rented after the Effective Date, the owner shall
establish the base rent. For parks annexed into the City after the Effective Date,
the base rent shall be the rent charged on the effective date of a park's
annexation into the City.
§2703: CONSUMER PRICE INDEX, UTILITIES AND OTHER PASS
THROUGHS.
(A) Consumer Price Index. An owner, once in any 12-month period, may
impose a rent increase for a mobilehome space by 100 percent of the
percentage increase, if any, in the Consumer Price Index (CPI) during the most
recent 12-month period ending in October; provided, however, the rental
increase shall not exceed five percent of the previous rent charged for the space.
If an owner has obtained a rent increase under subsection 2704(8), the owner
may calculate the rent increase allowed by this subsection based upon the
approved comparable rent as allowed in subsection 2704(B) instead of upon the
actual rent in effect at the time of the increase.
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(B) If the change in the CPI exceeds five percent for two consecutive years,
the Clerk shall review the maximum rent increase and recommend an ordinance
amendment if appropriate.
(C) Government Mandated Expense Pass Through. An owner may pass
through to affected mobilehome owners any new or increase in government
mandated capital expenditures and operating expenses including taxes (other
than the two percent annual increase authorized by California Constitution Article
XIIIA, section 2(b)) and assessments, fees and mandated expenses due to code
changes subject to the following procedure:
(1) Upon a petition signed by one adult mobilehome owner for each of 50
percent of the spaces subject to rent control in a mobilehome park or 50 spaces,
whichever is less, and filed with the Clerk within 30 days of the date the owner
gives notice of a government mandated expense pass through to every affected
mobilehome owner, the Arbitrator, in accordance with the meet and confer and
arbitration procedures provided in this chapter, may disallow or decrease the
proposed pass through based upon substantial evidence in the record that the
pass through is not legally proper, or is excessive, or that during the pass
through period the owner is including an unreasonably high financing cost and/or
return on the expense being passed through.
(D) Utilities. If not billed by the utility directly to the mobilehome owner, an
owner may separately pass through to a mobilehome owner charges for all
utilities, including, but not limited to, sewer, water, garbage, cable T.V., gas and
electricity, and any increases in such charges, subject to compliance with
Sections 3960-3963. Notwithstanding any provision to the contrary in this
section, the owner shall not pass through any charge or expense for gas or
electric service to the extent prohibited by section 739.5 of the California Public
Utilities Code.
(E) Capital Improvement Pass Through. An owner may charge to the affected
mobilehome owner as additional rent the pro rata share of new service and
capital improvement costs including reasonable financing costs if, prior to
initiating the service or incurring the capital improvement cost, the owner has:
(1) Consulted with the mobilehome owners prior to initiating construction of
the improvements or initiating the new service regarding the nature and purpose
of the improvements or services and the estimated cost of the improvements or
services;
(2) Obtained the prior written consent of at least one adult mobilehome
owner in each of a majority of the mobilehome spaces which are occupied by the
mobilehome owner to the proposed service or capital improvement. Each space
shall have only one vote.
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(F) Capital Replacement Pass Through. Notwithstanding the provision of
subsection E of this section, an owner may charge to the mobilehome owner as
additional rent the pro rata share of capital replacement costs including
reasonable financing costs, if not otherwise prohibited by law, subject to the
following procedure:
(1) The owner may seek advance approval for the proposed pass through,
before undertaking the capital project, by following the procedures set forth in
Sections 2709 to 2711. If the increase is approved by the Arbitrator, it shall not
be effective until the next regularly scheduled annual rent increase date, provided
that the 90-day notice is issued, the expense is actually incurred and that proper
verification is submitted. This verification shall include, at a minimum, proof of
actual costs and payment to vendors or contractors. In the event that the actual
cost of the capital expense is less than the approved amount, the increase shall
be adjusted to reflect this decreased amount;
(2) The owner shall give notice of the proposed pass through to each
affected mobilehome owner no later than 12 months after completion of the
capital replacement work;
(3) Upon a petition signed by one adult mobilehome owner of each of 50
percent of the spaces subject to rent control in a park or 50 spaces subject to
rent control, whichever is less, and filed with the Clerk within 30 days of the date
the owner gives notice of the pass through to every affected mobilehome owner,
the Arbitrator, in accordance with the arbitration procedure provided in this
chapter, may disallow or decrease the pass through for capital replacements
based upon substantial evidence in the record that the capital replacement was
not necessary, or that the cost of the capital replacement was excessive, or that
during the pass through period, the owner is including an unreasonably high
financing cost and/or return on the expense being passed through. The owner
shall have the burden of proving the necessity for and reasonable cost of the
capital replacements. In determining whether the owner has met its burden of
proving the necessity for and reasonable cost of the capital replacement, the
Arbitrator may consider, among other factors, the reasonableness of the owner's
history of maintenance of the property or improvement to be replaced. The
Arbitrator's review will include, but not necessarily be limited to, the records
reflecting past maintenance work and the cost.
(G) All charges passed through by the owner to the mobilehome owners
pursuant to subsection C and D of this section and additional rent charged
pursuant to subsections E and F of this section must be separate from the base
rent and listed separately. All billings used to calculate a pass through or
additional rent to mobilehome owners must be disclosed within a reasonable time
upon request by a mobilehome owner.
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(H) Notice. A written notice of each rent increase or new or increased capital
improvement or capital replacement pass through charge made under the
provisions of this section shall be filed by the owner with the Clerk, and provided
to each affected mobilehome owner, at least 90 days before the rent increase
goes into effect or as required by the MRL. The notice shall identify the park and
shall specify the dollar amount of the increase, the percentage of the increase,
an itemization of all new or increased pass throughs and additional rent charges,
the specific space affected, the date the increase will go into effect, how each
increase was calculated, and the date the rent on each affected space was last
increased. The notice shall also advise each affected mobilehome owner of any
right to petition for review of a proposed rent increase and that a petition form
may be requested from the Clerk.
(1) Whenever a time period is prescribed for filing an application or petition,
the application or petition shall be deemed filed when it is first filed with the Clerk,
even if the Clerk determines that the application or petition is not complete,
provided that the Clerk determines that application or petition is complete, as a
result of additional submissions by the applicant or petitioner, within thirty days of
the initial filing.
§2704: IN-PLACE TRANSFER RENT INCREASES-ESTABLISHMENT OF
NEW BASE RENT.
(A) Whenever either of the following events occurs, an owner shall be
permitted to charge a new base rent for the mobilehome space as provided in
this section:
(1) The termination of the tenancy of the affected mobilehome owner in
accordance with the MRL (California Civil Code sections 798.55 through 798.60,
as amended, excepting section 798.59); or
(2) The voluntary permanent removal of a mobilehome by a mobilehome
owner. A removal of the mobilehome from the space for the purpose of
performing rehabilitation or capital improvements to the space or for the purpose
of upgrading the mobilehome shall not constitute a voluntary removal of the
mobilehome.
(B) Upon the sale of a mobilehome in-place, an owner may implement an
increase of the base rent for that space in an amount equal to 10% of the rent
for that space then in effect.
(C) Except as provided in subsections (A) and (B), an owner may not
condition an in-place transfer of a mobilehome or condition assignment of an
existing lease to a prospective mobilehome owner, upon agreement to an
increased rent in anticipation of the in-place transfer. This subsection shall not
apply to specific conditions included in a lease exempt from rent control which
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allows an owner to condition assignment in a manner prohibited by this section.
For purposes of this subsection, "a lease exempt from rent control" means a
lease meeting, in all respects, the criteria of Civil Code section 798.17(b), as
such criteria are presently enacted or may hereafter be amended.
§2705: FAIR RETURN RENT INCREASES.
If an owner presents evidence to the Arbitrator, including any financial records
requested by the Arbitrator, which proves that the owner is denied a fair return by
the rent control provisions of this chapter, the Arbitrator may authorize an
increase in rents as deemed appropriate by the Arbitrator to provide a fair return
to the owner. The Arbitrator shall use the method set forth in subsection 2711(C)
to determine the fair return.
§2706: RENT FREEZE OR RENT ROLLBACK.
(A) Upon the petition signed by one adult mobilehome owner of 50 percent of
the spaces subject to rent control in a park or 50 spaces subject to rent control,
whichever is less, the Arbitrator may prohibit future rent increases for spaces
governed by this chapter, upon its determination that maintenance by the owner
has been substantially reduced and is insufficient to adequately maintain the park
in a habitable condition. The determination shall be based upon substantial
evidence in the record. The prohibition may be continued until the Arbitrator
determines that maintenance by the owner has been restored to a reasonable
level.
(B) Upon petition by one or more affected mobilehome owners, an Arbitrator
may prohibit future rent increases, or order a rollback of the existing rent as to
those petitioners, upon its determination that after the Effective Date, an owner
instituted a rent increase inconsistent with the criteria established by this chapter.
The determination shall be based upon substantial evidence in the record. The
prohibition may be continued until the Arbitrator determines that the rent has
become consistent with this chapter.
§2707: TIME OF ALLOWED RENT INCREASE/ADJUSTMENT.
(A) Once within a 12-month period, the owner may implement a CPI rent
adjustment (subsection 2703(A)), if any, or a fair return increase (Section 2703),
but not both.
(B) A capital replacement pass through under subsection 2703(F) may only
be implemented on the effective date of the CPI or fair return rent adjustment.
(C) The following increases or adjustments may be implemented at any time
during the year:
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(1) Government mandated expense pass through (subsection 2703(C));
(2) Utility pass throughs (subsection 2703(D));
(3) Capital improvements (subsection 2703(E));
(4) In-place transfer rent increases (Section 2704).
Any increases subject to arbitration shall be implemented after the final ruling
of the Arbitrator.
(D) Rent freeze and rent rollbacks shall be implemented at the time they are
ordered (Section 2706).
§2708: ARBITRATION.
(A) Matters Subject to Arbitration.
(1) An owner shall file with the Clerk:
(a) An application seeking to increase space rents beyond 100 percent of the
CPI to provide a fair return to the owner as allowed by Section 2705.
(2) Affected mobilehome owners may file with the Clerk:
(a) A petition objecting to a government mandated expense pass through as
allowed by subsection 2703(C);
(b) A petition objecting to a capital replacement pass through as allowed by
subsection 2703(F);
(c) A petition for rent freeze as allowed by subsection 2706(A);
(d) A petition for rent rollback as allowed by subsection 2706(B).
(B) These petitions and applications shall be decided by the Arbitrator.
(C) Cost of Arbitration. The cost of arbitration shall be paid by the Clerk out
of revenue from the rent stabilization administration fee. The Arbitrator may
reimburse the City by assessing the cost of the arbitration to either party if the
Arbitrator determines that the position taken by the party is frivolous.
§2709: PROCEDURES FOR FAIR RETURN NOTICE AND APPLICATION AND
PETITION FORMS.
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(A) Notice. At least 10 days prior to submission of a fair return application or
a petition to the Clerk, the applicant or petitioner shall mail or deliver a notice and
a copy of the application or petition to the owner and each affected mobilehome
owner in the park. The notice shall be on a form specified by the Clerk. The
supporting documents for the application or petition shall be available for review
at the park's office and shall be posted on the City's website. One copy of the
supporting documents shall be provided by the applicant or petitioner at no cost
to the other party. All fair return notices shall include the following information:
(1) The amount of the rent increase both in dollars and as a percentage of
the existing rent, how it was calculated, an itemization of all pass throughs and
additional rent charges, information that explains and supports the level of
increase proposed including, at a minimum, a summary of the owner's net
operating income for the base year and the preceding 24 months and other
relevant information that supports the level of rent increase desired, the effective
date of the increase and that copies of the supporting documents shall be
provided by the owner at no cost to the mobilehome owners' representative and
be available to the mobilehome owners at the park's office for inspection and on
the City's website;
(2) The name, address and telephone number of the Clerk or designee, a
statement to inform the mobilehome owners to contact the Clerk or designee for
an explanation of the provisions of this chapter, and that a roster of affected
mobilehome owners can be requested from the Clerk; and
(3) A copy of the official petition form which is to be used for the process
established by this chapter.
(B) Application/Petition Forms. The application or petition shall be filed with
the Clerk on the form prescribed by the Clerk and must be accompanied by all
supporting material necessary to support the request. The application and
petition shall contain the following declaration: "I declare under penalty of perjury
that the foregoing is true and correct." The application shall be dated and
subscribed by the applicant(s) and shall state the place of execution.
(1) Within five working days of receipt, the Clerk shall complete a preliminary
review of the application or petition. Applications or petitions which are
incomplete will not be considered properly filed.
(2) No further action shall take place on applications or petitions which are
not properly filed, and the Clerk may decline to accept such application and/or
return them to the petitioner immediately after the preliminary review with a
notice of the defects.
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(3) When the Clerk determines that the application or petition is complete,
the Clerk shall send a written notice of confirmation of receipt of a completed
application or petition to the parties.
(4) In capital replacement proceedings and in government mandated capital
expenditure and operating expense proceedings, affected mobilehome owners
shall have 30 calendar days after receipt of the confirmation of the completed
application to file with the Clerk a petition objecting to the rent increase signed by
one adult tenant in at least 50 percent of the mobilehome spaces subject to rent
control.
(C) Insufficient Objection-Capital Replacement or Government-Mandated
Pass Through Proceeding-Clerk Action. If less than the required number of
affected mobilehome owners object to a proposed capital replacement or
government-mandated pass through, or if objection is withdrawn, including any
amendments, before or after the meet and confer process, the Clerk shall
approve the requested pass through.
§2710: PROCEDURE FOR MEET AND CONFER.
Within 10 working days of the date of the Clerk's notice of a completed
application or petition and prior to assignment of an Arbitrator, affected
mobilehome owners and owners shall meet and confer with each other's
representatives. The time, place and date of the meeting shall be agreed to by
the parties or, if the parties cannot agree, determined by the Clerk. Written notice
of the scheduled meeting shall be given by the applicant or petitioner. At the
meeting, representatives of the parties shall exchange documentary evidence
that the parties, in good faith then know, will be used to support their respective
positions in an arbitration and discuss the issues in dispute. In the case of an
owner, all financial data upon which any proposed increase is claimed shall be
supplied to affected mobilehome owner representatives at the time of the meet
and confer meeting. The parties may request that the Clerk provide a mediator,
at no cost to the parties, to assist with the meet and confer process. The
Arbitrator may deny an application based on the applicant's failure to participate
in good faith in the meet and confer process.
§2711: PROCEDURES FOR ARBITRATION.
(A) The Clerk shall give written notice to the applicant or petitioners and
mobilehome owner representative that the application/petition has been referred
to arbitration.
(1) An Arbitrator shall be appointed in the following manner:
(a) The Clerk shall maintain a list of qualified arbitrators.
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(b) Assignment of Arbitrator and Hearing Date. The Clerk shall choose three
possible Arbitrators and present them to the residents' representative and the
owner. Within five days each party may challenge one candidate. The one
remaining shall be the selected Arbitrator. If both parties challenge the same
candidate, the Clerk shall choose between the two remaining candidates. The
Clerk shall set a date for the arbitration hearing no sooner than 30 or no later
than 40 days after the Arbitrator is assigned. The owner and affected
mobilehome owners shall be notified immediately in writing by the Clerk of the
date, time and place of the hearing and this notice shall be served either in
person or by ordinary mail. The parties may agree, in writing, to extend these
times. The Arbitrator may extend the date for the arbitration hearing upon a
showing of good cause.
(2) The Arbitrator shall conduct a hearing with the parties and/or their
representatives. During this hearing process, the concerns of each party shall be
discussed and the Arbitrator shall indicate the amount and nature of information
needed from any party in order to reach a determination. In fair return
proceedings in Section 2705, this shall include four years of the income and
expense portion of the general ledgers for the park. All information submitted
shall be in writing and shall be certified in the same manner as set forth in
subsection 2709(B).The applicant or petitioner shall have the burden of proof
unless other sections of this chapter specify otherwise. Each party shall comply
with the Arbitrator's request for information within seven days of the request.
Additional information provided to the Arbitrator shall be immediately available to
the owner or affected mobilehome owner representative which will have seven
days to give written comment to the Arbitrator. The Arbitrator may proceed under
this part regardless of whether any party defaults in providing any of the
requested information.
(B) Arbitration Determination.
(1) Within 21 days of the hearing, but no later than 90 days from the date of
the owner's rent increase notice, the Arbitrator shall deliver his or her decision on
the application or petition and a bill for services to the Clerk.
(2) The rent increase in a fair return proceeding shall not exceed the
increase requested in the application.
(3) The Clerk shall provide the result of the Arbitrator's decision to the
affected parties.
(4) The Arbitrator's decisions are final and not appealable to the City
Council.
(C) Method to Determine a Fair Return.
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(1) The base year for the purpose of this section shall be the last full fiscal
year prior to the park becoming subject to this chapter. The Arbitrator may
establish an alternative base year if the owner is unable to produce records of
the last full fiscal year prior to the park becoming subject to rent control.
(2) It shall be presumed that the net operating income produced by the
property during the base year provided a fair return. An owner shall be entitled to
rents to earn a just and reasonable return and to maintain and increase their
base year net operating income in accordance with subsection (C)(4) of this
section. This method is called maintenance of net operating income (MNOI) and
shall be included in all applications.
(3) The applicant or the affected mobilehome owners may present evidence
to rebut the presumption of fair and reasonable return based upon the base year
net operating income. To make such a determination and in order to adjust to the
base year net operating income, the Arbitrator must make the following finding:
(a) The owner's operating and maintenance expenses in the base year were
unusually high or low in comparison to other years. In such instances,
adjustments may be made in calculating such expenses so that the base year
operating expenses reflect average expenses for the property over a reasonable
period of time. In considering whether the base year net operating income
yielded more or less than a fair net operating income, the Arbitrator shall
consider the following factors:
(i) Substantial repairs were made due to damage caused by uninsured
disaster or vandalism;
(ii) Maintenance and repairs were below accepted standards so as to cause
significant deterioration of housing services;
(iii) Other expenses were unreasonably high or low notwithstanding prudent
business practice; and
(iv) The rent in the base year was disproportionately low due to the fact that it
was not established in an arms-length transaction or other peculiar
circumstances.
(4) Fair Net Operating Income. The Arbitrator shall submit a determination
based on rental income which will provide the owner a net operating income
which shall be increased by 100 percent of the percentage increase in the CPI
over the base year's CPI index. The base year CPI shall be the CPI for the first
day of June. For purposes of this section, the current CPI shall be the CPI last
reported as of the date of the completed application.
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(5) Net operating income of a mobilehome park means the gross income of
the park less the operating expenses of the park.
(6) Gross income means the sum of the following:
(a) Gross space rents computed as gross space rental income at 100
percent occupancy (but excluding rent attributed to a space occupied by a park
employee who receives the space rent free as part of the employee's
compensation); plus
(b) Other income generated as a result of the operation of the park,
including, but not limited to, fees for services actually rendered; plus
(c) All other pass through revenue received from mobilehome owners except
capital pass throughs and gas and electric; minus
(d) Uncollected space rents due to vacancy and bad debts to the extent that
the same are beyond the owner's control. There is a rebuttable presumption that
uncollected space rents in excess of the average of the current and past three
years uncollected rents (each year's rent shall be adjusted by the change in the
CPI between that year and the final year of the four-year period) are excessive
and shall not be deducted from gross income.
(7) Operating expenses means:
(a) Real property taxes and assessment;
(b) Advertising costs;
(c) Management and administrative expenses including the compensation of
administrative personnel;
(d) Repair and maintenance expenses for the grounds and common facilities
including, but not limited to, landscaping, cleaning and repair of equipment and
facilities;
(e) In addition to the management expenses listed above, where the owner
performs onsite managerial or maintenance services which are uncompensated,
the owner may include the reasonable value of such services. Owner-performed
labor shall be limited to five percent of gross income unless the Arbitrator finds
that such a limitation would be substantially unfair in a given case. No credit for
such services shall be authorized unless an owner documents the hours utilized
in performing such services and the nature of the services provided;
(f) Operating supplies such as janitorial supplies, gardening supplies,
stationery and so forth;
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(g) Insurance premiums related to operation of the park prorated over the life
of the policy;
(h) Payroll taxes, business, utility, license and permit fees;
(i) Dues;
(j) Consultant services for park operation and maintenance;
(k) All operating expenses must be reasonable and necessary. Whenever a
particular expense exceeds the normal industry or other comparable standard,
the owner shall bear the burden of proving the reasonableness of the expense.
To the extent that an Arbitrator finds any expense to be unreasonable, the
Arbitrator shall adjust the expense to reflect the normal industry or other
comparable standard;
(1) There is a rebuttable presumption that expenditures in the current year
are unreasonable to the extent that they substantially exceed the average of the
current and past three years (each year's expenses shall be adjusted by the
change in the CPI between that year and the final year of the four-year period);
(m) Operating expenses shall not include the following:
(i) Mortgage debt service expenses;
(ii) Land-lease expenses;
(iii) Depreciation;
(iv) Income taxes;
(v) Electric and gas expenses included in Section 739.5 of the California
Public Utility Codes;
(vi) The cost of government mandated expenses (subsection 2703(C)),
capital improvements (subsection 2703(D)), or capital replacements (subsection
6-66.040(F)).
(8) Notwithstanding any other provisions of the ordinance codified in this
chapter, the Arbitrator is authorized to approve any rent increase that is
constitutionally required by law to yield a fair return.
(E) Subpoenas. The parties may obtain the issuance and service of a
subpoena for the attendance of witnesses or the production of other evidence at
the arbitration hearing. Subpoenas shall be issued and attested by the Clerk.
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Issuance of the subpoena must be obtained upon the filing with the Clerk of the
City of an affidavit or declaration, under oath, setting forth the name and address
of the proposed witness; specifying the exact things to be produced and the
relevancy to the issues involved; and stating that the witness as the desired
things in his/her possession or under his/her control.
Service of the subpoena on a witness to attend arbitration must be at least
five working days before the hearing. Service of a subpoena duces tecum must
be at least 21 days before the hearing. Any party served with a subpoena duces
tecum must produce copies of the requested items to the subpoenaing party no
later than 10 days before the hearing.
A subpoena need not be issued when the affidavit or declaration is defective
in any particular. No arbitration hearing may be continued due to the failure to file
a timely request, or to timely serve a subpoena. Any person who refuses, without
lawful excuse, to attend the arbitration or to produce relevant evidence as
required by a subpoena served upon that person shall be guilty of a
misdemeanor.
No subpoena shall issue until after the parties have met and conferred as
required in Section 2710.
(F) Increases for Capital Expense. Increases attributed to a capital expense,
as approved by the Arbitrator to provide a park with a fair return, shall not be
included in base rent. These increases must be separately itemized on the
monthly rent invoice and terminate at the end of the approved amortized period.
Advance approval and effective date of the increase shall be as allowed in
subsection 2703(F)(1).
(G) Rent Increase Effective Date. Rent increases approved by the Arbitrator,
as determined necessary to provide an owner with a fair return, shall be allowed
upon the effective date given by the applicant in the notice to the affected
mobilehome owners, required in section 798.30 of the California Civil Code.
§2712: REFUSAL OF MOBILEHOME OWNER TO PAY ILLEGAL RENT.
