CC - Item 4C - Assignment of Professional Services Agreement to Priscila Davila and Associates for Administration and Implementation of the City's Federal Grant Programs - CDBG/Home Programs and Activities E M
ROSEMEAD CITY COUNCIL
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STAFF REPORT
CIVIC PRIDE
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TO: THE HONORABLE MAYOR AND CITY COUNCIL
FROM: GLORIA MOLLEDA, CITY MANAGER t.,d,
DATE: March 23, 2021
SUBJECT: ASSIGNMENT OF PROFESSIONAL SERVICES AGREEMENT TO
PRISCILA DAVILA AND ASSOCIATES FOR ADMINISTRATION AND
IMPLEMENTATION OF THE CITY'S FEDERAL GRANT PROGRAMS—
CDBG/HOME PROGRAMS AND ACTIVITIES
SUMMARY
The City of Rosemead is an Entitlement City through the Federal Housing and Urban
Development (HUD) Grant Programs. As such, the City receives Community Development
Block Grant (CDBG) funds and HOME Investment Partnerships Act Program (HOME) funds.
For the fiscal year 2020-2021, the City of Rosemead received $754,104 in CDBG and $356,613
in HOME funds to implement various programs and activities. The City also received a special
allocation of $443,682 in the first round of CDBG coronavirus (CDBG-CV) grants for
implementation during this fiscal year. Recently, the City received notification of CDBG-CV
Round 3 allocation of $528,646. (Round 2 CARES Act funding was issued to states from the
Department of Treasury rather than directly to entitlement cities and local jurisdictions through
HUD's CDBG Program.) Under a Professional Services Agreement (PSA), a professional
housing consultant that is up-to-date on federal regulations would assist the City in the
administration, programming, and implementation of the HOME and CDBG funding and
activities. The cost of services would be paid from the HOME and CDBG funds.
BACKGROUND
In the fiscal year 2018, the City brought on Michael Baker International (MBI) to administer and
implement the City's CDBG and HOME Programs on a three-year contract at $80,000 per year.
In September 2019, the City brought on Priscila Davila and Associates (PDA)to assist MBI with
the CDBG and HOME program activities at $30,000 for a one-year contract. The scope of work
of the two firms was different. MBI was responsible for HUD administration including tracking
the federal funding; completing federal reports (i.e., Annual Action Plan, Consolidated Plan,
Analysis of Impediments, Substantial Amendments, etc.); conducting drawdowns; and ensuring
labor compliance. PDA was brought on board to manage the daily activities associated with the
Handyman Grant, Owner-Occupied Rehabilitation Program, and First Time Home Buyer
Program. To streamline CDBG and HOME activities with HUD reporting requirements, staff
AGENDA ITEM 4C
City Council Meeting
March 23,2021
Page 2 of 4
determined it would be best to work with only one consulting firm and the Agreement with MBI
was terminated.
The City has an existing contract with PDA, however, it is set at $30,000 and is not sufficient to
cover the HUD reporting requirements previously managed by MBI. Additionally, there are
significantly higher costs associated with the administration and implementation of the CDBG-
CV funds and activities. Therefore, on February 4, 2021, the City released Request for Proposals
(RFP) No. 2021-01 soliciting bids from qualified and interested consultants to provide
professional services associated with the administration of the City's Federal Grant Programs
(CDBG, HOME, and CDBG-CV funds). The City received two responses to RFP No. 2021-01.
After careful consideration of each proposal, including but not limited to, responses to the RFP
requirements, firm's history, ability to provide services, staff qualifications, fee structure, and
interviews with both firms, staff believes that entering into a three-year Professional Services
Agreement with Priscila Davila and Associates would be the best course of action for the City at
this time due to the firm's experience with HUD CDBG and HOME program funds.
DISCUSSION
Request for Proposal "RFP")No. 2021-01
The said RFP was released on February 4, 2021, with posting on the City's website and
distribution to four prospective firms. Proposals were due to the City Clerk's Office on February
25, 2021, where two proposals were received and remained unopened until after the 10:00 a.m.
deadline. No proposal was received after the deadline. All received proposals are on file with the
City Clerk's office for public record and review.
Consultant Proposals
Staff thoroughly reviewed the two submitted proposals and found that both firms demonstrated
the minimum capacity to perform the requested services. The firms showed history and ability to
provide the requested CDBG and HOME administration, implementation, and reporting
functions as required by HUD. The following is a summary of the two firms:
Calyptus Consulting Group, Inc. —Calyptus was incorporated in June 1992 and is supported by
fourteen (14) employees across the United States. The firm provides a full range of grants
management services including program implementation, policy recommendations, subrecipient
monitoring, program reporting, procurement, public outreach, among other services. Clients
include Federal Transit Authority, Orange County Transportation Authority, Marin County
Housing Authority, to name a few. The firm office is located in Cambridge, Massachusetts. Mr.
George Harris, firm President, proposed to serve as the main contact and Project Manager
working remotely from Massachusetts. Mr. Harris has over 24-years of experience in
administering federal grants. Mr. Harris proposed to be supported by three staff. One who would
work remotely from Texas and two local staff who would be available to come into Rosemead
City Hall, as necessary.
City Council Meeting
March 23,2021
Page 3 of 4
Priscila Davila & Associates, Inc. — Priscila Davila & Associates was founded in 2006 and is
located locally in Orange, CA. The firm, in partnership with Ms. Deborah Sottek, JEDA Works
(DBA Housing Programs), provides HUD related services and is operated by the firm's
principal, Ms. Priscila Davila. Ms. Davila proposed to serve as the main contact and onsite
individual who will provide the direct services to the City of Rosemead. As such she proposed to
be responsible for meeting HUD reporting deadlines, submit required documents to HUD,
prepare drawdowns, labor compliance, and CDBG-CV programs, among others. Ms. Sottek
would focus on the daily CDBG and HOME programs and activities. Ms. Sottek has an active
California Real Estate Broker's license for 20 years and has coordinated over 2,000 escrow
transactions for first-time home buyer, owner-occupied and multi-family rehabilitation programs.
The same partnership is currently providing similar services for the City of Monterey Park,
Newport Beach, and Ontario. Ms. Davila provides services for numerous other cities in the
region, including La Habra, Pomona, Pasadena, among others.
Below is a summary matrix of each firm's hourly billing rates and rates for the key project
component. The consultant staff that would be assigned to the City of Rosemead is noted as
"primary"in bold and italic font.
Calyptus Consulting Priscila Davila&
Group Associates
Director/President/Sr.VP $150 $75 (for both Ms. Davila and
Ms. Sottek)
Grant Analyst $125
Estimated Total Project Cost $277,000
Per Year
The two firms demonstrated the minimum requirements to perform the services requested and
responded well to the interviews exhibiting the knowledge and experiences in HUD programs
and activities. Staff interviewed Mr. Harris, President of Calyptus and Ms. Davila and Ms. Sottek
with PDA. While Mr. Harris was knowledgeable in contract management, staff had a few
concerns. First, Mr. Harris said he would serve as the primary contact and Project Manager for
the City of Rosemead but work remotely from Massachusetts. While technology makes working
remotely quite easy, should the City need Mr. Harris to come into the office it may be
problematic. Second, Mr. Harris' firm does have significant experience in federal contract
management, the contracts are primarily in the transportation field. Finally, the proposed hourly
rates for Calyptus are significantly higher than Priscila Davila and Associates.
Staff interviewed both Ms. Davila and Ms. Sottek with PDA and were impressed with their
experience and knowledge of HUD programs and activities. PDA was able to demonstrate more
experience directly related to administering, implementing, and overseeing the daily operations
of successful CDBG and HOME programs. Staff is recommending to retain PDA to assist the
Housing Division in administering the HUD CDBG and HOME programs and activities.
As mentioned previously, the City had a one-year contract with PDA from September 2019 to
October 2020. Since that time, PDA has continued to provide the Housing Division temporary
City Council Meeting
March 23,2021
Page 4 of 4
and limited services to ensure that the City is in compliance with HUD deadlines, while we
prepared to release the RFP.
STAFF RECOMMENDATION
Staff recommends that the City Council Authorize the City Manager to execute a Professional
Services Agreement with Priscila Davila and Associates to administer, implement and manage
HUD CDBG, HOME and CDBG-CV programs and activities with an annual not-to-exceed
contract amount of$80,000 per year for a term of three (3)years with two (2) one-year options.
FISCAL IMPACT
The City of Rosemead, as an Entitlement City, receives annually HUD CDBG and HOME funds.
For Fiscal Year 2020-2021, the City received $754,104 in CDBG and $356,613 in HOME funds.
Of such funds, CDBG rules allow for 20%to be used for Program Administration Costs ("PAC")
and HOME rules allow for 10% to be used for similar PAC costs. CDBG and HOME rules also
allow approximately 16% to 20% of the CDBG and HOME program activity budget to
reimburse staff/consultant costs (referred to as Activity Delivery Costs or "ADC"). The
consultant service costs would be paid out of the said PAC and/or ADC allocations of the annual
CDBG and HOME grants.
STRATEGIC PLAN IMPACT
None.
PUBLIC NOTICE PROCESS
This item has been noticed through the regular agenda notification process.
Prepared by:
gelica 14it usto-Lupo, Director of Community evelopment
Attachment A: Request for Proposal (RFP)No. 2021-01
Attachment B: Proposal from Calyptus Consulting Group, Inc.
Attachment C: Proposal from Priscila Davila&Associates, Inc.
Attachment D: Professional Services Agreement with Priscila Davila& Associates, Inc.
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Attachment A
Request for Proposal No. 2021-01
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CITY OF ROSEMEAD
REQUEST FOR PROPOSAL NO. 2021-01
PROFESSIONAL SERVICES FOR ADMINISTRATION OF HOME/CDBG PROGRAMS TO THE
COMMUNITY DEVELOPMENT DEPARTMENT
SUBMITTALS:
Three (3) bound copies and one (1) electronic PDF file on flash drive of the proposal in
sealed envelope(s) must be received by the City of Rosemead's City Clerk's Office by
no later than February 25, 2021 at 10:00 a.m.
CONTACT PERSON:
Angelica Frausto-Lupo, Community Development Director
City of Rosemead
8838 E. Valley Boulevard Rosemead, California 91770
(626) 569-2169
afrausto-lupo@cityofrosemead.org
PROPOSALS RECEIVED AFTER THE TIME AND DATE STATED ABOVE SHALL NOT BE
CONSIDERED. FACSIMILE AND E-MAIL PROPOSAL WILL NOT BE ACCEPTED.
INQUIRIES: Direct questions for clarification on Request for Proposal documents to Angelica
Frausto-Lupo, Community Development Director at afrausto-lupo@cityofrosemead.org or
(626) 569-2169.
MODIFICATIONS: Any modification of this Request for Proposal will be provided to
consultants who request notification of any modifications.
ISSUANCE DATE: February 4, 2021
INTRODUCTION
Through this Request for Proposal ("RFP") and evaluation process, the City of Rosemead is
seeking qualified consultant(s) to provide professional services associated with the
administration and implementation of the City's Federal Grant Programs. Rosemead, as an
Entitlement City, is an annual recipient of Community Development Block Grant Program
(CDBG) and HOME Program funds from the U.S. Department of Housing and Urban
Development ("HUD").
For Fiscal Year 2020-2021, the City received approximately$754,104 in CDBG and $356,613 in
HOME funds to implement the following activities and programs: Home Improvement Grant,
Owner Occupied Loan Program, Production of Affordable Housing, and various public service
programs. Additionally, the City received $443,682 in CDVG-CV funds to prevent, prepare for,
and respond to the coronavirus (COVID-19).
BACKGROUND
The City of Rosemead is a suburb located in the San Gabriel Valley, 10 miles east of downtown
Los Angeles. It is bounded on the north by the cities of Temple City and San Gabriel, on the
west by Monterey Park,Alhambra, and the unincorporated Los Angeles County community of
South San Gabriel, on the south, plus by El Monte and South El Monte on the east.The City is
5.5 square miles (2,344-acres) in size.
Rosemead is a diverse city with a population of approximately 54,058 people. Of the residents
in Rosemead, 60.6% identify as Asian; 34.5% identify as Hispanic or Latino; 14.4% as white
non-Hispanic; 0.5% as American Indian and Alaskan Native; and 0.2% as Black or African
American. Approximately half of the city's housing units are occupied by renters (50.49%) and
half are occupied by owners (49.51%). The median household income in Rosemead is 23%
lower than in the County overall and 30% lower than the State. Rosemead's population size
has remained consistent in comparison to the broader region, increasing by only
approximately 1,110 people from 2000 to 2017.1
THE ORGANIZATION
Rosemead operates under the Council/Manager form of government. The City Council is
elected at large to four years, overlapping terms. The Mayor is elected by a majority vote of
the City Council and rotates each year. The City Manager is appointed by, and serves at the
pleasure of, the City Council.
The CD BG and HOME programs a re under direction of the Community
Development Director. The Community Development Department consists of Building &
Safety, Economic Development, Housing and Planning.The selected consultant is expected to
provide expert knowledge and administer and implement the City's Federal Grant Programs.
OBJECTIVE
It is the objective of this RFP to solicit proposals from qualified and interested consultants to
provide professional services associated with the administration and implementation of the City's
Federal Grant Programs(CDBG and HOME funds).
The length of the professional service agreement and the level of service shall be at the sole
and absolute discretion of the City.
SCOPE OF SERVICE
Project tasks include, but are not limited to:
1 US. Census Bureau, American Community Survey: 2000, 2013-2017 ACS 5-Year Estimates, 2019
1) Under general direction from the Director of Community Development, the selected
consultant will be responsible for assisting in the timely preparation and processing
through HUD of all the documents related to the CDBG and HOME Programs including
loan and grant applications, plans, monitoring, programmatic and fiscal reports.
2) The selected consultant shall be responsible for assisting in data gathering and
analysis; public outreach and hearings; evaluating the design and implementation
of all grant- supported programs and activities; preparing pertinent policy
recommendations, and implementing programmatic activities as needed.
STAFF CONTACT
Questions concerning this RFP may be directed to:
Angelica Frausto-Lupo, Director of Community Development
City of Rosemead
8838 E. Valley Blvd.
Rosemead, CA 91770
Phone Number: (626) 569-2169
Afrausto-lupo@cityofrosemead.org
LENGTH OF CONTRACT
The contract for CDBG and HOME administration services will be for a three-year period with
the option for up to two (2) one-year extensions at the sole and absolute discretion of the
City.
CITY'S RESPONSIBILITY
Upon awarding of the contract, the City shall provide the selected consultant with any
pertinent ordinances and resolutions or any other information mutually agreed upon that will
assist the consultant with the completion of the contract requirements.
PROPOSAL CONTENT/FORMAT
The consultant shall submit a comprehensive proposal, as follows:
1. Cover letter.
2. Name and address of consultant(please include address of local office if applicable).
3. The principle contact person that the consultant will assign to the Rosemead account.
4. A description of your understanding of the project.
5. An outline showing tasks and time frames to ensure completion and submittal of the
document prior to the Federal deadline (Action Plan, Consolidated Annual
Performance Evaluation Report,and Assessment of Fair Housing).
6. Experience and qualifications of the consultant and management team, including a
description of relevant similar projects. The City reserves the right to reject any of the
firm's consultants or management team. After the proposal deadline, substitution of
consultants and management team may only be made with the permission of the City.
7. A reference list of at least three (3) other public agencies, including contact
person's name and phone number, who the consultant currently provides HUD
services to.
8. A list of any pending or previous litigation over the past five years related to your
firm's work, and the outcome of any closed claims or cases.
9. Total project costs to the City,including a breakdown of costs by task and hourly rates.
The consultant acknowledges that submittal of a proposal constitutes acceptance of and a
willingness to comply with all of the terms, conditions and criteria contained within this RFP.
Proposals not in compliance with the terms and conditions contained herein may be cause for
rejection. The City reserves the right to interpret or change any provision of this RFP at any
time prior to the proposal submission due date. Such changes or interpretations will be in the
form of an addendum.
PROPOSAL EVALUATION AND CRITERIA
Proposals will be evaluated on the proposer's ability to provide services that meet the
requirements set forth in this RPF. The City reserves the right to make such investigations as
it deems necessary to determine the ability of the proposer to provide services meeting a
satisfactory level of performance in accordance with the City's requirements. The proposer
shall furnish such information and data for this purpose as the City may request, at no cost to
the City. Interviews and presentations by one, several, or all of the proposers submitting a
proposal may be requested if deemed necessary to fully understand and evaluate the
proposer's capabilities and qualifications.
The adequacy, depth, and clarity of the proposal will influence, to a considerable degree, its
evaluation.The final selection of the consultants will be based on the following criteria:
1. Understanding the scope of work.
2. Quality of proposal.
3. Ability of the consultant to provide the full range of requested services.
4. Demonstrated professional skills and credentials of staff to be assigned to this agreement.
5. Related experience of firm.
6. Consultant's ability to execute the contract in a timely manner.
7. References.
8. Cost as compared to related service requirements(lowest cost will not be the sole
determining factor).
The award of a contract will be based on a combination of the aforementioned criteria and
costs.
DISCRETION AND LIABILITY WAIVER
1. Proposers shall carefully read the information contained in this RFP and submit a
complete response to all requirements and questions as directed. Incomplete proposals
may be considered non-responsive and may be rejected in the City's discretion.
2. All information,documentation,and other materials submitted in response to this solicitation
are considered non-confidential and/or non-proprietary and are subject to public disclosure
after the solicitation is completed.
3. Proposers shall prepare and develop proposals at their sole cost and expense.
4. The City makes no representations of any kind that an award of a contract will be made as
a result of this RFP, or subsequent RFP. The City reserves the right to accept or reject any
or all proposals, waive any formalities or minor technical inconsistencies, and/or delete
any item/requirements from this RFP when deemed to be in City's best interest.
5. Failure to comply with all requirements contained in this RFP may result in the rejection of
a proposal.
6. A proposal may be modified or withdrawn in person at any time before the scheduled due
date, provided a receipt for the withdrawn proposal signed by the proposer's authorized
representative. The City reserves the right to request proof of authorization to withdraw
a proposal.
7. The City may evaluate the proposals based on the anticipated completion of all or
any portion of the project. The City reserves the right to divide the project into multiple
parts,to reject any and all proposals and re-solicit for new proposals, or to reject any and
all proposals and temporarily or permanently abandon the project.
8. The City may, in the evaluation of proposals, request clarification from proposers
regarding their proposals, obtain additional material or literature, and pursue other
avenues of research as necessary to ensure that a thorough evaluation is conducted.
9. By submitting a proposal in response to this RFP, the consultant accepts the evaluation
process, acknowledges and accepts that determination will require subjective judgments
by the City, and waives all right to protest or seek any legal remedies whatsoever regarding
any aspect of this RFP.
10. The City of Rosemead expects the highest level of ethical conduct from proposers, including
adherence to all applicable laws and local ordinances regarding ethical behavior.
11. If an agreement cannot be reached with the highest ranked proposer, City reserves the right
to terminate negotiations with that party and enter into negotiations with the next highest
ranked proposer.
12. Finalists in the selection process may be asked to attend an interview once the RFP process
is complete.
13. Acceptance of any proposal is contingent upon the proposer's certification and
agreement by submittal of its offer, to comply and act in accordance with all provisions
of the City's Municipal Code.
All proposals submitted shall be binding for 90 days from the date of submittal.
DRAFT AGREEMENT
Included with this RFP as "Attachment A" is a draft of the Professional Services Agreement that
will be utilized for this contract. Please pay particular attention to the insurance requirements
specified in the draft agreement. It should be noted that this Agreement is subject to change
and revision pursuant to review by the City Attorney.
The proposal process, contract negotiations and execution, and subsequent actions will be
conducted by the City in accordance with applicable law. Consultants should carefully review
this document, which constitutes the formal RFP,to ensure a clear understanding of the City's
needs and objectives and scope of work.
DIRECTIONS FOR SUBMITTAL OF PROPOSAL
Deadline: Proposals must be received by the City of Rosemead City Clerk's Office no later
than February 25, 2021 at 10 a.m.
SUBMITTALS:
Three (3) bound copies and one (1) electronic PDF file on flash drive of the proposal in
sealed envelope must be received by the City Clerk's Office.
CONTACT PERSON:
ATTN:Angelica Frausto-Lupo, Community Development Director
City of Rosemead
8838 E. Valley Boulevard Rosemead, California 91770
(626) 569-2169
afrausto-lupo@cityofrosemead.org
Y
4;ne
"ATTACHMENT A"
(DRAFT)
CITY OF ROSEMEAD PROFESSIONAL SERVICES AGREEMENT
BY AND BETWEEN CITY OF ROSEMEAD AND
CONSULTANT
I. PARTIES AND DATE.
This Agreement is made and entered into this day of_, 2021 by and between the City of
Rosemead, a municipal organization organized under the laws of the State of California with its principal
place of business at 8838 E. Valley Blvd., Rosemead, California 91770 ("City") and Consultant
("Consultant"). City and Consultant are sometimes individually referred to herein as "Party" and
collectively as "Parties."
II. RECITALS.
Consultant.
Consultant desires to perform and assume responsibility for the provision of certain professional
services required by the City on the terms and conditions set forth in this Agreement. Consultant
represents that it is experienced in providing professional services associated with the administration
and implementation of the City's Federal Grant Programs (CDBG and HOME funds).
Project.
City desires to utilize the services of Consultant as an independent contractor to provide
housing administration and implementation services to the City's Community Development
Department ("Project").
III. TERMS.
3. Scope of Services and Term.
General Scope of Services. Consultant promises and agrees to furnish to the City all labor,
materials, tools, equipment, services, and incidental and customary work necessary to fully and
adequately supply the professional consulting services necessary for the Project ("Services"). The
Services are more particularly described in Exhibit "A" attached hereto and incorporated herein by
reference.All Services shall be subject to, and performed in accordance with,this Agreement, the exhibits
attached hereto and incorporated herein by reference, and all applicable local, state and federal laws,
rules and regulations.
Term. The term of this Agreement shall be from DATE to DATE and may be extended for up
to two(2) additional year(s) at the sole discretion of the City, unless earlier terminated as provided herein.
Consultant shall complete the Services within the term of this Agreement, and shall meet any other
established schedules and deadlines.
3.1 Responsibilities of Consultant.
Control and Payment of Subordinates; Independent Contractor. The Services shall be performed
by Consultant or under its supervision. Consultant will determine the means, methods and details of
performing the Services subject to the requirements of this Agreement. City retains Consultant on an
independent contractor basis and not as an employee. Consultant retains the right to perform similar or
different services for others during the term of this Agreement.Any additional personnel performing the
Services under this Agreement on behalf of Consultant shall also not be employees of City and
shall at all times be under Consultant's exclusive direction and control. Consultant shall pay all wages,
salaries, and other amounts due such personnel in connection with their performance of Services under
this Agreement and as required by law. Consultant shall be responsible for all reports and obligations
respecting such additional personnel, including, but not limited to: social security taxes, income tax
withholding, unemployment insurance, disability insurance, and workers' compensation insurance.
Schedule of Services. Consultant shall perform the Services expeditiously,within the term of this
Agreement, and in accordance with the Schedule of Services set forth in Exhibit"B" attached hereto and
incorporated herein by reference. Consultant represents that it has the professional and technical
personnel required to perform the Services in conformance with such conditions. In order to facilitate
Consultant's conformance with the Schedule, City shall respond to Consultant's submittals in a timely
manner. Upon request of City, Consultant shall provide a more detailed schedule of anticipated
performance to meet the Schedule of Services.
Conformance to Applicable Requirements. All work prepared by Consultant shall be subject to
the approval of City.
Substitution of Key Personnel. Consultant has represented to City that certain key personnel
will perform and coordinate the Services under this Agreement. Should one or more of such personnel
become unavailable, Consultant may substitute other personnel of at least equal competence upon
written approval of City. In the event that City and Consultant cannot agree as to the substitution of key
personnel, City shall be entitled to terminate this Agreement for cause. As discussed below, any
personnel who fail or refuse to perform the Services in a manner acceptable to the City, or who are
determined by the City to be uncooperative, incompetent, a threat to the adequate or timely completion
of the Project or a threat to the safety of persons or property, shall be promptly removed from the Project
by the Consultant at the request of the City.
City's Representative. The City hereby designates the City Manager, or his or her designee, to
act as its representative for the performance of this Agreement ("City's Representative"). City's
Representative shall have the power to act on behalf of the City for all purposes under this Contract.
Consultant shall not accept direction or orders from any person other than the City's Representative or his
or her designee.
Consultant's Representative. Consultant hereby designates Consultant Staff to act as its
representative for the performance of this Agreement ("Consultant's Representative"). Consultant's
Representative shall have full authority to represent and act on behalf of the Consultant for all purposes
under this Agreement. The Consultant's Representative shall supervise and direct the Services, using
his/her best skill and attention, and shall be responsible for all means, methods, techniques, sequences
and procedures and for the satisfactory coordination of all portions of the Services under this Agreement.
Coordination of Services. Consultant agrees to work closely with City staff in the performance of
Services and shall be available to City's staff, consultants and other staff at all reasonable times.
Standard of Care; Performance of Employees. Consultant shall perform all Services under this
Agreement in a skillful and competent manner, consistent with the standards generally recognized as
being employed by professionals in the same discipline in the State of California. Consultant represents
and maintains that it is skilled in the professional calling necessary to perform the Services. Consultant
warrants that all employees and subcontractors shall have sufficient skill and experience to perform the
Services assigned to them. Finally, Consultant represents that it, its employees and subcontractors have
all licenses, permits, qualifications and approvals of whatever nature that are legally required to perform
the Services, including a City Business License and certification(s) and that such licenses, certifications
and approvals shall be maintained throughout the term of this Agreement. As provided for in the
indemnification provisions of this Agreement, Consultant shall perform, at its own cost and expense and
without reimbursement from the City, any services necessary to correct errors or omissions which are
caused by the Consultant's failure to comply with the standard of care provided for herein.Any employee
of the Consultant or its sub-consultants who is determined by the City to be uncooperative, incompetent,
a threat to the adequate or timely completion of the Project, a threat to the safety of persons or property,
or any employee who fails or refuses to perform the Services in a manner acceptable to the City, shall be
promptly removed from the Project by the Consultant and shall not be re-employed to perform any of the
Services or to work on the Project.
Laws and Regulations. Consultant shall keep itself fully informed of and in compliance with
all local, state and federal laws, rules and regulations in any manner affecting the performance of
the Project or the Services, including all Cal/OSHA requirements, and shall give all notices required
by law. Consultant shall be liable for all violations of such laws and regulations in connection with
Services. If the Consultant performs any work knowing it to be contrary to such laws, rules and
regulations and without giving written notice to the City, Consultant shall be solely responsible for all
costs arising therefrom. Consultant shall defend, indemnify and hold City, its officials, directors,officers,
employees and agents free and harmless, pursuant to the indemnification provisions of this
Agreement,from any claim or liability arising out of any failure or alleged failure to comply with such laws,
rules or regulations.
3.2 Insurance.
3.2.10.1 Time for Compliance. Consultant shall maintain prior to the beginning of and for the
direction of this Agreement insurance coverage as specified in "Exhibit D" attached to and part of this
agreement.
3.2.11 Safety. Contractor shall execute and maintain its work so as to avoid injury or damage to
any person or property. In carrying out its Services, the Contractor shall at all times be in compliance
with all applicable local, state and federal laws, rules and regulations, and shall exercise all necessary
precautions for the safety of employees appropriate to the nature of the work and the conditions under
which the work is to be performed. Safety precautions as applicable shall include, but shall not be
limited to: (A) adequate life protection and life-saving equipment and procedures; (B) instructions in
accident prevention for all employees and subcontractors, such as safe walkways, scaffolds, fall
protection ladders, bridges, gang planks, confined space procedures, trenching and shoring, equipment
and other safety devices, equipment and wearing apparel as are necessary or lawfully required to
prevent accidents or injuries; and (C)adequate facilities for the proper inspection and maintenance of all
safety measures.
3.3 Fees and Payments.
3.3.1 Compensation. Total payment to Consultant shall not exceed Consultant's Proposal which
is hereby incorporated and found in Exhibit"B." Extra Work may be authorized, as described below, and
if authorized, will be compensated at the rates and manner set forth in this Agreement.
3.3.2 Payment of Compensation. City agrees to compensate Consultant for services under this
Agreement in compliance with the schedule set forth in this Agreement. Payment will be made only after
submission of proper monthly invoices in the form and manner specified by City. City shall endeavor to
pay invoices bearing correct and authorized charges within 30-days of the date they are received;
however, Consultant acknowledges and agrees that due to City warrant run procedures, the City cannot
guarantee that payment will occur within this time period. City shall not be responsible to Consultant for
any additional charges, interest or penalties due to a failure to pay within such period.
3.3.3 Reimbursement for Expenses. Consultant shall not be reimbursed for any expenses unless
authorized in writing by City.
3.3.4 Extra Work. At any time during the term of this Agreement, City may request that
Consultant perform Extra Work. As used herein, "Extra Work" means any work which is determined by
City to be necessary for the proper completion of the Project, but which the parties did not reasonably
anticipate would be necessary at the execution of this Agreement. Consultant shall not perform, nor be
compensated for, Extra Work without written authorization from City's Representative.
3.3.5 Prevailing Wages. Consultant is aware of the requirements of California Labor Code
Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 1600,
et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the
performance of other requirements on "public works" and "maintenance" projects. If the Services are
being performed as part of an applicable "public works" or "maintenance" project, as defined by the
Prevailing Wage Laws, and if the total compensation is$1,000 or more, Consultant agrees to fully comply
with such Prevailing Wage Laws. City shall provide Consultant with a copy of the prevailing rates of per
diem wages in effect at the commencement of this Agreement. Consultant shall make copies of the
prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the
Services available to interested parties upon request, and shall post copies at the Consultant's principal
place of business and at the project site. Consultant shall defend, indemnify and hold the City, its elected
officials, officers, employees and agents free and harmless from any claim or liability arising out of any
failure or alleged failure to comply with the Prevailing Wage Laws.
3.4 Accounting Records.
3.4.1 Maintenance and Inspection. Consultant shall maintain complete and accurate records
with respect to all costs and expenses incurred under this Agreement. All such records shall be clearly
identifiable. Consultant shall allow a representative of City during normal business hours to examine,
audit, and make transcripts or copies of such records and any other documents created pursuant to this
Agreement. Consultant shall allow inspection of all work, data, documents, proceedings, and activities
related to the Agreement for a period of three (3) years from the date of final payment under this
Agreement.
3.5 General Provisions.
3.5.1 Termination of Agreement.
3.5.1.1 Grounds for Termination. City may, by written notice to Consultant, terminate the
whole or any part of this Agreement at any time and without cause by giving written notice to Consultant
of such termination, and specifying the effective date thereof, at thirty (30) days before the effective
date of such termination. Consultant may not terminate this Agreement except for cause.
3.5.1.2 Effect of Termination. If this Agreement is terminated as provided herein, City may
require Consultant to provide all finished or unfinished Documents and Data and other information of
any kind prepared by Consultant in connection with the performance of Services under this Agreement.
Consultant shall be required to provide such document and other information within seven
(7) calendar days of the request.
3.5.1.3 Additional Services. In the event this Agreement is terminated in whole or in part as
provided herein, City may procure, upon such terms and in such manner as it may determine appropriate,
services similar to those terminated.
3.5.2 Delivery of Notices. All notices permitted or required under this Agreement shall be given
to the respective parties at the following address, or at such other address as the respective parties may
provide in writing for this purpose:
CONSULTANT:
Consultant Info
CITY:
City of Rosemead
P.O. Box 399 Rosemead, CA 91770
Attn: City Clerk's Office
Such notice shall be deemed made when personally delivered or when mailed, forty-eight (48)
hours after deposit in the U.S. Mail,first class postage prepaid and addressed to the party at its applicable
address. Actual notice shall be deemed adequate notice on the date actual notice occurred, regardless
of the method of service.
3.5.3 Ownership of Materials and Confidentiality.
3.5.3.1 Documents & Data; Licensing of Intellectual Property. This Agreement creates a non-
exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights,
designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates,
and other documents or works of authorship fixed in any tangible medium of expression, including
but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes,
which are prepared or caused to be prepared by Consultant under this Agreement ("Documents &
Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive
and perpetual license for any Documents & Data the subcontractor prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal right to license any and all Documents
& Data. Consultant makes no such representation and warranty in regard to Documents &Data which
were prepared by design professionals other than Consultant or provided to Consultant by the City. City
shall not be limited in any way in its use of the Documents and Data at any time, provided that any such
use not within the purposes intended by this Agreement shall be at City's sole risk.
All reports, documents or other written material developed by Consultant in the performance of this
Agreement shall be and remain the property of City without restriction or limitation upon its use or
dissemination by City. Such material shall not be the subject of a copyright application by Consultant.
3.5.3.2 Confidentiality. All ideas, memoranda, specifications, plans, procedures, drawings,
descriptions, computer program data, input record data, written information, and other Documents
and Data either created by or provided to Consultant in connection with the performance of this
Agreement shall be held confidential by Consultant. Such materials shall not, without the prior written
consent of City, be used by Consultant for any purposes other than the performance of the Services.
Nor shall such materials be disclosed to any person or entity not connected with the performance
of the Services or the Project. Nothing furnished to Consultant which is otherwise known to Consultant
or is generally known, or has become known, to the related industry shall be deemed confidential.
Consultant shall not use City's name or insignia, photographs of the Project, or any publicity
pertaining to the Services or the Project in any magazine, trade paper, newspaper, television or radio
production or other similar medium without the prior written consent of City.
3.5.4 Cooperation; Further Acts. The Parties shall fully cooperate with one another, and shall
take any additional acts or sign any additional documents as may be necessary, appropriate or
convenient to attain the purposes of this Agreement.
3.5.5 Attorney's Fees. If either party commences an action against the other party, either legal,
administrative or otherwise, arising out of or in connection with this Agreement, the prevailing party in
such litigation shall be entitled to have and recover from the losing party reasonable attorney's fees and
all other costs of such action.
3.5.6 Indemnification. Consultant shall defend, indemnify and hold the City, its officials, officers,
employees,volunteers and agents free and harmless from any and all claims,demands,causes of action,
costs, expenses, liability, loss, damage or injury, in law or equity, to property or persons, including
wrongful death, in any manner arising out of or incident to any alleged acts, omissions or willful
misconduct of Consultant, its officials, officers, employees, agents, consultants and contractors arising
out of or in connection with the performance of the Services, the Project or this Agreement, including
without limitation the payment of all consequential damages and attorney's fees and other related costs
and expenses. Consultant shall defend, at Consultant's own cost, expense and risk, any and all such
aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against
City, its directors, officials, officers, employees, agents or volunteers. Consultant shall pay and satisfy
any judgment, award or decree that may be rendered against City or its directors, officials, officers,
employees, agents or volunteers, in any such suit, action or other legal proceeding. Consultant shall
reimburse City and its directors, officials, officers, employees, agents and/or volunteers, for any and all
legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity
herein provided. Consultant's obligation to indemnify shall not be restricted to insurance proceeds, if any,
received by the City, its directors, officials, officers, employees, agents or volunteers
3.5.7 Entire Agreement. This Agreement contains the entire Agreement of the parties with
respect to the subject matter hereof, and supersedes all prior negotiations, understandings or
agreements. This Agreement may only be modified by a writing signed by both parties.
3.5.8 Governing Law. This Agreement shall be governed by the laws of the State of California.
Venue shall be in Los Angeles County.
3.5.9 Time of Essence. Time is of the essence for each and every provision of this
Agreement.
3.5.10 City's Right to Employ Other Consultants. City reserves right to employ other
consultants in connection with this Project.
3.5.11 Successors and Assigns. This Agreement shall be binding on the successors and
assigns of the parties.
3.5.12 Assignment or Transfer. Consultant shall not assign, hypothecate, or transfer, either
directly or by operation of law, this Agreement or any interest herein without the prior written
consent of the City. Any attempt to do so shall be null and void, and any assignees, hypothecates
or transferees shall acquire no right or interest by reason of such attempted assignment, hypothecation
or transfer.
3.5.13 Construction; References; Captions. Since the Parties or their agents have
participated fully in the preparation of this Agreement,the language of this Agreement shall be construed
simply, according to its fair meaning, and not strictly for or against any Party. Any term referencing time,
days or period for performance shall be deemed calendar days and not work days. All references
to Consultant include all personnel, employees, agents, and subcontractors of Consultant, except as
otherwise specified in this Agreement. All references to City include its elected officials, officers,
employees, agents, and volunteers except as otherwise specified in this Agreement. The captions of
the various articles and paragraphs are for convenience and ease of reference only, and do not define,
limit, augment, or describe the scope, content, or intent of this Agreement.
3.5.14 Amendment; Modification. No supplement,modification,or amendment of this Agreement
shall be binding unless executed in writing and signed by both Parties.
3.5.15 Waiver. No waiver of any default shall constitute a waiver of any other default or breach,
whether of the same or other covenant or condition. No waiver, benefit, privilege, or service voluntarily
given or performed by a Party shall give the other Party any contractual rights by custom, estoppel, or
otherwise.
3.5.16 No Third Party Beneficiaries. There are no intended third party beneficiaries of any
right or obligation assumed by the Parties.
3.5.17 Invalidity; Severability. If any portion of this Agreement is declared invalid, illegal, or
otherwise unenforceable by a court of competent jurisdiction, the remaining provisions shall continue in
full force and effect.
3.5.18 Prohibited Interests. Consultant maintains and warrants that it has not employed nor
retained any company or person,other than a bona fide employee working solely for Consultant,to solicit
or secure this Agreement. Further, Consultant warrants that it has not paid nor has it agreed to pay any
company or person, other than a bona fide employee working solely for Consultant, any fee,commission,
percentage, brokerage fee, gift or other consideration contingent upon or resulting from the award or
making of this Agreement. Consultant further agrees to file, or shall cause its employees or
subconsultants to file, a Statement of Economic Interest with the City's Filing Officer as required under
state law in the performance of the Services. For breach or violation of this warranty, City shall have the
right to rescind this Agreement without liability. For the term of this Agreement, no member, officer or
employee of City, during the term of his or her service with City, shall have any direct interest in this
Agreement, or obtain any present or anticipated material benefit arising therefrom.
3.5.19 Equal Opportunity Employment. Consultant represents that it is an equal opportunity
employer and it shall not discriminate against any subcontractor, employee or applicant for employment
because of race, religion, color, national origin, handicap, ancestry, sex or age. Such non-discrimination
shall include, but not be limited to, all activities related to initial employment, upgrading, demotion,
transfer, recruitment or recruitment advertising, layoff or termination. Consultant shall also comply with
all relevant provisions of City's Minority Business Enterprise program, Affirmative Action Plan or other
related programs or guidelines currently in effect or hereinafter enacted.
3.5.20 Labor Certification. By its signature hereunder, Consultant certifies that it is aware
of the provisions of Section 3700 of the California Labor Code which require every employer to be
insured against liability for Worker's Compensation or to undertake self-insurance in accordance with
the provisions of that Code, and agrees to comply with such provisions before commencing the
performance of the Services.
3.5.21 Authority to Enter Agreement. Consultant has all requisite power and authority to conduct
its business and to execute, deliver, and perform the Agreement. Each Party warrants that the individuals
who have signed this Agreement have the legal power, right, and authority to make this Agreement and
bind each respective Party.
3.5.22 Counterparts. This Agreement may be signed in counterparts, each of which shall
constitute an original.
3.6 Subcontracting.
3.6.1 Prior Approval Required. Consultant shall not subcontract any portion of the work
required by this Agreement, except as expressly stated herein, without prior written approval of City.
Subcontracts, if any, shall contain a provision making them subject to all provisions stipulated in this
Agreement.
'signatures on next page]
CITY OF ROSEMEAD CONSULTANT
By: By:
Gloria Molleda, City Manager Name Title
Attest:
Ericka Hernandez, City Clerk
Approved as to Form:
Rachel Richman, City Attorney
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Attachment B
Proposal from Calyptus Consulting Group, Inc.
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Proposal for
Professional Services for Administration of
Home/CDBG Programs
to the Community Development Departments
In response to
Request for Proposal No. 2021-01
Submitted
February 25, 2021
10:00 a.m.
Submitted by:
Ca lyptus Consulting Group, Inc.
/11411°
16 Leonard Avenue
Cambridge, MA 02139
Ii . ILI.4 " II1T'TJS P: 617-577-0042
E:gharris@calyptusgroup.com
Consulting Group, Inc. www.calyptusgroup.com
Contact Name:Dr.George L. Harris
Table of Contents
1. Re: Proposal Cover Letter
2. Name and address of consultant 1
3. Principle contact person 1
4. Understanding of the project 1
5. Project Plan:Tasks and timeframes 2
1.a. Prepare and process loan and grant applications 3
1.b. Prepare and process CDBG and HOME Program Plans 7
1.c.Conduct monitoring 8
1.d. Prepare and process programmatic and fiscal reports 11
2.a. Assist in data gathering and analysis 13
2.b. Conduct public hearings 13
2.c. Evaluating the design and implementation of grant-supported programs/activities 14
2.d. Prepare pertinent policy recommendations 14
2.e. Implementing programmatic activities as needed 15
Project schedule 17
6. Experience and qualifications 18
a. Key personnel 18
b. Resumes 21
c. Experience of the firm 29
Federal Transit Administration(FTA) -1996 to Present 30
Orange County Transportation Authority(OCTA) 2013-Present 31
Sound Transit—2017-Present 31
d. Experience providing CDBG Program consulting services 31
7. References 32
Federal Transit Administration(FTA) 32
Orange County Transportation Authority(OCTA) 33
Sound Transit 33
North County Transit District 34
Court Services and Offender Supervision Agency 34
Wilmington Housing Authority 34
8. Pending litigation 35
9. Total project costs 35
ATTACHMENT A:Sample Subrecipient Monitoring Program 36
a. Subrecipient Monitoring Procedures Guide, Table of Contents 37
e. Subrecipient Monitoring Needs Assessment Questionnaire 38
f. Subrecipient Compliance Review Guide 44
a. Financial Management and Financial Capacity 45
Legal 49
Technical Capacity 50
Maintenance 55
Americans with Disabilities Act 59
Title VI 64
Procurement 68
Disadvantaged Business Enterprise 76
Satisfactory Continuing Control 79
Planning/Program of Projects 83
Public Comment 85
Half Fare 86
Charter Bus 88
School Bus 89
Drug-Free Workplace/Drug and Alcohol Program 90
Transit Asset Management 97
Equal Employment Opportunity 98
g. Subrecipient Monitoring Virtual Review Procurement Checklist 102
ATTACHMENT B:Example Subrecipient Monitoring Checklist 107
ATTACHMENT C: Complete List of DOT Complia nce Reviews Conducted 2013-2019 112
ATTACHMENT D:Sample Project(Construction) Management Procedures 116
1. Sunline Transit Agency Project Management Procedures 117
h. OCTA,Construction Management Manual Table of Contents 121
"1/141111V
Calyptus Consulting Group Inc.