An affected mobilehome owner may refuse to pay any rent in excess of the
maximum rent permitted by this chapter. The fact that such unpaid rent is in
excess of the maximum rent shall be a defense in any action brought to recover
possession of a mobilehome space for nonpayment of rent or to collect the illegal
rent.
§2713: DISCLOSURES.
An owner shall disclose to each prospective tenant the current and proposed
base rent for the mobilehome space and the rental agreement options required
17
by this section and Section 2714, provide each prospective tenant with a copy of
this chapter, and disclose to the prospective tenant that if the prospective tenant
signs a lease with a term of more than one year, that lease will be exempt from
rent control. The owner shall give the required disclosure and provide a copy of
this chapter to the prospective tenant at the time that the owner, or owner's
representative, receives the prospective tenant's application for tenancy. The
required disclosures shall be made in a form approved by the Clerk, and the
owner shall obtain a signature of the prospective tenant on the disclosure form
acknowledging receipt of the disclosures. An owner must retain the signed
disclosure form throughout the entire tenancy of the tenant. This signed form
shall be made available to the Clerk upon reasonable written notice.
§2714: PROSPECTIVE MOBILEHOME OWNER-TENANCY 12 MONTHS OR
LESS.
All prospective tenants shall be offered the option of a tenancy of 12 months
or less upon terms consistent with the provisions of the ordinance codified in this
chapter. This section shall not apply to prevent a mutually agreed upon
assignment between an owner and an existing mobilehome owner of an existing
lease, provided any such assignment does not violate subsection 2704(C).
§2715: RENT STABILIZATION ADMINISTRATION FEES.
All or any portion of the costs to administer this chapter may be collected by
the imposition of an annual rent stabilization administration fee established by
resolution of the City Council. The fee shall be chargeable against the total
number of mobilehome spaces in the City subject to rent control determined on a
date certain each year to be established by the City Council. The owner who
pays these fees may pass through to the mobilehome owners, subject to rent
control on the date established by the City Council, 50 percent of the fees
assessed against a mobilehome space. The fee shall be due on a date
established by the City Council but may be paid in quarterly installments by the
owners. Owners of parks annexed to the City after the Effective Date, shall be
charged the fee established by resolution beginning on the effective date of the
annexation.
§2716: AMENDMENT.
Any amendment to this chapter shall require a prior public hearing before the
City Council with notice thereof published in a newspaper of general circulation in
the City at least 10 days prior to the hearing.
§2717: VIOLATION.
18
Every person who violates any provision of this chapter is guilty of a
misdemeanor. This section shall not apply to the Arbitrator or officers or
employees of the City.
SECTION TWO
1. COMPLIANCE WITH CEQA. The City Council finds that this ordinance is not
subject to the California Environmental Quality Act ("CEQA") pursuant to Sections
15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect
physical change in the environment), 15061(b)(3) (there is no possibility the activity in
question may have a significant effect on the environment.)
2. SEVERABILITY. If any provision of this ordinance or the application thereof to any
person or circumstance is held invalid, the remainder of the ordinance and the
application of such provision to other persons or circumstances shall not be affected
thereby. The City Council hereby declares that it would have adopted this Ordinance
and any section, subsection, sentence, clause or phrase thereof irrespective of the fact
that any one or more sections, subsections, sentences, clauses or phrases be declared
unconstitutional or otherwise invalid.
3. EFFECTIVE DATE. This Ordinance shall be published as required by law in a
newspaper of general circulation in the City of Ukiah, and shall become effective thirty
(30) days after its adoption.
4. MANDATORY REVIEW. The City Council shall review this ordinance at the next
regular City Council meeting occurring after the first anniversary of the Effective Date of
this ordinance. The review shall consider whether the ordinance should be amended or
repealed based on the City's experience of the implementation of the ordinance over
that one year period.
Introduced by title only on October 6, 2010, by the following roll call vote:
AYES: Councilmembers Landis, Rodin, Baldwin, and Mayor Thomas
NOES: Councilmember Crane
ABSENT: None
ABSTAIN: None
Adopted on October 20, 2010, by the following roll call vote:
AYES: Councilmembers Landis, Rodin, Baldwin, and Mayor Thomas
NOES: Councilmember Crane
ABSENT: None
ABSTAIN: None
/s/ Benj Thomas, Mayor
ATTEST:
/s/JoAnne M. Currie, City Clerk
19
Re-adopted on January 5, 2011, by the following roll call vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
/s/ Mari Rodin, Mayor
ATTEST:
/s/JoAnne M. Currie, City Clerk
20
ITEM NO.:
MEETING DATE:
AGENDA SUMMARY REPORT
10b
January 5, 2011
SUBJECT: REPORT ON AWARD OF BICYCLE TRANSPORTATION AGREEMENT (BTA)
FUNDING FOR THE NWP RAIL TRAIL PHASE 1 PROJECT, AUTHORIZE CITY
MANAGER TO EXECUTE THE BTA AGREEMENT, AND APPROVE BUDGET
AMENDMENT
Background & Discussion: On October 27, 2010 Caltrans notified City staff of the award of Bicycle
Transportation Account (BTA) funding in the amount of $595,935 to the City of Ukiah for design and
construction of the NWP Rail Trail Phase 1 project. This project will construct an eight foot wide paved trail
along the NWP right of way from Clara Avenue to Gobbi Street. In addition, security lighting and a barrier
fence between the trail and the railroad tracks will be constructed. This project will now be fully funded by
grant money and will not impact the General Fund.
Since 2004, DPW staff has submitted 10 applications for funding for this project. In August 2003, the Ukiah
City Council approved the Project Feasibility Study for the NWP Rail Trail. In October 2004, the NCRA
Board of Directors approved, by unanimous vote, its support of the NWP Rail Trail project. Please note
Attachment 1 for a timeline of events related to this project. The Mendocino Council of Governments
(continued on page 2)
Fiscal Impact:
Budgeted FY 10/11 rx-1 New Appropriation F-1 Not Applicable X❑ Budget Amendment Required
Amount Budgeted Source of Funds (title and Account Number Additional Appropriation Requested
Local Transportation Fund 340.0600.488.000 $595,935
(NWP Rail Trail Phase 1 from other agencies State & Federal Grants)
Local Transportation Fund
(NWP Rail Trail Phase 1)
Design Services
340.0600.490.015 $66,215
340.9662.930.001 $9,410
Construction Contract
Design Services
Construction Contract
340.9662.930.002 $56,805
340.9663.930.001 $84,690
340.9663.930.002 $511,245
Recommended Action(s): Receive report on award of Bicycle Transportation Agreement (BTA)
funding for the NWP Rail Trail Phase 1 Project, authorize City Manager to execute the BTA Agreement,
and approve budget amendment
Alternative Council Option(s): N/A
Citizens advised: Phil Dow, Mendocino Council of Governments
Requested by: Tim Eriksen, Director of Public Works / City Engineer
Prepared by: Rick Seanor, Deputy Director of Public Works - Engineering & Streets
Coordinated with: Jane Chambers, City Manager
Attachments: 1. Citv of Ukiah NWP Rail Trail Timeline
Approved: 04-"~ e44-~'
J e Chambers, City Manager
Page 2
REPORT ON AWARD OF BICYCLE TRANSPORTATION AGREEMENT (BTA) FUNDING FOR THE NWP RAIL TRAIL PHASE 1 PROJECT,
AUTHORIZE CITY MANAGER TO EXECUTE THE BTA AGREEMENT, AND APPROVE BUDGET AMENDMENT
January 5, 2011
(MCOG) on December 6, 2010 awarded the City of Ukiah $66,215 from the Local Transportation Fund
(LTF) 2% Bicycle & Pedestrian Funding for the NWP Rail Trail, Phase 1 project. This amount will serve as
the 10% match for the BTA funded NWP Rail Trail, Phase 1 project. With the BTA funding of $595,935 and
the MCOG funding of $66,215, this first phase of the NWP Rail Trail project is fully funded at $662,150.
The preliminary schedule for this project is as follows: project design completed in 2011 and construction
completed in 2012. The BTA funding agreement, however, allows a 6-year timeframe for completion of this
project. Final invoicing for reimbursement must be submitted by no later than April 1, 2016.
Staff recommends that the City Council authorize the City Manager to execute the BTA agreement and that
the City Council approve the necessary budget amendments for this project.
City of Ukiah NWP Rail Trail - Timeline Attachment # 1
November 2002 Project Feasibility Study - Ukiah NWP Rail Trail
March 7, 2003 NCRA Property Committee found merit with the Project Feasibility Study - Ukiah NWP
Rail Trail and referred to the full NCRA Board of Directors
August 6, 2003 Ukiah City Council approved the Project Feasibility Study - Ukiah NWP Rail Trail,
Resolution No. 2004-03
October 13, 2004
Ukiah Valley Trails Group (UVTG) submitted letter of support for NWP Rail Trail project
October 15, 2004
City of Ukiah, DPW submitted TE application to MCOG for NWP Rail Trail project
October 20, 2004
NCRA Board approved, unanimously, support of NWP Rail Trail project
November 8, 2004
NCRA submitted letter of support for NWP Rail Trail project for TE funding application
January 27, 2005
NCRA submitted letter of support for NWP Rail Trail project BTA funding application
January 27, 2005
UVTG submitted letter of support for NWP Rail Trail project BTA funding application
January 27, 2005
City of Ukiah, DPW submitted NWP Rail Trail project BTA application for FY 2005-2006
funding cycle to Caltrans
November 30, 2005
City of Ukiah, DPW submitted NWP Rail Trail project BTA application for FY 2006-2007
funding cycle to Caltrans
November 30, 2006
City of Ukiah, DPW submitted NWP Rail Trail project BTA application for FY 2007-2008
funding cycle to Caltrans
September 26, 2007
City of Ukiah, DPW submitted NWP Rail Trail project application for MCAQMD Motor
Vehicle Program Funds
December 3, 2007
City of Ukiah, DPW submitted NWP Rail Trail project BTA application for FY 2008-2009
funding cycle to Caltrans
November 25, 2008
City of Ukiah, DPW submitted NWP Rail Trail project BTA application for FY 2009-2010
funding cycle to Caltrans
January 5, 2009
City of Ukiah, DPW submitted NWP Rail Trail project application for MCAQMD Motor
Vehicle Program Funds
November 24, 2009
City of Ukiah, DPW submitted NWP Rail Trail project BTA application for FY 2010-2011
funding cycle to Caltrans
October 27, 2010
Caltrans awards BTA funding for the FY 2010-2011 funding cycle to City of Ukiah, DPW
for the NWP Rail Trail Phase 1
November 12, 2010 City of Ukiah, DPW submits application for design costs for NWP Rail Trail to the
Mendocino Council of Governments for LTF 2% Bicycle & Pedestrian Program funding
December 6, 2010 The Mendocino Council of Governments awards $66,215 in LTF 2% Bicycle &
Pedestrian Program funding to the City of Ukiah, DPW for the BTA matching amount for
the NWP Rail Trail Phase 1 project.
City c7J ZJkh7fi
ITEM NO.: 10c
MEETING DATE: January 5, 2011
AGENDA SUMMARY REPORT
SUBJECT: STATUS REPORT AND CONSIDERATION OF PREQUALIFICATION PROCESS FOR
RIVERSIDE PARK DEVELOPMENT PROJECT FUNDED BY CALIFORNIA
RESOURCES AGENCY RIVER PARKWAYS GRANT
Summary: The City of Ukiah Community Services Department is managing the Riverside Park
Development Project funded by the California Resources Agency River Parkways Grant program. At
the City Council meeting on April 21, 2010 and the meeting on June 2, 2010, staff provided Council with
information on a prequalification process. This Agenda Summary Report is follow-up on the park project
and continued analysis on a potential prequalification process.
Background: In June of 2008, the California Resources Agency announced their River Parkways Grant
Program Awards to 31 cities in the state of California with the City of Ukiah receiving an award for
$810,000 for Riverside Park. Riverside Park is located at the east end of Gobbi Street. The grant project
area or "Phase 1" includes improvements to the entry area, construction of the main trail, one river
access trail and one loop trail. The improvements will meet the River Parkways criteria for restoration of
the riparian habitat by removing invasive vegetation and replanting native species. Phase 1 will include
approximately 2,500 linear feet of trail and 1,200 linear feet of river bank riparian restoration.
The City has contracted with RRM Design Group, Warren McClung, ASLA and Ann Baker Landscape
Architecture for design and engineering services. Due to certain existing site conditions together with
very specific timing issues related to work within the river bank and revegetation, staff together with the
designers determined it would be best to implement the project in two steps under two separate
construction contracts. The first step was a short contract to remove debris in the area around the
existing service road on the upper bank and establish rough grade in this area. The Rough Grading
work was conducted by a competitive bid process with no prequalification element. This work was
awarded September 1, 2010 and is still in progress.
Recommended Action(s): Receive status report.
Alternative Council Option(s): N/A
Citizens advised: North Coast Builders Exchange, Paths, Opens Space, Creeks Commission, Park,
Recreation and Golf Commission
Requested by: N/A
Prepared by: Katie Merz, Community Services Administrator
Coordinated with: Jane Chambers, City Manager, David Rapport, City Attorney, Mary Horger,
Purchasing Supervisor
Attachments: 1. Draft Prequalification Packet for City of Ukiah Riverside Park Project
2. Draft Uniform Rating System & Comparable Project Verification
3. Prequalification State Legislation
4. Public Contract Code Section 20100-20103.6
Approved: ~2 -
J Chambers, City Manager
Following completion of the Rough Grading work the topographic survey will be updated and the
construction documents and bid documents for the Trail and Revegetation Project will be finalized. The
phased approach has allowed the site to be fully ready for the Trail and Revegetation Project, invasive
plant eradication and revegetation, which needs to begin this spring (2011) when conditions are best for
that work.
Discussion: Because the Trail and Revegetation Project requires certain specialty construction
processes staff has investigated a preq ual ifi cation process to assist in the selection of the lowest
responsible bidder. These specialties relate primarily to the revegetation process and construction within
the main channel of the river. With regard to revegetation, the grant funding contract specifies that the
project must have 80% success rate in the revegetation. Therefore the success rate of the invasive plant
removal as well as the new. plant growth is a very significant concern. Likewise, construction within the
main channel of the river will be subject to close regulatory scrutiny. Staff feels that for this project to be
successful it is important that the contractor has specific experience in this type of work.
For example, the current Rough Grading work that is underway at Riverside Park has experienced
difficulty with plant growth. The specifications for the Rough Grading work include hydroseeding. The
current vendor claims he completed the seeding work as specified, however the growth has not been
successful in all areas. For the past two months staff and the contractor have been monitoring the
growth of the seed which can take up to six weeks. After further inspection, it was determined that the
application of the seed did not meet the coverage requirements as detailed in the specifications. Now we
have reached the winter months where it is unlikely that the seed can germinate. Per the specification
the City is retaining the contractor until the successful seed germination has been met. This means that
the contractor will be responsible to apply another application of hydroseeding during an appropriate
weather window such as the spring months. This has adversely affected the project schedule and will
impact the manner in which future work is conducted.
The next and final section of work for Riverside Park Phase One is the Trail and Revegetation Project.
Some of the key elements include the installation of boulders within the river bank to support the river
access trail as well as the compaction and installation of boulders at the terrace area and loop trail. The
largest section of work is the removal of invasive species which will be eradicated with a number of
measures. Likewise, the contractor will also install plants with seeding measures and container plants.
This project and the construction that. is performed is governed and supervised by the permitting
agencies which are Department of Water Quality and Fish and Game. The engineers estimate for this
project is $600,000 and it is anticipated that the work will take 12-18 months. Due to the sensitive nature
of the planned work in combination with the current complication regarding hydroseeding at the location,
staff has continued to investigate a prequalification process.
In 1999, the California State Legislature enacted a law that allows many public agencies to require
licensed contractors that wish to bid for public works jobs to "pre-qualify" for the right to bid on a specific
public works project, or on public works project undertaken by a public agency during a specified period
of time. In establishing prequalification requirements, the California legislature found "that the
establishment by public agencies of a uniform system to evaluate the ability, competency, and integrity of
bidders on public works projects is in the public interest, will result in the construction of public works
projects of the highest quality for the lowest costs, and is in furtherance of the objectives." Public
Contract Code section 20101 was enacted as part of Assembly Bill 574. This law applies to all cities,
counties and special districts. This code section allows a public entity to require that each prospective
bidder for a contract complete and submit to the entity a standardized questionnaire in a form specified
by the entity, including a complete statement of the prospective bidder's experience in performing public
works.
Staff has included a series of attachments which provide a draft prequalification questionnaire and also
explain the state legislation. Generally the process includes a questionnaire that addresses the
prospective bidders' basic financial stability, addresses the prospective bidders' company history and
past performance, and addresses project-specific experience. Staff will score the questionnaires from
each prospective bidder using a uniform scoring system. The uniform scoring system is adopted as part
of the prequalification process. A prospective bidder must meet certain minimum scores within each
section to be prequalified to bid on the project.
Attachment 1 is the draft prequalification packet that includes the draft questionnaire with scoring criteria.
This document includes only the information that is most relevant and applicable for the Trail &
Revegetation Project. Staff utilized the questionnaire model form created by the State Department of
Industrial Relations pursuant to Section 20101 of the Public Contract Code. Staff revised the
questionnaire to reduce the length of the questions as they are shown in the State Dept model form.
Staff also reduced the requirement for additional attachments. For example, the State model requires a
notarized statement from the contractor surety company. Staff felt that asking the contractor to provide
additional documents, such as this, was not to the benefit of the City or to the contractor. The draft
packet has been reviewed by the City Attorney.
If a prequalification process is utilized for bidding the Riverside Trails and Revegetation Project, the City
Council would adopt a resolution as such. The resolution would adopt the prequalification packet and the
associated documents and procedures. Staff would suggest that the City conduct the prequalification
process concurrently with the project bidding process. Therefore the overall process would take
approximately 60 days. The City would make all information available to prospective bidders; this would
include advertising the project plans, specifications and preq ual ifi cation process. The prospective bidders
would have 2 weeks to submit their prequalification questionnaire. The City would then score the
questionnaires which must be conducted 10 days after the receipt of the questionnaire. Qualified
contractors would be notified and then have approximately 30 days to submit their bids before bid opening.
Likewise contractors who may not initially meet the minimum score of prequalification have the opportunity
to appeal the determination. The appeal procedures are outlined in the prequalification procedures which
allows adequate time to conduct the appeal or hearing process and, if deemed qualified, the contractor
would still have adequate time to submit their bid by the bid opening date.
The overall goal of the prequalification process is to award the project to the lowest responsible bidder. The
draft documents were designed to be inclusive and user-friendly so that the City may receive numerous
competitive bids from a variety of contractors. The project will be conducted by a contractor with an A
license. Staff feels confident that there are numerous local and regional contractors who meet the licensing
requirement and criteria described in the prequalification. The prequalification process is not designed to
exclude bidders. It is designed to ensure that the work is performed to the highest quality with the lowest
cost.
During the discussion of prequalification at the April 21, 2010 City Council meeting, a number of questions
were raised including how the North Coast Builders Exchange could comment on this process. Staff has
sent a letter with the draft prequalification packet to the Builders Exchange inviting their input. Staff feels
that it is important to have this information included as a Council agenda item for discussion prior to
including any recommended action. This allows the public to be introduced to the information and allows
time for Council to hear public comment and provide further direction to staff. Staff will return to Council on
January 19 with further work on this item.
Fiscal Impact:
Budgeted FY 10/11 F1 New Appropriation Not Applicable Budget Amendment Required
❑
CITY OF UKIAH A7TACHMENT,
MENDOCINO COUNTY, CALIFORNIA
BIDDER PRE-QUALIFICATION QUESTIONNAIRE
FOR
RIVERSIDE PARK PHASE ONE
TRAILS AND REVEGETATION PRO,
SPECIFICATION NO.
I BIDDER PRE-QUALIFICATION PROCEDURES
INTRODUCTION
In 1999, the California State Legislature enacted a law that allows many public agencies to require licensed contractors
that wish to bid for public works jobs to "pre-qualify" for the right to bid on a specific public works project, or on public
works project undertaken by a public agency during a specified period of time. Public Contract Code section 20101 was
enacted as part of Assembly Bill 574. This law applies to all cities, counties and special districts. This code section
allows a public entity to require that each prospective bidder for a contract complete and submit to the entity a
standardized questionnaire in a form specified by the entity, including a complete statement of the prospective
bidder's experience in performing public works.
NOTICE OF BIDDER PREQUALFICATION REQUIREMENT
Notice is hereby given that the City of Ukiah has determined that al s on Riverside Park Phase One Trails and
Revegetation Project to be undertaken by the City of Ukiah mu lifted prior to submitting a bid on the
project. It is mandatory that all Contractors who intend it a ~Ily complete the pre-qualification
questionnaire, provide all materials requested therein, and r the minimu ("Minimum Score") required to
be on the final Qualified Bidders List. No bid will be ac rom a Contractor, ding a joint venture, that has
failed to comply with these requirements.
If two or more business entities submit a bid as part of a j %tr////~
venture, each entity within the joint ven ust separquestionnaire and must meet or exceed t" mum scores A.
entities that are part of a joint venture for thi ,X complete
BID DOCUMENTS
The bid documents includin '
contractor prior to comp ~
license and bonding ha line in
INSTRUCTIONS FOR PRE-QUA
It is the resp f the
suoDlern / / MV..r
project. Ukiah res h
objectiv/ rm evaluation
Failure to may be grounR
irregularities a issions in the i
final determinate
City of Ukiah reserves ht to
before or after bid openin ed
ineligible to bid on this pr -c
minimum score as described in tom/
re
se
com
pest to subrfR0/2 id as part of a joint
Parts I and II pre-qualification
for each of those two sections. Business
if the questionnaire jointly.
and should be reviewed by the
uestions regarding such items as
I Pre-Qualification Questionnaire and any required
Orating each contractor's qualifications to bid on this
available. City of Ukiah's decision will be based on
Please co"~nYf lete all questions and provide all requested information.
requalifcation. City of Ukiah reserves the right to waive minor
ed in the pre-qualification application submitted, and to make all
increase, limit, suspend or rescind any contractor's pre-qualification rating,
bsequently learned information. Contractors will be notified if they become
of a rating change. In such case the contractor may appeal a rating below the
!al Procedure".
Each questionnaire must be signed under penalty of perjury in the manner designated at the end of the form, by an
individual who has the legal authority to bind the Contractor on whose behalf that person is signing. If any information
provided by a Contractor becomes inaccurate, the Contractor must immediately notify City of Ukiah and provide
updated accurate information in writing, under penalty of perjury.
City of Ukiah may refuse to grant pre-qualification where the requested information and materials are not provided, or
not provided by the Questionnaire Submission Deadline. There is no appeal from the City's decision refusing to pre-
qualify a contractor based on an incomplete application or because an application was submitted after the
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
BIDDER PRE-QUALIFICATION PROCEDURES
Page 1
Questionnaire Submission Deadline. The submission deadline for bids will not be changed in order to accommodate
supplementation of incomplete prequalification submissions, or late prequalification submissions.
SUBMISSION DEADLINE
The last date to submit a fully completed questionnaire is . 2011 ("Questionaire Submission Deadline").
Contractors are encouraged to submit pre-qualification packages as soon as possible, so that they may be notified of
omissions of information to be remedied or of their pre-qualification status well in advance of the bid advertisement
for this project.
Contractors may hand-deliver pre-qualification packages during regular working hours on any day that the offices of
City of Ukiah are open. The prequalification package must be submitted by or received by mail, on or prior to the
last date for submittal indicated above.
PLACE OF SUBMISSION
The pre-qualification packages should be submitted by mail or deli in a sealed envelope to the City of
Ukiah's City Clerk's office located at 300 Seminary AvenuC 95482-5 d marked CONFIDENTIAL. Faxed
or emailed copies will not be accepted.
CONFIDENTIALITY
The pre-qualification questionnaires and supplemental inf on subs
and are not open to public inspection. All i ormation provi II
law. However, the contents may be disci hird parties t
investigation of substantial allegations or in hearing.
applying for pre-qualification status shall be pu - ~ e ject to dish
will be used for that purpose.
by ContracN//e not public records
confidential tent permitted by
Fnt'ne cessary for of ve rification or
Naw requires that the names of contractors
We, and the first page of the questionnaire
NOTIFICATION OF ACTIONUpon submission of the ificati estionnaieompleteness. If additional information
~//is required, you will be nThe date' d hich all re information h "s been received by the City Clerks Office,
will be considered the rece to of Pre-Qualific Questionnaire. Contractors will be notified of their
qualification st o later th~~ s days submission of the information. All notices to the
contractor e mai ess, ax nr contained in the Pre-Qualification Questionnaire.
Notices emaile ~O
uesti " e contain i ddress. If no email address is given, notices shall be
faxed. mail or fax nu given, es shall be fed. Notices shall be deemed given and received on the
date they ail, faxed or de d in th 'fed States Mail.
APPEAL PROCEDi
A contractor may a rating ber the Minimum Score, if the contractor's questionnaire was submitted and
determined by the Ci - be compl by the Questionnarie Submission Deadline. An appeal is begun by the
Contractor delivering to tfY of / City Clerk's Office written notice of its appeal of the pre-qualification rating
decision. The appeal must ed three (3) business days after receipt of the City's prequalification status
notification. The City Clerk shall tamp any notice of appeal with the date received by the City Clerk. A contractor
who fails to file with the City Clerk a complete and timely notice of appeal waives any and all right to appeal the
contractor's rating.
The notice of appeal must contain a fax number or email address to which notices can be given. Any notice, decision or
other communication shall be deemed given and received on the date it is faxed or emailed to that number or address.
In the notice of appeal the contractor must state whether the contractor requests notification in writing of the basis for
the contractor's disqualification and any supporting evidence that has been received from others or adduced as a result
of the City's investigation (collectively, the "Rating Information").
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
BIDDER PRE-QUALIFICATION PROCEDURES
Page 2
If the contractor files a complete and timely notice of appeal, the City shall schedule a hearing to be conducted not
later than ten (10) business days from the date the notice of appeal was filed with the City Clerk and the hearing officer
shall issue his or her written decision not later than five(5) business days prior to the deadline for submitting sealed
bids on the project. If the notice of appeal requests the Rating Information, the City must provide that information not
later than two(2) business days after the appeal was filed with the City Clerk. The City Clerk shall provide written notice
to the contractor of the date, time and location of the hearing no later than two(2) business days prior to the scheduled
hearing.
The hearing shall be conducted informally by the hearing officer, but, at a minimum, the contractor shall be given the
opportunity to rebut any evidence used as a basis for disqualification and to present evidence to the hearing officer as
to why the contractor should be found qualified. The hearing shall be electr ally recorded. It shall be closed to the
public, including other bidders, but the contractor or the Director of Com ervices or his or her designee shall be
allowed to call witnesses to testify at the hearing. The hearing office xclude witnesses, except when they are
testifying.
The hearing officer shall be the City Manager or another
hearing officer shall not have participated in rating the con
of their qualifications and shall base his or her decision
any documents or testimony submitted during the heari
the contractor and the Director of Community Services. TI
reasons for the decision but need not contai etailed fin,
subject to public disclosure and shall remai ntial.
Pre-qualification Questionnaire is on the fol s.
cial or perso" nated by the City Manager. The
~s based on their nnaires or in any investigation
!ly on the notice of a the Rating Information and
hearing officer decision ' e in writing and given to
en decis' hould contai 'ef explanation of the
ec he hearing and cision shall not be
FI
6ERK JOE CURRIE
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
BIDDER PRE-QUALIFICATION PROCEDURES
Page 3
THIS PAGE PURPOSELY LEFT BLANK
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
BIDDER PRE-QUALIFICATION PROCEDURES
Page 4
BIDDER PRE-QUALIFICATION QUESTIONNAIRE
FOR
THE RIVERSIDE PARK PHASE ONE TRAILS AND REVEGETATION PROJECT
Application For:
(Please print company name as it appears on license.)
Check One: ❑ Corporation ❑ Sole Proprietorship
❑ Partnership ❑ Joint Venture ❑ Member of Joint Venture
Address to which all applicant's correspondence is to be mailed:
Address:
Contact Person:
Email:
Phone:
If firm is a sole proprietor or partnership:
Owner(s) of Company
Contractor's License NunnWifWand sf°which
TO RETAIN A'TX
OF YOU OMPLETED QUESTIONNAIRE FOR YOUR RECORDS
Mail or Hand Deliver to:
% City of Ukiah
/ / City Clerks Office
300 Seminary Ave.
j Ukiah, CA 95482
Submit Hardcopy: No Fax or Email copies accepted.
FOR OFFICE USE
RECEIPT DATE:
ADDITIONAL INFORMATION :
Riverside Park Phase One
Trails and Revegetation Project BIDDER PRE-QUALIFICATION QUESTIONNAIRE
SPECIFICATION NO. Page 1
THIS PAGE PURPOSELY LEFT BLANK
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
BIDDER PRE-QUALIFICATION QUESTIONNAIRE
Page 2
PART I. ESSENTIAL REQUIREMENTS FOR QUALIFICATION
Contractor will be immediately disqualified if the answer to any of questions 1 through 4 is "no."
Contractor will be immediately disqualified if the answer to any of questions 5, 6, 7 or 8 is "yes."' if the
answer to question 7 is "yes," and if debarment would be the sole reason for denial of pre-qualification,
any pre-qualification issued will exclude the debarment period.
1. Contractor possesses a valid and current California Contractor's license of the class stated in the bid
documents for the Project, entitled: Special Provisions for Riverside Park Phase One Trails and Revegetation
Project ("Special Provisions").
❑ Yes ❑ No
2.
3
4.
Contractor has a liability insurance policy with a policy limit
$2,000,000 aggregate.
❑ Yes ❑ No
Contractor has current workers' compensation ' 'ce policy as
self-insured pursuant to Labor Code section 3 seq.
❑ Yes ❑ No ❑ Contractor is exempt from uirement,
Contractor has an admitted surety
authorized to issue bonds in the St
❑ Yes ❑ No
5. Has your contractor's
❑ Yes ❑ No
6. Within the last
because your firm
❑ Yes ❑ No
7.
8.
At any time during'
involving the awardinE
government contract?
❑ Yes ❑ No
(approved
ar firm ineligible to bid on or be awarded a public
works contract, pursuant to either Labor Code
ending dates of the period of debarment:
, has your firm, or any of its owners or officers been convicted of a crime
of a government construction project, or the bidding or performance of a
' A contractor disqualified solely because of a "Yes" answer given to question 5, 6, or 8 may appeal the
disqualification and provide an explanation of the relevant circumstances during the appeal procedure.
$1,000,000 per occurrence and
use it has
Labor Code or is legally
rcontract o W"dr behalf, or paid for completion
by the project owner?
Riverside Park Phase One
Trails and Revegetation Project BIDDER PRE-QUALIFICATION QUESTIONNAIRE
SPECIFICATION NO. Page 3
PART II. ORGANIZATION, HISTORY, ORGANIZATIONAL PERFORMANCE, COMPLIANCE WITH CIVIL AND CRIMINAL
LAWS
A. Current Organization and Structure of the Business
For Firms That Are Corporations:
1a. Date incorporated :
1b. Under the laws of what state:
1c. Provide all the following information for each person who is either (a) an officer of the corporation (president,
vice president. speretarv_ treASUrPrI_ nr Ihl the nwnpr of nt laact tan nor rant of tho rnrnnratinn'c ctnr4
Name
Position
Years with Co.
hip
For Firms That Are Partnerships:
1a.
1b.
1c.
Date of formation:
Under the laws of what state:
Provide all the following infori
per cent or more of the firm.
Name
Position
.
%O J~ip
1a. 141,Wof commen2640.of b
1a. Date of commenceriq ' nt venture.
1b. Provide all of the foll)wi information for each firm that is a member of the joint venture that expects to bid
on one or more projects:
Name of firm % ownership of Joint Venture
Riverside Park Phase One
Trails and Revegetation Project BIDDER PRE-QUALIFICATION QUESTIONNAIRE
SPECIFICATION NO. Page 4
All references to "owner" or owners" in the following questions mean the owner of owners listed above
B. History of the Business and Organizational Performance
2. How many years has your organization been in business in California as a contractor under your present
business name and license number? years
3 years or more = 2 points
4 years = 3 points
5 years = 4 points
6 years or more = 5 points
3. Is your firm currently the debtor in a bankruptcy case?
❑ Yes ❑ No
No = 3points
Yes =G
4.
No =3
Yes = G
License
5.
No =5
Yes=O
Dispute
6.
No=5,
Yes, 2 o
Yes, 3 o
j
j
to a bankruptcy
onsible Managing
ter completion of
x more
Riverside Park Phase One
Trails and Revegetation Project BIDDER PRE-QUALIFICATION QUESTIONNAIRE
SPECIFICATION NO. Page 5
NOTE: The following two questions refer only to disputes between your firm and the owner of a project.
You need not include information about disputes between your firm and a supplier, another contractor, or
subcontractor. You need not include information about "pass-through" disputes in which the actual
dispute is between a sub-contractor and a project owner. Also, you may omit reference to all disputes
about amounts of less than $50,000.
7. In the past five years has any claim a ainst your firm concerning your firm's work on a construction project
been filed in court or arbitration?
❑ No ❑ Yes, one such instance ❑ Yes, two or more such instances
5 points for either "No"
3 points for "Yes" indicating I such instance
0 points for "Yes" # 2 or more such instances
8. In the past five years has your firm made any claim aga
payment for a contract and filed that claim in court or
❑ No ❑ Yes, one such instance
5 points for either "No"
3 points for "Yes" indicating 1 such instance
0 points for "Yes" if 2 or more such instances
j
9. In the last five years has your firm, or any
was associated, been debarred, disqualif
completing, an
any gove a t ency or p
NOTE: Associa«~j~tri re~to anot
firm held a simi„ sition, an ,,WNI , ich is
❑ Yes ❑ No
No = 5 points
Yes = 0 noinA
10.
No = 5 points
Yes = 0 points
11.
j
roject j der concerning work on a project or
tion? j~~W
El Yes, W' or more such instances
1/
any of yoi;company's owners, officers or partners
..1
Etherwise Tented from bidding on, or
ct forj , any reaso-i?
fi"rm~/~j ich an owner, partner or officer of your
;e to Parll!fj"uestion 1c on this form.
denied an' rd of a public works contract based on a final finding by
not a responsible bidder?
At any time during th'e;ast fib years, has any surety company made any payments on your firm's behalf as a
result of a default, to sdtisfyany claims made against a performance or payment bond issued on your firm's
behalf, in connection with a construction project, either public or private?
❑ No ❑ Yes, one such claim ❑ Yes, two or more such claims
5 points for "No"
3 points for "Yes"indicatingl such claim
0 points for "Yes" more than 2 such claims
Riverside Park Phase One
Trails and Revegetation Project BIDDER PRE-QUALIFICATION QUESTIONNAIRE
SPECIFICATION NO. Page 6
12. In the last five years has any insurance carrier, for any form of insurance, refused to renew the insurance
policy for your firm?
❑ No ❑ Yes, one such instance ❑ Yes, two instances ❑ Yes, three or more instances
5 points for "No" or "Yes" indicating 1 such instance
3 points for "Yes" indicating 2 such instances
0 points for "Yes" or if more than 2 such instances
Criminal Matters and Related Civil Suits
13. Has your firm or any of its owners, officers or partners ever been found liable in a civil suit or found guilty in a
criminal action for making any false claim or material misrepresentation to any public agency or entity?
❑ Yes ❑ No j
OF
No = 5 points
Yes = subtract 5 points
14.
Has your firm or any of its owners, officers or partners ever been
state, or local law related to construction? 4
❑ Yes ❑ No
No = 5 point
Yes = subtract 5 points "j
Bonding
15.
If your firm was required to pay a premium of more thanx
on any project(s) on wKeh your firm worked°at any timed
your firm was require o pay Y may prow den e
cent, if you wish to do so.
❑ The rate was no more than one, er cent
❑ The ra js no higher"jan 1 10 jf/j t
The rates er ce f /
performance and payment bond
;e years, state the percentage that
stage rate higher than one per
S points if the rate Mfij
3 points if the rate was
0 points for any other i
16
During the last five yearyjias your firm ever been denied bond coverage by a surety company, or has there
ever been a period of time when your firm had no surety bond in place during a public construction project
when one was required?
❑ Yes ❑ No
No = 5 points
Yes = O points
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
BIDDER PRE-QUALIFICATION QUESTIONNAIRE
Page 7
C. Compliance with Occupational Safety and Health Laws and with Other Labor Legislation Safety
17. Has CAL OSHA or other comparable agency of another state cited and assessed penalties against your firm for
. any ".`serious," "willful" or "repeat" violations of its safety or health regulations in the past five years?
NOTE: if you have filed an appeal of a citation, and the Occupational Safety and Health Appeals Board has
not yet ruled on your appeal, you need not include information about it.
❑ No ❑ Yes, one such instance ❑ Yes, two such instances ❑ Yes, three or more such instances
S points for either "No" or "Yes" indicating I such instance
3 points for "Yes" indicating 2 such instances
0 points for "Yes" if 3 or more such instances 4/1
18. Has the federal Occupational Safety and Health Administri
fIF --ra ; d assessed penalties against your firm
in the past five years? Mh
i,,%/%r
NOTE: If you have filed an appeal of a citation a ' t Appeals Boa ,~jas not yet ruled on your appeal,
or if there is a court appeal pending, you need n/ c9nclude information about the citation.
❑
/k/pee Yes, one such instance ❑ Yes, ii, % two such instances ❑ Ye ;tor more such instances
%j
S points for either "No" or "Yes" indicating,1 cych instance
3 points for "Yes" indicating 2 such instan~~~I j
0 points for "Yes" if 3 or more such instancl,%`
19. Within the past five years, has the EPA or any Air Quality {ManagementDistrict or any Regional Water Quality
Control Board cited andas essed penalties~a'g inst either%y,'' r firm or the owner of a project on which your
firm was the contra '
/ P
NOTE: If you ha;
led an app a of a citatioa a Appeals Board has not yet ruled on your appeal,
MAP,
or if there is a co „j/ppeal peng, you nenclude information about the citation.
RNME
❑ No ❑ Yes,ch instan
ce ❑ Yes, f osuch instances ❑ Yes, three or more such instances
S
3
0
Riverside Park Phase One
Trails and Revegetation Project BIDDER PRE-QUALIFICATION QUESTIONNAIRE
SPECIFICATION NO. Page 8
PART III: RECENT COMPARABLE CONSTRUCTION PROJECTS COMPLETED
A. General Project Experience
The following questions are related to projects that you have completed with a series of specific attributes. In each
case select the number of projects where you acted as the general contractor or a subcontractor.
1. Indicate the number of projects your company completed within the previous 5 years where the construction
value was greater than $500,000. If your company was a subcontractor the construction value of your
subcontract must meet or exceed this amount:
❑ Five or more Projects ❑ Two or Three Projects ❑ One Project ❑ No Projects
S points for "Five or More" j j
3 points for "Two or Three Projects" /
I point for "One Project"
0 points for "No Projects"
/
2. Indicate the number of projects your company completed within the prey 5 years where two or more
acres of the active construction area was within~jhe jurisdiction of the Califonia-Department of Fish and
Game or the Regional Water Quality Control Board jurisdiction:
❑ Five or More Projects ❑ Two or Three Projects ❑ One Project ❑40 Projects
Ank
S points for "Five or More" /
O
3 points for Two or Three Projects
1 point for One Proeect
0 points for "No Projects"
it
3. Indicate the number 0/ ra ects your compacompleted ff ithin the pG`ous 5 years which included two or
~l////%//A///a//'l
more acres of sele ve'~/~/j%: f non nativend invasive veget tion usrng a combination herbicide
application and,liamovaVON
❑ Five or Mor~'ectswo or Three o ects
One"Project ❑ No Projects
i E]
S
ointsfor Fiv ore
P
3 points for ZA, rojecl~
1 point f i /
0 of 9/~
p ntslfNo Projects
Af ~ O
4. Indl -0, j he number of pro's your cgppany completed within the previous 5 years which included two or
more acr„,,of native plant in„s, j Nation and establishment using a combination of seeding and containerized
plan ts:
El Five or M 2r0 jects ;Two or Three Projects El One Project ❑ No Projects
5 points for "Five or More'
3 points for "Two or Three
1 point for "One Project"
0 points for "No Projects"
5. Indicate the number of projects your company completed within the previous 5 years which included 1,000 LF
of trails constructed of stabilized aggregate not including asphaltic concrete or concrete paving:
❑ Five or More Projects ❑ Two or Three Projects ❑ One Project ❑ No Projects
S points for "Five or More"
3 points for "Two or Three Projects"
I point for "One Project"
0 points for "No Projects"
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
BIDDER PRE-QUALIFICATION QUESTIONNAIRE
Page 9
B. Specific Project Experience and References
Project Data Sheets
The following pages of the questionnaire include the "Project Data Sheets". The Contractor shall provide information
on 3 projects completed within the last 5 years that are comparable in scope and context to the Riverside Park Phase
One Trails and Revegetation Project. Comparable projects will receive points based on the number of the following
attributes they share with the Project and how close the quantity of each specified attribute of the comparable project
is to the quantities indicated for each below.
To score the highest points possible, each project should have had the following attributes;
a. a construction contract price of $500,000 or more;
b. two (2) or more acres of improvements as measured by area
the California Department of Fish and Game and/or the Re
c. Three (3) or more acres of selective removal of non-nativ~
herbicide application and hand removal.
ab
d. Three (3) or more acres of native plant installatio#/,////
containerized plants. e.
paving.
one (1) acre or more of stabilized streambank or
engineered (conventional) erosion, i pI techn
Names and contact information of references
list the above referenced number of comparabl
will result in immediate disqualif!y~tion.
Provide information a
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
nce located within the jurisdiction of
Quality Control Board jurisdiction.
✓egetation using a combination
hom
%ombination of seeding and
ig asp oncrete or concrete
using
(live) or
be current and verifiable. Failure to
City that the information is invalid
Sheets.
BIDDER PRE-QUALIFICATION QUESTIONNAIRE
Page 10
PROJECT DATA SHEET
PROJECT #1
1. Project Name:
2. Project Location
3. Owner Information
Name:
Address:
Contact Person for
Experience Verification:
Phone Number for
Contact Person:
4. Contract Role:
Prime Contractor
If sub-contractor,
Company Name:
Contact P /
Contact Pho u
/t u
j
5. Project Attributes: Check th
/
j
applicable boxes.
nts
1211
M
oin
ts
1 points
0 Points
C
t
P
i
%i/
~~~000
$2000000
on
ract
r
ce
>
El
❑
❑
❑ < $200,000
< $500,000
< $300,000
g. Amount of the active cons n
i
hi
f
w
t
n
t e
1 Acre
0.5 Acre
Dep of Fis a or
Re ,
Water Quality 1 Boa
❑/S
❑ to
<2 Acres
❑ To
1 Acre
❑ < 0.5 Acre
j
juris
h. Amount ctive removal o
native and e vegetation u
~
2 Acres
1 Acres
/
combination h e applicatio %
n
p
❑ >3 Acres
❑ To
❑ To
❑ < 1 Acre
hand removal.
IM/
/m/.
<3 Acres
<2 Acres
I. Amount of native pla allati
2 Acres
1 Acres
establishment using a cf
❑ >_3 Acres
❑ To
❑ To
❑ < 1 Acre
seeding and containerized
<3 Acres
<2 Acres
j. Amount of trails constructed of
stabilized aggregate not including
E] >_1,500 LF
1,000 LF to
❑
500 LF to
❑
E] <500 LF
asphaltic concrete or concrete paving.
<1,500 LF
<1,000 LF
k. Amount of stabilized streambank or
stabilized erosive area using
0.5 Acre
0.25 Acre
bioengineered (live) or engineered
❑ >_1 Acres
❑ To
❑ To
❑ < 0.5 Acre
(conventional) erosion control
<1 Acres
<0.5 Acres
techniques.
Project owner will be contacted to verify information.
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
Sub-
contractor
and contact informs 6r the general contractor below:
BIDDER PRE-QUALIFICATION QUESTIONNAIRE
Page 11
PROJECT DATA SHEET
PROJECT #1
THIS PAGE PURPOSELY LEFT BLANK
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
BIDDER PRE-QUALIFICATION QUESTIONNAIRE
Page 12
PROJECT DATA SHEET
PROJECT #2
1. Project Name:
2. Project Location
3. Owner Information
Name:
Address:
Contact Person for
Experience Verification:
Phone Number for
Contact Person:
4. Contract Role:
Prime Contractor
If sub-contractor,
Company Name:
Contact P
Contact Pho
5.
Project Attributes: Check th
applicable boxes.
'nts
oints
1 points
0 Points
A 000
/
$200
000
a.
Contract Price
F-1 '
❑
4
❑
0
< $200,000
El
< $500,000
< $300,000
b.
Amount of the active const " n
h
j%
wit
in the
M,
1 Acre
0.5 Acre
Dep of Fis me or
Re Water Qualit
1 Bo
F]
❑
to
<2 Acres
❑
To
1 Acre
❑ < 0.5 Acre
y
a
~
juris
c.
Amount'" ctive removal
2 Acres
1 Acres
native and i e vegetation u
bi
i
h
li
i
❑ 2_3 Acres
❑
To
❑
To
❑ < 1 Acre
com
nat
on
e app
cat
on
hand removal
<3 Acres
<2 Acres
.
d.
Amount of native pla . allati
2 Acres
1 Acres
establishment using a co f
❑ 2_3 Acres
❑
To
❑
To
❑ < 1 Acre
seeding and containerized
<3 Acres
<2 Acres
e.
Amount of trails constructed of
stabilized aggregate not including
❑ 2_1,500 LF
❑
1,000 LF to
❑
500 LF to
❑ <500 LF
asphaltic concrete or concrete paving.
<1 , 500 LF
<1,000 LF
f.
Amount of stabilized streambank or
stabilized erosive area using
0.5 Acre
0.25 Acre
bioengineered (live) or engineered
❑ 2_1 Acres
❑
To
❑
To
❑ < 0.5 Acre
(conventional) erosion control
<1 Acres
<0.5 Acres
techniques.
Project owner will be contacted to verify information.