16 Leonard Avenue
CALY PT U
Cambridge, MA 02139
P: 617-577-0042
Consulting Group, Inc. E: info@calyptusgroup.com
www.calyptusgroup.com
February 25, 2021
Attn:Angelica Frausto-Lupo, Community Development Director
City of Rosemead
8838 E.Valley Boulevard
Rosemead,CA 91770
(626)569-2169
1. Re: Proposal Cover Letter for Professional Services for Administration of Home/CDBG
Programs to the Community Development Department
Dear Ms. Frausto-Lupo:
Calyptus is pleased to submit the complete proposal to provide grant administration services for
Community Development Block Grant(CDBG)Program Administration. We are working with the
Federal Transit Administration(FTA) and various housing authorities to distribute CARES funding and to
develop appropriate grants management procedures and have conducted many recipient assessments
and audits across the country.The collective grants management and compliance expertise of our staff
spans over 50 years.As a small business,we pride ourselves in our specialization in public fund
management and the personalized service we provide to clients.
This comprehensive proposal follows the content/format defined in the request for proposals (RFP):
1. Cover letter
2. Name and address of consultant
a. Including location of company address and key personnel assigned to this effort
3. Principle contact person that the consultant will assigntothe Rosemead account
4. A description of our understanding of the project as defined in the RFP and following an initial
review of publicly available Rosemead CDBG materials
5. An outline of the tasks and timeframes to ensure completion and submission of all documents
prior to Federal deadlines
a. Approach to each task listed in the RFP
b. Project schedule,to be refined upon project kickoff
6. Experience and qualifications of the consultant and management team,including a description
of relevant similar projects
a. Key personnel
b. Resumes
c. Experience of the firm
7. A list of five (5) references with contact information of other public agencies
8. There is no pending or previous litigation over the past five(5) years related to your firm's work.
9. Total project costs of the project broken down by task and hourly rates
CALYPTUS
Consulting Group,Inc.
This proposal is in accordance with this RFP and I have read and understand all sections and provisions
therein.We have no exceptions to the terms and conditions listed in the RFP.This proposal is valid for
90 days from proposal submission.
As Calyptus' President, I am the authorized individual to sign the proposal and to negotiate and
contractually bind Calyptus. I can be contacted during the proposal evaluation period using the contact
information provided in this letterhead. Please do not hesitate to let me know if there is any additional
documentation or clarification that you need to assist your evaluation.
Sincerely,
rI
Dr.George Harris
President
2
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
2. Name and address of consultant
The Calyptus Consulting Group, Inc.was incorporated in June 1992 and registered in the Commonwealth
of Massachusetts as a Subchapter S corporation in 1995. Our business address is 16 Leonard Avenue,
Cambridge MA 02139. Dr. Harris is the project manager for all current and previous projects listed in this
proposal. He will be the project manager for this project. Calyptus and Dr. Harris have over 24 years of
grants management experience and 12 years'experience working with Housing Authorities and HUD using
CDBG and other sources of funds.Three(3) analysts will support this effort. Mr.Jameson Beekman works
from New Mexico;Ms. Ellen Harveyand Mr.Alfonso Hernandez are located in the Los Angeles area. Ellen
and Alfonso can be available on-site as needed and depending on local COVID-19 restrictions.
3. Principle contact person
Dr. Harris,the company President, is the authorized individual to sign the proposal and to negotiate and
contractually bind Calyptus. He will be the individual assigned to the Rosemead account and can be
contacted by phone at(617) 577-0042 or email at gharris@calyptusgroup.com.
4. Understanding of the project
The City of Rosemead (City) is an annual recipient of Community Development Block Grant Program
(CDBG)and HOME Program funds from the U.S. Department of Housing and Urban Development (HUD).
The City received the following funds:
• $754,104 in CDBG FY2020-2021
• $356,613 in HOME funds
• $443,682 in CDBG-CV funds to prevent, prepare for, and respond to COVID-19
City project activities include home improvement,owner occupied loan program,production of affordable
housing,and public service programs.
CDBG Entitlement Funds:local agencies are able to receive funding to support a wide range of community-
based activities to reduce poverty. These include activities to help families and individuals achieve self-
sufficiency, find and retain meaningful employment, attain an adequate education, make better use of
available income,obtain adequate housing,and achieve greater participation in community affairs.
HOME funding: Participating jurisdictions(PJ)may choose among a broad range of eligible activities,using
HOME funds to provide home purchase or rehabilitation financing assistance to eligible homeowners and
new homebuyers; build or rehabilitate housing for rent or ownership; or for "other reasonable and
necessary expenses related to the development of non-luxury housing," including site acquisition or
improvement, demolition of dilapidated housing to make way for HOME-assisted development, and
payment of relocation expenses. PJs may use HOME funds to provide tenant-based rental assistance
contracts of up to 2 years if such activity is consistent with their Consolidated Plan and justified under
local market conditions.This assistance may be renewed. Up to 10 percent of the PJ's annual allocation
may be used for program planning and administration.
CARES Act funding: At least 70 percent of every grant must be expended for activities that benefit low-
and moderate-income persons by providing housing, a permanent job, a public service,or access to new
Page I 1
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
or significantly improved infrastructure.The'remaining 30 percent may be used to eliminate slum or
blighted conditions, or to address an urgent need for which the grantee certifies it has no other funding.
Activities must benefit residents within the jurisdiction of the grantee or as permitted by the CARES Act.
CDBG Eligible activities include:
• Public service activities
• Housing-related activities
• Public improvements and facilities
• Activities to acquire real property
• Economic development activities
• General administrative and planning activities
We will work directly with the Community Development Director who oversees the CDBG and HOME
Programs in providing professional services associated with the administration and implementation of
these programs.There has been new guidance issued on the CARES Act funding and we will work with the
appropriate individual at the City for this portion of the project. We will also work with the relevant
departments,including Building &Safety, Economic Development,and Housing and Planning.
Calyptus conducted an initial review of the publicly available program materials on the Rosemead website.
The 2020-25 City of Rosemead Consolidated Plan was adopted April 28, 2020, this plan accounts for
addition CDBG-CV funding. More recently,the City published a revised Citizen Participation Plan, dated
February 2021.The Plan notes that comments received would be attached to the document, but these
are missing.At the kickoff meeting,Calyptus will discuss whetherthe City received any comments on the
revised document and how they were solicited.
In addition, we will review the inclusion of these three projects to the Action Plan and CAPER. We will
discuss any comments to the Amended FY2019-2020 and FY2020-2021 Annual Action Plans that were
received during the comment period beginning February 16, 2021.As needed, we will support the virtual
Public Hearing scheduled for March 9, 2021. During our initial review of the annual plan dated February
16,2021, we identified the following areas for improvement:
a. Outreach to all parties was insufficient
b. Outreach mediums should have included other than website
c. Timefra me for review(less than 1 week) is too short
d. Direction on what comments are requested not thoroughly covered.
5. Project Plan:Tasks and timeframes
The approach to each of the tasks listed in the RFP is defined in the section below followed by a project
schedule indicating that coverage for meeting all project and Federal deadlines:
1. Responsible for assisting in the timely preparation and processing through HUD of all the
documents related to CDBG and HOME Programs,including loan and grant applications,plans,
monitoring, programmatic,and fiscal reports
Page 1 2
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
2. Assisting in data gathering and analysis;public hearings;evaluating the design and
implementation of alI grant-supported programs and activities;preparing pertinent policy
recommendations;implementing programmatic activities as needed
In addition to supporting administration and implementation of ongoing and upcoming projects, we will
review compliance of grant administration practices for the last few years. We will conduct an initial
review of the Summer Youth Employment Program, Senior Nutrition Program, Commercial Façade
Program and Short Term Housing Assistance Payment Program administration resources and practices for
compliance with the CDBG and HOME requirements respectively.We will review the practices related to
the Senior Nutrition Program, Emergency Utility Payment Program, Purchase of Protection Equipment,
and Business Assistance Program separately for compliance with the CDBG-CV1 requirements. We will
make any necessary changes to current practice, City resources, and monitoring tools prior to initiating
the project tasks.
1.a. Prepare and process loan and grant applications
Calyptus will review applications for eligibility and provide recommendations to the City. We will follow
the guidelines in Title 24 Subtitle B Chapter Subchapter C Part 570. Calyptus will ensure that all available
funding will be addressed. HUD advises grantees to be strategic in selecting program designs that best
align funding sources with local needs.This strategy will review 3 key aspects of the application pool:
1. At least 70%of the funds be used to benefit LMI persons
2. Outcome of the duplication of benefits analysis
3. Eligibility with the City's published criteria and alignment with City goals and priorities
Recommendations for funding will be based on published guidelines and will be completed to ensure
grantor agreement and funding. This follows entitlement guidelines and gives maximum feasible priority
to activities that benefit low-and moderate-income persons.The Town may also carry out activities that
aid in the prevention or elimination of slums or blight and fund activities when the grantee certifies that
the activities meet other community development needs having a particular urgency because existing
conditions pose a serious and immediate threat to the health or welfare of the community where other
financial resources are not available to meet such needs.
Supporting Low-and Moderate-Income(LMI)Populations
In selecting the applicants, the Town must consider the overall status of service to LMI populations. As
per HUD:This CDBG requirement refers to a certification period of over one,two, or three years, a CDBG
grantee shall expend not less than 70 percent of its CDBG funds in the aggregate for activities that benefit
low- and moderate-income persons. This does not include planning and administrative costs, but does
include program income. The grantee elects the period over which it will meet this requirement. This has
also been referred to as the 70 percent(70%) test, LMI benefit test, or overall benefit requirement. It is
found at Section 101(c) of the Housing and Community Development Act of 1974 (HCDA) and 24 CFR
570.200(a)(3).
The recommendations to the Director will indicate for each project as well as for the overall selection the
percentage of funds to be used to benefit LMI persons. A project may meet the 70% threshold by
indicating the service area identified by the Town in the Action Plan. If a project is serving a population
outside the identified LMI service area,it can meet the 70%objective in one (1)of two(2)ways:
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
1. Document how the nature and location of the activitywill result in at least 51%of the
beneficiaries being LMI
2. Collect a simple verifiable income certification from at least 51%of the beneficiaries attesting
they are LMI(this was eased due to COVID and Calyptus will track documentation requirements)
HUD has eased the documentation requirements for measuring LMI participation.Ca lyptus will continue
to monitor the documentation requirements related to verifying whether beneficiaries are LMI and
ensure that subrecipients are able to accommodate changes if and as these occur.
Prevent Duplicative Funds with the CDBG-CV Funding
The Town must follow its procedures to prevent the duplication of benefits when selecting applicants for
financial assistance.Calyptus will review these procedures priortothe application deadline to ensure that
any revisions are made in advance.These procedures must verify that funds are not used to payfor eligible
costs that have already been paid for or will be paid for by another Federal program,insurance,or other
sources. All subrecipient contracts must stipulate that they will repay the Town if they subsequently
receive a duplicative benefit.The procedure to prevent duplication of benefits will include the following
steps:
A. Identify Applicant's Total Need
a. Applicants indicate total need in the CDBG-CV Applicant Duplication of Benefits
Statement,Certification,and Subrogation Agreement form.
b. The grantee must verify that the applicant's request is associated with an action to
prevent, prepare for,or respond to coronavirus. The grantee must maintain applicable
supporting documentation.
c. All costs included in total need must be reasonable and necessary. The applicant must
provide applicable supporting documentation.
d. The assessment oftotal need must consider in-kind donations of materials or services
that are known to the grantee at the time it calculates total need and makes the award.
In-kind donations are non-cash contributions, such as donations of professional services,
use of construction equipment,or contributions of building materials. In kind donations
are not "financial assistance"that creates a DOB under the Stafford Act, but they do
reduce the amount ofCDBG—CV assistanceforunmet need becausethe donated goods
or services reduce activity costs.
e. Grantees may not use CDBG-CV funds to reimburse costs paid by subsidized loans and
the calculation of total need may not include such costs.
B. Identify Total Assistance Received or Anticipated
a. Applicants indicate total assistance received or anticipated in the CDBG-CV Applicant
Duplication of Benefits Statement,Certification,and Subrogation Agreement form.
b. Applicants must provide applicable supporting documentation for any sources of
funding cited in the total assistance received or anticipated calculation.
c. The grantee must review and evaluate applicant-provided data regarding total
assistance received or anticipated.The grantee must request clarification and/or
additional supporting documentation to address any inconsistencies or omissions.
d. Types of Resources Included in Total Assistance
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City of Rosemead
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Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
i. Total assistance includes resources such as cash awards,insurance proceeds,
grants,and loans received or anticipated by each CDBG—CV applicant,including
awards under local,state or federal programs,and from private or nonprofit
charity organizations. "Anticipated"assistance means assistance likelyto be
received by acting reasonably to evaluate need and the resources available to
meet that need.
ii. Subsidized Loans
a. Subsidized loans (including forgivable loans) are loans other than private
loans.Subsidized loans may also be available from other sources.
Subsidized loans are assistance that must be included in the DOB
analysis,unless an exception regarding declined or cancelled subsidized
loans applies.
b. Declined or cancelled subsidized loans are not a duplication and are not
included in the DOB analysis.
iii. Total assistance does not include personal assets such as money in a checking or
savings account(excluding insurance proceeds or disaster assistance deposited
into the applicant's account);retirement accounts;credit cards and lines of
credit;in-kind donations (although these non-cash contributions known to the
grantee reduce total need); and private loans.
C. Exclude Non-Duplicative Assistance
a. Applicants indicate non-duplicative assistance in the CDBG-CV Applicant Duplication of
Benefits Statement,Certification,and Subrogation Agreement form.
b. The grantee must review and evaluate applicant-provided data regarding non-
duplicative assistance. The grantee must request clarification and/or additional
supporting documentation to address any inconsistencies or omissions.
c. Exclude assistance that is:
i. Provided for a different purpose.
ii. Provided for the same purpose (eligible activity), but for a different,allowable
use (cost).
D. Identify DOB Amount and Calculate the Total CDBG—CV Award
a. After evaluating and verifying applicant-provided data,the grantee must use the
Duplication of Benefits Calculation Worksheet to identify the DOB amount and calculate
the total CDBG—CV award.
b. Steps
i. Identify total need
ii. Identify total assistance
iii. Subtract exclusions from total assistance to determine the amount of the DOB
iv. Subtract the amount of the DOB from the amount of the total need to
determine the maximum amount of the CDBG—CV award.
c. Considerations
i. Apply program CAP,if applicable.
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City of Rosemead
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Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Eligibility and Meeting City Goals and Priorities
The presentation to the Director of Planning & Development and/or other staff will detail how each
project meets the published eligibility criteria and aligns with the City goals and priorities. The overall
evaluation will be guided based on the goals and priorities established in the draft 2020-2025
Consolidated Plan.The City has set six(6) goals:
• Expand Fair Housing Choice and Access
• Expand Affordable Housing Opportunities
• Maintain Decent and Energy Efficient Housing Stock
• Maintain Safe and Green Neighborhoods
• Provide Vital Public Services
• Planning and Administration
• High priority needs include
o Affordable housing
o Homeless prevention and public services
o Housing and commercial rehabilitation
• Medium priority needs include
o Fair housing education
o High cost of building homes
o Provide safe crosswalks,sidewalks,and routes to school
o Create more green spaces
• Low priority needs include
o Supportive and transitional housing
We will evaluate eligibility using these publicly-available criteria:
• Meet 1 of 3 national objectives:
o Benefit LMI residents(70%of funding goes here)
o Aide in prevention or eliminate slums and blighting
o Meet urgent community development need
• Non-profit 501(c)3 and faith-based orgs if providing secular services
• Eligible costs may be reimbursed retroactively to March 16, 2020
• All CDBG-CV activities MUST prevent,prepare for, and/or respond to COVID-19
• Organizations/contractors must have DUNS and be in SAM
• Demonstrate capacity to comply, including collecting and submitting beneficiary race,ethnicity,
and income data
• Proposals complete and timely
Lastly,the recommendation will indicate applicant ability to conduct and meet the requirements of the
environmental review.Ca lyptus will review resources available to the subrecipients so they are able to
conduct these reviews efficiently.
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City of Rosemead
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Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
1.b. Prepare and process CDBG and HOME Program Plans
The City published the 2020-2025 5-Year Consolidated Plan to the website,it is noted as being adopted in
April 2020. The deadline for submitting Consolidated Plans and 2019/2020 Action Plans has been
extended to August 16, 2021. We will track final approval of the 2020-2025 consolidated plan based on
this deadline and any remaining internal City approvals.
We will follow these best practices for obtaining Consolidated Plan and 2019 and 2020 Action Plan
approval in IDIS:
• Review the draft Consolidated Plan with the Town to ensure that the goal, priority needs,and all
funding sources are clear to ensure that data flows smoothly from the Consolidated Plan to
action plan and identify any changes since the Draft was completed.
• Ensure the entirety of the Consolidated Plan is complete in IDIS before beginning the action plan
• Ensure that the Consolidated Plan is marked'review complete' before starting any work on the
action plan or CAPER to ensure that all changes and updates are made into the subsequent
documents
• Follow the HUD templates
• Given the significant changes due to CV-3,Calyptus recommends drafting the Action Plans on a
blank template in IDIS
• The process will follow the amended citizen participation plan
• Document everything in the program file
• Check for any duplicative projects when setting up the action plan in IDIS and ensure the project
is linked to the annual action plan
• Ensure that any copied projects are tied to the correct year
• Generate I DIS reports to double check and cross check CAPER data
• Check that all data is reporting on the same units or on the same outcome metrics
o For this,we will follow the IDIS guide crosswalk between all goal outcome indicators and
the matrix codes and corresponding units of measurement within the activity setup
• Report on one goal at a time for the CAPER
The Consolidated Plan is carried out through Annual Action Plans, which provide a concise summary of
the actions, activities, and the specific federal and non-federal resources that will be used each year to
address the priority needs and specific goals identified by the 5-Year Consolidated Plan. Grantees report
on accomplishments and progress toward Consolidated Plan goals in the Consolidated Annual
Performance and Evaluation Report(CAPER).
The 2020 Action Plan draft will reflect the new annual action plan content as described at 24 CFR 91.220.
The following minimum specific information is to be made available on an annual basis:
• The amount of assistance the Town of Barnsta ble expects to rece ive
• The range of activities that may be undertaken with such funds
• The amount of funds proposed to be used for activities and the estimated benefit to low and
moderate income persons
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City of Rosemead
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• The amount of assistance may be estimated if HUD has not announced the formula allocation at
the time of publication
o Should the allocation exceed the a mount estimated,the activity budgets for progra m
administration shall be increased to 20%of actual allocation amount
o Public service activities may be increased up to 15%of the actual amount received
o If the actual falls short of the estimate, program administration and public service
budgets will be reduced so as to exceed 20%and 15% respectively
o Plan will identify the Town's plans to minimize displacement and what type of assistance
to those persons displaced
1.c. Conduct monitoring
At the project kick-off meeting,to be scheduled within 2 weeks of award,Calyptus will discuss each ofthe
projects with the City.We will discuss the project applications,specifically their commitment to response
and recovery from the impact of COVI D-19,the project impact on LMI populations, and current status of
project approvals.By establishing the current status of each,we can begin to develop project monitoring
tools if these are not already available.We are prepared to use the City's grant management software or
to develop a tool to monitor relevant indicators as needed.
At the outset of the project, Calyptus will submit a document request to obtain ongoing project status
information. We will also request access to the City's current monitoring and tracking tools, including
reporting templates.This information request will include documents demonstrating the following for all
ongoing FY20 projects:
• Most recent project quarterly reports(January2021)
• Project status and delays
• Efforts to recover from delays
• Analyses of significant project cost variances
• Discussion of costs incurred and required to complete the projects
• Project management plans and quality control procedures to determine the procedures for
maintaining project work schedules and monitoring project budgets; as well as the processes
implemented to mitigate the effect of unforeseen delays
• Efforts to maintain project work schedules and to manage the project budgets. We will review
progress reports to determine if delays are due to poor performance by contractors as well as
change orders and the reason(s)for the change orders to ascertain if they were due to project
delays within the subrecipient's control.We will also examine how delays were managed and the
efforts made to improve performance.
• Review reasons for project delays and technical inspections and supervision of projects,
inadequate resources, or other actions that contribute to continuing problems with project
delays.This review will determine if any of the delays were beyond the recipient's controls,such
as land acquisition,zoning changes,environmental studies,weather,or other factors. Lastly,the
review will examine the steps, ifany,that were taken to bring the project back on schedule.
We will then develop a full project status system totrackeach project.The tracking system will reflect the
reporting requirements of 42 U.S.C. 12708(a), 24 CFR 91.520, and 24 CFR 570.507.At a minimum, this
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will include information regarding the amount of funds received,amount of funds obligated or expended
for each project or activity, and a detailed list of all projects or activities. The system will also track the
indicators relevant to the Consolidated Annual Performance Evaluation Report(CAPER).
Calyptus has resources and tools to train and provide technical assistance to subrecipients on relevant
federal regulations,including Section 3, Davis-Bacon,and Minority&Women Enterprise.We will use our
fully developed subrecipient monitoring program, templates, system, and risk assessment to monitor
subrecipients.We are subject matter experts in this area and have attached some materials we developed
for a Federal grant recipient in Attachment A.
We assume that any monitoring will be remote,including quarterly reports,periodic desk reviews,virtual
reviews for high risk subrecipients, and periodic internal reporting on project status and risk. If needed,
Calyptus will propose corrective actions to the Town to improve or address subrecipient timeliness and
compliance.
Calyptus will use a variety of tools to assist with monitoring subrecipient activity timeliness,appropriate
citation of costs and charges as specified bythe contractual scope of work,cost reimbursement schedules,
and compliance with applicable regulations as defined in the Town Guidebook and subrecipient
agreements. We will review the Town's published Guidebook to ensure that publicized information
regarding compliance is up-to-date and thorough. We will also review any subrecipient agreement
templates to ensure that all clauses and expectations are specified in the documents.We will use various
checklists to govern our work following contract approval.An example checklist is available in Attachment
B. The careful review of the subrecipients invoices are essential to ensure compliance. We use this
checklist for this activity:
FTA Su brecipient Invoice ReviewChecklist
Contract/Recipient Number Invoice Number
Project Title Invoice Date(s)
Subrecipient Invoice Value
Purchase Order# Actual Local Match
Contract Value Payments to Date
Project Manager Division
Type of Contract Payment Terms Applicable Wage Rates
❑ Fixed Price Milestone ❑Yes ❑ No ❑ Davis Bacon
LI Fixed Unit Price
Progress ❑Yes LI No
❑T&M
LI Construction Management Services Emergency ❑Yes ❑ No
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CALYPTTJS RFP No. 2021-01
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1. Supporting Documentation Comments
a. Project Description ❑Yes ❑ No
(Invoice#1) ❑ N/A
b.Project Location ❑Yes ❑ No
(Invoice#1) ❑ N/A
c. Project Site Photos ❑Yes ❑ No
(where applicable) ❑ N/A
d.Vendor/Contract Invoices ❑Yes ❑ No
❑ N/A
e. Purchase Orders ❑Yes ❑ No
❑ N/A
f.Cancelled Checks or proof of ❑Yes ❑ No
payment with payment date
❑ N/A
h.Operating costs ❑Yes ❑ No
(from Ledger in Financial ❑ N/A
system)
i. Cost estimate update ❑Yes ❑ No
(Invoice#1) ❑ N/A
2. Invoice-Format as per ❑Yes ❑ No
Contract
3. Review of Rates
a. Complies with Contract ❑Yes ❑ No
Pricing
Including Local Match Level
b.Reflects Current Wage Rates ❑Yes ❑ No
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4. Performance within Terms ❑Yes ❑ No
of Contract
5. Complies with Established U Yes ❑ No
Contract Cost/Price
6. If Su brecipient had invoiced indirect costs,have they...
a)Had prior approval? ❑Yes ❑ No
❑ N/A
b)An approved Cost Allocation ❑Yes ❑ No
Plan (CAP)?And do the
invoiced indirect costs follow ❑ N/A
the agreed CAP?
7. Costs Questioned:
Type Value Allowable Cost? Comments
❑Yes ❑ No
8. Retainage $ % 9. Costs approved
Approval Signature Date
Project Manager
1.d. Prepare and process programmatic and fiscal reports
Quarterly reports will be generated from project management meetings,status reports,and procurement
records.Milestone reports should be completed at the project level.Per 2 CFR 200,we will work with sub-
gra ntees to provide the following:
e The current status,at a minimum, of each milestone that has passed during the prior reporting
period, within an active Award.
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• The actual completion dates for any milestones completed during the reporting period, and any
revised dates when any original (or last revised)completion dates were not met.
• A narrative of the activity status,any problems encountered in implementation,specification
preparation,bid solicitation,resolution of protests,and third-party contract Awards.
• A detailed discussion of all Award Budget or schedule changes.
• An explanation of why scheduled milestones or completion dates were not met.
• Identification of problem areas and a narrative on how the problems will be solved
• A discussion of the expected impacts and the efforts to recover from the delays.
• An analysis of each significant project cost variance:Completion and acceptance of equipment
and construction or other work should be discussed,together with a breakout of the costs
incurred and those costs required to complete the project.We will use quantitative measures,
such as hours worked, sections completed,or units delivered.
Sub-grantees will also be responsible for year-end reports and closeout reports are due upon completion
of the project. These progress reports should track actual project accomplishments, obligations, and
spending patterns against planned operations and accomplishments. As applicable to the programs,
subrecipients should also ensure they can provide documentation demonstrating income eligibility of
persons benefiting from the program and the area benefitted by the activities.These indicators should
directly tie to the CAPER needs. Financial indicators should include the amount expended in the program
year,total cost of each economic development activity,amount of unliquidated obligations,and sources
and amount of program income.
Regular reporting from all projects is essential to ensuring program funds are expended in a timely
manner. Calyptus will use the reporting data to ensure that the City is within the timely performance
requirement.On an annual basis,Calyptus will also support the City in performing a cash flow analysis of
revolving loan funds.
To support drawdown approvals to be performed by the City,we will follow the practices noted in Chapter
11 of the CDBG Administrative requirements:
• Review administrative and planning activity eligibility, including staff costs
• Calculate the planning and administrative ca p(20%of the sum of grant plus program income that
is received during the program year)
• Review pre-award costs to ensure that:
o The activity is included in the consolidated plan action plan,
o Citizens are advised ofthe extent to which these pre-award costs will affect future grants,
o The costs and activities are in compliance with CDBG regulations and environmental
review requirements,
o Activities comply with statutory and regulatory provisions in effect at the time the costs
were paid,
o CDBG payment is made during a time no longer than the next two (2) program years
following the effective date of the grant agreement/amendment,
o and the total amount of pre-award costs to be paid during any program year is no more
than 25%of the grant amount for that years or$300,000,whichever is greater.
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• Track any float-funded activities
• Track revolving funds and any program income
• Ensure timely expenditure of funds by subrecipients
o Specifically, track that the Town has within 1.5 times its grant in its line of credit
• Track cost allowability and allocation and indirect costs(if the Town has established a CAP)
We will set up a tracking system to ensure all compliance requirements.We will ensure that the City has
a drawdown plan for all grants,and that all costs are eligible,current,accurate,and allocable.Compliance
with 2 CFR 200 will be ensured.We will ensure adequate procedures for drawdowns and internal controls.
2.a.Assist in data gathering and analysis
Calyptus will rely on subgrantee coordination and regular reporting for gathering and analyzing the data.
This data will inform the CAPER.
2.b. Conduct public hearings
Calyptus will organize,advertise,and host all public hearings as detailed in the Citizen Participation Plan.
We will use the method most likely to generate participation and allowable per stay-at-home orders.
One of the primary changes to the CDBG requirements includes developing expedited citizen participation
procedures and to hold virtual public hearings when necessary for public health reasons. Calyptus will
review the citizen participation procedures and recommend any changes as needed. At a minimum the
plan should include:
• Detail the public hearing requirements
• Identify the Citizen Participation Coordinator and the duties and responsibilities
• Specify the date the plan is amended and adopted
• Policy for providing technical assistance to the community so that they a re knowledgeable of the
CDBG program and can contribute to solving some of the community's needs
• Policy for making programmatic information available to citizens—virtually if needed
• Policy for public comment on the Citizen Participation Plan and amendments
• Policy for public comment on performance reports for project activities
• Policy for encouraging citizen participation in advisory roles in planning, implementing, and
assessing projects
• Procedures for comments,objections,and complaints
• Program income re-use plan
The review will ensure that the appropriate number of public hearings are stipulated in the plan and that
the process is in compliance. Hearings must be held for new or substantial changes(amendments)to the
CDBG project,participation plan, and annual action plans.Citizens must have reasonable notice of public
hearings, they must be held at separate phases of the project, and these must be sufficiently accessible
to all populations. The notice will be published at least twice and on different days; the first will be
published no less than two(2)weeks prior to the date of the public hearing.We will work with the City to
identify all anticipated accommodations that may be needed for disabled or non-English speaking
residents.Virtual hearings may present unique challenges that must also be considered and addressed.
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Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
2.c. Evaluating the design and implementation of grant-supported programs/activities
We will review the information provided in the City's proposal in terms ofthe three aspects of the funding.
We will also evaluate initial project plans developed by the City and formulate key performance measures
for implementation. Measures will be developed for each aspect of the projects as follows:
• $754,104 in CDBG FY2020-2021:Project plans and reports submitted on time:project completion
timeliness and budget variance;compliance with HUD rules and guidelines
• $356,613 in HOME funds. This funding integrates both HOME and CDBG initiatives for affordable
housing. Tracking tools will be developed and monitoring to support rental housing, home
ownership,rehabilitation, and comprehensive neighborhood revitalization projects.
• $443,682 in CDBG-CV funds to prevent, prepare for, and respond to COVID-19. Upgrading of
facilities, child care, mortgage assistance and other funding measures will be considered, and
these projects will be monitored for timeliness,quality,cost,and regulation compliance.
Evaluation of design also occurs as part of the consolidated planning process, and consulting with
stakeholders.We will manage these processes for the City. We will hold meetings with partners to solicit
feedback and problem solve, run community workshops during the yea rto help you stay on top of issues,
check in with community organizations and elected officials, and invite beneficiaries to participate in
activity and program design.
Through regular subgrantee reporting, we will track all CAPER indicators.This data will be synthesized
a nnua Ily for the final CAPER report. If,through this ongoing reporting,there is indication that the financial
elements and public benefit to be derived from the projects have substantiallychanged, we will suggest
appropriate adjustments in the amount, type, terms, or conditions of CDBG assistance that is being
offered.This recommendation will reflect the impact of the substantial project chance.
2.d. Prepare pertinent policy recommendations
During the review of applications, Calyptus will evaluate the City's resources including forms, the
subrecipient agreement template, DOB procedures, and environmental review support documents.
Working with the Director,we may also develop new policies and procedures for program development.
This would be supported by a review of existing templates and checklists and revising or developing new
ones as needed. We would provide technical assistance and training as needed for City staff,
subrecipients, and potential subrecipients. We would focus on published program guidelines, training
material,and best practice documents such as:
• CDBG Economic Development Toolkit
• CDBG for Entitlements Training
• IDIS for CDBG Entitlement Communities
• Guide to National Objectives and Eligible Activities for CDBG Entitlement Communities
• HOME and CDBG:Working Together to Create Affordable Housing
• CDBG Crosscutting Issues Toolkit
• Managing CDBG:Guidebook for CDBG Grantees on Subrecipient Oversight
• Playing by the Roles:A Handbook for CDBG Subrecipients on Administrative Systems
• Training CDBG Subrecipients on Administrative Systems
• Ensuring CDBG Subrecipient Timeliness
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2.e. Implementing programmatic activities as needed
We follow the guidelines noted in Chapter 2 of the HUD CDBG operational manual:
https://files.hudexchange.info/resources/documents/Basically-CDBG-Cha pter-2-Activity.pdf
We will validate the Annual Plan through public participation, then consider various methods to
administer the program,followed by partner/contractor/subrecipient selection. We will monitor each
element of the project plans for the three types of funding activities. Roles and responsibilities for the
project tasks will be assigned using RACI charts, and will include subrecipients, CBDOs, CDFIs, and
contractors.
On a quarterly basis,Calyptus will review all written materials and program files.We have attached two
(2) documents as examples of formal subgrantee monitoring in Attachment D.We will use best practices
as noted by HUD in Chapter 5 of the CDBG Subrecipient Oversight guidebook. The checklist will included
the following ata minimum:
a. Subrecipient name
b. Project name and agreement number
c. Project director
d. Date of monitoring review(on-site or virtual)
e. The National Objective that the project meets
f. Eligibility category of the project
g. Ensure contract scope of services,list any deviation
h. Acknowledge major accomplishments
i. Describe project timeliness and any deviations or expected delays
j. Compare actual and planned expenditures;list actual or possible deviations
k. Record of requests for payment (timely,consistent with work performed, proper accounting)
I. Progress report timeliness and thoroughness
m. Conformity with any special terms and conditions
n. Record keeping —orderly files;all required and supporting files availa ble; retention
o. Compliant financial internal controls
p. Review financial management system and note discrepancies
q. Note accounting discrepancies
r. Review process and documentation related to eligible,allocable,and reasonable costs
s. Review cash management/drawdown procedures
t. Review management of program income
u. Note Single Audie timeliness and any corrective actions taken
v. Trackwhether actual expenditures match line item budgets
w. Review insurance compliance
x. Conformity with procurement procedure requirements
y. Review the conflict of interest policy and process
z. Review records and implementation of all equipment and real property acquisitions
aa. Obtain physical inventories and disposal documentation
bb. EEO review
cc. Section 3 review
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dd. Fair Housing compliance
ee. Compliance related to any requirements for disabled persons
ff. Women and Minority Business Enterprises review
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Project schedule
The final project schedule will be refined upon project kickoff and will track with the Annual Plan, CDBG application,and HUD spending
guidelines.The schedule below reflects all project tasks and aligns to Federal reporting deadlines.
Project Task June 2021-August 2022 Mar Apr May � Jun Jul Aug Sept Oct Nov Dec Jan Feb Mar Apr
Project kick off
1.a.Prepare and process loan and grant
applications
1.b. Prepare and process CDBG and HOME
Program plans
1.c.Conduct monitoring
1.d. Prepare and process programmatic and
fiscal reports
2.a.Assist in data gathering and analysis
2.b.Conduct public hearings111
2.c. Evaluating the design and
implementation of grant-supported programs
2.d. Prepare pertinent policy
recommendations
2.e. Implement programmatic activities as
needed
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City of Rosemead
CALYPTUS RFP No. 2021-01
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Conduct public outreach
Mr.Alfonso MA Project • Developing project tools 2 days/week
Hernandez Analyst • Conducting research
10 years grants • Communicating and
management
coordinating with sub-
recipients
• Reporting
• Program compliance tracking
• Providing technical assistance
• Conduct public outreach
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b. Resumes
DR.GEORGE L.HARRIS—Program/Project Manager
Education
Dr. Harris holds a DBA—NOVA Southeastern University;a B.S.(Business Management)from Georgetown
University; and an M.B.A. (Government Procurement and Materials Management) from George
Washington University.
General Experience
Dr. Harris specializes in the areas of grants management,procurement,materials management,oversight,
and CDBG grants management. He has established ways for organizations to evaluate their grants
management effectiveness. He is an expert grants administration services,and is a SME in Procurement,
DBE,ADA,Title VI,and Technical Capacity. Dr.Harris'education and experience far exceed that required
for the technical program manager role. He earned a DBA from NOVA Southeastern University and has
twenty-five (25) years of professional experience in the public transit industry. He was the program
manager for the Calyptus Consulting Group throughout their five-year contract extended to 2023 during
which time the company demonstrated significant success and an ability to manage complex reviews on-
time and within budget.
Representative Consulting Experience
• Served as Project Manager and SME for 5 five-year contracts for FTA since 1996.
• Conducted over 250 Grants Management Reviews for the FTA.
• Completed full procurement systems reviews for over 120 US rapid transit agencies.
• Participated in revisions of the questions used in the guidance workbooks for the grants
management processes.
• Developed the Grants Management workshop training deck for FY2018 and has conducted 20 TR
workshops and 50 PSR workshops for FTA.
• Planned for and conducted 40 PSR Workshops, including establishing hotels and on-site logistics.
• Completed a comprehensive set of procedures and guidelines for the Georgia Department of
Transportation encompassing all areas of the TR;completed training of all sub recipient.
• Developed a subrecipient monitoring program for OCTA and helped implement the program by
reviewing the first 10 subrecipients as well as future cycles.
• Reviewed DBE plans and suggested corrective actions for over 200 recipients.
• Led DBE and Title VI compliance reviews for the ETA.
• Conducted organizational studies for Johnson&Johnson,State of Oregon Department of Human
Studies, City of Portland (OR), City of Sacramento(CA), Texas A&M University, LoneStar College,
Pepsi,and others
• Conducted training of over 15,000 unique participants in the areas of procurement, quality,
project management,general management,and grants management.
• Created a web-based self-assessment of lean management and ISO-9000 quality capabilities/
performance.
• Developed strategic plan and metrics for the FTA oversight office.
• Developed eLearning modules to support grant recipient compliance and findings closeouts.
• Created ten key performance measurements for clients and instituted policy deployment,
developed and trained over 300 managers in implementing organizational objectives.
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• Created tools to assess and establish tota I cost savings,functiona I headcount, key processes,risks,
inventory stocking,and supply chain effectiveness.
• Directed/collaborated in development and preparation of over 130 training programs.
Self-employed and Manager of Calyptus since 1992. Clients are the best references for supervision and
quality of work.
Professional Memberships
Dr. Harris is a Certified Purchasing Manager(C.P.M.), Certified Professional Contracts Manager(CPCM),
and has been named a Fellow by the National Contract Management Association. Dr. Harris has also been
appointed to the panel of Arbitrators of the American Arbitration Association. Dr. Harris is a certified
Massachusetts QualityAward examiner.Dr.Harris has written a book on negotiations titled"Negotiations:
Six Steps to Success,"published by Prentice-Hall in June 1995. He also authored two self-study courses for
the American Management Association entitled "Fundamentals of Purchasing" published in December
1999 and "Strategic Supply Management"published in October 2001.
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CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
JAMESON BEEKMAN—Consultant
Education
Mr.Beekman holds an MBA from Bryant University in Smithfield, RI with a concentration in Operations
Management and a BA in Psychology from American University in Washington, DC.
General Experience
Mr. Beekman specializes in grants management,compliance,data analysis,process mapping,and
training. He has developed comprehensive analysis and strategies across several different industries
including retail, human services,insurance,and government. He has performed consulting and training
services for both private sector and government clients. He has extensive experience in inventory
control and operations.
Representative Consultingand Training Experience
Since 2006, Mr. Beekman has been involved in a wide variety of consulting and training projects,as
represented below:
Federal Transit Administration
• Lead Reviewer and workshop trainer for the FTA Comprehensive Oversight Review and
Technical Assistance Program(CORTAP)
• Conducted over 100 Grants Management I Reviews,70 Procurement System Reviews,and 15
training workshops for FTA. Delivered Civil Rights compliance reviews and provided technical
assistance to recipients.
• Quality Assurance reviewer,conducted independent review of the FY19 CORTAP cycle,including
assessing root causes of inconsistencies,inaccuracies,and lack of thoroughness.
O Provide corrective action support and technical assistance to FTA recipients in Region 1 to close
findings from FY16 (emphasis on Civil Rights)
• Provided comment on the FY21 Contractor Manual updates
• Conducted research and analysis for the Oversight Assessment Tool improvement effort,
including finalizing a recommendations paper for FTA consideration.
• Provided input for the Oversight Policy Guidance Handbook
• Supported FTA efforts to develop an oversight risk model.
• Provided input and recommendations for conducting reviews in a virtual setting.
• Developed a virtual workshop framework and piloted the recommendations on Webex Training
for roll out in FY21.
Other Transit Agency and Consulting Experience
• Managed the strategic process analysis for a large state agency.
• Served as the on-site point of contact for a consulting and training engagement in excess of
$200,000.
• Evaluated policies and procedures against governing regulations to highlight gaps and
developed new policies and procedure documents as needed.
e Developed detailed value stream maps of client processes.
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CALM PT CJS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
• Conducted a benchmarking study of non-emergent transportation services including question
design,outreach to participants,and developing recommendation from the results.
• Conducted organizational assessments of key business functions for multiple state,local,and
quasi-government agencies.
• Developed a sub-recipient monitoring program and conducted subrecipient site visits.
• Conducted comparable studies for the State of Oregon,City of Rockville, City of Sacramento.
Office of Personnel management, Fulton County, Minneapolis Housing Authority and
Philadelphia Housing Authority
• Development and presentation of training in key operational areas
Professional Memberships
Mr.Beekman is a Certified Purchasing Manager(C.P.M.)
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
ELLEN HARVEY—CALYPTUS ANALYST
Education:
Ms. Harvey holds a Master of Arts in Law and Diplomacy(MALD)from The Fletcher School at Tufts
University and a B.A.from Rice University in Houston,TX.
General Experience:
Ms. Harvey has five (5)years of experience working in government grants management. Ms.Harvey
joined Calyptus in 2016 to manage FTA programs,business development initiatives,and consulting
work. Ms. Harvey worked with the United Nations in Jerusalem and the humanitarian sector in Pakistan
and South Sudan for 3 years on grants programs for EU,US,and UN funding.
Representative Consulting and Training Experience:
Since 2017, Ms. Harvey has been involved in a wide variety of consulting and training projects,as
represented below:
Federal Transit Administration
G Technical Project Manager and Lead Reviewer and workshop trainer for the FTA Comprehensive
Oversight Review and Technical Assistance Program(CORTAP)
• Quality Assurance reviewer,conducted independent review of the FY19 CORTAP cycle,including
assessing root causes of inconsistencies,inaccuracies,and lack of thoroughness.
• Provide corrective action support and technical assistance to FTA recipients in Region 1 and
Puerto Rico to close findings from FY16.