Sub-
contractor
and contact informa4w the general contractor below:
Riverside Park Phase One
Trails and Revegetation Project BIDDER PRE-QUALIFICATION QUESTIONNAIRE
SPECIFICATION NO. Page 13
PROJECT DATA SHEET
PROJECT #2
THIS PAGE PURPOSELY LEFT BLANK
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
BIDDER PRE-QUALIFICATION QUESTIONNAIRE
Page 14
PROJECT DATA SHEET
PROJECT #3
1. Project Name:
2. Project Location
3. Owner Information
Name:
Address:
Contact Person for
Experience Verification:
Phone Number for
Contact Person:
4. Contract Role:
Sub-
Prime Contractor contractor ❑
If sub-contractor, pro ~ and contact informa%W the general contractor below:
Company Name: l
Contact P - 11,
'
Contact Pho
5
s: Check t~
i
/
appl
cable boxes.
'nts
. point5
/
1 points
0 Points
j/ %
$ /
000
$200,000
a.
~
Contract Price
❑ '
El
❑
to
❑ < $200,000
< $500,000
< $300,000
b.
Amount of the active cons' n
i
hi
w
t
n f the
Dep Mr/oftf/Pil me or ,
❑
❑
1 Acre
to
❑
0.5 Acre
To
❑ < 0.5 Acre
Re , Water Quality I Boa
<2 Acres
1 Acre
juris
c.
Amount c
native tive removal
nd
t
ti
2 Acres
1 Acres
a
i e vege
a
on u
h~
ns '
❑ ?3 Acres
❑
To
❑
To
❑ < 1 Acre
combination
e applicatio
hand removal.
<3 Acres
<2 Acres
d.
Amount of native pla W.
, allati
~
2 Acres
1 Acres
establishment using a co
f
❑ >_3 Acres
❑
To
❑
To
❑ < 1 Acre
seeding and containerized
<3 Acres
<2 Acres
e.
Amount of trails constructed of
stabilized aggregate not including
❑ >_1,500 LF
❑
1,000 LF to
El
500 LF to
E] <500 LF
asphaltic concrete or concrete paving.
<1,500 LF
<1,000 LF
f.
Amount of stabilized streambank or
stabilized erosive area using
0.5 Acre
0.25 Acre
bioengineered (live) or engineered
❑ >_1 Acres
❑
To
❑
To
❑ < 0.25 Acre
(conventional) erosion control
<1 Acres
<0.5 Acres
techniques.
Project owner will be contacted to verify information.
Riverside Park Phase One
Trails and Revegetation Project BIDDER PRE-QUALIFICATION QUESTIONNAIRE
SPECIFICATION NO. Page 15
PROJECT DATA SHEET
PROJECT #3
THIS PAGE PURPOSELY LEFT BLANK
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
BIDDER PRE-QUALIFICATION QUESTIONNAIRE
Page 16
PRE-QUALIFICATION DECLARATION
(Printed Name)
(Title)
, hereby declare that I am the
(Name of
and certify and declare that I have read all the foregoing answ
know their contents. The matters stated in the questionna'
own knowledge and belief, except as to those matters st ins
matters I believe them to be true. I declare under p perjury
that the foregoing is correct and that this declara ' executed in
County/State, on 2011.
Dated:
s pre-qualification questionnaire and
and all attachments are true of my
tion and belief, and as to those
,Jhe laws of the State of California,
Riverside Park Phase One
Trails and Revegetation Project BIDDER PRE-QUALIFICATION QUESTIONNAIRE
SPECIFICATION NO. Page 17
ATTACHMENT
UNIFORM RATING SYSTEM AND PROCEDURES
FOR THE RIVERSIDE PARK PHASE ONE
TRAILS AND REVEGETATION PROJECT
The prequalification questionnaires for Riverside Park Phase One Trails and Revegetation Project will be reviewed and
scored by the City Manager or his designee. Part I of the Questionnaire contains "yes/no" type questions on essential
requirements for qualifications. See the questionnaire for information on how those questions are handled. The
balance of the questionnaire has a mix of purely informational and scorable questions. Not all questions in the
questionnaire are scorable; some questions simply ask for information about the contractor firm's structure, officers
and history. The points for each scorable question is indicated in the Questi e.
The following table outlines the parts of the questionnaire with scora tions, the total points possible, and the
minimum points required in each part to qualify to bid on this pr
An".
T~~ ints
Minimum Score
Po
Required to Qualify
Part II.B.
History of the business and organizational mance; 71
53
Part B.C.
Compliance with occupational safety and health
workers' compensation and otl bor legislation%j/~, / 15
11
Part III.A
General Project Experience
25
15
~~j////
Part III.B
Specific Project Experience and Rece30
18
Part III.C
Comparable Proj
b ' cation
15
8
t
6
1
arojec
(2 projects muA. ' imum poi quire
per project
Riverside Park Phase One
Trails and Revegetation Project
SPECIFICATION NO.
UNIFORM RATING SYSTEM AND PROCEDURES
Page 1
COMPARABLE PROJECT VERIFICATION QUESTIONS AND PROCEDURES
RIVERSIDE PARK PHASE ONE
TRAILS AND REVEGETATION PROJECT
The following questions will be used to verify the information provided on the Project Data Sheets for the
comparable projects and to gain feedback on the contractor's performance. The City of Ukiah will
conduct the interviews. No action on the contractor's part is necessary.
The project owner's contact person indicated on the Project Data Sheet will be the first individual
contacted regarding the interview questions. If that person indicates that there are other individuals
more knowledgeable about the project the other individuals will be contacted as required to complete
the questionnaire. If the contractor was a sub-contractor on the proj e prime contractor under
which they worked may be contacted to complete the interview.
Contractor's Company Name:
Name of Comparable Project:
Individuals Interviewed:
Name
ency/Company///jam,,
Phone r
Date of
Interview
AMEMEWIF,
INTERVIEW QUESTI /
(Minimum Score forth ion of th~ uestionnair points)
1 Point
0 Points
1. Was the contractor tF►~ ' e c ' or a sub- ctor on the project?
❑ Yes
❑ No
2. iop joject e the fo(( /ir
'k~mponents?
d from Project heet s ted by the for for this project)
❑ Yes
❑ No
3. Di ntractor comp a proj hin an acceptable schedule?
O
Note: the contracto eded th
ial and updated schedules the
answer to uestion can b if in your judgment you feel that the delays
El Yes
E] No
were reason stifled and ignificantly detrimental to the project or
the Owner's op s.
4. Was the contractor ge prompt in dealing with administrative tasks
such as submittals, sche a updates, proposals for extra work?
❑ Yes
❑ No
5. Did the contractor generally provide adequate personnel?
❑ Yes
❑ No
6. Did the contractor generally provide adequate supervision?
❑ Yes
❑ No
7. Did the contractor generally provide adequate equipment?
❑ Yes
❑ N
o
8. Was your agency/company generally satisfied with the quality of work?
❑ Yes
❑ No
RIVERSIDE PARK PHASE ONE
TRAILS AND REVEGETATION PROJECT RRM
Specification No.
COMPARABLE PROJECT VERIFICATION
QUESTIONS AND PROCEDURES
Page 1
Affac hment 3
~ PRE-QUALIFICATION OF CONTRACTORS
SEEKING TO BID ON PUBLIC WORKS
PROJECTS:
The 1999 State Legislation and the
Model Forms Created by the
Department of Industrial Relations
0
J
r
TABLE OF CONTENTS
PAGE
INTRODUCTION AND OVERVIEW OF THE 1999 LAW AND ITS APPLICATION .............................1
1. Important Provisions Of The 1999 Law
.2
II. Role of the Department of Industrial Relations
.2
III. An Overview Of The Documents In This Package
.3
IV. Appeal Procedure
.4
V. Application Of The Public Records Act
.5
VI. What Are The Law's Provisions Regarding Prequalification
Of Subcontractors ................................................................................................................5
MODEL PRE-QUALIFICATION QUESTIONNAIRE
6
Contact Information
7
Part I: Essential Requirements for Qualification
8
Part II: Organization, History, Organizational Performance,
Compliance with Civil and Criminal Laws
10
A. Current Organization And Structure Of The Business
10
B. History of The Business And Organizational Performance
1 l
C. Compliance With Occupational Safety And Health Laws
And With Other Labor Legislation Safety
16
Part III. Recent Construction Projects Completed
19
A LIST OF THE SCORABLE QUESTIONS AND THE SCORING INSTRUCTIONS
21
MODEL INTERVIEW QUESTIONS .................................................................................................35
INSTRUCTIONS FOR PUBLIC AGENCIES RE: INTERVIEW QUESTIONS ........................................38
REQUEST FOR PRE-QUALIFICATION OF BIDDERS COMMENCING WITH
FORTHCOMING PUBLIC WORK BID ............................................................................................41
ANNOUNCEMENT OF PRE-QUALIFICATION PROCEDURES AND
OPEN DATES FOR ANNUAL PRE-QUALIFICATION .....................................................................45
SOURCES FOR VERIFICATION OF INFORMATION GIVEN BV CONTRACTORS .............................49
1
ii
INTRODUCTION AND
OVERVIEW OF THE 1999 LAW
AND ITS APPLICATION
I. IMPORTANT PROVISIONS OF THE 1999 LAW
In 1999, the Legislature enacted a law that allows many public agencies to require
licensed contractors that wish to bid for public works jobs to "pre-qualify" for the right to bid on
a specific public works project, or on public works project undertaken by a public agency during
a specified period of time. Public Contract Code section 20101 has the relevant provisions; it
was enacted as part of Assembly Bill 574.
The law applies to all cities, counties, and special districts but does not apply to K-12 school
districts (which have similar authority to create pre-qualification procedures, described in Public
Contract Code section 20111.5, which was enacted in 1997).
The law does not require any public agency to adopt a pre-qualification. system. Instead, it
authorizes every public agency to adopt a pre-qualification system, and describes certain
requirements that must be met (described below), if a public agency chooses to adopt such a system.
In fact, the 1999 law allows a public agency to establish two different kinds of pre-
qualification procedures for public works projects. The law allows a public agency to establish a
pre-qualification procedure linked to a single project (Section 20101 [d]). Or, the public agency may
adopt a procedure by which a contractor may qualify to bid on projects which are put out for bid by
that agency for a period of one year after the date of initial pre-qualification. (Section 20101 [c]).
The law requires every public agency that creates either kind of pre-qualification
procedure to:
(1) use a "standardized questionnaire and financial statement in a form specified by the
public entity"(Section 20101 [a]);
(2) adopt and apply a uniform system of rating bidders on objective criteria, on the basis
of the completed questionnaires and financial statements (Section 20101 [b]);
(3) create an appeal procedure, by which a contractor that is denied pre-qualification may
seek a reversal of that determination. (Section 20101 [d]).
II. ROLE OF THE DEPARTMENT OF INDUSTRIAL RELATIONS
AB 574 required the Department of Industrial Relations (DIR) to "develop model guidelines
for rating bidders, and draft the standardized questionnaire." It required DIR to "consult with
affected public agencies, cities and counties, the construction industry, the surety industry, and other
interested parties."
1 Community College Districts also have specific authority to carry out prequalification procedures, in Public
Contract Code section 20651.5, enacted in 1998. Community College Districts may also be covered by AB 574, \
since they are not specifically exempted. )
2
From January through October 2000, DIR held a series of meetings in Sacramento with
representatives of public agencies and other interested parties. Each meeting was attended by
more than 25 representatives of interested parties. All told, more than 60 people participated in
at least one such meeting, and most representatives participated in more than one. Contractors,
public agencies both large and small, and associations of each were well represented throughout
the series of meetings. DIR's initial draft of a questionnaire was revised after each meeting, and
each revised draft was discussed at the next meeting, leading to additional revisions. Eventually,
there was widespread consensus that the model questionnaire provided in this package offers a
system of rating bidders based on objective criteria, and a useful and appropriate series of
questions.
In addition, DIR, in compliance with the 1999 legislation, created model guidelines for
rating bidders. The model rating system also is included in this package.
III. AN OVERVIEW OF THE DOCUMENTS IN THIS PACKAGE
Included in this package are:
1. A model questionnaire to be sent to contractors. The questionnaire includes spaces
for answers to be provided by the contractors, with the forms to be returned to the public agency.2
As required by the legislation, the information provided to the public agency by the contractors,
other than the names, addresses and contractor license numbers of the contractors applying - is to be
l\~. kept confidential
2. A model scoring system, for rating the answers given by the contractors and by the
references. Note: the documents provided here by DIR are designed to collect the information that a
public agency will need to carry out a pre-qualification procedure, and the DIR has proposed a
rating system. Each public agency, however, is free to devise its own "uniform system of rating
prospective bidders based on objective criteria." That is, each public agency may determine its
own scoring system and its own passing scores for different portions of the questionnaire and for the
interviews.
3. A model series of questions to be used by representatives of the public agency when
interviewing persons who are identified by contractors as their "references" - owners of projects
that have been completed by each contractor in the recent past.
4. DIR's suggestions for procedures to be used for conducting the reference interviews.
5. Two alternative forms: model announcements of pre-qualification procedures.. Each
is a summary and explanation of the pre-qualification procedure, prepared primarily for licensed
contractors, although available for the general public as well. There are two slightly different
versions of this document: one explains the pre-qualification procedure linked to a single project,;
z The documents included in this package can be found at the Department of Industrial Relations web site,
www.dir.ca.gov. Click on "Databases."
3 The explanation included in 'this document assumes that the prequalification procedure is taking place after the
RFP or project announcement is published. A public agency may choose, instead, to have the prequalification
while the other explains the procedure of pre-qualification valid for a year and for more than one
project.
6. A list of sources of information that may be used by a public agency to verify the
accuracy of many of the answers given by the contractors to the questions on the questionnaire.4
IV. APPEAL PROCEDURE
Section 20101(d) requires every public agency that requires prospective bidders to
prequalify pursuant to this law to establish "a process that will allow prospective bidders to
dispute their proposed prequalification rating prior to the closing time for receipt of bids." The
appeal process must include written notification by the public agency of the basis for the
prospective bidder's disqualification "and any supporting evidence that has been received from
others or adduced as a result of an investigation by the public entity." (section 20101 [d][1]). The
prospective bidder must be given an opportunity to rebut any evidence used as a basis for
disqualification and to present evidence to the public entity as to why the prospective bidder
should be found qualified." (section 20101[d][2]). The law does not describe the appeal
procedure in any additional detail; each public agency is free to adopt its own procedures, as
long as the statutory requirements are met. As an example, while Part I of the model
questionnaire includes nine "Essential Requirements for Qualification," a public agency may
choose to allow contractors to appeal a disqualification based solely on an answer to a question
in Part I.
DIR has devised two different schedules for appeal procedures. One schedule would be
used in a system for prequalification for a single project. The sequence of steps in this appeal
procedure are scheduled to allow for an appeal decision at least four business days prior to the
submission for bids for the single project. The other schedule for an appeal is applicable to a
system in which prospective bidders seek prequalification. valid for one year, without a link to
the bidding on a specific project. These two appeal sequences are described in the explanation
to contractors (the two documents referred to in paragraph 5, above).
Each public agency should be certain that it distributes to licensed contractors only the
description that is appropriate for the prequalification procedures that are in use.
There are a number of laws and court decisions that affect the nature of an appeal hearing
provided by a public agency. Each public agency should consult its own attorneys for advice in this
area.
procedure start and end prior to the solicitation of bids for the specific project. If that is the case, the public agency
would have to modify the document offered here to explain the sequence of events.
4 A CAUTIONARY NOTE: The information that will be given to public agencies by contractors seeking pre-
qualification is provided under oath, with the understanding that the intentional providing of false information is, in
itself, grounds for disqualification. We expect that the information given should be and will be accepted at face value
in most instances. Our list of sources of information available to the public is provided for use in the few instances
in which a public agency reviewing the answers given in a questionnaire has specific reason to believe that one or
more answers should be verified in this manner.
V. APPLICATION OF THE PUBLIC RECORDS ACT
AB 574 provides that "The questionnaires and financial statements shall not be public
records and shall not be open to public inspection; however, records of the names of contractors
applying for prequalification status shall be public records subject to disclosure" under the Public
Records Act. (Section 20101 [a]). The model questionnaire forms provided by DIR indicate that the
cover page of each questionnaire is a public record, and that all other pages of the questionnaire are
not public records.
VI. WHAT ARE THE LAW'S PROVISIONS REGARDING PREQUALIFICATION
OF SUBCONTRACTORS?
Public agencies are not required to pre-qualify sub-contractors, nor are public agencies
prohibited from doing so. Section 20101(f) says:
Nothing in this section shall preclude the awarding agency from prequalifying or
disqualifying a subcontractor. The disqualification by an awarding agency does not
disqualify an otherwise prequalified [general] contractor.
5
MODEL PRE-QUALIFICATION
QUESTIONNAIRE
CONTACT INFORMATION
Firm Name:
Contact Person:
Address:
Phone:
(as it appears on license)
Check One:
❑ Corporation
❑ Partnership
❑ Sole Prop.
Fax:
If firm is a sole proprietor or partnership:
Owner(s) of Company
Contractor's License Number(s):
PART I. ESSENTIAL REQUIREMENTS FOR QUALIFICATION
Contractor will be immediately disqualified if the answer to any of questions I through
5 is "no."5
Contractor will be immediately disqualified if the answer to any of questions 6, 7, 8 or
9 is "yes." 6 If the answer to question 8 is "yes," and if debarment would be the sole
reason for denial of pre-qualification, any pre-qualification issued will exclude the
debarment period.
1. Contractor possesses a valid and current California Contractor's license for the project or
projects for which it intends to submit a bid.
❑ Yes ❑ No
Contractor has a liability insurance policy with a policy limit of at least $1,000,000 per
occurrence and $2,000,000 aggregate.
❑ Yes ❑ No
3. Contractor has current workers' compensation insurance policy as required by the Labor
Code or is legally self-insured pursuant to Labor Code section 3700 et. seq.
❑ Yes ❑ No R Contractor is exempt from this requirement, because it has no
employees
4. Have you attached your latest copy of a reviewed or audited financial statement with
accompanying notes and supplemental information.
❑ Yes ❑ No
NOTE: A financial statement that is not either reviewed or audited is not acceptable.
A letter verifying availability of a line of credit may also be attached; however, it will
be considered as supplemental information only, and is not a substitute for the
required financial statement.
5. Have you attached a notarized statement from an admitted surety insurer (approved by the
California Department of Insurance) and authorized to issue bonds in the State of California,
which states: (a) that your current bonding capacity is sufficient for the project for which
' A "no" answer to Question 4 will not be disqualifying if the contractor is exempt from complying with
Question 4, for reasons explained in footnote 7.
e A contractor disqualified solely because of a "Yes" answer given to question 6, 7, or 9 may appeal the
disqualification and provide an explanation of the relevant circumstances during the appeal procedure.
' Public Contract Code section 201.01(e) exempts from this requirement a contractor who has qualified as a
small business pursuant to Government Code section 14837(d)(1), if the bid is "no more than 25 per cent of the
qualifying amount provided in section 14837(d)(1)." As of January 1, 2001, the qualifying amount is $10 million, )
and 25 per cent of that amount, therefore, is $2.5 million.
you seek pre-qualification if you are seeking pre-qualification for a single project; or '
p ~ (if you
are seeking pre-qualification valid for a year) (b) your current available bonding capacity ?8
❑ Yes ❑ No
NOTE: Notarized statement must be from the surety company, not an agent or
broker.
6. Has your contractor's license been revoked at any time in the last five years?
❑ Yes ❑ No
7. Hasa surety firm completed a contract on your behalf, or paid for completion because your
firm was default terminated by the project owner within the last five (5) years?
❑ Yes ❑ No
At the time of submitting this pre-qualification form, is your firm ineligible to bid on or be
awarded a public works contract, or perform as a subcontractor on a public works contract,
pursuant to either Labor Code section 1777.1 or Labor Code section 1777.7?
❑ Yes ❑ No
If the answer is "Yes," state the beginning and ending dates of the period of debarment:
9. At any time during the last five years, has your firm, or any of its owners or officers been
convicted of a crime involving the awarding of a contract of a government construction
project, or the bidding or performance of a government contract?
❑ Yes ❑ No
° An additional notarized statement from the surety may be requested by Public Entity at the time of
submission of a bid, if this pre-qualification package is submitted more than 60 days prior to submission of the bid.
}
PART II. ORGANIZATION, HISTORY, ORGANIZATIONAL PERFORMANCE,
COMPLIANCE WITH CIVIL AND CRIMINAL LAWS
A. Current Organization and Structure of the Business
For Firms That Are Firms That Are Corporations:
1 a. Date incorporated :
1 b. Under the laws of what state:
I c. Provide all the following information for each person who is either (a) an officer of the
corporation (president, vice president, secretary, treasurer), or (b) the owner of at least ten
per ceni or Tne corporation s STOCK.
Name Position Years with Co. % Ownership Social Security #
ld. Identify every construction firm that any person listed above has been associated with (as
owner, general partner, limited partner or officer) at any time during the last five years.
NOTE: For this question, "owner" and "partner" refer to ownership of ten per cent or
more of the business, or 10 per cent or more of its stock, if the business is a
corporation.
Dates of Person's Participation
Person's Name Construction Firm with Firm
For Firms That Are PartnershiDS:
1 a. Date of formation:
1 b. Under the laws of what state:
lc. Provide all the following information for each partner who owns 10 per cent or more of the
fin-n.
Name Position Years with Co. % Ownership Social Security #
l
10
I d. Identify every construction company that any partner has been associated with (as owner,
general partner, limited partner or officer) at any time during the last five years.
NOTE: For this question, "owner" and "partner" refer to ownership of ten per cent or
more of the business, or ten per cent or more of its stock, if the business is a
Dates of Person's Participation
Person's Name Construction Companv with Companv
For Firms That Are Sole Proprietorships:
1 a. Date of commencement of business.
1 b. Social security number of company owner.
1 c. Identify every construction firm that the business owner has been associated with (as owner,
general partner, limited partner or officer) at any time during the last five years.
NOTE: For this question, "owner" and "partner" refer to ownership of ten per cent or
more of the business, or ten per cent or more of its stock, if the business is a
Dates of Person's Participation
Person's Name Construction Companv with Companv
For Firms That Intend to Make a Bid as Part of a Joint Venture:
la. Date of commencement of joint venture.
lb. Provide all of the following information for each firm that is a member of the joint venture
tnat expects to oici on one or more projects:
Name of firm % Ownership of Joint Venture
B. History of the Business and Organizational Performance
2. Has there been any change in ownership of the firm at any time during the last three years?
NOTE: A corporation whose shares are publicly traded is not required to answer this
question.
❑ Yes ❑ No
If "yes," explain on a separate signed page.
Is the firm a subsidiary, parent, holding company or affiliate of another construction firm?
NOTE: Include information about other firms if one firm owns 50 per cent or more of
another, or if an owner, partner, or officer of your firm holds a similar position in
another firm.
❑ Yes ❑ No
If "yes," explain on a separate signed page.
4. Are any corporate officers, partners or owners connected to any other construction firms.
NOTE: Include information about other firms if an owner, partner, or officer of your
firm holds a similar position in another firm.
❑ Yes ❑ No
If "yes," explain on a separate signed page.
State your firm's gross revenues for each of the last three years:
6. How many years has your organization been in business in California as a contractor under
your present business name and license number? years
7. Is your firm currently the debtor in a bankruptcy case?
❑ Yes ❑ No
If "yes," please attach a copy of the bankruptcy petition, showing the case number, and the
date on which the petition was filed.
Was your firm in bankruptcy at any time during the last five years? (This question refers
only to a bankruptcy action that was not described in answer to question 7, above)
❑ Yes ❑ No
If "yes," please attach a copy of the bankruptcy petition, showing the case number and
the date on which the petition was filed, and a copy of the Bankruptcy Court's discharge
order, or of any other document that ended the case, if no discharge order was issued.
Licenses
List all California construction license numbers, classifications and expiration dates of
the California contractor licenses held by your firm:
12
10. If any of your firm's license(s) are held in the name of a corporation or partnership, list
below the names of the qualifying individual(s) listed on the CSLB records who meet(s) the
experience and examination requirements for each license.
11. Has your firm changed names or license number in the past five years?
❑ Yes ❑ No
If "yes," explain on a separate signed page, including the reason for the change.
12. Has any owner, partner or (for corporations:) officer of your firm operated a construction
firm under any other name in the last five years?
❑ Yes ❑ No
If "yes," explain on a separate signed page, including the reason for the change.
13. Has any CSLB license held by your firm or its Responsible Managing Employee (RME)
or Responsible Managing Officer (RMO) been suspended within the last five years?
❑ Yes ❑ No
If "yes," please explain on a separate signed sheet.
Disputes
_f
14. At any time in the last five years has your firm been assessed and paid liquidated
damages after completion of a project under a construction contract with either a public
or private owner?
❑ Yes ❑ No
If yes, explain on a separate signed page, identifying all such projects by owner, owner's
address, the date of completion of the project, amount of liquidated damages assessed and
all other information necessary to fully explain the assessment of liquidated damages.
15. In the last five years has your firm, or any firm with which any of your company's owners,
officers or partners was associated, been debarred, disqualified, removed or otherwise
prevented from bidding on, or completing, any government agency or public works project
for any reason?
NOTE: "Associated with" refers to another construction firm in which an owner,
partner or officer of your firm held a similar position, and which is listed in response
to question lc or ld on this form.
❑ Yes ❑ No
If "yes," explain on a separate signed page. State whether the firm involved was the firm
applying for pre-qualification here or another firm. Identify by name of the company, the
name of the person within your firm who was associated with that company, the year of the
event, the owner of the project, the project and the basis for the action.
16. In the last five years has your firm been denied an award of a public works contract based on
a finding by a public agency that your company was not a responsible bidder?
13
❑ Yes ❑ No
If "yes," explain on a separate signed page. Identify the year of the event, the owner, the
project and the basis for the finding by the public agency.
NOTE: The following two questions refer only to disputes between your firm and the
owner of a project. You need not include information about disputes between your
firm and a supplier, another contractor, or subcontractor. You need not include
information about "pass-through" disputes in which the actual dispute is between a
sub-contractor and a project owner. Also, you may omit reference to all disputes
about amounts of less than $50,000.
17. In the past five years has any claim against your firm concerning your firm's work on a
construction project been filed in court or arbitration?
❑ Yes ❑ No
If "yes," on separate signed sheets of paper identify the claim(s) by providing the project
name, date of the claim, name of the claimant, a brief description of the. nature of the
claim, the court in which the case was filed and a brief description of the status of the
claim (pending or, if resolved, a brief description of the resolution).
18. In the past five years has your firm made any claim against a project owner concerning
work on a project or payment for a contract and filed that claim in court or arbitration?
❑ Yes ❑ No
If "yes," on separate signed sheets of paper identify the claim by providing the project
name, date of the claim, name of the entity (or entities) against whom the claim was filed,
a brief description of the nature of the claim, the court in which the case was filed and a
brief description of the status of the claim (pending, or if resolved, a brief description of
the resolution).
19. At any time during the past five years, has any surety company made any payments on
your firm's behalf as a result of a default, to satisfy any claims made against a
performance or payment bond issued on your firm's behalf, in connection with a
construction project, either public or private?
❑ Yes ❑ No
If "yes," explain on a separate signed page the amount of each such claim, the name and
telephone number of the claimant, the date of the claim, the grounds for the claim, the
present status of the claim, the date of resolution of such claim if resolved, the method by
which such was resolved if resolved, the nature of the resolution and the amount, if any,
at which the claim was resolved.
20. In the last five years has any insurance carrier, for any form of insurance, refused to renew
the insurance policy for your fine?
❑ Yes ❑ No
14
If "yes," explain on a separate signed page. Name the insurance carrier,
the form of insurance and the year of the refusal.
Criminal Matters and Related Civil Suits
21. Has your firm or any of its owners, officers or partners ever been found liable in a civil
suit or found guilty in a criminal action for making any false claim or material
misrepresentation to any public agency or entity?
❑ Yes ❑ No
If "yes," explain on a separate signed page, including identifying who was involved, the
name of the public agency, the date of the investigation and the grounds for the finding.
22. Has your firm or any of its owners, officers or partners ever been convicted of a crime
involving any federal, state, or local law related to construction?
❑ Yes ❑ No
If "yes," explain on a separate signed page, including identifying who was involved, the
name of the public agency, the date of the conviction and the grounds for the conviction.
23. Has your firm or any of its owners, officers or partners ever been convicted of a federal
or state crime of fraud, theft, or any other act of dishonesty?
❑ Yes ❑ No
If "yes," identify on a separate signed page the person or persons convicted, the court (the
county if a state court, the district or location of the federal court), the year and the criminal
conduct.
Bonding
24. Bonding capacity: Provide documentation from your surety identifying the following:
Name of bonding company/surety:
Name of surety agent, address and telephone number:
25. If your firm was required to pay a premium of more than one per cent for a performance
and payment bond on any project(s) on which your firm worked at any time during the
last three years, state the percentage that your firm was required to pay. You may
provide an explanation for a percentage rate higher than one per cent, if you wish to do
so.
15
26. List all other sureties (name and full address) that have written bonds for your firm during
the last five years, including the dates during which each wrote the bonds:
27. During the last five years, has your firm ever been denied bond coverage by a surety
company, or has there ever been a period of time when your firm had no surety bond in
place during a public construction project when one was required?
❑ Yes ❑ No
If yes, provide details on a separate signed sheet indicating the date when your firm was
denied coverage and the name of the company or companies which denied coverage; and
the period during which you had no surety bond in place.
C. Compliance With Occupational Safety and Health Laws and with Other Labor
Legislation Safety
28. Has CAL OSHA cited and assessed penalties against your firm for any "serious,"
"willful" or "repeat" violations of its safety or health regulations in the past five ye-ars? _
NOTE: If you have filed an appeal of a citation, and the Occupational Safety and
Health Appeals Board has not yet ruled on your appeal, you need not include
information about it.
❑ Yes ❑ No
If "yes," attached a separate signed page describing the citations, including information
about the dates of the citations, the nature of the violation, the project on which the
citation(s) was or were issued, the amount of penalty paid, if any. If the citation was
appealed to the Occupational Safety and Health Appeals Board and a decision has been
issued, state the case number and the date of the decision.
29. Has the federal Occupational Safety and Health Administration cited and assessed
penalties against your firm in the past five years?
NOTE: If you have filed an appeal of a citation and the Appeals Board has not yet
ruled on your appeal, or if there is a court appeal pending, you need not include
information about the citation.
❑ Yes ❑ No
If "yes," attach a separate signed page describing each citation.
30. Has the EPA or any Air Quality Management District or any Regional Water Quality
Control Board cited and assessed penalties against either your firm or the owner of a
project on which your firm was the contractor, in the past five years?
16
NOTE: If you have filed an appeal of a citation and the Appeals Board has not yet
ruled on your appeal, or if there is a court appeal pending, you need not include
information about the citation.
❑ Yes ❑ No
If "yes," attach a separate signed page describing each citation.
31. How often do you require documented safety meetings to be held for construction
employees and field supervisors during the course of a project?
32. List your firm's Experience Modification Rate (EMR) (California workers'
compensation insurance) for each of the past three premium years:
NOTE: An Experience Modification Rate is issued to your firm annually by your
workers' compensation insurance carrier.
Current year:
Previous year:
Year prior to previous year:
If your EMR for any of these three years is or was 1.00 or higher you may, if you wish,
attach a letter of explanation.
33. Within the last five years has there ever been a period when your firm had employees but
was without workers' compensation insurance or state-approved self-insurance?
❑ Yes ❑ No
If "yes," please explain the reason for the absence of workers' compensation insurance on a
separate signed page. If "No," please provide a statement by your current workers'
compensation insurance carrier that verifies periods of workers' compensation insurance
coverage for the last five years. (If your firm has been in the construction business for less
than five years, provide a statement by your workers' compensation insurance carrier
verifying continuous workers' compensation insurance coverage for the period that your
firm has been in the construction business.)
Prevailing Wage and Apprenticeship Compliance Record
34. Has there been more than one occasion during the last five years in which your firm was
required to pay either back wages or penalties for your own firm's failure to comply with the
state's prevailing wage laws?
NOTE: This question refers only to your own firm's violation of prevailing wage laws,
not to violations of the prevailing wage laws by a subcontractor.
❑ Yes ❑ No
17
If "yes," attach a separate signed page or pages, describing the nature of each violation,
identifying the name of the project, the date of its completion, the public agency for which it
was constructed; the number of employees who were initially underpaid and the amount of
back wages and penalties that you were required to pay.
35. During the last five years, has there been more than one occasion in which your own firm
has been penalized or required to pay back wages for failure to comply with the federal
Davis-Bacon prevailing wage requirements?
❑ Yes ❑ No
If "yes," attach a separate signed page or pages describing the nature of the violation,
identifying the name of the project, the date of its completion, the public agency for
which it was constructed; the number of employees who were initially underpaid, the
amount of back wages you were required to pay along with the amount of any penalty
paid.
36. Provide the name, address and telephone number of the apprenticeship program
(approved by the California Apprenticeship Council) from whom you intend to request
the dispatch of apprentices to your company for use on any public work project for which
you are awarded a contract by [Public Entity].
37. If your firm operates its own State-approved apprenticeship program:
(a) Identify the craft or crafts in which your firm provided apprenticeship training in
the past year.
(b) State the year in which each such apprenticeship program was approved, and
attach evidence of the most recent California Apprenticeship Council approval(s)
of your apprenticeship program(s).
(c) State the number of individuals who were employed by your firm as apprentices
at any time during the past three years in each apprenticeship and the number of
persons who, during the past three years, completed apprenticeships in each craft
while employed by your firm.
18
J
38. At any time during the last five years, has your firm been found to have violated any
provision of California apprenticeship laws or regulations, or the laws pertaining to use of
apprentices on public works?
NOTE: You may omit reference to any incident that occurred prior to January 1,
1998, if the violation was by a subcontractor and your firm, as general contractor on
a project, had no knowledge of the subcontractor's violation at the time they
occurred.
❑ Yes ❑ No
If "yes," provide the date(s) of such findings, and attach copies of the Department's final
decision(s).
PART III. RECENT CONSTRUCTION PROJECTS COMPLETED
39. Contractor shall provide information about its six most recently completed public works
projects and its three largest completed private projects within the last three years.9 Names
and references must be current and verifiable. Use separate sheets of paper that contain all
of the following information:
Project Name:
Location:
Owner:
Owner Contact (name and current phone number):
Architect or Engineer:
Architect or Engineer Contact (name and current phone number):
Construction Manager (name and current phone number):
s If you wish, you may, using the same format, also provide information about other projects that you have
completed that are similar to the project(s) for which you expect to bid.
19
Description of Project, Scope of Work Performed:
Total Value of Construction (including change orders):
Original Scheduled Completion Date:
Time Extensions Granted (number of days):
Actual Date of Completion:
1, the undersigned, certify and declare that I have read all the foregoing answers to
this prequalification questionnaire and know their contents. The matters stated in the
questionnaire answers are true of my own knowledge and belief, except as to those matters
stated on information and belief, and as to those matters I believe them to be true. I declare
under penalty of perjury under the laws of the State of California, that the foregoing is
correct.
Dated:
(Name)
1
20
A LIST OF THE SCORABLE
QUESTIONS AND THE SCORING
INSTRUCTIONS
21
A LIST OF THE SCORABLE QUESTIONS AND THE SCORING INSTRUCTIONS
The scorable questions arise in three different areas:
(I) History of the business and organizational performance;
(II) Compliance with occupational safety and health laws, workers' compensation and
other labor legislation; and
(III) Completion of recent projects and quality of performance.
The interview questions (interviews by the public agency of project managers on projects
completed recently by the contractor) are included in group III. In a pre-qualification
procedure for a single project, this last category would also include a scoring of the
number of recently completed projects that are similar to the project on which pre-
qualification is at issue. However, scoring linked to the similarity of past projects would
probably not be possible or useful if the public agency as part of a procedure to pre-
qualify contractors for an extended period.
Note: Not all questions in the questionnaire are scorable; some questions simply ask for
information about the contractor firm's structure, officers and history. This document
includes only those questions that are "scorable." The question numbers in this document
are the numbers used in the questionnaire. Thus, the questions included here begin with
question number 6, and there are a few breaks in the numerical sequence.
The Scores Needed for Prequalification
To prequalify, a contractor would be required to have a passing grade within each of the
three large categories referred to above.
For Section I, "History of the business and organizational performance,"
DIR recommends use of a passing score of 57 on this portion of the questionnaire (of a
maximum score of 76 on this portion of the questionnaire).
For Section II, Compliance with occupational safety and health laws, workers'
compensation and other labor legislation DIR recommends use of a passing score of 38
on this portion of the questionnaire (of a maximum score of 53 points on this portion of
the questionnaire).
Section III, Completion of recent projects and quality of performance, includes a series of
interview questions, and may also include questions about recently completed (public or
private) construction projects. For the interview questions, DIR recommends that a
public agency interview project managers for the owners of two completed projects.
DIR recommends a scoring system that would allow a maximum score of 120 points for
each interview. For these questions, DIR recommends qualification for a contractor
whose score on each of two interviews is 72 points or more; a denial of pre-qualification 1
22
for a contractor whose score on either interview is less than 55 points; and an additional
interview with another reference if the score resulting from one interview is between 55
points and 72 points.
DIR makes no recommendation about how to score a contractor's answers about
recently completed past projects. Because of the wide range of projects that a public
agency may be planning, and the similarly wide range in the skills, abilities, and
experience that a public agency will consider most important for a pending project, it is
impossible to propose a useful model scoring system to apply to the answers given about
a contractor's completed projects.
Questions about History of the Business and Organizational Performance
(16 questions)
How many years has your organization been in business in California as a contractor under
your present business name and license number? years
3 years or more = 2 points
4 years = 3 points 5 years = 4 pts.
6 years or more = 5 points
2. Is your firm currently the debtor in a bankruptcy case?
❑ Yes ❑ No
"No" = 3 points" "Yes" = O points
Was your firm in bankruptcy any time during the last five years? (This question refers
only to a bankruptcy action that was not described in answer to question 7, above).
❑ Yes ❑ No
"No" = 3 points" "Yes" = 0 points
4. Has any CSLB license held by your firm or its Responsible Managing Employee (RME)
or Responsible Managing Officer (RMO) been suspended within the last five years?
❑ Yes ❑ No
No = 5 points Yes = 0 points
23
At any time in the last five years, has your firm been assessed and paid liquidated
damages after completion of a project, under a construction contract with either a public
or private owner?
❑ Yes ❑ No
No projects with liquidated damages of more than $50,000, or one project with liquidated
damages = 5 points.
Two projects with liquidated damages of more than $50,000 = 3 points
Any other answer: no points
6. In the last five years has your firm, or any firm with which any of your company's owners,
officers or partners was associated, been debarred, disqualified, removed or otherwise
prevented from bidding on, or completing, any government agency or public works project
for any reason?
NOTE: "Associated with" refers to another construction firm in which an owner,
partner or officer of your firm held a similar position, and which is listed in response
to question lc or Id on this form.
❑ Yes ❑ No
No = 5 points Yes 0 points
In the last five years, has your finn been denied an award of a public works contract based
on a finding by a public agency that your company was not a responsible bidder?
❑ Yes ❑ No
No = 5 points Yes = 0 points
NOTE: The following two questions refer only to disputes between your firm and the
owner of a project. You need not include information about disputes between your
firm and a supplier, another contractor, or subcontractor. You need not include
information about "pass-through" disputes in which the actual dispute is between a
sub-contractor and a project owner. Also, you may omit reference to all disputes
about amounts of less than $50,000.
24
8. In the past five years, has any claim against your firm concerning your firm's work on a
.construction project, been tiled in court or arbitration?
❑ Yes ❑ No
If the firm's average gross revenue for the last three years was less than
$50 million, scoring is as follows:
S points for either "No" or "Yes" indicating 1 such instance.
3 points for "Yes" indicating 2 such instances.
0 points for "Yes" if more than 2 such instances.
If your frm's average gross revenue for the last three years was more than $50
million, scoring is as follows:
5 points for either "No" or "Yes" indicating 1, 2, or 3 such instances.
3 points for "Yes" indicating either 4 or S such instances.
0 points for "Yes" if more than S such instances.
9. In the past five years, has your firm made any claim against a project owner concerning
work on a project or payment for a contract, and filed that claim in court or
arbitration?
❑ Yes ❑ No
If your firm's average gross revenues for the last three years was less than $50 million
scoring is as follows:
5 points for either "No" or "Yes" indicating 1 such instance.
3 points for "Yes" indicating 2 such instances.
0 points for "Yes" if more than 2 such instances.
If your firm's average gross revenues for the last three years was more than $50
million, scoring is as follows:
S points for either "No" or "Yes" indicating 1, 2, or 3 such instances.
3 points for "Yes" indicating either 4 or S such instances.
0 points for "Yes" if more than 5 such instances.
25
1
10. At any time during the past five years, has any surety company made any payments on
your firm's behalf as a result of a default, to satisfy any claims made against a
performance or payment bond issued on your firm's behalf in connection with a
construction project, either public or private?
❑ Yes ❑ No
S points for either "No" or "Yes" indicating I such claim.
3 points for "Yes" indicating no more than 2 such claims
Subtract five points for "Yes" if more than 2 such claims
11. In the last five years, has any insurance carrier, for any form of insurance, refused to
renew the insurance policy for your firm?
❑ Yes ❑ No
S points for either "No" or "Yes" indicating I such instance.
3 points for "Yes" indicating 2 such instances.
0 points for "Yes" or if more than 2 such instances.
12. Has your firm, or any of its owners, officers, or partners ever been found liable in a civil
suit, or found guilty in a criminal action, for making any false claim or material
misrepresentation to any public agency or entity?
❑ Yes ❑ No
No = S points Yes= subtract S points
13. Has your firm, or any of its owners, officers or partners ever been convicted of a crime
involving any federal, state, or local law related to construction?
❑ Yes ❑ No
No = S points Yes -subtract S points
14. Has your firm or any of its owners, officers or partners ever been convicted of a federal or
state crime of fraud, theft, or any other act of dishonesty?
❑ Yes ❑ No
No = S points Yes =subtract 5 points
26
15. If your firm was required to pay a premium of more than one per cent for a performance
and payment bond on any project(s) on which your firm worked at any time during the
last three years, state the percentage that your firm was required to pay. You may
provide an explanation for a percentage rate higher than one per cent, if you wish to do
so.
5 points if the rate is no more than one per cent
3 points if the rate was no higher than 1.10 per cent.
0 points for any other answer.
16. During the last five years, has your firm ever been denied bond credit by a surety company,
or has there ever been a period of time when your firm had no surety bond in place during a
public construction project when one was required?
❑ Yes ❑ No
No = 5 points Yes = 0 points
Questions about compliance with safety, workers compensation,
prevailing wage and apprenticeship laws.
(11 questions)
Has CAL OSHA cited and assessed penalties against your firm for any "serious," "willful"
or "repeat" violations of its safety or health regulations in the past five years?
Note: If you have filed an appeal of a citation and the Occupational Safety and Health
Appeals Board has not yet ruled on your appeal, you need not include information
about it.
❑ Yes ❑ No
If the firm's average gross revenues for the last three years was less than $50 million,
scoring is as follows:
5 points for either "No" or "Yes" indicating I such instance.
3 points for "Yes" indicating 2 such instances.
0 points for "Yes" if more than 2 such instances.
If the firm's average gross revenues for the last three years was more than $50 million,
scoring is as follows:
5 points for either "No" or "Yes" indicating 1, 2, or 3 such instances.
3 points for "Yes" indicating either 4 or 5 such instances.
0 points for "Yes" if more than 5 such instances.
27
2. Has the federal Occupational Safety and Health Administration cited and assessed
penalties against your firm in the past five years?
Note: If you have filed an appeal of a citation and the appropriate appeals Board
has not yet ruled on your appeal, you need not include information about it.
❑ Yes ❑ No
If yes, attach a separate signed page describing each citation.
If the firm's average gross revenues for the last three years was less than $50 million,
scoring is as follows:
S points for either "No" or "Yes" indicating 1 such instance.
3 points for "Yes" indicating 2 such instances.
0 points for "Yes" or if more than 2 such instances.
If the firm's average gross revenues for the last three years was more than $50
million, scoring is as follows:
S points for either "No" or "Yes" indicating 1, 2, or 3 such instances.
3 points for "Yes" indicating either 4 or S such instances.
0 points for "Yes" if more than S such instances.
Has the EPA or any Air Quality Management District or any Regional Water Quality 1
Control Board cited and assessed penalties against either your firm or the owner of a J
project on which your firm was the contractor, in the past five years?
NOTE: If you have filed an appeal of a citation and the Appeals Board has not yet
ruled. on your appeal, or if there is a court appeal pending, you need not include
information about the citation.
❑ Yes ❑ No
If the firm's average gross revenues for the last three years was less than $50 million,
scoring is as follows:
5 points for either "No" or "Yes" indicating 1 such instance.
3 points for "Yes" indicating 2 such instances.
0 points for "Yes" or if more than 2 such instances.
If the firm's average gross revenues for the last three years was more than $50 million,
scoring is as follows:
S points for either "No" or "Yes" indicating 1, 2, or 3 such instances.
3 points for "Yes" indicating either 4 or S such instances.
0 points for "Yes" if more than S such instances.
28
4. How often do you require documented safety meetings to be held for construction
employees and field supervisors during the course of a project?
3 points for an answer of once each week or more often.
0 points for any other answer
List your firm's Experience Modification Rate (EMR) (California workers' compensation
insurance) for each of the past three premium years:
NOTE: An Experience Modification Rate is issued to your firm annually by your
workers' compensation insurance carrier.
Current year:
Previous year:
Year prior to previous year:
If your EMR for any of these three years is or was 1.00 or higher, you may, if you wish,
attach a letter of explanation.
NOTE: An Experience Modification Rate is issued to your firm annually by your
workers' compensation insurance carrier.
5 points for three-year average EMR of. 95 or less
3 points for three-year average of EMR of more than .95 but no more than 1.00
0 points for any other EMR
6. Within the last five years, has there ever been a period when your firm had employees but
was without workers' compensation insurance or state-approved self-insurance?
❑ Yes ❑ No
5 points for either "No" or "Yes" indicating I such instance.
0 points for any other answer.
29
7. Has there been more than one occasion during the last five years on which your firm was
required to pay either back wages or penalties for your own firm's failure to comply with the
state's prevailing wage laws?