• Provided comment on the FY21 Contractor Manual updates
• Conducted research and analysis for the Oversight Assessment Tool improvement effort,
including finalizing a recommendations paper for FTA consideration.
• Provided input for the Grants Management Oversight Policy Guidance Handbook
• Supported FTA efforts to develop an oversight risk model.
e Provided input and recommendations for conducting reviews in a virtual setting.
• Developed a virtual workshop framework and piloted the recommendations on Webex Training
for roll out in FY21.
• Participated in preparation of RIR materials and on-site reviews. Developed 71 TR and 1 SMR
first draft reports.
• Became an SME in Safety,TAM,and Drug and Alcohol requirements
• Manage FTA programs,acting as liaison between FTA HCZ FTA Regional Offices,and recipients;
tracking progress, reporting,and billing; and conducting quality control to ensure consistency
and prevent program delays for 100+ FTA recipients.
• Increased efficiency and improved consistency by developing automated assessment tools and
training materials for Department of Transportation(DOT)programs and streamlining Triennial
Review process for federal award recipients.
• Drafted,compiled,and helped finalize the TR 2018 workshop training deck.
• Conduct research for FTA special assignments,including recipient support in determining DBE
presence for setting DBE-goals.
• Conducted a drug and alcohol audit of JAUNT and reviewed corrective actions.
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CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
TECHNICAL SKILLS
— Advanced proficiency with: Microsoft(MS)Office Suite-Word, Excel, PowerPoint, Visio,Outlook,
andQuickBooks
— Advanced proficiency with Federal DOT reporting software,including TrAMS,Otrak,and Delphi
— Familiar with:IBM SPSS Statistics I ProPricer I SAP I Wide Area Workflow (WAWF)
FOREIGN LANGUAGE FLUENCY
— Conversant in French, Arabic,and Russian
— Proficient written and reading comprehension in French and Russian.
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CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CD BG Programs
Alfonso Hernandez—Calyptus Analyst
Education
B.A., Public Admin/CJ,San Diego State University,2005
General Experience:
Experienced professional motivated by challenge and reward through securing,managing,collaborating,
and identifying funding opportunities that enhance the services and benefits of the organization and
result in a positive impact on the community as well as establish and maintain a fiscally sound approach
to the organization's finances,objectives,and standards.
Relevant Experience:
GRANTS ADMINISTRATOR/FUNDINGANALYST
ORANGE COUNTYTRANSPORTATION AUTHORITY(OCTA)-Orange,CA
July 2016 to Present
Manages and develops, implements OCTA's grants and grant programs and supervises the monitoring
and oversight of the agency's subrecipients. Duties include:
• Oversees the development, implementation, and management of OCTA's competitive grants and
FTA grant programs consistent with the goals of the Board of Directors and Chief Executive Officer.
• Provides leadership and direction in the development of FTA grants and competitive grant
proposals,including grant contract agreements,contract amendments,administration of grant
regulations and requirements,and associated presentations and staff reports related to OCTA's FTA
and competitive grant programs.
• Directs OCTA's federal subrecipient monitoring and oversight program and assists OCTA's divisions
in monitoring subrecipients to ensure compliance with FTA grant rules and regulations,including the
development of guides,risk assessments,compliance reviews,training,and reporting,and act as
liaison between FTA,subrecipients,OCTA Divisions and executive management for compliance
issues.
• Develops and maintains a strategic approach to grant funding opportunities and challenges,and
maintains favorable relationships with external funding agencies to maximize revenues and promote
continued support of OCTA's funding needs and activities.
• Supervises the development of persuasive comments on proposed federal legislation, rules,and
requirements,and remains current on changing federal,state,and local grant rules and regulations.
• Provides guidance on proposed and adopted federal regulatory changes and grant funding
prospects,and supervises the development of persuasive comments to influence legislative or policy
changes that are favorable to agencygoals and objectives.
CONTRACT-Director of Proposals and Grants
BYD COACH&BUS-Los Angeles, CA February 2018 to December2018
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CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Responsible for leading and overseeing the proposal and grants department at BYD.The Proposal and
Grant Department is responsible for preparing and responding to technical public request for proposals
(RFP), as well as contract management of awarded proposals.
The Director determines proposal concept by identifying and clarifying opportunities and needs;
studying RFPs and strategizing responses along with esta blishing internal procedures to meet proposal
deadlines and streamlining the proposal response process.Serves as a liaison with community members,
elected officials, funding source program and contract officers,resource developers nationally, and
community organizations. Provides leadership in the research and identification of external company
priorities,and search requests.
CONTRACT-Grant Manual Lead
Birdi&Associates- Pasadena, CA April 2016 to April 2018
Lead,develop and provide subject matter information for a Grant Manual and Sub recipient Transit
Guidebook.
DIRECTOR,GRANTS
SAN BERNARDINOCOMMUNITYCOLLEGEDISTRICT-San Bernardino, CA
October 2016 to March 2018
Responsible for writing major grant applications,pre-award coordination of all grant applications for the
college (or District), post-award budget development and support for faculty/staff in charge of gra nt-
funded projects,search,and notification of opportunities for external sources of funding including
grants and foundations, grant-writing training,grant template development, and general oversight of
grant development. Serves as a liaison with community members,elected officials,funding source
program and contract officers,resource developers nationally, and community organizations. Provides
leadership in the research and identification of external college priorities,and search requests.
GRANTS ADMINISTRATOR
SOUTHERN CALIFORNIA ASSOCIATION OF GOVERNMENTS-Los Angeles,CA
August 2011 to August 2016
Manages and administers the discretionary grants. Responsibilities include researching grant fund
sources and taking the lead for the proposal development process and preparing,monitoring,and
managing grant award agreements for SCAG and subrecipients.Grants administered range from Federal,
State,and local levels and fund various categories of projects,such as planning, programmatic, research,
capital,operating,and engineering.
Responsible for program managing seven federal formula programs that allocates and obligates over
$170M on annual basis for various transit capital,operating and programmatic projects.Furthermore,
serves as Project Manager for grants awarded directlyto SCAG on behalf of subrecipients,as well as
monitors both recipients and subrecipients to ensure compliance with federal conditions,such as the
Uniform Guidance 2 CFR 200.
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c. Experience of the firm
Calyptus Consulting Group, Inc. is an independent company focused on improving public sector federal
grant/award management performances. We specialize in providing facilitation, consulting, program
administration, and training solutions to clients in federal, state and local government, to ensure
compliance with Federal and state regulations, improve quality, optimize processes and improve
organizational performance. We review existing practice, identify opportunities, train client staff, and
assist in implementation of continuous improvement initiatives. We have provided similar consulting
services to municipalities and California public agencies since 1996, or for 24 years.None of the work will
be subcontracted.
Municipal public agencies we have most recently worked with include the following housing authorities
and Federal funding recipients: the Wilmington Housing Authority (Delaware), Alameda County
(California), Orange County Transportation Authority (California), Marin County Housing Authority
(California), and Rochester Housing Authority (New York). We have assisted over 300 public agencies,
cities, counties, and states in grants management activities.The complete list of clients with references
for five (5) clients is in Section 5. For more information on the company, please go to our website at
www.calyptusgroup.com.
In conducting grants management �
2.Grant Management Procedure G-- 2a.FFR Instructions
reviews across the country,
12.Example Grant Closeout Procedure Pa 16.Grant Reporting and Accounting Procedures
Ca lyptus has garnered direct n
31.GET Grant Administration Procedures-Final... n��5010.1e Award Management(rev.7.21.17)
knowledge of Federal and State of tif2s,5307 Subredpient Grant Agreement Template... 5001712 AGMT-San Marcos(12)(Repaired)
North Carolina requirements as well �
tia Contractor Oversight Procedures-facility dv l Contractor Oversight procedures
as developed an extensive library of F Subrecipient Compliance Checklist 2 FINAL+5010+Extemal+Webinar+Presentation-...
bestp ractices and case studies for {� �
FTA MPR and FFR Review 1.19.18 REVISED GJ FTA Subrecipient Monitoring Procedure
Federal fund recipients of all sizes
p IG_MTCP_1an201S June_2015_Performance_Metrics
and modes. Ascreens hot of MPR_FFR Review Chart t Project Management Procedures
portion of the gra nt management
Scehdule Assessment Guide GAO Report Subrecipient Agreement-San Marcos
resources available is providedJ WSDOT in-kind match
Title VI Equiry_Analysis M
for OA Siting
below:
0„- 4d7 Requirements for Federal Transit Subreci... :0;
5 Construction Management Procedures Manual
gnrr;;120.Subrecipient+Contractor Oversight Proced... 24.Risk Management Procedure
a5010.1e Summary of Revisions 2 5010-1e-Chapter 3 and FFR Appendix
CMS Deliverable_Review Process Construction PM Monitoring Plan EX
9uExample Award Tracking and Close Out 2 Example of ATI report
FTA Milestone checklist(from fta.gov) FTA MPR and FFR Review 1.19.18 External
FTA_Projectand Construction_Mgmt Guidelin._ aHouston Metro Subrecipient Monitoring proce...
Lease contract wording(provided by region 3... MAP21 essay_style_summary_v5 MASTER
SAM FFATA FPDS GAO report dT l Sample PMP
�1 Subrecipient Agreement Requirements i 2- subrecipient-or-contractor-checklist
Our grants administration consulting work involves conducting training workshops and providing technical
assistance to clarify the expectations of each grant requirement, including grants reporting and
measurement.Enhanced civil rights reviews for EEO,ADA,Title VI,and DBE require more in-depth, best-
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
practice training with staff to brainstorm solutions and create improvement plans. Finally, any technical
assistance necessarily requires detailed training or workshops with relevant staff to support process
improvement. We are experts in how to meet grantor agency grants management processes. This
approach requires an extensive library of documentation and best practices for grants administration.
These materials will be invaluable for collecting data and evaluating current practices at the County, and
to develop procedures and providing services.
In the section below, we include some details regarding relevant subrecipient and grant management
expertise. References for these projects and additional relevant projects are provided in Section 5.
Federal Transit Administration (FTA) - 1996 to Present
FTA Oversight Office Support and Quality Assurance
Calyptus is a valuable member of the FTA Oversight Team assisting in the development of criteria for the
Triennial and State Management Reviews (SMRs)and the creation of a risk assessments for use by the
regions.We have worked with alI the Oversight Teams and key managers at Headquarters and in all the
FTA regions, including Region -4 (North Carolina). We developed a complete strategy for the office,
including organizational structure, metrics, and performance dashboards. We developed the scoring
methodology for the new risk management system and reviewed every aspect of the oversight program
in terms of developing the most important elements for evaluation and weighting of each element. Our
team members are also involved in conducting and improving upon the FTA Quality Assurance program
on an annual basis.
Triennial Reviews and Enhanced Review Modules
Calyptus was selected as a Triennial Review contractor in 2013 and has performed reviews for over 240
recipients to date. We developed the areas for Triennial Reviews in the guidelines for contractors,
recipients,and regional staff.Calyptus has conducted over 100 ERMs in areas such as Financial Capacity,
Financial Management, Procurement,Title VI,ADA, DBE, Maintenance,and Technical Capacity,as well as
for subrecipient monitoring. We have developed a fully implemented subrecipient monitoring program
including risk assessments.
Technical Assistance
Calyptus provides technical assistance to recipients while on site, ensuring that where deficiencies are
found, staff are fully aware of issues and know how to implement corrective actions.We have a library of
best practice examples,tools and templates that we share with recipients.Topics of technica I assistance
have included: grants management, procurement, subrecipient oversight monitoring procedures, DBE
goal methodology, DBE program,shortfall analysis,Title VI program and procurement training.
Training Development and Technical Assistance
Calyptus has developed training for both recipients and FTA staff on all areas of federal compliance,
including DBE. Most recently we developed the 2018 FTA Comprehensive Review training program
delivered to recipients across all regions, including six workshops delivered by Calyptus staff. The 2017
Comprehensive Review of WMATA was used as a training opportunity for FTA Headquarters staff.
Ca lyptus performed each section of the review alongside FTA staff, providing an opportunity for this team
to see first-hand how each step in the review process occurs,including document review, research,and
on-site review.This learning experience led to many of the changes that have been implemented as part
of the Triennial Review cycle.We have established procedures for virtual TRs and training for FTA.
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CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Orange County Transportation Authority (OCTA) 2013-Present
Calyptus has an established relationship with OCTA delivering independent and objective reviews of OCTA
subrecipients.Calyptus worked with OCTA staffto develop a subrecipient monitoring program including
review of how subrecipient implement the OCTA DBE program, provide required reporting and ensure
procurements to contribute to OCTA's DBE goal. These reviews covered compliance with FTA grant
requirement areas to evaluate whether subrecipients are administering FTA-funded programs in
accordance with applicable federal statutes,regulations,and guidance. Calyptus interviewed OCTA staff,
reviewed current approaches,and developed the OCTA FTA Sub recipient Review Guide that included DBE
requirement. This program also included a tool for assessing the level of risk associated with each
subrecipient to inform the frequency of desk-based and on-site reviews.
Calyptus has conducted dozens of subrecipient reviews, including the Southern California Regional Rail
Authority (SCRRA), Anaheim Transportation Network(ATN)and City of Anaheim, to determine whether
these agencies administer FTA-funded programs in accordance with federal regulations and guidance.
Two of these reviews were repeat visits, while another four subrecipients (Jewish Federation, City of
Irvine,Boys and Girls Club,Women Helping Women) have been reviewed over the course of the contract.
OCTA contracted with Ca lyptus to make repeat visits to some recipients every 18 months to track progress
and compliance and have conducted three cycles of compliance reviews for ATN and the City of Irvine.
We completed 10 virtual subrecipient reviews for other subrecipients in 2020. In addition,we completed
preparation work for OCTA for their 2019 TR.They received no findings.
Sound Transit—2017-Present
In anticipation of their Triennial Review in 2020, Calyptus conducted a workshop for Sound Transit staff
on site that incorporated feedback from an initial file review. Subsequent technical assistance included
the following areas: Engineering Contracts, Procurement, Grant Management Procedures, Maintenance
Plans, Disadvantaged Business Enterprise, Subrecipient Oversight, Title VI, Financial Management,
Lobbying, Satisfactory Continuing Control, and Drug and Alcohol. We will be providing assistance in
addressing any required changes in the TR management process including a review of their subrecipient
monitoring program.
In 2020, Calyptus reviewed Sound Transit procurement policies and working directly with the
procurement team to implement improvements.We are currently developing and providing procurement
training in various project delivery methods such as design build and CM/GC,which may be helpful in the
completion of CDBG grants.
d. Experience providing CDBG Program consulting services
Calyptus is a leader in Federal grants administration consulting to include program management,
reporting,subrecipient assessment,procurement,and civil rights.We have worked in the field since 1996
and have completed over 300 assessments of grants administration/ma nagementfor public sector clients
and have provided technical assistance and training. We have also worked with multiple HUD housing
authorities and know their processes and projects.We have over 1,000 examples of procurements,grants,
and grants management document that we could use on this project.We have worked with Marin County
and Wilmington Housing Authority with CDBG projects supporting the local community. We thoroughly
understand the requirements of 2 CFR 200 in the areas of allowable costs, procurement, subrecipient
monitoring, reporting and drawdown procedures. We are experts in creating and delivering on eligible
activities such as:
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CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
• Public service activities
• Housing-related activities
• Public improvements and facilities
• Activities to acquire real property
• Economic development activities
• General administrative and planning activities
We are experts in the development of Consolidated Plans,supported by annual action plans.Calyptus has
provided assistance to Public Housing agencies in Section 3 and Davis-Bacon requirements. We have
worked on the federal and local levels in environmental reviews(NEPA and CEQA).We are knowledgeable
of the requirements of FR-6218-N-01 and the CDBG-CV Notice FAQS dated August 27, 2020 as well as
particular requirements relate to citizen participation,procurement,subrecipients,reporting required by
the CARES Act, modifications to action plans, consolidation plan amendments, time frames for requests
for costs incurred, pre-award costs, transfer of funds, funding guidelines, definition of urgent need, LMI
benefits, public benefit tests, emergency payment allowability, 15% public service limitation,
administrative caps, environmental reviews, expedited expenditure requirement, reporting
requirements,and applicability to other HUD grants.
7. References
Ca lyptus has provided similar consulting services to public agencies and municipalities across the country
for over 20 years.On the following page we have included references,including the client name, point of
contact, phone numbers and email addresses, and a brief description of services for five (5) previous
clients for whom we conducted similar work. References for additional clients can be made available to
the City upon request.
Federal Transit Administration (FTA)
Triennial Reviews,TED Reviews,Procurement System Reviews
Audrey Bredehoft-COR Office of Oversight
(202)366-2524 a udrey.bredehoft@DOT.gov Federal Transit Administration
1200 New Jersey Avenue SE
Mr.John Day Civil Rights reviews Washington, DC 20590
John.day@ DOT.gov
Please note that FTA is a bit inconsistent in providing
references and is historically slow in providing written
responses
Performance Period: 2013-12/31/2023 Award Value:NTE$30 Million
Narrative:As an FTA contractor Calyptus has performed over 300 Triennial Reviews including delivery of
Enhanced Review Modules in Financial Management and Capacity,Procurement,Disadvantaged Business
Enterprise (DBE), Title IV and Americans with Disabilities Act (ADA). We have delivered technical
assistance and training on FTA requirements and are currently completing corrective action assistance to
recipients in Region 1 and 4 (Puerto Rico). Calyptus also undertakes focused compliance reviews in civil
rights topics—Title VI, DBE and ADA. Each review involves a deep-dive into the complia nce of the recipient
with Title VI,DBE or ADA regulations.
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CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Calyptus has conducted over 120 procurement reviews of rapid transit agencies throughout the United
States. In the reviews,60 elements of procurement performance were evaluated. Six of these elements
were system-wide elements and 54 of the elements were related to compliance with policies and
procedures. Each of the elements are evaluated with feedback provided and corrective actions supported
with best practice information.
We developed procedures for drawdowns, financial management, procurement, civil rights,
environmental reviews(NEPA), subrecipient monitoring, and reporting.
Orange County Transportation Authority (OCTA)
Orange County Tra nsportation Authority
Ric Tea no 550 S. Main Street
Program Manager P.O.Box 14184
(714)560-5716 Orange,CA 92863-1584
rteano@octa.net
Performance Period: 4/5/13—12/31/21 Award Value: Multiple
Narrative:Since 2013 Ca lyptus has conducted independent and objective assessments of federal funding
subrecipients.As OCTA passes through FTA assistanceto these local agencies,the objective of this review
was to evaluate whether subrecipients are administering FTA funded programs in accordance with
applicable federal statutes,regulations,and guidance.We also developed a comprehensive subrecipient
monitoring program in consultation with OCTA staff, including tools, templates and checklists. This
program covered the requirements of the FTA Triennial Review and provided a risk-based approach to
determine the frequency of site reviews. Calyptus delivered training workshops for OCTA staff and
conducted reviews of OCTA subrecipients,including 10 virtual reviews in 2020,in order to test and refine
the monitoring program. All subrecipients were provided with example best practice documents to
support improved compliance in areas which were found to be lacking. In 2018-2019 Calyptus conducted
a mock Triennial Review to assist OCTA staff in preparation for their upcoming Triennial Review. OCTA
received no findings in the 2019 review,including no findings for subrecipient oversight.
Sound Transit
Monica Overby 401 S J a ckson St
(206)903-7334 Seattle,WA 98104
Monica.Overby@soundtransit.org
Performance Period: 2018-ongoing Award Value: Multiple task orders
Narrative: Conducted pre-Triennial Review workshop and document review, including subrecipient
reviews,in anticipation of upcoming 2019 Triennial review. Detailed guidance was provided in DBE,Title
VI, planning, and subrecipient oversight. Calyptus is currently developing and conducting staff training
related to procurement policies and procedures.
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
North County Transit District
Lori Winfree 810 Mission Ave.
(760)966-6532 Oceanside CA 92054
Iwinfree@ nctd.org
Performance Period: 2013-2019 Award Value: Multiple
Narrative: Developed multiple grant-related training courses and created policies and procedures for
grant administration compliance and best practices. Provided feedback on the submittal of grant-related
documents for their annual submittals, including reports and drawdowns. Providing support to agency
GM and Counsel on calculation of operating expense and the capital cost of contracting.
Court Services and Offender Supervision Agency
Mesfin Ketema 800 North Capital Street, NW
(202)220-5379 Washington, DC 20004
Mesfin.Ketema@csosa.gov
Performance Period: 09/2016-09/2021 Award Value: $413,955
Narrative: Calyptus conducted an assessment of the CSOSA management system. We reviewed files,
revised procedures, developed a project management guide, established an advanced planning process
and are helping the agency implement Oracle.
Wilmington Housing Authority
La Verne Hanson 400 N.Walnut St.
(302)429-6701 ext.1022 Wilmington, DE 19801
LHanson@whadelaware.org
Performance Period: 02/2020-Ongoing Award Value: Multiple
Narrative:Ca lyptus provided an Assessment Report for the Wilmington Housing Authority that includes a
summary of interviews,an overview of grant management responsibilities and functions, analysis of the
current process, a comparison of current policies and procedures against benchmarking results, and an
overall analysis of the organizational structure and headcount.