❑ Yes ❑ No
NOTE: This question refers only to your own firm's violation of prevailing wage laws,
not to violations of the prevailing wage laws by a subcontractor.
If your firm's average gross revenues for the last three years was less than $50 million,
scoring is as follows:
5 points for either "No," or "Yes" indicating either I or 2 such instance.
3 points for "Yes" indicating 3 such instances.
0 points for "Yes" and more than 3 such instances.
If your firm's average gross revenues for the last three years was more than $50
million, scoring is as follows:
S points for either "No" or "Yes" indicating no more than 4 such instances.
3 points for "Yes" indicating either S or 6 such instances.
0 points for "Yes" and more than 6 such instances.
During the last five years, has there been more than one occasion on which your own firm
has been penalized or required to pay back wages for failure to comply with the federal
Davis-Bacon prevailing wage requirements?
❑ Yes ❑ No
If your firm's average gross revenues for the last three years was less than $50 million,
scoring is as follows:
5 points for either "No," or "Yes" indicating either 1 or 2 such instance.
3 points for "Yes" indicating 3 such instances.
0 points for "Yes" and more than 3 such instances.
If your firm's average gross revenues for the last three years was more than $50
million, scoring is as follows:
5 points for either "No" or "Yes" indicating no more than 4 such instances.
3 points for "Yes" indicating either S or 6 such instances.
0 points for "Yes" and more than 6 such instances.
1
30
9. Provide the name, address and telephone number of the apprenticeship program
sponsor(s) (approved by the California Division of Apprenticeship Standards) that will
provide apprentices to your company for use on any public work project for which you
are awarded a contract by [Public Entity].
S points if at least one approved apprenticeship program is listed.
0 points for any other answer.
10. If your firm operates its own State-approved apprenticeship program:
(a) Identify the craft or crafts in which your firm provided apprenticeship training in
the past year.
(b) State the year in which each such apprenticeship program was approved, and
attach evidence of the most recent California Apprenticeship Council approval(s)
of your apprenticeship program(s).
(c) State the number of individuals who were employed by your firm as apprentices
! at any time during the past three years in each apprenticeship and the number of
\ persons who, during the past three years, completed apprenticeships in each craft
while employed by your firm.
5 points if one or more persons completed an approved apprenticeship while employed
by your firm.
0 points if no persons completed an approved apprenticeship while employer by your
farm.
31
11. At any time during the last five years, has your firm been found to have violated any
provision of California apprenticeship laws or regulations, or the laws pertaining to use of
apprentices on public works?
NOTE: You may omit reference to any incident that occurred prior to January 1,
1998 if the violation was by a subcontractor and your firm, as general contractor on
a project, had no knowledge of the subcontractor's violation at the time they
occurred.
❑ Yes ❑ No.
If yes, provide the date(s) of such findings, and attach copies of the Department's final
decision(s).
If your firm's average gross revenues for the last three years was less than $50 million,
scoring is as follows:
5 points for either "No," or "Yes" indicating either I or 2 such instance.
3 points for "Yes" indicating 3 such instances.
0 points for "Yes" and more than 3 such instances.
If your firm's average gross revenues for the last three years was more than $50
million, scoring is as follows:
5 points for either "No" or "Yes" indicating no more than 4 such instances.
3 points for "Yes" indicating either 5 or 6 such instances.
0 points for "Yes" and more than 6 such instances.
1
32
Questions concerning recent construction projects completed:
(one question, plus 11 interview questions)
The following question to be scored only where a public agency is undertaking a pre-
qualification procedure valid for a single project only.
Contractor shall provide information about its six most recently completed public works
projects and its three largest completed private projects within the last three years. 10 Names
and references must be current and verifiable. Use separate sheets of paper that contain all
of the following information:
Project Name:
Location:
Owner:
Owner Contact (name and current phone number):
Architect or Engineer:
Architect or Engineer Contact (name and current phone number):
Construction Manager (name and current phone number):
Description of Project, Scope of Work Performed:
Total Value of Construction (including change orders):
Original Scheduled Completion Date:
Time Extensions Granted (number of days):
Actual Date of Completion:
10 If you wish; you may, using the same format, also provide information about other projects that you have
completed that are similar to the project(s) for which you expect to bid.
33
Scoring of previous projects completed: 1
For pre-qualification for a single project that may require specific skills and capabilities,
public agencies may choose to score contractors for the number of similar projects
completed, and the degree of similarity between past projects and the planned project.
DIR has not suggested any scoring for this aspect of the pre-qualification process,
because of the numerous possible variations in both the type of project to be built and the
points of similarity between the pending project and past projects that may be significant
to the public agency.
34
MODEL
INTERVIEW
QUESTIONS
35
MODEL INTERVIEW QUESTIONS
The following questions will be used to interview randomly selected contacts from at least two
completed projects. [Public Entity) will conduct the interviews. No action on the contractor's
part is necessary. These questions are included on the package given to the contractor for
information only.
The highest possible score is 120 Points. A score less than 55 points disqualifies a contractor
from bidding on projects that are proposed by [Public Entity]. A score of between 56 and 72
indicates the Public Entity should conduct an interview of another contact, that is, a manager of
another completed project. A score of 72 or higher on each of two interviews is sufficient for
pre-qualification.
First, please give a brief description of the project.
Are there any outstanding stop notices, liens, or claims by the contractor that are currently
unresolved on contracts for which notices of completion were recorded more than 120 days
ago? (1 point for each is deducted from overall score; maximum amount to be deducted is 5
points)
2. On a scale of 1-10, with 10 being the best, did the contractor provide adequate personnel?
(Max. 10 points)
3. On a scale of 1-10, with 10 being the best, did the contractor provide adequate supervision?
(Max. 10 points)
4. On a scale of 1-10, with 10 being the best, was there adequate equipment provided on the
job? (Max. 10 points)
On a scale of 1-10, with 10 being the best, was the contractor timely in providing reports
and other paperwork, including change order paperwork and scheduling updates? (Max. 10
points)
6. On a scale of 1-10, with 10 being the best, did the contractor adhere to the project schedule
that your [agency] [business] approved? (Max. 10 points)
7. Was the project completed on time? (10 points if the answer is "Yes").
Or, if the answer is "no," on a scale of 1-10, with 10 being the best, to what extent was
the contractor responsible for the delay in completion?
On a scale of 1-10, with 10 being the best, rate the contractor on the timely submission of
reasonable cost and time estimates to perform change order work. (Max. 10 points)
36
9. On a scale of 1-10, with 10 being the best, rate the contractor on how well the contractor
performed the work after a change order was issued, and how well the contractor
integrated the change order work into the existing work. (Max. 10 points).
10. On a scale of 1-10, with 10 being the best, rate how has the contractor been performing in
the area of turning in Operation & Maintenance manuals, completing as-built drawings,
providing required training and taking care of warranty items? (Max. 10 points)
11. On a scale of 1-10, with 10 being the best, rate the contractor on whether there were an
unusually high number of claims, given the nature of the project, or unusual difficulty in
resolving them. (Max. 10 points)
12. On a scale of 1-10, with 10 being the highest, rate the contractor with respect to timely
payments. by the contractor to either subcontractors or suppliers. (If the person being
interviewed knows of no such difficulties, the score on this question should be "10.")
13. On a scale of 1-10, with 10 being the best, how would you rate the quality of the work
overall? (Max. 10 points)
l_
37
INSTRUCTIONS FOR PUBLIC
AGENCIES RE:
INTERVIEW QUESTIONS
38
INSTRUCTIONS FOR PUBLIC AGENCIES
Re: Interview Questions
The following is meant to assist the public agency to conduct the interviews of the managers of
projects previously completed (that is, the people who supervised the projects for the project
owners) by the contractor wishing to pre-qualify. The interview questions allow qualitative
review of work performance for contractors who choose to bid and pre-qualify for public works
contracts. The interview questions will be used to examine randomly selected contacts from at
least two completed past projects.
In each question, the person being interviewed is asked to rate a certain aspect of contractor's
performance, using a scale of 1 to 10. The highest possible score is 120 points. A score of less
than 55 points disqualifies the contractor from bidding on projects that are proposed by the public
agency. A score of 72 points or more on each interview is sufficient for a contractor to qualify
on this portion of the prequalification process. If the scores resulting from an interview are
between 55 and 72, the public agency should conduct another interview to collect additional
information.
It is possible that the score given to any interview answer may be challenged in an appeal.
For that reason, be sure to: (a) ask the person being interviewed for specific information or
details, to explain or substantiate the numerical answer given; and (b) take written notes of
the information provided.
Selection of the Interviewer:
(a) The public agency should select an individual who is at least moderately well informed
about public works construction.
(b) The individual should be unbiased during the interview; this is to ensure accurate
implementation of the interview questions.
(c) The individual should not use examples or deviate from the questions unless the project
manager is unclear and prompts further explanation. The interviewer should offer additional
explanation of the questions only if he/she is sure of the intent of the question in the
interview.
Locating the respondent to interview:
(a) The interviewer should attempt to contact a project manager of a past project for the
interview. The interviewer should be aware that for one interview to be completed, there
may be a need to interview multiple individuals. That is, the interviewer may have to
contact multiple individuals, such as the project manager concerning the building process,
and a financial manager for warranty items, assessed liens, and the like.
(b) Once reached, the interviewer should review the information contained in the questionnaire
of the past project with the project manager. That is, review who is being interviewed and
why (purposes of pre-qualifying for public works), the past project type, completion date,
and other pertinent information to ensure that the project manager is sure of the project
he/she is asked to review.
39
Interview Length:
(a) The interview should take 8-12 minutes, under normal circumstances.
(b) The interviewer, when contacting the project manager, should convey the expected time
which it takes to conduct the interview. This is to ensure the individual is not discouraged
from taking part in the interview
Conducting the interviews:
(a) The interview should examine at least two separate past projects listed in the questionnaire
(b) After the interview is scored, the interviewer should compare the interview score with the
same contractor's score on the written questionnaire. If the ratings (overall scores) are far
apart, the interviewer should conduct at least one/two more interviews to determine how past
performance should be weighted.
(c) While conducting the interview, the interviewer should be consistent with the way the
questions are presented. That is, if the interviewer changes the way questions are presented
during the review, it could potentially change the way the respondent answers the questions
and jeopardize the overall scoring.
40
REQUEST FOR
PRE-QUALIFICATION OF
BIDDERS COMMENCING
WITH FORTHCOMING
PUBLIC WORK BID
41
REQUEST FOR PRE-QUALIFICATION OF BIDDERS COMMENCING
WITH FORTHCOMING PUBLIC WORK BID
[Pre-qualification procedure begun at the same time as RFP]
Notice is hereby given that [Public Entity] has determined that all bidders on [Name of specific
project] to be undertaken by the [Public Entity] must be pre-qualified prior to submitting a bid on
that project. It is mandatory that all Contractors who intend to submit a bid, fully complete the pre-
qualification questionnaire, provide all materials requested herein, and be approved by [Public
Entity] to be on the final qualified Bidders list. No bid will be accepted from a Contractor that has
failed to comply with these requirements. If two or more business entities submit a bid as part of a
Joint Venture, or expect to submit a bid as part of a Joint Venture, each entity within the Joint
Venture must be separately qualified to bid. The last date to submit a fully completed questionnaire
is mm/dd/yy. [35 days prior to the bid closing date]. Contractors are encouraged to submit pre-
qualification packages as soon as possible, so that they may be notified of omissions of information
to be remedied or of their pre-qualification status well in advance of the bid advertisement for this
project.
Answers to questions contained in the attached questionnaire, information about current bonding
capacity, notarized statement from surety, and the most recent reviewed or audited financial
statements, with accompanying notes and supplemental infonmation, are required. [Public Entity]
will use these documents as the basis of rating Contractors in respect to the. size and scope of
contracts upon which each Contractor is qualified to bid. [Public Entity] reserves the right to check
other sources available. [Public Entity's] decision will be based on objective evaluation criteria.
[Public Entity] reserves the right to adjust, increase, limit, suspend or rescind the pre-qualification
rating based on subsequently learned information. Contractors whose rating changes sufficient to
disqualify them will be notified, and given an opportunity for a hearing consistent with the hearing
procedures described below for appealing a pre-qualification rating.
While it is the intent of the pre-qualification questionnaire and documents required therewith to
assist [Public Entity] in determining bidder responsibility prior to bid and to aid [Public Entity] in
selecting the lowest responsible bidder, neither the fact of pre-qualification, nor any pre-
qualification rating, will preclude [Public Entity] from a post-bid consideration and determination of
whether a bidder has the quality, fitness, capacity and experience to satisfactorily perform the
proposed work, and has demonstrated the requisite trustworthiness.
The pre-qualification packages should be submitted under seal and marked "CONFIDENTIAL" to
[address].
The pre-qualification packages (questionnaire answers and financial statements) submitted by
Contractors are not public records and are not open to public inspection. All information provided
will be kept confidential to the extent permitted by law. However, the contents may be disclosed to
third parties for purpose of verification, or investigation of substantial allegations, or in the appeal
hearing. State law requires that the names of contractors applying for pre-qualification status shall
be public records subject to disclosure, and the first page of the questionnaire will be used for that
purpose.
42
Each questionnaire must be signed under penalty of perjury in the manner designated at the end of
the form, by an individual who has the legal authority to bind the Contractor on whose behalf that
person is signing. If any information provided by a Contractor becomes inaccurate, the Contractor
must immediately notify [Public Entity] and provide updated accurate information in writing, under
penalty of perjury.
[Public Entity] reserves the right to waive minor irregularities and omissions in the information
contained in the pre-qualification application submitted, to make all final determinations, and to
determine at any time that the pre-qualification procedures will not be applied to a specific future
public works project.
Contractors may submit pre-qualification packages during regular working hours on any day that
the offices of Public Entity are open. Contractors who submit a complete pre-qualification package
will be notified of their qualification status no later than ten business days after submission of the
information.
[Public Entity] may refuse to grant pre-qualification where the requested information and materials
are not provided, or not provided by mm/dd/vv [date specified in first paragraph - 35 days before
bid closing] There is no appeal from a refusal for an incomplete or late application, but re-
application for a later project is permitted. The closing time for bids will not be changed in order to
accommodate supplementation of incomplete submissions, or late submissions.
i. Where a timely and completed application results in a rating below that necessary to pre-qualify, an
appeal can be made. An appeal is begun by the Contractor delivering notice to [Public Entity] of its
appeal of the decision with respect to its pre-qualification rating, no later than ten business days
prior to the closing time for the receipt of bids for this public works project. Without a timely
appeal, the Contractor waives any and all rights to challenge the decision of [Public Entity], whether
by administrative process, judicial process or any other legal process or proceeding.
If the Contractor gives the required notice of appeal and requests a hearing, the hearing shall be
conducted so that it is concluded no later than five business days after Public Entity's receipt of the
notice of appeal, and no later than five business days prior to the last date for the receipt of bids on
the project. The hearing shall be an informal process conducted by a panel to whom the [governing
body of Public Entity] has delegated responsibility to hear such appeals (the "Appeals Panel"). At
or prior to the hearing, the Contractor will be advised of the basis for [Public Entity's] pre-
qualification determination. The Contractor will be given the opportunity to present information
and present reasons in opposition to the rating. Within one day after the conclusion of the hearing,
the Appeals Panel will render its decision. It is the intention of [Public Entity] that the date for the
submission and opening of bids will not be delayed or postponed to allow for completion of an
appeal process.
Note: A contractor may be found not pre-qualified for bidding on a specific public
works contract to be let by Public Entity, or on all contracts to be let by Public Entity
until the contractor meets Public Entity's requirements. In addition, a contractor may
be found not pre-qualified for either:
(1) Omission of requested information or
43
e
(2) Falsification of information
NOTICE: To contractors who are using subcontractors for this job, please be advised that
Public Entity may require, as to subcontractors, one of the following:
❑ The qualification of subcontractors in the following crafts or trades, following
acceptance of your bid, but before the award is made:
❑ Pre-qualification of all subcontractors.
❑ Pre-qualification of subcontractors in certain crafts.
❑ Post-bid qualification review.
44
ANNOUNCEMENT OF
PRE-QUALIFICATION
PROCEDURES AND OPEN
DATES FOR ANNUAL
PRE-QUALIFICATION
45
ANNOUNCEMENT OF PRE-QUALIFICATION PROCECURES AND OPEN DATES
FOR ANNUAL PRE-QUALIFICATION
Notice is hereby given that on , 2000, the [Public Entity] determined
that all bidders on public works to be undertaken by the [Public Entity] must be pre-qualified prior
to submitting bids for public works. It is mandatory that all Licensed Contractors who intend to
submit bids fully complete the pre-qualification questionnaire, provide all materials requested
herein, and be approved by [Public Entity] to be on the final Bidders list. No bid will be accepted
from a Contractor that has failed to comply with these requirements. If two or more business
entities submit a bid on a project as a Joint Venture, or expect to submit a bid as part of a Joint
Venture, each entity within the Joint Venture must be separately qualified to bid.
Pre-qualification applications may be submitted four times each year: (1) from January 1 through
January 10; (2) from April 1 through April 10; (3) from July 1 through July 10; and (4) from
October 1 through October 10. Contractors who submit a complete pre-qualification package will be
notified by first class mail of their qualification,status, such notice to be mailed no later than fifteen
business days after submission of the information.
Answers to questions contained in the attached questionnaire, information about current bonding
capacity on an aggregate and per project limit, notarized statement from surety, and the most recent
reviewed or audited financial statements, with accompanying notes and supplemental information,
are required. [Public Entity] will use these documents as the basis of rating Contractors in respect to
the size and scope of contracts upon which each Contractor is qualified to bid. [Public Entity]
reserves the right to check other sources available. [Public Entity's] decision will be based on
objective evaluation criteria.
Pre-qualification approval will remain valid for one (1) calendar year from the date of notice of
qualification, except that [Public Entity] reserves the right during that calendar year to adjust,
increase, limit, suspend or rescind the pre-qualification ratings based on subsequently learned
information and after giving notice of the proposed action to the Contractor and an opportunity for a
hearing consistent with the hearing procedures described below for appealing a pre-qualification
determination.
While it is the intent of the pre-qualification questionnaire and documents required therewith to
assist [Public Entity] in determining bidder responsibility prior to the submission of bids and to aid
[Public Entity] in selecting the lowest responsible bidder, neither the fact of pre-qualification, nor
any pre-qualification rating, will preclude [Public Entity] from a post-bid consideration and
determination on a specific project of whether a bidder has the quality, fitness, capacity and
experience to satisfactorily perform the proposed work, and has demonstrated the requisite
trustworthiness. Contractors are encouraged to submit pre-qualification packages as soon as
possible, so that they may be notified of pre-qualification status well in advance of upcoming
projects.
The pre-qualification packages should be submitted under seal and marked "CONFIDENTIAL" to
[address]. l
J
46
The pre-qualification packages (questionnaire answers and financial statements) submitted by
Contractors are not public records and are not open to public inspection. All information provided
will be kept confidential to the extent permitted by law, although the contents may be disclosed to
third parties for the purpose of verification, investigation of substantial allegations, and in the
process of an appeal hearing. State law requires that the names of contractors applying for pre-
qualification status shall be public records subject to disclosure, and the first page of the
questionnaire will be used for that purpose.
Each questionnaire must be signed under penalty of perjury in the manner designated at the end of
the form, by an individual who has the legal authority to bind the Contractor on whose behalf that
person is signing. If any information provided by a Contractor becomes inaccurate, the Contractor
must immediately notify [Public Entity] and provide updated accurate information in writing, under
penalty of perjury.
[Public Entity] reserves the right to waive minor irregularities and omissions in the information
contained in the pre-qualification application submitted, to make all final determinations, and to
determine at any time that the pre-qualification procedures will not be applied to a future public
works project.
A contractor who has submitted a completed application form, and who receives a rating of "not
qualified" from.[Public Entity] may appeal that determination. There is no appeal from a finding
that a contractor is not pre-qualified because of a failure to submit required information, but re-
application during one of the designated time periods is permitted. A contractor may appeal
[Public Entity's] decision with respect to its request for pre-qualification, and request a hearing, by
giving notice to [Public Entity] no later than ten business days after receipt of notice of its
qualification status. Unless a Contractor files a timely appeal, the Contractor waives any and all
rights to challenge the qualification decision of [Public Entity], whether by administrative process,
judicial process or any other legal process or proceeding.
If the Contractor gives the required notice of appeal and requests a hearing, the hearing shall be
conducted so that it is concluded no later than ten business days after Public Entity's receipt of its
Notice of Appeal. The hearing so provided shall be an informal process conducted by a panel to
whom the [governing body of Public Entity] has delegated responsibility to hear such appeals (the
"Appeals Panel"). At or prior to the hearing, the Contractor will be advised of the basis for [Public
Entity's] pre-qualification determination. The Contractor will be given the opportunity to present
information and present reasons in opposition to the pre-qualification determination. At the
conclusion of the hearing or no later than one day after completion of the hearing, the Appeals Panel
will render its decision. The date for submission and opening of bids for a specific project will not
be delayed or postponed to allow for completion of an appeal process.
Note: A contractor may be found not pre-qualified for bidding on a specific public
works contract to be let by Public Agency, or on all contracts to be let by Public
Agency until the contractor meets Public Agency's requirements. In addition, a
contractor may be found not pre-qualified for either:
(1) Omission of requested information or
(2) Falsification of information
47
C,
J
NOTICE: To contractors who are using subcontractors for this job, please be advised that
Public Entity may require, as to subcontractors, one of the following:
❑ The qualification of subcontractors in the following crafts or ..trades, following
acceptance of your bid, but before the award is made:
❑ Pre-qualification of all subcontractors.
❑ Pre-qualification of subcontractors in certain crafts.
❑ Post-bid qualification review.
48
SOURCES FOR VERIFICATION
OF INFORMATION GIVEN
BY CONTRACTORS
49
SOURCES FOR VERIFICATION OF INFORMATION
GIVEN BY CONTRACTORS
A CAUTIONARY NOTE: The information that will be given to public agencies by
contractors seeking pre-qualification is provided under oath, with the understanding that
the intentional providing of false information is, in itself, grounds. for disqualification. We
expect that the information given should be and will be accepted at face value. The
following it?forrnation is provided for use in the few instances in which a public agency
reviewing the answers given in a questionnaire has specific reason to believe that one or
more answers should be verified by reference to publicly available information.
Information about a contractor's license(s)
(Questionnaire Part I, question 6, and Part II, questions 6 and 9-13)
Names and addresses of licensed contractors, information about the type of license(s)
issued and the dates when licenses were issued (and certain other information), are
available from the Contractors' State Licensing Board (CSLB), 9821 Business Park
Drive, Sacramento, CA 95827. Telephone number 800-321-2752. The CSLB web site
for public information is: www.CSLB.ca.gov.
Information about workers' compensation insurance
(Part I, question 3 and Part II, questions 32-33)
Every workers' compensation insurance carrier issues to each of its insured businesses a
Certificate of Insurance. The contractor should be willing to provide a copy upon request.
Each contractor's Experience Modification Rate for the year should be stated in a letter to
the contractor from the contractor's workers' compensation insurance carrier.
Some large companies are legally self-insured for workers' compensation, with the consent
and authorization of the Department of Industrial Relations. The names of companies that
are legally self-insured are available from the Department's Office of Self-Insurance Plans,
Workers' Compensation, 2265 Watt Avenue, Suite 1, Sacramento, CA 95825; (916) 483-
3392.
The names of each business's current and recent workers' compensation insurance carriers are
available from the Workers' Compensation Insurance Reporting Bureau (WCIRB), 575 Market
Street, San Francisco, telephone (415) 777-0777. WCIRB is not a public agency but it
provides information to the public. It will provide the names of the current and recent workers'
compensation insurance carriers of every employer in California, in response to a written
request, for a fee of $8 for every year for which you seek information.
_J
50
Information about whether surety insurance carriers
are "admitted" to do business in California
(Part I, question 5)
The California Department of Insurance will verify whether an insurance carrier is
"admitted" to issue insurance policies within the State. The Department has a "Hot-Line"
number - 800-927-4357, and a web-site from which the information is available:
www.insurance.ca.gov
Information on disqualification from bidding on public contracts
(Part I, question 8 and Part II, question 15)
Information on the identities of contractors that have been disqualified from bidding on
public works contracts is available from the California Labor Commissioner, Division of
Labor Standards Enforcement, 455 Golden Gate Avenue, San Francisco, telephone (415)
703-4810.
Information available from the Secretary of State about corporations
(Part II, questions la-ld, 2-4)
The California Secretary of State has certain current and historical information about all
corporations that operate in California: dates of incorporation, articles of incorporation, the
name of the original incorporators, the names of the corporate officers (who are not
necessarily the corporate stockholders) and an agent for service of process for the
corporation. This information is available from the Secretary of State upon written request.
(Secretary of State, Business Programs Division, 1500 Eleventh Street, Sacramento, CA
95814. Telephone (916) 653-2121 or 653-1239). The Secretary of State does not ordinarily
have a listing of the names of initial stockholders or current stockholders, and that
information is generally not available in any public record.
Information available from County Clerks about
partnerships and sole proprietorships
(Part I, questions la-ld,24)
Every business, including a partnership, that operates under a "fictitious name" (for
example, "Ajax Sheet Metal Contractors" or "Smith Brothers Electrical Contractors") is
required to file with the County Clerk in the county in which its home office is located a
"Fictitious Business Name" statement. This statement will indicate the owner of the
business, if the business is a sole proprietorship, and the names of partners, if the business is
a partnership. The information is available to the public from the County Clerk upon
request. A written request may be necessary.
51
Information about bankruptcy proceedings
(Part II, questions 7 and 8)
Bankruptcy petitions, which include the names of the person or business that is seeking
protection from the Bankruptcy Court, are available for public inspection at the office of
the Clerk of each Bankruptcy Court (which are federal courts). In California, Bankruptcy
Courts are located in Sacramento, Modesto, Fresno, San Francisco, Oakland, San Jose,
Los Angeles, Santa Ana, Riverside, and San Diego. Most documents filed in court in
bankruptcy proceedings are available for public inspection, at the Bankruptcy Court
clerk's office. Some information on bankruptcy filings may also be available from
commercial enterprises that collect and sell information from public records). In
addition some information about bankruptcy cases filed August 1990 and later is
available on-line through the "PACER" (Public Access to Court Electronic Records)
system. To obtain information from PACER, you must register with the system, and pay
a fee for the materials obtained. Call 1-800-676-6856 or you may register online at
http://pacer.psc.uscourts.gov/.
Information about civil suits and arbitration cases
(Part II, questions 14, 17 and 18)
Each court keeps records of every civil suit filed in that court, and of the judgments that are
issued after trials. However, the exact terms of pre-trial settlements are generally not
recorded in court files. Documents related to disputes submitted to arbitration are generally
not available for public inspection. Public agencies, however, are required to disclose the
terms of such settlements, when documents are requested under the California Public
Records Act.
Information about criminal convictions
(Part I, question 9, and Part II, questions 21, 22, and 23)
Criminal convictions are a matter of public record. Each courthouse (in both the federal and
state court systems) has an index of its own criminal records. In addition, a few data
collection businesses have collected criminal conviction information from public records
throughout the state, and the collected information about particular individuals or businesses
is available for sale from these private businesses.
Information about Federal court civil and criminal cases
(Part I, question 9)
Information about federal criminal cases (filed August 1991 and later) and civil cases
(filed August 1.990 and later) is available on-line through the "PACER" (Public Access to
Court Electronic Records) system. To obtain information from PACER, you must
register with the system, and pay a fee for the materials obtained. Call 1-800-676-6856)
or you may register online at http://pacer.psc.uscourts.gov/.
1
52
Information about citations issued for violation of
industrial safetv and health laws
(Part II, questions 28 and 29)
Information about citations issued by both the federal Occupational Safety and Health
Administration and the California Division of Occupational Safety and Health (Cal OSHA)
are available on a web-site maintained by federal OSHA, http://www.osha.gov. At that
web site, click on "Library." On the Library page, click on "Statistics and Inspection Data."
Next, click on "Establishment Search." When the next screen appears, enter the name of the
contractor about whom you seek information in the "Establishment" window. In the
"Process" window, enter the number 999999. Click on California in the "State" window. In
the "Inspection Date" window, enter "1990." Then click the submit button.
Information about prevailing wage law violations
(Part II, question 34)
Information about recent prevailing wage law violations is available from the
Division of Labor Standards Enforcement, at 2424 Arden Way, Suite 360, Sacramento, CA
95825. A model letter asking for such information is enclosed.
Citations from either Air Quality or Water Quality Board
for violations of regulations
(Part II, question 30)
Information about citations issued by the California Air Resources Board is
available from that agency under the Public Records Act. Their address is 2020 L Street,
Sacramento, CA 95814, or Post Office Box 2815, Sacramento, 95812. In addition,
Regional Air Quality Management Districts and Regional Water Quality Control Boards
throughout the state may issue citations for violation of air quality or water quality
standards. Consult the appropriate board in your area for information about how to gather
appropriate information.
Information about state-approved apprenticeship plans
and violations of state apprenticeship laws
(Part II, questions 36-38)
Information about violations of state apprenticeship laws can be obtained from the
Division of Apprenticeship Standards, 455 Golden Gate Avenue, 8th Floor, Post Office Box
420603, San Francisco, CA 94142.
53
PHASE 1
PLAN DIAGRAM
Trail Sign
Entry Native -
Screen Planting
Prop 50 Monument Sign
Entry Gate
Phase I=
LLA.
Phase I
S
`Tbs .
L~•
1,200 LF Riparian Restoration &
Indicated Trails & Access to River
NTS
REVISED CONCEPT SKETCH PLAN
MAY 26, 2009 l
rrm group III
Trail and Steps
to River Access
Universal
Access Trail
Universal Access Trail
to River Overlook
Riparian Forest
Restoration
Trail End
uA Loaes (pcc:20100-20103.6)
PUBLIC CONTRACT CODE
SECTION 20100-20103.6
20100. This chapter may be cited as the Local Agency Public
Construction Act.
20101. (a) Except as provided in Section 20111.5, a public entity
subject to this part may require that each prospective bidder for a
contract complete and submit to the entity a standardized
questionnaire and financial statement in a form specified by the
entity, including a complete statement of the prospective bidder's
experience in performing public works. The standardized questionnaire
may not require prospective bidders to disclose any violations of
Chapter 1 (commencing with Section 1720) of Part 7 of Division 2 of
the Labor Code committed prior to January 1, 1998, if a violation was
based on a subcontractor's failure to comply with these provisions
and the bidder had no knowledge of the subcontractor's violations.
The Department of Industrial Relations, in collaboration with
affected agencies and interested parties, shall develop model
guidelines for rating bidders, and draft the standardized
questionnaire, that may be used by public entities for the purposes
of this part. The Department of Industrial Relations, in developing
the standardized questionnaire, shall consult with affected public
agencies, cities and counties, the construction industry, the surety
industry, and other interested parties. The questionnaire and
financial statement shall be verified under oath by the bidder in the
manner in which civil pleadings in civil actions are verified. The
questionnaires and financial statements shall not be public records
and shall not be open to public inspection; however, records of the
names of contractors applying for prequalification status shall be
public records subject to disclosure under Chapter 3.5 (commencing
with Section 6250) of Division 7 of Title 1 of the Government Code.
(b) Any public entity requiring prospective bidders to complete
and submit questionnaires and financial statements, as described in
subdivision (a), shall adopt and apply a uniform system of rating
bidders on the basis of the completed questionnaires and financial
statements, in order to determine both the minimum requirements
permitted for qualification to bid, and the type and size of the
contracts upon which each bidder shall be deemed qualified to bid.
The uniform system of rating prospective bidders shall be based on-
objective criteria.
(c) A public entity may establish a process for prequalifying
prospective bidders pursuant to this section on a quarterly basis and
a prequalification pursuant to this process shall be valid for one
calendar year following the date of initial prequalification.
(d) Any public entity requiring prospective bidders on a public
works project to prequalify pursuant to this section shall establish
a process that will allow prospective bidders to dispute their
proposed prequalification rating prior to the closing time for
receipt of bids. The appeal process shall include the following:
(1) Upon request of the prospective bidder, the public entity
shall provide notification to the prospective bidder in writing of
the basis for the prospective bidder's disqualification and any
supporting evidence that has been received from others or adduced as
a result of an investigation by the public entity.
Page 1 of 3
Altc.,r..hment # #
http://www.leginfo.ca.gov/cgi-bin/displaycode?section=pcc&group=20001-21000&file=20... 2/2/2010
CA Codes (pcc:20100-20103.6)
(2) The prospective bidder shall be given the opportunity to rebut
any evidence used as a basis for disqualification and to present
evidence to the public entity as to why the prospective bidder should
be found qualified.
(3) If the prospective bidder chooses not to avail itself of this
process, the proposed prequalification rating may be adopted without
further proceedings.
(e) For the purposes of subdivision (a), a financial statement
shall not be required from a contractor who has qualified as a Small
Business Administration entity pursuant to paragraph (1) of
subdivision (d) of Section 14837 of the Government Code, when the bid
is no more than 25 percent of the qualifying amount provided in
paragraph (1) of subdivision (d) of Section 14837 of the Government
Code.
(f) Nothing in this section shall preclude an awarding agency from
prequalifying or disqualifying a subcontractor. The disqualification
of a subcontractor by an awarding agency does not disqualify an
otherwise prequalified contractor.
20102. Notwithstanding any other provision of this part to the
contrary, where plans and specifications have been prepared by a
public agency, whose activities are subject to this part, in order
for a public project to be put out for formal or informal bid, and,
subsequently, the public agency elects to perform the work by day's
labor, the public agency shall perform the work in strict accordance
with these same plans and specifications.
Revisions of the plans and specifications may be made once a
justification detailing the specific reasons for the change or
changes has been approved by the public agency or its project
director and a copy of the change and its justification is placed in
the project file.
20103.5. In all contracts subject to this part where federal funds
are involved, no bid submitted shall be invalidated by the failure of
the bidder to be licensed in accordance with the laws of this state.
However, at the time the contract is awarded, the contractor shall
be properly licensed in accordance with the laws of this state. The
first payment for work or material under any contract shall not be
made unless and until the Registrar of Contractors verifies to the
agency that the records of the Contractors' State License Board
indicate that the contractor was properly licensed at the time the
contract was awarded. Any bidder or contractor not so licensed shall
be subject to all legal penalties imposed by law, including, but not
limited to, any appropriate disciplinary action by the Contractors'
State License Board. The agency shall include a statement to that
effect in the standard form of prequalification questionnaire and
financial statement. Failure of the bidder to obtain proper and
adequate licensing for an award of a contract shall constitute a
failure to execute the contract and shall result in the forfeiture of
the security of the bidder.
20103.6. (a) (1) Any local agency subject to this chapter shall, in
the procurement of architectural design services requiring an
expenditure in excess of ten thousand dollars ($10,000), include in
any request for proposals for those services or invitations to bid
Page 2 of 3
http://www.leginfo.ca.gov/cgi-bin/displaycode?section=pcc&group=20001-21000&file=20... 2/2/2010
i car'. ✓ V L J
from a prequalified list for a specific project a disclosure of any
contract provision that would require the contracting architect to
indemnify and hold harmless the local agency against any and all
liability, whether or not caused by the activity of the contracting
architect.
(2) The disclosure statement shall be prominently set forth in
bold type.
(b) In the event a local agency fails to comply with paragraph (1)
of subdivision (a), that local agency shall (1) be precluded from
requiring the selected architect to agree to any contract provision
requiring the selected architect to indemnify or hold harmless the
local agency against any and all liability not caused by the activity
of the selected architect, (2) cease discussions with the selected
architect and reopen the request for proposals or invitations to bid
from a qualification list, or (3) mutually agree to an indemnity
clause acceptable to both parties.
(c) This section shall become operative on July 1, 1998.
http://www.leginfo.ca.gov/cgi-bin/displaycode?section=pcc&group=20001-21000&file=20... 2/2/2010
Idsm
AFT~
City oJ`,Z.zk_iraft.
ITEM NO.: 10d
MEETING DATE: January 5, 2011
AGENDA SUMMARY REPORT
SUBJECT: UPDATE IN CONNECTION WITH ADMINISTRATIVE CIVIL LIABILITY COMPLAINT
NO. R1-2010-0070 AS ISSUED BY THE CALIFORNIA REGIONAL WATER QUALITY
CONTROLBOARD
Background: On September 15, 2010 City Staff brought forward the referenced item in order to "Authorize
The City Manager To Represent The City Of Ukiah In Connection With Administrative Civil Liability
Complaint". The Council was also asked to support the one of four options that the state had offered to
proceed and settle this issue. Council supported option 4 (see attachment 1) to waive the hearing
requirement with the state board and submit a proposed supplemental environmental project. This item was
also presented to the Ukiah Valley Sanitation District (UVSD) on September 16, 2010 and supported by the
District Manager as well as the UVSD Board.
After receiving the support from the Board and the Council, City Staff had further conversation with State
Board Staff regarding two of the items in the fine. These items were both reporting requirements for
discharge quality at the sewer treatment plant. One was a reporting requirement for Copper and the other
for Nitrate. Both of these substances had been tested for and found to be within limits; however, the
reporting required by the State was not submitted in the manner that the State had wanted this information
in. It should be mentioned that during the 2010/2011 Budget discussions City staff had reduced two line
items regarding Copper and Nitrate, in the joint operation fund (612), from $100,000 each to $10,000 each.
This was as a result of these two substances being in compliance of discharge limits.
Current city staff believed the reports in question has been filed with the State, and wanted the opportunity
to prove that this had occurred. The subject was complicated by the retirement of the former Deputy
Director of Public Works for Water and Sewer and inability of staff to contact to her for verification.
The State Board Staff recommended that City Council speak with State Counsel regarding how to proceed.
It was agreed that the best approach was to change the option 2 (see attachment 1) and defer payment of
the fine while City Staff and State Board Staff discussed the two items in dispute.
Continued on Page 2
Recommended Actions: 1. Receive Report.
Alternative Council Option(s): Provide staff with direction
Citizens advised: Rick Kennedy, District Manager, Ukiah Valley Sanitation District
Requested by: Tim Eriksen, Director of Public Works / City Engineer
Prepared by: Tim Eriksen, Director of Public Works / City Engineer
Coordinated with: Jane Chambers, City Manager
Attachments: 1. Waiver Form for Administrative Civil Liabilitv Complaint
Approved: Gov
Chambers, City Manager
Subject: Update In Connection With Administrative Civil Liability Complaint No. R1-2010-0070 As Issued By
The California Regional Water Quality Control Board
Meeting Date: January 5, 2011
Page 2 of 2
Subsequently, it has become clear that the reporting requirement was not met. City Staff has defined a
supplemental environmental project to eliminate a portion of the fine, and is reproducing the checks to make
the balance of payment due to the State.
Discussion: Staff initially received notice of possible actions by the (RWQCB) several months ago. This
started a discussion with RWQCB staff (Board Staff),-and City Staff of reviewing many items back to
January of 2005. Most of the events were Sanitary Sewer Overflows (SSO) and there were some other
reporting requirement questions that Board Staff had felt were not meta After some of these discussions
had taken place the RWQCB changed the scope of their investigation to items back to January 2007 as
opposed to 2005. This significantly reduced the potential fine amount.
Once the period of the violation review was re-established by RWQCB the Board Staff requested any
information that the City Staff could provide to show the effort that has been put forward to prevent any
violation activities, chiefly SSOs. These efforts were shown in programs that the City has in place as well as
expenditures on equipment, staff and capital projects. The RWQCB is concerned that jurisdictions do not
prosper at the expense of the environment. That is one of the litmus tests that are used when discussing
possible violation activities.
City Staff amassed an enormous amount of records and documentation to show all of the activities that had
been accomplished by the City in the time period in question. These efforts dramatically reduced the
potential fines. Both the staff at the Waste Water Treatment Plant and the staff on the water / sewer
maintenance crew expended an extraordinary amount of time providing documentation and doing research.
The former Deputy Director of Public Works also expended many hours dealing with Board Staff and
defending the City's efforts in order to further reduce fines.
As a result of all these efforts both from the City and the Board Staff a final violation was prepared. The
violation total amounts to $130,768. Depending on what option is selected on the waiver form (attachment
1) this fine can be further reduced. Staff is recommending that option 4 be selected. This option requires
that the City directly pay $70,634 and submit a supplemental environmental project as a match for the
remaining $60,134. In discussions with the Board Staff, it appears that the sewer relining project nearly
underway will be acceptable for the in lieu fees.
During the last two budget hearings City Staff expressed concerns regarding the high cost of pending fines
and the vigilant approach the California Regional Water Quality Control Board (RWQCB) has taken with
other jurisdictions in the region. The City Council has recognized and supported these concerns. Evidence
of this support is that line items were approved in the Sewer Budget for "fines" in order to resolve these
violations.
Fiscal Impact:
X I Budgeted FY 10/11 F-1 New Appropriation ❑X Not Applicable F-1 Budget Amendment Required
Amount Budgeted Source of Funds (title and Account Number Addit. Appropriation Requested
$50,000 612-3510 612.3510.639.001
26,250 612-3510
23,750 612-3510
612.3510.639.810
614.3510.639.811
WAIVERFORM'
FOR ADMINISTRATIVE CIVIL. LIABILITY COMPLAINT
By signing this waiver, I affirm and acknowledge the following:
.1 am duly authorized to represent the City of Ukiah (hereinafter "Discharger) in
connection with Administrative Civil Liability Complaint No. R1-2010-0070 (hereinafter
the "Complaint"). I am informed that California Water Code section 13323, subdivision
(b), states that, "a hearing before the regional board shall be conducted within 90 days
after the party has been served [with the complaint]. The person who has been issued
a complaint may waive the right to a hearing."
0 (OP71011 f 7: Check here if the Discharger waives the hearing requirement and
will pay the liability in full,)
a. I hereby waive any right the Discharger may have to a hearing before the
Regional Water Board..
b: I certify that the Discharger will remit payment for the proposed civil liability in
the full amount of one hundred thirty thousand seven hundred sixty-eight.
dollars ($130,768) of which an amount of $47,250 by check that references
"ACL Complaint No. R12010-0070."'made payable to the "Waste Discharge
Peimit Fund" and the remaining amount of $83,518 by check that references
"ACL Complaint No.. R12010-0070." made payable to the "State Water
Pollution Cleanup and Abatement AccounF Payment must be received by
the Regional Water Board by September 2,, 2010 or'lhe Regional Water
Board may adopt an Administrative Civil Liability Order requiring.payment.
c. I understand the' payment of the above amount constitutes a proposed
settlement of the Complaint, and that any settlement will -not become final
until after the 30-day public notice and comment period. Should the Regional
Water Board receive significant new information or comments from any G
source (excluding the Water Board's Prosecution Team) during this comment
period; the Regional- Water Board's Assistant Executive Officer may withdraw
the complaint, return payment, and issue a new complaint. I understand that t.
this proposed settlement is subject to approval by the Regional Water Board,
and that the Regional Water Board may consider this proposed settlement in
a public meeting or hearing. I also understand that approval of the settlement
will result in the Discharger having waived the right to contest the allegations
In the Complaint and the imposition of civil liability.
d: I understand that payment of the above amount is not a substitute for
compliance with applicable laws and that continuing violations of the type
alleged in the Complaint may subject the Discharger to further enforcement,
including additional civil liability.
.
2-
a (OPTION 2. Check here If the Discharger waives the 90-day hearing requirement
In order to engage in settlement discussions.) I hereby waive any right the .
Discharger may have to a hearing before the Regional Water Board within 90 days after
service of the complaint, but I reserve the ability to request a hearing in the future. I
certify that the Discharger will promptly engage the Regional Water Board Prosecution
Team In settlement discussions to attempt to resolve the outstanding violation(s). By
checking this box, the Discharger requests that the Regional Water Board delay the
hearing so that the Discharger and the Prosecution Team can discuss settlement. It
remains within the discretion of the Regional Water Board to agree to delay the hearing.
Any proposed settlement is subject to the conditions described above under "Option 1."
❑ (OPTION 3. Check here If the Discharger waives the 90-day hearing requirement
In order to extend the hearing date and/or hearing deadlines. Attach a separate
sheet with the amount of additional time requested and the rationale.) I hereby
waive any right the Discharger may have to a hearing before the Regional Water Board
within 90 days after service of the complaint. By checking this box, the Discharger
requests that the Regional Water Board delay the -hearing and/or hearing deadlines so
that the Discharger may have additional time to prepare for the hearing. It remains
within. the discretion of the Regional Water Board to approve the extension.
❑ (OP770N 4. Check here If the Discharger waives the hearing requirement and
will submit a proposed supplemental environmental project (SEP) or enhanced
compliance actions (ECAs) ►f the proposal is rejected, the Discharger will pay
the liability in full.)
a. I hereby waive any right the Discharger may have to a hearing before the
Regional Water Board.
b. I certify that the Prosecution Team has authorized the Discharger to submit a
proposed SEP/ECAs in lieu of payment"of $60,134 of the proposed civil
liability. I agree to. submit the proposal and the remainder of the proposed
civil liability ($70,634, of which $13,626 made payable to the "Waste
Discharge Permit Fund" and the remaining balance of $47,009 made payable
to the State Water Pollution Cleanup and Abatement Account) within 60 days
of the date of the Complaint. I understand that the proposal must conform to
the requirements specified in the State Water Resources Control Board's
Water Quality Enforcement Policy. If I receive written notice from the .
Prosecution Team that the Discharger has failed to timely submit a proposal
or that the Prosecution team has rejected the proposal, I certify that the
Discharger will remit payment of the proposed civil liability in the amount of
sixty thousand one hundred thirty=four dollars ($60,134) of which $23,625
made payable to the "Waste Discharge Permit Fund" and the remaining
balance of $36,609 by check that references "ACL Complaint No. RI-2010-
0670. " made payable to the "State Water Pollution Cleanup and Abatement
Account". within ten days of the notice. If payment is not timely-received, the
Regional Water Board may adopt an Administrative Civil Liability Order
requiring payment.
s
c. I understand the acceptance or rejection of the proposed SEP/ECAs and
payment of the remainder of the proposed civil liability constitutes a proposed
settlement of the Complaint, and that any settlement will not become final
until after the 30-day public notice and comment period. Should the Regional
Water Board receive significant new information or comments from any
source (excluding the Water Board's Prosecution Team) during this comment
period, the Regional Water Board's Assistant Executive Offlcs'r may withdraw
the complaint, return payment, and issue a new complaint. I understand that
this proposed settlement Is subject to. approval by the Regional Water Board,
and that the Regional Water Board may consider this proposed settlement in
a public meeting or hearing. I also understand that approval of the.settlemerit.
will result in the Discharger having waived the right to contest the allegations
in the Complaint and the imposition of civil liabiiityy.
d. I understand that payment of the above amount •is not a substitute for
compliance with applicable laws and that continuing violations of the type
alleged in the Complaint may subject the Discharger to-further enforcement,
including additional civil liability.