Calyptus is also supporting active project activities:
• Brick repointing
• Concrete
• HVAC preventive maintenance
• Mechanical equipment
• Roof repair
• Painting
• Fencing
• A&E engineering
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CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
• Cellular services
• Electrical services
• Employee benefits
• Janitorial services
• Roof consulting
• Security cameras
8. Pending litigation
There is no pending or previous litigation over the past five (5) years related to your firm's work.
9. Total project costs
The project costs are based upon the project tasks and timeline detailed in Section 5 of this proposal and
Calyptus'knowledge and experience. The price below of$277,000 is a not-to-exceed amount.The price
proposal below presents the expected level of effort per task in RFP and the respective hourly billing rates
of the key personnel,details for whom are provided in the non-pricing narrative.
Dr.Harris,PM Analyst
Tasks #Hours Rate #Hours Rate Total$
1.a. Prepare and process loan and grant
applications 120 $150 160 $125 $38,000
1.b. Prepare and process CDBG and HOME
program plans 80 $150 160 $125 $32,000
1.c.Conduct monitoring 160 $150 240 $125 $54,000
1.d. Prepare and process programmatic and
fiscal reports 40 $150 80 $125 $16,000
2.a.Assist in data gathering and analysis 40 $150 64 $125 $14,000
2.b.Conduct public hearings 60 $150 80 $125 $19,000
2.c. Evaluate the design and
implementation of grant-support programs 120 $150 80 $125 $28,000
2.d. Prepare pertinent policy
recommendations 80 $150 80 $125 $22,000
2.e. Implement programmatic activities as
needed 160 $150 240 $125 $54,000
GRAND TOTA L $277,000
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
ATTACHMENT A: Sample Subrecipient Monitoring Program
Ca lyptus has worked with severa I Federal funding recipients to develop subrecipient monitoring programs
and tools.We have included here a sample of materials developed for the Orange County Transportation
Authority, including their procedures guide, needs/risk assessment questionnaire, the review guide
checklist,and procurement checklist.
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lirSV City of Rosemead
CALYPTTJS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
a. Subrecipient Monitoring Procedures Guide,Table of Contents
Contents
1. Introduction and Purpose 1
2.Scope and Applicability 1
3.Subrecipient Definition 1
4.Assessing Monitoring Need and Developing The Monitoring Plan 2
5. Monitoring Process 5
5.1 Subrecipient Identification and Initial Monitoring Needs Assessment 6
5.2 Elaboration of FTA Requirements and Subrecipient Guidelines 7
5.3 Subrecipient Funding Agreement Execution 7
i) Pre-Award Review 7
ii) Entity Information 8
5.4 Ongoing FTA Subrecipient Monitoring 8
i) Active SAM Registries 8
i) Quarterly Reporting 8
i) Invoice Reviews 9
5.5 Formal Compliance Reviews 10
i) Review of Submitted Documents 15
ii) On-Site Review 16
iv) Corrective Action Monitoring 19
5.6 Closeout Reviews 19
6.Oversight after grant closeout 20
7.Ongoing Capital Project Oversight 21
8. Roles and responsibilities 22
9. References to Legislative and Regulatory Documents(or as revised) 27
10. Definitions 27
11.Appendices 28
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City of Rosemead
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Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
e. Su brecipient Monitoring Needs Assessment Questionnaire
This Monitoring Needs Assessment has been developed to determine the appropriate level of
monitoring for each FTA subrecipient subaward.
This form should be completed by the project manager at the start ofthe award cycle when FTA
subrecipients are identified, before any funding agreements are made,and then at least annually
thereafter.The assessmentshould be revised in the event of significant changes tothe subaward or
subrecipient operation. Information may need to be requested from the subrecipient directly. The
Excel 'FTASubrecipient Monitoring Needs Assessment'tool can be used to document the scores and
calculate the level of monitoring needed.
The level of monitoring needed will influence the approach and frequency of OCTA monitoring
activity. The project manager should send the Subrecipient Monitoring Needs Assessment tothe
Government Relations Division and agree on any amendments to the Subrecipient Monitoring Plan.
Instructions:
Each question is multiple choice,with a different score(1, 3,5) for each answer option. Complete all
questions and calculate the total sore of all answers.The total score indicates the level of
monitoring needed (high,medium or low) for the subrecipient subaward.This is outlined on the last
page of the assessment. Particular responsesto certain questions lead to an automatic'High'score.
These are highlighted in red and identified with(*).
Where a question is N/A for the subrecipient or subaward,score one (1).New or potential
subrecipients may score one (1) in a number of areas as they have no proven record in reporting,
FTA compliance and Federal Cost Principles.
I. Project Complexity/Technical Capacity
1.What is the duration of the project?
0-12 months 1
12-24 months 3
25 months and over H ``-5 ,`y ''
Comments:
2. How many phases does the project have?
One phase 1
Some phases 3
Many phases
Comments:
3. How many contractors and/or subcontractors are involved in the project?
One contractor 1
Some contractors and subcontractors 3
Many contractors and subcontractors
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Comments:
4. Complexity of the business environment or program funding/match requirements:
Simple program requirements and operations environment 1
Moderately complex program requirements and operations environment 3
Complex operations environment and program requirements ,, _ :1
Comments:
5. Has the project experienced changes in scope and schedule?
No changes 1
A few minor changes in scope and schedule 3
Many changes in scope and/or schedule ":5 '
Comments:
6.Type of project
All projects except those listed below 1
Large construction, Environmental,Coordinate with railroad; _r
Design-build projects, Large BRT, New or Small Starts
Comments:
II. General Assessment
1. Subrecipient experience delivering an FTA Funded Subaward:*
5+years 1
1-4 years j 3
•
No previous experience as FTA subrecipient or recipient* kl•, I A:110 5+fir
Comments:
2. Management or staff turnover or reorganization that affects this project or program:
No turnover or reorganization 1
Little turnover or reorganization l 3
Significant turnover or reorganization 7 :5 � r `.
Comments:
3. Experience of staff and management assigned to the program:
5+years/funding cycles 1
2-5 years/funding cycles ' 3
Less than 2 years/funding cycles • . b
Comments:
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
4.Su brecipient timeliness in documentsubmission:*
Applications,Amendments, Close-out
Fiscal or Financial Reporting,Budgets/Revisions
Monitoring document requests,Quarterly Reports
Single audits and corrective action(if applicable)
On time submission of all documents 1
Ra rely late or sometimes late on some documents 3
Consistently late on some or all documents*
Comments:
5. Subrecipienttimely response to program/fiscal questions:
Always timely in response 1
Sometimes late in response � 3
Consistently late in response ( a
Comments:
6. Effective written procedures and controls for this program:
Formal/Written and Distributed to Employees 1
Informal and Formal Policies and Controls 3
No or only informal Policies or Controls nx
Comments:
7. Operates a fixed route service
Substantial experience 1
Some experience 3
Little to new experience
Comments:
8. Civil rights
Has all plans written and endorsed/approved 1
Has some plans written and endorsed, some have questionable status 3
Has few civil rights plans written and approved/endorsed
Comments:
9. Operates a Paratransit or Demand Response
Substantial experience 1
Some experience 3
Little to new experience . ; +
Comments:
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
10. Outsources transit services
Has a written oversight plan 1
Has an informal and partially written plan f 3
Has only an informal unwritten plan
Comments:
III.Overall Financial Assessment
1.Variations between expenditures and budget:
No variations 1
Small variations 3
;5 -
,may
Large and frequent variations �:��„ =� ��_
Comments:
2. Su brecipient amount of budget carryover year to year:
No carryover 1
Small amount of carryover 3
Large amount of carryover _ 1
Comments:
3. Difficulty meeting match requirements:
Always meets match requirements(No difficulty) 1
Meets match requirements most of the time(Some difficulty) 3
Consistently has difficulty meeting match requirements '' 5 i
Comments:
IIV. Legal Assessment
1. Does the subrecipient have or previously had a lawsuit(s)filed against them?(Obtain all
necessary documentation if answer is yes)
No previous or current lawsuits 1
Has previously had a lawsuit 3
5 .'
Has a lawsuit TAN41.5*.: .44-;'•11
Comments:
2.Su brecipient staffthat have been jailed,convicted of a felony or are currently under criminal
investigation:
No staffjailed, convicted or currently under criminal investigation 1
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CALYPTTJS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Has staffthat has been jailed, convicted or is currently under criminal
investigation p o.:44 *tea
Comments:
V. Monitoring/Audit Assessment
1. Have there been material Audit findings from the Single Audit orany other Internal Audit:*
No material findings 1
Some findings,not material 3
Has material findings*
Comments:
2. Have there been any previous audit findings(i.e.other comprehensive audit,InternalAudit)?*
No material findings 1
Some findings,not material 3
Has materialfindings* t„ ; ", M4,4
Comments:
3. Has the subrecipient been debarred orsuspended or been on restricted drawdown? If so,
when?*
Never debarred or suspended, restricted 1
•
Has been debarred or suspended,restricted*
Comments:
4. Corrective Action Plans(CAP)and Resolution(Obtain copy)
No outstanding CAPs past or current 1
Has had CAPs but some have been resolved on time 3
Has CAPs and most are not resolved on time
Comments
VI. Financial Systems Assessment
1. Does the sub-recipient have a financial management system and procedures in place to track and
record program expenditures(Examples:QuickBooks, Visual Bookkeeper,Peachtree,or a Customer
ProprietarySystem)*
Yes,has financial management system in place; Has procedures covering 1
allowability of costs and timeliness of disbursements
No integrated financial management system or procedures in place*
Comments:
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
2. Does the accounting system identify the receipts,time and expenditures specific to award funds,
as well as the award funded project?
Accounting system identifies receipts,time and expenses of program 1
funds separately for each award fund and each award funded project
Accounting system identifies receipts,time and expenses of program 3
funds but does not separate for both award funds and projects
Accounting system does not identify receipts,time and expenditures of
program funds
Comments:
3. Does the sub-recipient have a time and accounting system to track time and expenditures by cost
objective?
Yes,subrecipient has a time and accounting system to tracktime and 1
expenditures by cost objective
Subrecipient has a time and accounting system but does not tracktime 3
and expenditures by cost objective
Subrecipient does not have a time and accounting system to track time
and expenditures
Comments:
Once assessment is complete,total the scores to determine the Risk level using the table below.
Su brecipient Questionnaire Score Monitoring Need Total of score
Less than 30 Low
31 to 60 Medium
Greaterthan 60 N
MI
Automatic High Level,regard less of overall score
A score of 5 on any of the following questions -
Section II Q 1 or 4,Section V Qs 1, 2,and 3,Section VI,
Q1
• No previous experience as FTA subrecipient
• Consistently late on some or all document
reporting
• Material Findings from previous audits
• Drawdown or invoicing restrictions
• No financial management systems in place
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cdeV City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CD BG Programs
f. Su brecipient Compliance Review Guide
FTA Subrecipient ReviewGuide
Contents
Financial Management and Financial Capacity 45
Legal 49
Technical Capacity 50
Maintenance 55
Americans with Disabilities Act 59
Title VI 64
Procurement 68
Disadvantaged Business Enterprise 76
Satisfactory Continuing Control 79
Planning/Program of Projects 83
Public Comment 85
Half Fare 86
Charter Bus 88
School Bus 89
Drug-Free Workplace/Drug and Alcohol Program 90
Transit Asset Management 97
Equal Employment Opportunity 98
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City of Rosemead
CALYPTTJS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
a. Financial Management and Financial Capacity
Applicability:All Subrecipients
If option is red&underlined,see finding and corrective action.
Document#1:Written financial policies and Finding&Corrective action Comments
procedures
1. Does the subrecipient o Yes ❑ No No written financial policies
have financial policies and procedures
and procedures that
include coverage of
allowability of funds and Subrecipient must document
timely disbursement of its financial functions in
funds? written policies and
procedures.
a. If yes,do procedures o Yes ❑ No No process/procedure for
address preparation of comparing actual expenses to
reports that compare budget
actual expenses against
budgets?
Direct subrecipient to
document variance analysis its
financial functions in written
policies and procedures
Document#2,#3,and#6:Audited financial Finding&Corrective action Comments
statements for the past three years and
comprehensive annual financial report
(CAFR);Single Audits
2. Does the subrecipient ❑Yes ❑No Annual audit not conducted
have audited financial
statements for the past
three years? Direct subrecipient to have
annual audits conducted
3. Does the subrecipient o Yes ❑ No Single audit submissions
have Single Audit Report deficient
management letter
comments for the past
three years? Direct subrecipient to submit
single audits, management
letter comments,and with a
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fearl City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
process to ensure that future
submissions are completed
4. Does the subrecipient ❑Yes ❑No CAFR not conducted
have a Comprehensive
Annual Financial Report
(CAFR)? Direct the subrecipient to
develop a CAFR as a standard
practice
a. If yes to 2),3) or 4) ❑Yes ❑No N/A
Were there any audit
findings?
b. If yes to a) ❑Yes ❑ No Subrecipient had audit
Did subrecipient submit a findings but did not formally
management letter to notify OCTA.
OCTA?
Direct subrecipient to submit
single audits,management
letter comments,and with a
process to ensure that future
submissions are completed
Document#4:OIG or GAO audit reports with Finding&Corrective action Comments
findings relating to FTA
5. Does the subrecipient ❑Yes N/A N/A
have OIG or GAO audit
reports with findings
relating to FTA?
a. If yes:Did subrecipient ❑Yes ❑No Unresolved OIG or GAO audit
resolve/close the audit findings
findings?
b. Does the GAO note any ❑Yes ❑ No
issues related to financial Subrecipient must submit
management or capacity? evidence of the resolution of
all outstanding review
deficiencies by the GAO,OIG
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
and/or any other local or state
audits.
Document#6:Three to five year capital and Finding&Corrective action Comments
operating financial plan
6. Does the subrecipient o Yes ❑No No existing financial plan
have a three to five year
capital and operating
financial plan? Subrecipient must submit a
multi-year financial plan
a. If yes: Does the capital o Yes ❑ No Financial plan lacks required
and operating financial details
plan project the required
number of years?
b. Does the plan show o Yes ❑No Subrecipient must submit a
operating and capital multi-year financial plan
revenues and expenses?
Document#8:Documentation of matching Finding and Corrective Action Comments
funds
7. Does the subrecipient o Yes ❑ No Ineligible local match
have a documentation of
matching funds?
Subrecipient must provide
documentation that the funds
it uses for local match are
eligible(including any
volunteer or in-kind services)
and establish procedures for
drawdowns/invoicing to
demonstrate appropriate use
of FTA versus matching funds
a. If yes: Are revenue ❑Yes ❑ No Match funding is not secure or
sources stable and in-kind contributions are
reliable enough to meet insufficiently documented
future operational and
routine capital costs?
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/40 City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
b. If matched funding is o Yes ❑No Subrecipient must provide
through in-kind documentation that the funds
contributions: a)has the it uses for local match are
value been documented eligible(including volunteer or
and supported, b) does in kind services)and establish
the cost represent a cost procedures for
that would otherwise be
drawdowns/invoicing to
eligible under the
program,and c)are the demonstrate appropriate use
in-kind costs included in of FTA versus matching funds.
the new project costs in
the project budget?
If the subrecipient charges indirect costs:
Document#7:Cost allocation plan and Finding&Corrective Action Comments
cognizant agency correspondence/approval
8. Does the subrecipient o Yes ❑ No Cost allocation plan
have a Cost allocation deficiencies
plan and cognizant
agency correspondence/
approval? Subrecipient must obtain
cognizant agency*approval of
the CAP and provide
procedures for updating and
submitting the plan annually
a. If yes:Did subrecipient o Yes ❑No CAP not approved or not up to
submit its CAP for date.
approval to cognizant
agency?
b. Has subrecipient updated ❑Yes o No Subrecipient must obtain
plan annually and cognizant agency a pproval of
retained it for audit the CAP and provide
and/or updated that plan procedures for updating and
if required? submitting the plan annually
*The cognizant agency is that which provides the largest amount of federal funds to the subrecipient
Page ! 48
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Legal
Applicability:All Subrecipients
If option is red&underlined,see finding and corrective action.
Document 1: Disclosure documentation Finding and Corrective Comments
Action
1. Does the subrecipient ❑Yes ❑ No Lobbying disclosure issue
have documentation that
proper disclosures have
been made and filed with Subrecipient must submit
the subrecipient on the documentation as required
OMB Standard Form LLL? and develop and/or
document the process to
ensure timely reporting in
the future
2. Does the recipient ❑Yes ❑ No Notification
include clauses in its
third party and
subrecipient agreements Ensure that the clause is
that require notification included in the subrecipient
of any legal matter that agreement
may affect the Federal
government?
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Technical Capacity
Applicability: All Subrecipients
If option is red&underlined,see finding and corrective action.
Document#1:Award administration procedures, Finding and Corrective Comments
if written a ction
1. Does the subrecipient have o Yes ❑No No written award
written award administration administration policies
procedures? and procedures
Subrecipient must submit
documented award
administration
procedures
Document#2 and#3:Award closeout schedule Finding and Corrective Comments
and list of subawards with 95%expenditures action
complete
2. Does the subrecipient have a ❑Yes ❑ No Inactive awards/untimely
list of any subawards with 95% closeouts tie to the lack of
expenditures complete? procedures as well
a. If Yes:Does the subrecipient ❑Yes o No
have a large number of awards
that should potentially be Direct subrecipient to
closed out? submit procedures for
I. Are any award 100% spending older funds
disbursed? first,tracking projects,
II. Have any award been identifying project
obligated more than three balances,reprogramming
years ago and have not the unused project funds
had a disbursement in the
past 12 months? to other projects,or
b. Does the subrecipient have an o Yes ❑ No closing out the projects.
award close out schedule that
contains:
I. Final Financial Report
II. Final budget revision
reflecting project cost by
scope and activity
III. Final narrative
milestone/progress report
including a discussion of
each activity line item
contained in the final
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Aggi City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
budget
IV. A list of equipment
purchased under the
subaward
V. Request to deobligate any
unexpended balance of
Federal funds as applicable
Document#3:Force account plans/justifications/ Finding and Corrective Comments
approvals(if force account work over$100,000) a ction
3. Does the subrecipient have ❑Yes ❑ No Lacking force account
force accounts plans/ plan/required
justifications/approvals? justification
a. If yes:Does the plan include a ❑Yes ❑No
justification for using force
account work including one of Direct subrecipient to
the four conditions: develop and submit a
I. Cost savings force account plan and
II. Exclusive expertise justification as detailed in
III. Safety and efficiency of FTA Circular 5010.D for
operations use of its own workforce
IV. Union agreement on capital improvement
b. If force account work is over o Yes o No
$10 Million, has FTA approval projects and procedures
been given? for developing force
account plans when
required.
Document#4:Quarterly reportingdocuments Finding and Corrective Comments
(MPR/FFR inputs) action
4. Does the subrecipient have ❑Yes ❑No Late or incomplete
Quarterly reporting quarterly reporting
documents (MPR/FFR inputs)? documents
a. If yes:Has the subrecipient o Yes o No
missed any required quarterly Subrecipient must submit
reports? delinquent reports for
b. Do the subrecipient's quarterly ❑Yes o No
financial reports include: the most recent period
I. Cash on hand at the and procedures for
beginning of the period submitting reports with
II. Cash receipts all required information
III. Cash disbursed on time.
IV. OCTA share of
expenditures
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tegrO City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Profess iona I Services for Administration of Home/CDBG Programs
V. Subrecipient share of
expenditure
VI. Unliquidated obligations
Applicability: If subrecipient is using contractors,transit management or service contractors
Document#6:Oversight procedures for Finding and Corrective Comments
contractors action
5. Does the subrecipient have o Yes ❑ No
oversight procedures for Inadequate oversight of
contractors? third part
a. If yes:Has subrecipient ❑Yes ❑No contractor/lessees
reviewed documentation to Subrecipient must submit
ensure that contractors meet procedures and a staffing
all statutory and program plan to monitor other
requirements?
❑Yes ❑ No entities with
b. Does subrecipient have a responsibility for meeting
system/procedures/mechanis FTA requirements.
m in place to monitor
contractors?
Note:Systems may include
applications/requests for
proposals, monthly quarterly or
annual reports,meetings,site
visits, and vehicle/facility
inspections.
Applicability: If the subrecipient is working on a capital project
Document#5:Procedures for technical Finding and Corrective Comments
inspection/supervision of capital projects action
6. Does the subrecipient have ❑Yes ❑No
procedures for technical No proceduresfor
inspection/supervision of the technical
capital project? inspection/supervision of
a. If yes:Do the procedures ❑Yes ❑ No work in progress
provide for continuous The subrecipient must
progress monitoring of the
capital project? submit project
b. Do any of the subrecipient's ❑Yes ❑ No management procedures
monthly progress reports for existing or future
indicate unexplained capital projects to address
project delays? deficiencies identified.
Subrecipient oversight of
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
capital project lacking
The subrecipient must
submit explanationsfor
any capital project delays
and submit project
management procedures
for existing or future
projects to address
deficiencies identified
On site Visit Document Review
Applicability: If the subrecipient is working on a construction project
Document#1:Construction logs and diaries Finding and Corrective Comments
action
1. Do the construction logs and/ o Yes ❑No
or diaries match against Subrecipient oversight of
certified payrolls,and show contractors lacking.Not
compliance to David Bacon complying with David
requirements Bacon Requirements.
The subrecipient should
immediatelysuspend any
payment to contractors
that are not in
compliance and seek
advice from OCTA/FTA
regarding further
enforcement required.