(Print Name and 71tie)
(Signature)
(Date)
100826_Rev1sed_Headng_Wa1ver_CW-Uk1ah-ACLC
4W_ jl~
C UY cYJ' Ukiah
ITEM NO.: 11 a
MEETING DATE: January 5, 2011
AGENDA SUMMARY REPORT
SUBJECT: DISCUSSION AND POSSIBLE APPOINTMENT OF PLANNING COMMISSION
MEMBERS
Background: Pursuant to City Code Section 1151, at or near the beginning of a councilmember's four-year
term he or she may nominate one Planning Commissioner who shall be appointed if approved by a majority
vote of the City Council. The following is a list of each current Planning Commissioner and the
Councilmember who made the appointment:
Linda Sanders -Appointed by Councilmember Baldwin
Judy Pruden - Appointed by Councilmember Rodin
Michael Whetzel - Appointed by Councilmember Crane
Anne Molgaard - Appointed by Councilmember Thomas
Linda Helland - Appointed by Councilmember Landis
Discussion: This Agenda item intends on providing an opportunity for the recently elected City
Councilmembers to each nominate a Planning Commissioner and for the Council to vote on each
nomination.
Councilmembers Baldwin, Thomas, and Landis may each nominate a person to sit on the Planning
Commission and the Council as a whole must vote on each nomination. If there were a desire for change of
these three appointments, the Councilmembers would need to make this request known at the meeting.
Fiscal Impact:
H Budgeted FY 10/11 F-1 New Appropriation -XI Not Applicable
Budget Amendment Required
F
Recommended Action(s): Councilmembers Baldwin, Thomas, and Landis individually may nominate
a Planning Commission member and City Council should vote on each nomination.
Alternative Council Option(s): NA
Citizens advised: NA
Requested by: NA
Prepared by: JoAnne Currie, City Clerk
Coordinated with: NA
Attachments: 1 - City Code Sections 1150, 1151, and 1152
Approved:
Ja Chambers, City Manager
ARTICLE 4. PLANNING COMMISSION
1150: CREATION:
There is hereby created a planning commission for the city. (Ord. 396, §1, adopted
1947)
1151: MEMBERS; APPOINTMENT:
Said commission shall consist of five (5) members who shall be registered voters of the city. At
or near the beginning of his or her four (4) year term of office, each member of the city council
may nominate one commissioner who shall be appointed to the commission, if approved by a
majority vote of the city council. Each commissioner's term of office shall coincide with the four
(4) year term of office of the city council member who nominated him or her, regardless of
whether that city council member serves his or her full four (4) year term.
If a commissioner vacates his or her office before the expiration of his or her term of office, the
city council member who nominated that commissioner (or a city council member elected or
appointed to fill the remaining unexpired term of office of the city council member who appointed
the commissioner) may nominate a replacement to serve the remainder of that commissioner's
term of office, who shall be appointed, if the nomination is approved by a majority vote of the
city council.
If a city council member's nomination receives less than a majority vote, he or she may
nominate additional candidates, one at a time, until one of them is appointed by a majority vote
of the city council. Commissioners shall be nominated and voted upon at a single city council
meeting, unless a different procedure is approved by a majority vote of the city council. If a city
council member fails to nominate a commissioner within sixty (60) days after the vacancy
occurs, a majority of the city council shall fill the vacancy following the procedure used to
appoint members to other city commissions and boards. (Ord. 396, §1, adopted 1947; Ord. 632,
§1, adopted 1973; Ord. 710, §1, adopted 1978; Ord. 718, §5, adopted 1978; Ord. 958, §1,
adopted 1995; Ord. 1055, §1, adopted 2004; Ord. 1085, §1, adopted 2006; Ord. 1094, adopted
2007)
1152: TERMS OF MEMBERS:
A commissioner's term of office shall coincide with the four (4) year term of the city council
member who appointed that commissioner, regardless of whether that city council member
serves the full four (4) years of his or her term of office. (Ord. 396, §1, adopted 1947; Ord. 710,
§1, adopted 1978; Ord. 958, §1, adopted 1995; Ord. 1055, §1, adopted 2004; Ord. 1094,
adopted 2007)
City n,J' 2lk~raFi
ITEM NO.: 11b
MEETING DATE:
AGENDA SUMMARY REPORT
January 5, 2011
SUBJECT: APPROVE THE PURCHASE OF A BACKHOE TO CASE POWER & EQUIPMENT IN
THE AMOUNT OF $102,748.90.
Submitted for the City Council's consideration and action is staff's recommendation to approve the purchase of a 2011
Case Backhoe, Model 580SN from Case Power and Equipment in the amount of $102,748.90.
The Water and Sewer Maintenance Department currently has two (2) backhoes. One is a 1988 unit and the other is a
1990. The maintenance crew uses the 1990 as their primary unit for every day use, while the 1988 is kept as an
alternate unit. The alternate unit is kept at the Corporation Yard and is used by the Streets, Parks and Electrical
departments when needed. While the second unit is considered to be the "alternate" there are days and weeks when
both units are in use. In the event that one unit is in inoperable due to needed maintenance or repairs the work tasks
and work productivity are not adversely affected.
Both backhoes have been reliable units, but after 22 years of service the 1988 needs to be replaced due to extensive
maintenance needed. The pins and bushings are worn and it has 4,371 working hours. Also, the existing backhoe is
two-wheel drive. A four-wheel drive backhoe is needed to ensure adequate traction at all times to ensure the ability to
pull new water service lines and to provide adequate traction for other underground work.
The backhoe is one of the most important pieces of equipment that the Water and Sewer Maintenance Department
uses. Most of the maintenance work is of emergency in nature, and because the majority of the work cannot be
performed without a backhoe, it is necessary to have two reliable units immediately accessible both day and night.
The 1990 will replace the 1988 as the backup unit and the new one will replace the 1990 as the primary unit. While the
1988 unit can not currently support the daily demands through Water and Sewer Department it may be useful for
infrequent maintenance activities performed by the Parks and Golf Divisions. Therefore, the 1988 unit will be
transferred to Parks and Golf. If the 1988 unit is not used regularly by Parks and Golf, or if it is deemed too costly for
needed maintenance or repairs, it will be retired.
The new backhoe has an emissions compliant Case 445TA/E3 non-EGR turbocharged diesel engine that is Tier III
certified, and is fully equipped to meet the department's needs.
This purchase will be through the HGACBuy Contract. HGACBuy, based out of Houston, Texas, is a competitively bid,
cooperative purchasing program, which enables public entities access to volume purchasing and discounts, as well as
making available an expedited procurement process. The use of this program was approved by Council on December
5, 2007. Please see Attachment A for the Contract Pricing Worksheet.
It is staff's recommendation that Council approve the 2011 Case Backhoe, Model 580SN from Case Power and
Equipment in the amount of $102,748.90. Funds for this purchase are available from the fund balance of the
Equipment Replacement Fund 698.275.612 and the Water Fund (820) balance.
_ Continued on page 2
Recommended Action(s): Approve the purchase of the 2011 Case Backhoe, Model 580SN from Case Power
and Equipment in the amount of $102,748.90.
Alternative Council Option(s): Do not approve the purchase, and provide alternate direction to staff.
Citizens advised: N/A
Requested by: Tim Eriksen, Director of Public Works and City Engineer
Prepared by: Mary Horger, Purchasing Supervisor, and Dan Hunt, Water/Sewer Supervisor
Coordinated with: Jane Chambers, City Manager
Attachments: Attachment A - HGACBuy Contract Pricing Worksheet
Approved:
~e Chambers, City Manager
7 Ja
Fiscal Impact:
I Budgeted FY 10/11 O New Appropriation
Amount Budgeted Source of Funds (title and
$0 Equipment Replacement
From available fund balance
Of $368,751.46
$0 Water Fund
Not Applicable 0 Budget Amendment Required
Account Number Addit. Appropriation Requested
698.3510.800.000 $51,374.45
820.3948.800.000 $51,374.45
AT'fAG`H~~ ~
~CONTRACT PRICING WORKSHEET
For Standard Equipment Purchases
Contract EM06-09
No.:
Date 10/22/2010
Prepared:
This Worksheet is prepared by Contractor and given to End User. If a PO is issued, both documents
MUST be faxed to H-GAC @ 713-993-4548. Therefore please type or print legibly.
:CityofUkiah Contractor: !Case Power & Equioment
Agency:
Pgsoo :MatyHolger
:Paul McDade
P`B"d
Phone: :707-463-6233
Ph.. 1916-893-6072
Fu: :707-463-6234
Fa:: :916-649-0584
Fm aa: :mhorger cityofukiah.com~
Em i .-'paulm@casepower_com
Product F139
nescnphnn. :Model590SN 2WD STDHOE=wIROPS, 82° w/BOE, Case stick Controls & 1$-13HBucket
ProdttiLlfeii$Bg§e:Uiilt.-P ce;Per C6Ii tar s HGAC QD tracts': i'i .'••.'•i'::`•>:`•:.'•.'•.'•'•:: ???E` : '""i: i ; z: 5.T30T.00
H Pict lfstieil:d'tioiis : :=Lt mtiebeC6 :=:At~aek:ad..........:s~ee......ecessa `:-lticlride''ti... C...... escal'ftou:(ta tt >a
E! . ..............................::....P...........:.:::.:::
nte::Publislidd. "iiotisate:"'[~oaa:wh3ehy'erestliiri.....and: "fscea:issEotirtactut~sbid .
. . . .
?.:Q:. . . . . . . . . . . . . . . . . .
. . . . . .
.
Description Cost
Description Cost
UpGrade to 4WD /with 19.51x 24, lOpr (R4) $8,373.10
Deluxe Cab Package $874.20
Extendahoe, includes 700Lb cwt, $4,150.90
3" Seat Belt $49.60
Upgrade Backhoe Controls to Pilot Controls $2,210.30
Radio $155,00
Auxiliary Hyd. Combo Direct $2,442.80
Ride Control : $1,128.40
Backhoe Quick Coupler / Hydraulic $1,847.60
Tool Box $114.70
$969.00
12" Bucket
18" Bucket $1,168.50
24" Bucket $1,282.50
Deluxe Air Suspension Seat, Vinyl $269.70
Dual Batteries $384.00
Flip Over/ Stabilizer Pads Combo $545.60
Upgrade to 4-in-l Bucket w/cutting edge $2,306.40
Subtotal From Additional Sheet(s):
Cab, 2 Door with Heat & AC $6,389.10
Subtotal B: $34,661.40
Cs:CJn uhltslied0 tibns..iem ow..Attaclt:ubat:shee.cessa
P .............p............. . y......................................
d...............................................................................................
ote>Uu ulitishedo'tioris are:i[eriis:which were:h dt:satiiifiite attdP' iiced :
P.......... P ...........................-.:si......................................)............................................................. .
.
Description Cost
Description Cost
Amber Strobe (Whelen SS-360DAB) installed $534.00
Eat. Warranty 36 month 3000 hours Power Train $562.00
Service Manual $859.00
Operators Manual $81.00
MV Emblem (aliminum) $36.89
Subtotal From Additional Sheet(s):
11 Subtotal C:€ $2,072.89
Check: Total cost of Unpublished Options (C) cannot exceed 25% of the total of the Base For this transaction the percentage Is:
Unit Price plus Published Options (A+B).
e'es Dle'c'duut`'?Ec:'il+B+.
::.To..ai.Cost,kefore ad3*:oih;er:ap:pUca. , e.GltargeAr,T,.r. de-lu, l.A. o. van... ?..........'tr..... C ......Q1 .
Quantity Ordered: X SubtotalofA+B+C: $94,041.29 =
SubtotalD: i $94,041.29
:'1':taai )!t#:(:$ '~C)yt1:Ul#CtitipttS:I:()tU:61r 94:111i1Valii4#!1?Cf.'i btfi~iubttiG&t161tlt f:~iAr;~((IAhkGti+tiCA>i'C~ kt>.`>.:ii: »»i>:: i::: i>:
Description Cost Description Cost
Additional freight delivery to Ukiah, CA $479.00
California Sales Tax $8,228.61
Subtotal E: ` $8,707.61
+ 102 748.90
60-90 Da s
»'1!' Tii#al:l?iir I ..:I?rice DBE : .
Y)elivery T)
atec : y
city &J" Ukiah,
ITEM NO.: 11 c
MEETING DATE:
AGENDA SUMMARY REPORT
1/5/2011
SUBJECT: REPORT TO CITY COUNCIL OF PROPOSAL TO EXPLORE COMPREHENSIVE
EFFICIENCY AND CONSERVATION MEASURES PROGRAM AND AUTHORIZATION
OF CITY MANAGER TO SIGN DECISION SCHEDULE WITH HONEYWELL
Background:
In late summer 2010, the City Manager initiated exploration with Honeywell regarding financing for various
capital improvement projects that could have significant impact on the City's financial future and its ability to
generate energy and costs savings for its operations. Mr. Robert Falco, Account Executive Energy Services
for Honeywell had worked previously with City staff on proposals for replacement of water meters. No
proposal for Council consideration was made as a result of that initial work due to a number of factors.
Honeywell provides financing for automation and control solutions and energy savings, and works with local
governments to offer a turn-key program for design, implementation and financing of projects that result in
efficiency and conservation savings for Cities.
Due to the City's near future and long term financial issues, the City Manager was interested in looking at
options to pursue capital projects that could result in lowering operations costs and/or increasing sources of
revenue through improved use of existing city assets and services, and asked Mr. Falco to look at a number
of projects that could achieve these results.
Honeywell would develop the project financing as well as project implementation, making it feasible for the
City of Ukiah to complete a number of capital projects together from both a staff capacity and financing
standpoint, and complete them on a much earlier time frame than could be achieved without this type of
assistance.
After some initial work with City staff to identify and evaluate a number of projects for consideration and
feasibility, a meeting with the Capital Improvement Program (CI P) Ad Hoc was held on December 1, 2010.
Council members Crane and Landis received a verbal report from the City Manager and Mr. Falco about
four specific projects that appear to be feasible for consideration. The two Ad Hoc members agreed that the
concept has merit and should be presented to the City Council.
Continued on Page 2
Recommended Action(s): Receive Report and Authorize the City Manager to Sign Decision
Schedule with Honeywell.
Alternative Council Option(s): Provide City staff with alternate direction
Citizens advised:
Requested by:
Prepared by: Jane Chambers, City Manager
Coordinated with: Gordon Elton, Finance Director
Attachments: 1) Decision Schedule 2) Letter of Intent
Approved:
~21
Ja Chambers, City Manager
The next step in the process is for further exploration by Honeywell to look at financing packages and actual
project components to see if a program can be put together for the City Council's consideration.
Of immediate concern to the Ad Hoc members as well as City staff, was the question of obligation to
Honeywell for the work completed to date and any future work necessary, until the City Council is presented
with the opportunity to make decisions about projects going forward. Also of concern was the question of
using only Honeywell's services for financing and implementation of the projects, should they prove feasible.
Honeywell has prepared a Decision Schedule which is included as Attachment #1. This Decision Schedule
outlines the process that Honeywell and the City will undertake together to explore feasibility of developing
an efficiency and conservation measures program including capital improvement projects for the City of
Ukiah.
The City Council and City of Ukiah are under no obligation to Honeywell for the work that they do prior to a
decision point to proceed or abandon the project. That decision point is shown as occurring in March/April
of 2011. The Council may determine that it wants to pursue the projects through another means.
A draft Letter of Intent is attached as Attachment #2. Entry into the Letter of Intent would obligate the City to
pay Honeywell a fee for the work it completes on scope and financing program options. This work would
occur after the Letter of Intent is signed. The Letter will state that fee. After the Letter of Intent is signed,
Honeywell will prepare all of the documentation and financing necessary to proceed with the project. All of
the financing and project decisions, however, would still need to be approved by the City Council. The
Council can decide not to go forward with the project at any time after the Letter of Intent, but would then
owe Honeywell the Fee stated in the Letter of Intent.
There are many future decision points ahead before the City is committed to proceeding with the projects.
What is before the Council now is the Decision Schedule which acknowledges that Honeywell and the City
of Ukiah are going to take a series of steps together, primarily by Honeywell, to complete the preliminary
feasibility analysis necessary to see if a project program can be put together that is financially beneficial for
the City of Ukiah and its residents.
Discussion:
The Ad Hoc Committee felt there was significant potential benefit for City residents and the City's financial
interests to pursue the proposal.
The projects under consideration are:
Ukiah Municipal Golf Course and Driving Range
• Protect the long-term viability of this City-owned asset
• Increase revenue (driving range, green fees, clubhouse events)
Water/electric meter upgrade (AMR/AMI)
• Efficient and real-time data to capture production vs. sales of water
• Immediate notification of water leakage/loss incidents
Conference Center Equipment and Furnishings Refurbishment
• Make Conference Center attractive to potential business partners/investors looking to expand in Ukiah
• Increase revenue
Evaluate renewable energy options WWTP
• Development of stand-by capacity
• Reduce reliance on purchased power to run WWTP
Fiscal Impact:
The projects to be examined have the potential of significant savings in costs for energy of major city
operations such as the Waste Water Treatment Plant, and the potential to refurbish and expand revenue
earnings for two significant City facilities, the Ukiah Municipal Golf Course and the Conference Center. The
City's ability to more accurately capture water and electric use will provide options for management of use
as well as improvements for effective billing and collection. Part of the project for the Golf Course includes
looking at a new irrigation system, which could have significant impact on water use savings and could be
used to prepare the Golf Course for use of recycled water.
Given the near and future term outlook for the City's General Fund, it is unlikely that funding for these types
of project can be made in the next five to ten years. Without some refurbishment effort, the City's asset in
both the Conference Center and the Golf Course is subject to the affects of further deterioration, which may
well result in reduced revenues from these sources over time.
For these reasons, the City has significant business interests in looking at possible means to address
energy use and other conservation measures.
Budgeted FY 10/11 F1 New Appropriation 0 Not Applicable ❑ Budget Amendment Required
Amount Budgeted
Source of Funds title and #
Account Number
Addit. A pro riation' Re uested
$
•v~ ~iv~b-1 V 1
Honeywell
City of Ukiah
Decision Schedule
Purpose: In cooperation with the City of Ukiah, create a plan of action to identify steps
necessary to develop, finance and implement a comprehensive efficiency and savings
improvement program.
Decision Maker Meeting
September 13, 2010
➢
Understand City of Ukiah needs/objectives
Follow up Meeting
November 2, 2010
➢
Confirm/prioritize needs and estimated costs/savings for
efficiency improvements;
1.
Ukiah Municipal Golf Course and Driving Range
2.
Water/electric meter upgrade (AMR/AMI)
3.
Conference Center Equipment and Furnishings
Refurbishment (Kitchen, Media upgrade)
4.
Evaluate renewable energy options for WWTP
Next Steps, meet with CIP committee
December 1, 2010
➢
Develop mutually agreeable path forward
➢
Decision Schedule tasks and dates confirmed
➢
Agreement to proceed with Preliminary Feasibility Analysis
➢
Present concept, draft Decision Schedule and sample Letter
January 5, 2011
of Intent language to Council
➢
ecision Schedule, Signed,
January, 2011
Preliminary Feasibility Analysis
January - March 2011
➢
Confirmation of funding options (grants, rebates, subsidies,
low-interest loans)
➢
Collaborative analysis of measures, pricing, tentative
timeline for implementation
Preliminary Findings Workshop
March 2011
➢
Presentation of Preliminary Findings
➢
Cost/Benefit Analysis
➢
Decision to proceed/abandon
City of Ukiah Budget Meetings
March/April 2011
➢
Discuss findings and budget impact
➢
ecision to proceed/abandon
Staff Report for City Council
April/May, 2011
➢
Draft Letter of Intent to proceed with scope and financing
program options
➢
Proceed: City Council approval
April/May, 2011
➢
Signed Letter of Intent (not-to-exceed break fee identified),
April/May, 2011
Joint Development of Solution
June 2011
➢
Confirm selected measures to be implemented
➢
Complete financing package and proposal
➢
Confirm implementation timeline
Honeywell
Final Proposal Verification Meeting
July 2011
➢ Implementation Schedule
➢ Technical/Financial Issues Resolved
➢ City Council Staff Report submittal
July/August 2011
Final Contract
August 2011
➢ Present Contract to City Council for Review and Signature
➢ Mobilization meeting and Program Implementation
Authorization to proceed:
Jane Chambers, City Manager
City of Ukiah, CA
Robert Falco, Account Executive
Honeywell
Signature Date
4~e'ajv-
Signature
Date
ATTACHMENT 300 Se City minary of Ukiah
Avenue
Ukiah, CA 95482
Date (TBD)
Attention: Robert Falco, Energy Services Account Executive, Honeywell
Subject: Letter of Intent Regarding Comprehensive Efficiency and Conservation Measures Program
Dear Robert:
This letter is to confirm that the City of Ukiah intends to proceed with Honeywell, Inc. toward finalizing a
contract for energy efficiency and conservation improvements of City-owned facilities and equipment. The
purpose of the contract is for Honeywell to offer a turn-key program for design, implementation and financing,
utilizing a tax-exempt municipal lease instrument (or other) as the funding vehicle, for capital improvements
resulting in efficiency and conservation savings for the City.
This Letter of Intent shall be effective for 90 days or until superseded by an executed contract between the
parties, or until canceled by either party's providing written notice to the other at least five (5) business days in
advance of the intended cancellation date, whichever shall first occur. During the time this Letter of Intent
remains in effect, the City of Ukiah shall not negotiate with any party other than Honeywell concerning
comprehensive efficiency and conservation measures.
During the time this Letter of Intent remains in effect Honeywell may, at its discretion and option, undertake
certain preparatory activities including, but not limited to, an investment grade audit of (insert items here) If
,
upon finalizing its recommendations, Honeywell can produce results that meet or exceed:
a. the City's scope and financial requirements for a project that addresses utility cost savings
opportunities and revenue enhancement opportunities and
b. requirements of California Code 4217 for Energy Savings Performance Contracts for Public Entities,
then the City intends to enter into an agreement with Honeywell. If Honeywell meets all requirements listed
above, and the City decides not to enter an agreement for a final project, then the City shall reimburse
Honeywell for costs associated with the detailed engineering audit, in the amount of $ amount TBD 1
The project's final scope of work, to include all asset improvement measures, will be co-authored and agreed to
by both Honeywell and the City.
It is understood and agreed between Honeywell and the City of Ukiah that there is no obligation on either party
to reach agreement on a contract. It is further understood that except as specifically set forth in this Letter of
Intent, no agreement or obligation, expressed or implied, is created or intended between Honeywell and the City
of Ukiah.
Sincerely,
Jane Chambers
City Manager
City of Ukiah
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