Document#2:Davis Bacon Wage rate posters on Finding and Corrective Comments
site action
2. Is the Davis Bacon wage rate o Yes ❑ No
poster in a prominent and Subrecipientoversightof
accessible place where it may contractors lacking.Not
be easily seen by employees? complying with David
Bacon Requirements.
The subrecipient should
submit evidence that
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
wage rate poster is
displayed correctly.
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Maintenance
Applicability: All Subrecipients with FTA funded rolling stockor FTA funded facilities
If option is red&underlined,see finding and corrective action. Put N/A where not applicable
Document#2:Maintenance Plans Finding and Corrective action Comments
- Vehicles
- Facilities and Equipment
1. Does the subrecipient ❑Yes ❑No No vehicle maintenance plan
have a vehicle
maintenance plan (if Direct subrecipient to submit
applicable)? a new or revised maintenance
plan/program and evidence
that it has been implemented.
2. Does the subrecipient ❑Yes ❑No Facility/equipment
have a Facilities and maintenance program lacking
Equipment maintenance or inadequate
plan (if applicable)?
Direct subrecipient to submit
a new or revised maintenance
plan/program and evidence
that it has been implemented.
a. If Yes to 1 or 2: Does the ❑Yes ❑ No Vehicle or facility/equipment
subrecipient's vehicle and maintenance plan lacking or
facility/equipment inadequate
maintenance plans
include the following Direct subrecipient to submit
items: a new or revised maintenance
I. System of periodic
inspections plan/program and evidence
performed at certain that it has been implemented.
defined intervals
II. Vehicle specific
preventive
maintenance
activities(updated
with addition of new
vehicles in the fleet)
III. Preventive
maintenance
activities for facilities
and equipment.
Document#3:Manufacturer's Finding and Corrective action Comments
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
recommended preventive maintenance
schedules for vehicles,equipment,and
facilities
3. Does the subrecipient ❑Yes ❑No Vehicle/facility/equipment
have manufacturer's maintenance program lacking
recommended or inadequate
preventive maintenance
schedules for vehicles, Direct subrecipient to submit
equipment, and a new or revised maintenance
facilities?
plan/program and evidence
that it has been implemented.
Document#4 List of vehicles and equipment Finding and Corrective action Comments
under warranty
4. Does the subrecipient ❑Yes ❑ No Warranty claims not pursued
have a list of vehicles and effectively
equipment under
warranty Subrecipient must submit a
a. If yes: Does subrecipient ❑Yes ❑ No written system for managing
have a system for
identifying warranty warranty claims with a plan
claims,recording claims, for implementation.
and enforcing claims
against manufacturers?
Note:Review vehicle and
equipment records and files
for the program to assess
how timely and aggressive
the subrecipient has been in
pursuing and collecting
warranty claims.
Applicability: If the subrecipient has contractors undertaking maintenance activities
Docu ment#5 Contractor oversight Finding and Corrective action Comments
procedures
5. Does the subrecipient ❑Yes ❑ No Inadequate oversight of
have contractor oversight contracted maintenance
procedures activities
a. If yes: Does subrecipient ❑Yes ❑ No
have procedures and/or a Subrecipient must submit a
mechanism to monitor
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
contractor's maintenance written maintenance plan and
activities? an amended agreement,
contract,or lease
incorporating the plan that
includes maintenance
standards compatible with
FTA requirements and/or the
performance measures for
timely maintenance.
On site Visit Document Review
Does the subredpient have the following Finding and Corrective Action Comments
documents?
1. PM inspection records: a Yes ❑No Late vehicle preventive
vehicles maintenance
For review of vehicles,
facilities,and equipment,
preventative maintenance Direct subrecipient to submit
must be performed on time procedures for completing
at least 80%of the time. preventive maintenance on
Under 80%on time time.Subrecipient must submit
performance should lead to a monthly report signed by the
finding and corrective chief executive officer or other
action. senior management designee
on its preventive maintenance
results until the data
demonstrate it has conducted
at least 80 percent of its
preventive maintenance on
time.
2. PM inspection records: ❑Yes ❑ No Late facility/equipment
facilities/equipment maintenance
For review of vehicles,
facilities,and equipment,
preventative maintenance Subrecipient must submit
must be performed on time procedures for completing
at least 80%of the time. preventive maintenance
Under 80%on time inspections on time. For the
performance should lead to item examined,direct the
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461015 City of Rosemead
CALYPTTJS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
finding and corrective subrecipient to submit a
action. monthly report signed by the
chief executive officer or other
senior management designee
on its preventive maintenance
results until the data
demonstrates it has conducted
at least 80 percent of its
preventive maintenance on
time for three consecutive
months.
3. PM inspection records: ❑Yes ❑ No Violation of procedures to
ADA accessibility ensure maintenance of
features accessible features
Subrecipient must submit an
updated maintenance program
for accessibility features.
4. Procedure for warranty ❑Yes ❑ No Warranty claims not pursued
claims effectively
Subrecipient must submit a
written system for managing
warranty claims with a plan for
implementation.
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City of Rosemead
CALYPTTJS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Americans with Disabilities Act
Applicability: All subrecipients that
- Have FTA funded facilities,or
- Operate fixed route services,or
- Operate demand response
Where document not applicable to service/facilities provided state N/A
If option in red&underlined,see finding and corrective action.
Document#1:Operating policies for service Finding and Corrective Comments
persons with disabilities Fixed Route Service action
1. Does the subrecipient ❑Yes ❑ No ADA service provision
have operating policies deficiencies
for providing service to Subrecipient must
persons with disabilities document policies and
procedures to include all
required service provisions.
a. If Yes: Do procedures ❑Yes ❑ No ADA service provision
address stop deficiencies
announcements for fixed
route service at transfer
Direct subrecipient to
points, major
intersections,destination document that policies have
points, intervals along the been revised and required
route to orient service provisions have been
passengers,and any stop implemented.
upon request?
b. Do the procedures ❑Yes ❑ No
address the means by
which an individual with a
visual impairment or
other disability waiting at
a stop can identify the
route on which he or she
wa nts to travel when
more than one route
serves a stop?
c. Do the procedures o Yes ❑ No
address maintaining
accessibility features in
operative condition?
d. Do the procedures ❑Yes ❑ No
address the conditions
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under which the entity
must ask persons to
move in order to allow
the individual with a
disability to occupy the
seat or securement
location?
e. Do the procedures ❑Yes ❑ No
prohibit the subrecipient
from setting weight or
size limitations on
wheelchairs it will
transport that understate
the weight capacitythat
the vehicle fleet can
actually accommodate?
f. Do the procedures o Yes ❑ No
require the subrecipient
to permit a passenger
who uses a lift or rampto
board or disembarkfrom
a vehicle at any
designated stop unless
the lift or ramp cannot be
deployed?
g. Do the procedures ❑Yes ❑ No
prohibit the subrecipient
from denying service to
individuals using
respirators,
concentrators,or
portable oxygen?
h. Do the procedures o Yes ❑ No
require that adequate
time be given for
individuals with
disabilities to board or
disembark a vehicle?
Document#2 ADA complementaryparatransit Finding and Corrective Comments
eligibility application materials and eligibility& action
appeal decision letters
2. Does the subrecipient ❑Yes ❑ No Improper ADA
have ADA complementary paratransit
complementary determination process
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paratransit eligibility Subrecipient must submit
application materials and procedures for its eligibility
eligibility&appeal determinations and appeals
decision letters?
process
a. If Yes:Do eligibility ❑Yes ❑ No Improper ADA
application materials complementary paratransit
indicate that applications determination process
must be processed within
21 calendar days of Direct subrecipient to
submittal?
b. Do eligibility application ❑Yes ❑ No submit revised procedures
materials indicate that for its eligibility
applicants will be given a determinations and/or
written reason for the appeals process to meet the
determination to deny regulatory requirements.
the application?
c. Do eligibility decisions ❑Yes ❑ No
letters provide
information on the
appeals process?
d. Does the appeals process ❑Yes ❑ No
indicate that should the
appeals process exceed
30 days, paratransit
service must be provided
from that time until a
decision to deny the
appeal is issued?
e. Does the subrecipient ❑Yes ❑ No
have a visitor's policy,
that includes allowance
for apparent disability
and requests are
processed expeditiously
(same day or one day
later)?
Document#3 ADA Complementary paratransit Finding and Corrective Comments
service performance data action
3. Does the subrecipient ❑Yes ❑ No Capacity Constraints
have data such as trip Subrecipient have a
denial rate,on-time monitoring program to
performance rate, review its capacity to meet
number of missed trips,
the 100%next day
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and number of availability requirement
excessively long trips for
ADA complementary
pa ratransit service for
the current year?
a. If Yes:Do the data Li Yes ❑ No Pattern or practice issues
indicate a pattern or Subrecipient must submit a
practice of trip denials, plan to increase capacity or
untimely pickups, missed take measures to reduce
trips,or excessively long
demand.
trips?
Document#4 Operating policies regarding ADA Finding and Corrective Comments
pa ratransit trip reservations and scheduling action •
4. Does the subrecipient ❑Yes ❑ No ADA service provision
have operating policies deficiencies
regarding ADA pa ratransit Subrecipient must
trip reservations and document policies and
scheduling (can be procedures to include all
combined with Document
#1) required service provisions.
a. If Yes:Are requests for ❑Yes ❑ No ADA service provision
reservations accepted deficiencies
during normal business Subrecipient must submit
hours on a "next day" documentation that it has
basis? taken immediate steps to
b. Does the subrecipient ❑Yes ❑ No
limit the number of change any operating
reservations made during policies that do not meet
a phone call? regulatory requirements.
Document#5 No-show/late cancellation policy Finding and Corrective Comments
action
5. Does the subrecipient ❑Yes ❑ No ADA service provision
have a no-show/late deficiencies
cancellation policy Subrecipient must
document policies and
procedures to include all
required service provisions
a. If Yes: Does the ❑Yes ❑ No ADA service provision
subrecipient suspend deficiencies
riders who do not Subrecipient must revise its
demonstrate a true no-show policy to only
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pattern or practice of no- suspend riders who
shows? demonstrate a true pattern
or practice of no-shows.
b. Does the subrecipient ❑Yes ❑ No ADA service provision
count no-shows not deficiencies
under the rider's control? Subrecipient must stop
counting no-shows that are
not under the rider's
control.
c. Does the subrecipient ❑Yes ❑ No ADA service provision
assess financial penalties deficiencies
for no-shows? Subrecipient must stop
assessing financial penalties
for no-shows.
d. Does the subrecipient ❑Yes ❑ No ADA service provision
allow riders to contest deficiencies
no-shows or appeal Subrecipient must allow
suspensions? riders to contest no-shows
and appeal suspensions.
Document#6 Complaint process Finding and Corrective Comments
action
6. Does the subrecipient ❑Yes ❑ No Insufficient ADA complaint
have a complaint process
process? Subrecipient must develop
and implement process for
reviewing and resolving
complaints.
a. If Yes:Is there an internal ❑Yes ❑ No Insufficient ADA complaint
procedure for reviewing process
complaints and to Subrecipient must
provide feedback to the implement a policy and
complainant? procedure for reviewing and
resolving complaints.
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Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Title VI
Applicability: All subrecipients
Note:Some documents listed below apply only to areas with over 200,000 UZA. If this is not applicable
state N/A
If option is red&underlined,see finding and corrective action.
Document#1Title VI complaint process and Finding and Corrective Comments
complaints action
1. Does the subrecipient ❑Yes ❑ No
have a Title VI program; Title VI notification
complaint process and deficiencies
complaints? Subrecipient must publish in
its Title VI notice a
description of procedures
that members of the public
shall follow in order to file a
Title VI complaint against
the subrecipient.This notice
should be included in the
subrecipient's website and
include compliant
procedures
Applicability: If a facility has been sited after October 1St,2012
Docu ment#2 Equity analysis for facility Finding and Corrective action Comments
siting
2. Does the subrecipient ❑Yes ❑No
have an Equity analysis Failure to comply with Title VI
for facility siting determination of site or location
a. If Yes:Did the ❑Yes ❑ No of facilities requirements
subrecipient complete an For facilities still in the process
equity analysis during the of siting,direct the subrecipient
planning stages of a
project that established a to meet Title VI requirements
new site? before proceeding to making a
siting decision. Subrecipient
must provide a plan for
conducting equity analysis for
facility siting for future projects.
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Document#3 Documentation of LEP Finding and Corrective Comments
Analysis/Implementation Plan/Language action
Assistance Plan
3. Does the subrecipient have ❑Yes o No
documentation of LEP Lacking a language
Analysis/Implementation assistance plan
Plan/Language Assistance Direct the subrecipient
Plan to submit a language
a. If Yes:Does the subrecipient's LEP plan include assistance plan with a
the areas of the four factor analysis below
I. the number and o Yes ❑ No completed four factor
proportion of LEP persons analysis,along with a list
served or encountered in of language assistance
the eligible service measures it has
population provided or intends to
II. the frequencywith which o Yes ❑No provide, based on the
LEP individuals come into analysis and a timeline
contact with the program for providing this
III. the nature and ❑Yes ❑No
importance to people's assistance.
lives of the program,
activity,or service
provided
IV. the resources available to ❑Yes ❑No
the recipient for LEP
outreach and the
associated costs
b. Does the subrecipient's Language Assistance
Plan (LAP) include:
I. Identification of LEP ❑Yes ❑No
individuals who need
language assistance
II. Develop language ❑Yes ❑ No
assistance measures
III. Detail how to provide o Yes ❑No
notice to LEP persons
IV. Address procedures for o Yes ❑No
monitoring
implementation and
updating the plan;and
include training of staff
Applicability: Subrecipients with over 200,000 UZA
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Document#4 Demographic data/analyses Finding and Corrective Comments
(over 200,000 UZA) action
4. Does the subrecipient ❑Yes ❑ No
have demographic Demographic data lacking
data/analyses Direct the subrecipient to
a. If Yes:Does the ❑Yes ❑ No submit documentation of
subrecipient's Title VI updated maps and overlays,
plan include demographic
the results of customer
maps and overlays,
results of customer surveys, or additional
surveys, or information information in accordance
on procedures to collect with the applicable
and analyze demographic requirements of circular FTA
data? C4702.1B.
Document#5 and#6 Service Standards and Finding and Corrective Comments
Documentation of service monitoring to action
identify disparities(over 200,000 UZA) (Applies
to Fixed Route Service)
5. Does the subrecipient ❑Yes ❑ No
have service No proceduresfor
standards/policies monitoring level or quality of
6. Does the subrecipient ❑Yes ❑ No service,and amenities
have documentation of Direct the subrecipient to
service monitoring to submit the results of an
identify disparities
a. If Yesto either 5 or 6: ❑Yes ❑ No updated monitoring
Does the subrecipient's program,consistent with
monitor the service it the procedures in FTA C
provides to identify any 4702.1B.
disparities in the level
and quality of service
provided to different
demographic groups and
amenities?
Document#7:Documentation of equity Finding and Corrective Comments
analysis for fare or service changes (over action
200,000 UZA) (For Fixed Route Service)
7. Does the subrecipient ❑Yes ❑ No
have Documentation of Impact of fare and/or
equity analysis for fare service changes not
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or service changes adequately documented
a. If Yes:Hasthe ❑Yes ❑ No
subrecipient completed Direct the subrecipient to
an equity analysis for submit to procedures for
recent fare or service major service change policy,
changes? disparate impact policy, or
disproportionate burden
policy, and/or procedures to
implement these policies.
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CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Procurement
Applicability: All Subrecipients
If option is red&underlined,see finding and corrective action.
Document#1:Written procurement Finding and Corrective action Comments
policies and procedures
1. Does the ❑Yes ❑ No
subrecipient have Procurement policies and
written procedures not evident
procurement Subrecipient must develop
policies and procurement procedures that
procedures
address the requirements listed
in 4220.1F but must include
coverage on including
specifications in solicitations and
how bids and proposals will be
evaluated
If Yes: do the procedures include the following?
Corrective Action for any deficiency:Direct subrecipient to submit updated
procedures with the required information
❑Yes ❑ No
a. Written protest procedures
The subrecipient has written protest procedures to handle
and resolve disputes relating to their procurements. These
procedures require the following:
• In all instances involving FTA funds the subrecipient
must disclose information regarding the protest to
OCTA,and keep OCTA informed about the status of
the protest,
• All protest decisions must be in writing,and
• A protester must exhaust all administrative
remedies with the subrecipient before pursuing a
protest with FTA.
❑Yes ❑ No
b. Standards of conduct
The subrecipient has a written code of standards of conduct
which provides that no employee, officer, agent,immediate
family member, or Board member of the subrecipient shall
participate in the selection,award,or administration of a
contract supported by FTA funds if a conflict of interest,
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real or apparent,would be involved. The subrecipient
defines such a conflict to be when any of the following has
a financial or other interest in the firm selected for award:
• The employee, officer, agent,or Board member,
• Any member of his/her immediate family,
• His or her partner,or
• An organization that employs, or is about to
employ, any of the above.
The subrecipients code of conduct also provides that its
officers,employees,agents,or Board members will neither
solicit nor accept gifts,gratuities,favors,or anything of
monetary value from contractors,potential contractors,or
parties to subagreements and contains penalties,sanctions,
or other disciplinary action for violation of such standards
by the subrecipient's officers, employees,or agents,or by
contractors or their agents.
❑Yes ❑No
c. Requirements for full and open competition
All procurement transactions will be conducted in a manner
providing full and open competition.
❑Yes ❑No
d. Requirements for responsibility determination
Make awards only to responsible contractors possessing
the ability to perform successfully under the terms and
conditions of a proposed procurement. Consideration shall
be given to contractor integrity,compliance with public
policy, record of past performance,and financial and
technical resources. Undertake a System for Award
Management check(www.SAM.gov)
❑Yes ❑ No
e. Requirements for maintaining a written record of the
procurement history
At a minimum, these records shall include:
• The rationale for the method of procurement,
• Selection of contract type
• Reasons for contractor selection or rejection,and
The basis for the contract price.
❑Yes ❑ No
f. Coverage of Time and Materials type contracts
Requirement that"Time and Materials Type Contracts"
may only be used:
• After a determination that no other type of
contract is suitable,and
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City of Rosemead
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• If the contract specifies a ceiling price that the
contractor shall not exceed except at its own risk.
❑Yes ❑ No
g. Contract term limitation for rolling stock
Contract term limitation for rolling stock and replacement
parts shall not exceed the recipient's needs for rolling stock
and replacement parts within five (5)years inclusive of
options without prior written FTA approval when FTA funds
are involved. For all other types of contracts,the contract
file contains evidence that the contract term is based upon
sound business judgment.
❑Yes ❑ No
h. Requirements for A&E procurements
The Brooks Act procedures apply and may only be used
when procuring A&E services:
• Evaluate qualifications excluding price as a factor,
• Negotiate only with the most qualified offeror, and
• Failing agreement on price,negotiate with the next
most qualified offeror until agreement is reached
on a price that is determined to be fair and
reasonable.
❑Yes ❑No
i. Requirements for micro purchases($3,000 or less)
• Competition not required
• Must document determination that price is fair and
reasonable and how the determination was derived
• Prohibit splitting of procurements to avoid
competition, and
• When competition is not obtained, require
equitable distribution among qualified suppliers
❑Yes ❑No
j. Requirements for small purchases(for FTA funded
purchases the threshold may range from$3,000 to
$100,000):
• Must obtain price or rate quotations from an
adequate number of qualified sources,and
• Document file that price is fair and reasonable.
❑Yes ❑ No
k. Requirements for Sealed Bids(IFB)
• Defines conditions for sealed bids
• Requires public advertising
• Must allow sufficient time to prepare bids prior to
bid opening
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• Award must be made to thelowest responsive and
responsible bidder, and
• Must document sound business reason if any or all
bids are rejected.
❑Yes ❑No
I. Requirements for request for proposals
• Requests for proposals will be publicized. All
evaluation factors will be identified along with their
relative importance;
• Proposals will be solicited from an adequate
number of qualified sources;
• Subrecipients will have a method in place for
conducting technical evaluations of the proposals
received and for selecting awardees;
• Awards will be made to the responsible firm whose
proposal is most advantageous to the
subrecipient's program with price and other factors
considered; and
In determining which proposal is most advantageous,
subrecipients may award(if consistent with State law)to
the proposer whose proposals offer the greatest business
value to the Agency based upon an analysis of a tradeoff of
qualitative technical factors and price/cost to derive which
proposal represents the"best value"to the Procuring
Agency as defined in 4220.1F, I,5. b., Definitions. If the
subrecipient elects to use the best value selection method
as the basis for award,however,the solicitation must
contain language that establishes that an award will be
made on a "best value" basis.
m. Requirements for sole source procurements ❑Yes ❑No
• Infeasible to use small purchase,sealed bid, or
competitive procedures,and
(a) Item is available only from one source,
(b) The public exigency or emergencyfor the
requirement will not permit a delay resulting from
competitive solicitation,
(c) FTA authorizes noncompetitive negotiations,
(d) After solicitation of a number of sources,
competition is determined inadequate,or Cost and
profit analysis are required.
❑Yes ❑No
n. Prohibition on geographic preference
Except when procuring A&E services,prohibits the use of
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statutorily or administratively imposed in-State or local
geographical preferences in the evaluation of bids or
proposals unless Federal statutes expressly mandate or
encourage geographic preference.
❑Yes ❑No
o. Requirements for using brand name or equal
specifications
• Only when an adequate specification cannot be
provided without performing an inspection and
analysis in time for the acquisition under
consideration,and
• Minimum needs are carefully identified and those
salient physical and functional characteristicsofthe
brand name product are clearly set forth in the
solicitation.
❑Yes ❑ No
p. Requirements for the use of options
• Option quantities must be evaluated to determine
contract award,and
• When exercising options,ensure it is in accordance
with the contract and that the price is better than
prices available in the market or is more
advantageous at the time the option is exercised.
❑Yes ❑No
q. Requirements for Independent Cost Estimates
Must make independent cost or price estimates before
receiving bids or proposals.
❑Yes ❑ No
r. Requirements for Cost and Price Analysis
Must perform cost and profit analysis when adequate price
competition is lacking
❑Yes ❑ No
s. Coverage of the use of progress payments
Progress payments may only be made on the basis of costs
incurred (or, in the case of construction contracts only, on
the basis of percent of completion)and the subrecipient
must obtain adequate security for which progress
payments are made. Adequate security may include taking
title,letters of credit or equivalent means to protect the
subrecipients interest.
Document#2:ContractAd ministration System Finding and Corrective Comments
Procedures action
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2. Does the subrecipient ❑Yes ❑ No No contract administration
have Contract system
Administration System Subrecipient must develop
Procedures,including for procedures for ensuring
change orders contractors perform
according to the terms and
conditions of their
contracts
a. If Yes:Do the procedures ❑Yes ❑ No Contract administration
provide guidance for system lacking
ensuring that third party Direct subrecipient to
contractors perform in submit procedures for
accordance with the administering contracts.
terms,conditions, and
specifications of their
contracts or purchase
orders?
Applicability: If Subrecipient uses a prequalification system
Document#3 List of prequalification criteria(if Finding and Corrective Comments
applicable) action
3. Does the Subrecipient ❑Yes ❑ No No adequate
have a list of prequalification criteria
prequalification criteria Subrecipient must develop
(if applicable ) prequalification procedures
that address the
requirements listed in
4220.1F
a. If Yes:Do the prequalification criteria: No adequate
prequalification criteria
I. Ensure the list of ❑Yes ❑ No Direct subrecipient to
prequalified firms is submit revised procedures
kept up to date? to administer the
II. Allow bidders to ❑Yes ❑ No prequalification system.
qualify during the
solicitation period?
III. Allow for full and ❑Yes ❑ No
open competition
among prequalified
firms?
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Applicability:All Subrecipients
Document#4 List of FTA funded capital and operating procurements over Comments
the last 2 years or since the last review(whichever is most recent)
4. Has the Subrecipient ❑Yes ❑ No Note:this list is used to
provided a List of FTA develop a sample of
funded capital and procurement files for
operating procurements review at the site visit.
over the last 2 years or
since the last review
(whichever is most
recent)
On site Visit Procurement File Review
Procurement files for FTA funded capital and operating procurements will be reviewed on site using the
Procurement File Checklist. This checklist provides guidance on the requirements and applicability. It is
provided separatelyfor ease of use on site in Appendix I. One checklist should be filled in for each
procurement file reviewed. The findings from these reviews can be summarized in the below table:
a. Did the procurement files reviewed contain the following documentation:
Corrective Action:Direct subrecipient to revise procedures to address missing procurement
documentation and evidence that documentation has been properly completed in future
procurements.
Comments
Number of files reviewed:
a. Selection Procedures o Yes ❑No
b. Independent Cost Estimate o Yes ❑No
c. Cost/Price Analysis o Yes ❑No
d. Responsibility Determination ❑Yes ❑No
e. Justification for Noncompetitive Awards ❑Yes ❑No
f. No excessive bonding requirements ❑Yes ❑No
g. No exclusionary specifications ❑Yes ❑No
h. No geographic preferences ❑Yes ❑No
i. Evaluation of Options ❑Yes ❑No
j. Exercise of Options ❑Yes ❑No
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k. Lobbying Certifications Signed by ❑Yes ❑No
Contractors
I. Buy America Provisions in Solicitation, ❑Yes ❑ No
Contractors'response,or Contract
m. Time and MaterialsType Contract ❑Yes ❑No
n. Qualifications Based Procurement ❑Yes ❑No
Requirements
o. Liquidated Damages Clause ❑Yes ❑No
p. Change Order Documentation ❑Yes ❑No
q. Contract Clauses ❑Yes ❑ No
On Site Review- Buy America Compliance Buy America relates to all procurements of steel, iron, and
manufactured products, except for products with a waiver or purchases under the simplified acquisition
threshold(currently$100,000)
Document#5 Pre and Post Delivery Finding and Corrective Comments
certifications action
5. Does review of the ❑Yes ❑No Lack of signed BuyAmerica
construction area and certificationsfrom vendors
pre/post-delivery
certifications show The subrecipient must
compliance with Buy
America Requirements? provide information
documenting that the
procurement complies with
Buy America provisions
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Disadvantaged Business Enterprise
Applicability: All subrecipients with over$250K in FTA contracting opportunities(not including revenue
vehicles)
If option is red&underlined,see finding and corrective action.
Document#1:DBE Program Submitted and Finding and Corrective Comments
Approved by OCTA action
1. Does the subrecipient ❑Yes ❑ No No submitted and approved
have a DBE Program DBE program
Submitted and Approved Subrecipient must develop a
by OCTA Subrecipient DBE program that meets the
may agree to be part of
OCTA's DBE program FTA requirements
a. Does the program reflect ❑Yes ❑ No The program does not
the current organizational reflect the current
structure of the agency? organizational structure.
Direct subrecipient to
submit a revised DBE
program that reflects the
current organizational
structure.
Document#2:Goal methodology and current Finding and Corrective Comments
goal(if applicable) action
2. Does the subrecipient ❑Yes ❑No DBE goal submission not
have a goal methodology complete
and three year goal? Subrecipient must prepare a
DBE goal methodology and
establish three year DBE
goals
Document#3:DBELO job description and Finding and Corrective Comments
organizational chart showing relationship of action
DBELO
3. Does the subrecipient ❑Yes ❑ No Inadequate designation of
have a DBELO job DBE Officer
description and Subrecipient must designate
organizational chart a DBELO and ensure DBELO
showing relationship of has direct access to the
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CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
DBELO chief executive for DBE
related matters
a. Does the DBELO have ❑Yes ❑ No Inadequate designation of
direct and independent DBE Officer
access to the CEO? Direct subrecipient to
b. Does the DBELO's ❑Yes ❑ No change the DBELO
position present a conflict designation as needed.
of interest?
Document#4:DBE Uniform Reports submitted Finding and Corrective Comments
to OCTA action
4. Does the subrecipient ❑Yes ❑No DBE uniform reports not
have a DBE Uniform submitted
report submitted to Subrecipient must complete
OCTA all delinquent uniform
reports and develop
procedures to ensure
reports are submitted on
time
a. Do the reports include all ❑Yes ❑No DBE uniform reports lacking
applicable FTA funded information
contracting activity? Direct subrecipient to revise
b. Can the subrecipient ❑Yes ❑ No DBE uniform reports as
demonstrate how these needed to include the
reports are reconciled to required information.
procurement records?
Applicability: If the subrecipient has not met DBE program goals
Document#5:DBE goal shortfall analysis(if Finding and Corrective Comments
applicable) action
5. Does the subrecipient ❑Yes ❑No DBE goal achievement
have a DBE goal shortfall analysis not completed or
analysis submitted
Subrecipient must develop
the required shortfall
analysis and corrective
action plan
a. Does the analysis include ❑Yes ❑No DBE goal achievement
the reason DBE goals analysis lacking
were not attained? Direct subrecipient to revise
b. Does the analysis include ❑Yes ❑No the shortfall analysis to
corrective actions to include the required
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CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
increase DBE information.
participation?
Document#6:Good faith effort Finding and Corrective Comments
documentation action
6. Does the subrecipient o Yes ❑No Inadequate implementation
have good faith effort of DBE contract compliance
documentation including Subrecipient must develop
monitoring of procedure for including
commercially useful good faith effort
function (CUF) documentation in all
procurement actions and
monitoring CUF
Document#7:Compliance monitoring reports Finding and Corrective Comments
action
7. Does the subrecipient ❑Yes ❑ No Subrecipientdoesnot
have compliance monitor DBE compliance
monitoring reports Subrecipient must develop
procedures for conducting
and documenting DBE
compliance
Page 178
"fri City of Rosemead
CALYPTTJS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Satisfactory Continuing Control
Applicability: All subrecipients—different documentation is required for the different types of project that
FTA funds (property, equipment, rolling stock).Where not applicable state N/A
If option in red&underlined,see finding and Finding and Corrective Comments
corrective action. Document#1:Procedures for action
maintaining control of FTA funded property,
equipment,and rolling stock(if applicable)
1. Does the subrecipient ❑Yes ❑No Inadequate property control
have procedures for system
maintaining control of Subrecipient must develop
FTA funded property, procedures for maintaining
equipment, and rolling control of FTA funded
stock
property,equipment,and
rolling stock
a. If Yes:Do they contain ❑Yes ❑ No Inadequate property control
disposition procedures system
b. Do they contain ❑Yes ❑ No Direct subrecipient to
procedures for applying submit updated procedures
insurance proceeds with the required
information.
Docu ment#2:Property records of federally Finding and Corrective Comments
funded equipment and rolling stock(if action
applicable)
2. Does the subrecipient ❑Yes ❑ No Inadequate equipment
have property records of records
federally funded Subrecipient must prepare a
equipment and rolling record of all FTA funded
stock(if applicable) equipment and rolling stock
a. If Yes:Do they contain Inadequate equipment
I. Description ❑Yes ❑ No records
II. ID Number ❑Yes ❑No Direct subrecipient to
III. Acquisition Date ❑Yes ❑No submit updated records
IV. Total Acquisition ❑Yes ❑No with the required
Cost information.
V. Federal ❑Yes ❑No
Percentage
VI. Award Number ❑Yes ❑No
VII. Location ❑Yes ❑ No
VIII. Use and ❑Yes ❑ No
Condition
Page 179
ATO City of Rosemead
CALI_YPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
IX. Disposition ❑Yes ❑ No
Action
X. Vested Title ❑Yes ❑ No
Xl. Useful Life ❑Yes ❑ No
Document#3:Listing of real property, Finding and Corrective Comments
equipment,and vehicles removed from transit action
service(if applicable)
3. Does the subrecipient ❑Yes ❑ No Inadequate equipment
have a listing of real records
property,equipment, Subrecipient must prepare a
and vehicles removed record of all FTA funded
from transit service equipment and rolling stock
removed from service
a. If Yes:Did the ❑Yes ❑ No OCTA not informed and
subrecipient notify OCTA concurrence not received
when property was Direct subrecipient to
removed from the service inform OCTA of real
originally intended? propertythat has been
b. Was OCTA concurrence ❑Yes ❑ No removed from service
of disposition method without OCTA approval and
received prior to
disposing of property? to submit procedures for
notifying OCTA when FTA
funded real property has
been removed from service.
c. Was OCTA reimbursed for ❑Yes ❑ No OCTA not reimbursed
its share of disposition Direct the subrecipient to
proceeds(if applicable)? submit to procedures for
(see The Common Rule(49 obtaining OCTA approval for
CFR Part 18), Master the method of disposition of
Agreement,and FTA
Circular 5010.1D for detail) FTA funded real property.
Document#4:Evidence of most recent Finding and Corrective Comments
inventory and inventory reconciliation(if action
applicable)
4. Does the Subrecipient ❑Yes o No No evidence of physical
have evidence of most inventory
recent inventory Subrecipient must complete
reconciliation and document a formal
inventory of all equipment,
parts,and rolling stock
Page 180
City of Rosemead
CALYPT1JS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
a. If Yes:Was the most ❑Yes ❑No Physical inventory not
recent inventory maintained
conducted within the Direct the subrecipient to
previous two years? submit evidence that it has
b. Were the equipment ❑Yes ❑No conducted a physical
records updated after the inventory and that the
inventory was inventory results have been
completed?
reconciled to equipment
records and procedures for
conducting a biennial
physical inventory.
Document#5:Excess real property inventory/ Finding and Corrective Comments
utilization plan(if applicable) action
5. Does the subrecipient ❑Yes ❑ No Lacking excess real property
have an excess real utilization inventory/plan
property inventory/ out of date
utilization plan Subrecipient must develop a
written plan for disposing of
excess real property.
a. If Yes:Does the plan ❑Yes ❑ No Excess real property not
identify and explain the sufficient
reason for the excess Direct the subrecipient to
property? submit a written excess real
b. Does the plan identify the ❑Yes ❑No property utilization plan or
current use of the update the existing plan.
property and anticipated
or proposed disposition
action?
Document#6:Bus Fleet Contingency Plan(if Finding and Corrective Comments
applicable) action
6. Does the subrecipient ❑Yes ❑ No Lacking contingency plan
have a Bus Fleet Subrecipient must develop a
Contingency Plan (if contingency plan which
applicable) includes all assets currently
in the contingencyfleet
a. If Yes:Are buses in the ❑Yes ❑No Contingency fleet plan
contingencyfleet insufficient
properly stored, Direct the subrecipient to
maintained,and submit a plan for its
identified in the contingency fleet.
contingency plan?
Page 181
City of Rosemead
CALYPTTJS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
b. Does the plan identify the ❑Yes ❑ No
contingency vehicles,
storage location(s) and
maintenance activities?
Document#7:Documentation of peak vehicle Finding and Corrective Comments
requirements forfixed route service(if action
applicable)
7. Does the subrecipient ❑Yes ❑ No Bus spare ratio
have documentation of Subrecipient must develop
peak vehicle data on current fleet size
requirements for fixed and number of vehicles
route service(if required for peak service
applicable)
a. If Yes:Does the ❑Yes ❑ No Bus spare ratio
calculation include the Direct the subrecipient to
total number of revenue submit a plan for reducing
vehicles? the spare ratio.
b. Does the plan identify the ❑Yes ❑ No
number of vehicles
needed for peak service?
c. Does the spare ratio ❑Yes ❑No
seem reasonable given
the total number of
vehicles?
Page 182
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Planning/Program of Projects
Applicability: All subrecipients
If option in red&underlined,see finding and corrective action
Document#1:Evidence of Participation in Finding and Corrective action Comments
Coordinated Planning Process(5310)
1. Does the subrecipient ❑Yes ❑No 5310 coordinated
have evidence of transportation plan
Participation in participation lacking
Coordinated Planning
Process(5310) Subrecipient must provide
evidence of participation in
the coordinated planning
process.
Document#2:MPO's public participation Finding and Corrective action Comments
plan procedures(if applicable)
2. Does the subrecipient ❑Yes ❑ No Elements missing in POP public
have MPO's public participation procedures
participation plan
procedures(if applicable) Subrecipient must provide
public participation
procedures from the MPO
which state that the M PO's
public participation process is
used to satisfy the
subrecipient's and/or OCTA's
public participation process
for the POP.
a. If Yes:Does the MPO's o Yes ❑ No Elements missing in POP public
public participation plan participation procedures
state that the M PO's
public participation Direct the subrecipient to
process is used to satisfy work with the M PO and OCTA
the subrecipient's and/or to include the required
OCTA's public
participation process for language.
the POP?
Document#3:Public notice of the POP Finding and Corrective action Comments
3. Does the subrecipient ❑Yes ❑ No POP public notice deficiencies
have a Public notice of
the POP Subrecipient must provide
Page 183
City of Rosemead
CALYPT1S RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
evidence that the POP was
publicized by either the
subrecipient,OCTA or the
MPO
If subrecipient is relying on the MPO's public POP public notice deficiencies
participation plan:
a. Does the M PO's public ❑Yes ❑ No Direct the subrecipient to
notice of the TIP have an work with the MPO and OCTA
explicit statement that to include the required
public notice of public language.
involvement activities
and time established for
public review and
comments on the TIP will
satisfy the POP
requirements?
If subrecipient is responsible for publishing POP public notice deficiencies
the POP:
a. Was the public notice of o Yes ❑ No Direct the subrecipient to
the POP published in an ensure that a public notice of
appropriate local the POP is generated that
publication? meets the FTA requirements
b. Does the public notice o Yes o No
provide sufficient detail?
c. Does the public notice ❑Yes ❑ No
offer an opportunity for a
public hearing?
d. Hasthe subrecipient ❑Yes ❑ No
communicated to
significant populations of
non-English speaking
individuals (if applicable?)
e. Does the public notice o Yes ❑ No
contain a statement that
the proposed program
will be the final program
unless amended and a
final notice is not
published?
•
Page 184
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Public Comment
Applicability:All subrecipients operating fixed route service
If option is red&underlined,see finding and corrective action
Document#1:Description of proceduresfor Finding and Corrective Comments
public comment on fare increases and major action
service reductions
1. Does the subrecipient ❑Yes ❑No Deficiencies in public
have a description of comment process as defined
procedures for public
comment on fare Subrecipient must submit a
increases and major written policy for soliciting
service reductions and considering public
comments prior to a fare
increase or major service
reduction that addresses
fare increases,defines a
major service reduction,
describes how public
comment will be solicited,
and specifies how
comments will be
considered.
Document#2:Documentation from fare Finding and Corrective Comments
increases and major service reductions action
implemented since last review
2. Does the subrecipient ❑Yes ❑ No Public comments not
have documentation considered accurately
from fare increases and
major service reductions Subrecipient must submit
implemented since last amended procedures that
review incorporate consideration
and documentation of
public comment.
Page 185
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Half Fare
Applicability:All subrecipients operating fixed route service
If option is red& underlined,see finding and corrective action
Document#1:Fare structure description Finding and Corrective Comments
action
1. Does the subrecipient ❑Yes ❑ No Fares more than one half of
have a fare structure fixed route fares
description that shows
half fare Subrecipient must provide a
plan and schedule for
correcting its half fare
program.
Document#2:Half fare program description Finding and Corrective Comments
action
2. Does the subrecipient o Yes o No Half faresnot extended to
have a half fare program all required services
description?
Subrecipient must provide a
plan and schedule for
correcting its half fare
program.
Document#3:Half fare public information Finding and Corrective Comments
action
3. Does the subrecipient ❑Yes ❑ No Half fare
have evidence of public program/procedures
information regarding deficient
half fares
Subrecipient must submit
information on its half fare
program that will be
disseminated/available to
the public.
Document#4:Half fare ID application Finding and Corrective Comments
action
Page 186
APO City of Rosemead
CALYPT1S RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
4. Does the subrecipient ❑Yes ❑ No Half fare procedures
have information deficient
regarding required ID,
including Subrecipient must submit a
- Any need for a plan for making passengers
special identification aware of any need for a
card (if required)
- That Medicare card is special identification card
accepted as proof of and enabling identification
eligibility cards to be easily obtained.
The subrecipient also must
submit documentation that
it acceptsa Medicare card
as proof of eligibilityfor the
half fare program if it does
not already accept it.
Page 187
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Charter Bus
Applicability: All subrecipients operating Charter Services
If option is red&underlined,see finding and corrective action
Document#1:Quarterly reportsto OCTA or Finding and Corrective Comments
FTA action
1. Does the subrecipient ❑Yes ❑ No
have the Quarterly Charter Reporting Issues
reports submitted?Note: Subrecipient must submit
If the subrecipient is also delinquent reports and
a direct recipient,these develop a procedure for
should be submitted to ensuring reports are
FTA. Otherwise these
should be submitted to submitted on time
OCTA
a. If Yes:Do the reports ❑Yes ❑ No
indicate the subrecipient Charter service is violating
is operating charter FTA regulation
service in violation of one
or more allowed charter Direct subrecipient to stop
exceptions?(see below providing the unallowable
table) charter service immediately.
Charter Service Exceptions
Reg asarod AO�adard • t'auanndy .
°'Chat4ar '` 2aapg � Reporting g •`�
1, Government Officials 1 No I Yes ( Yes 1 Nona
Evidence that 01100
recohal funding,dreary
or ina;recily,tram the
2. throbbed Human programs listed in
Serene Orgeniahort No Yes Yes Appendix A of the manor
(01000) regulation or was
registered at bast g0 days
before tho data of dm first
request
Evidence that registered
charter prowler has
3. Lansing of Equipment exhausted al of the
e
end Driver Na Yes Yes ilable vehitles of rot
registered chaeer
g.grarsc the ice area s
geographic neaten area
4. No Response by
Registered Chaster Yes Yes Yes 1 None
Provider i
Properly executed
5. Agreement wets All agreementswith ad
Charter Providers No No Na registered Charter
prowlers in grantee's
geographic seNico area
Grantee must
demonstrate how it
contacted registered
Charter providers and how
the grantee wit use the
8.
Petition to the registered charter
Admlrestratm Yes No No providers in pmvidaig
sone.to the event.
Grantee must also eertity
that l has exhausted
available registered
charter providers'vohdes
n the ase.
Page 188
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
School Bus
Applicability:All subrecipients operating School Bus services
If option is red&underlined,see finding and corrective action
Document#1:Bus schedules showing tripper Finding and Corrective Comments
routes as part of regularly scheduled routes action
1. Does the subrecipient ❑Yes ❑No No finding
have Bus schedules
showing tripper routes as
part of regularly
scheduled routes
a. If Yes:Does the service ❑Yes ❑ No
meet the criteria for School Bus violating FTA
being open to all riders, regulation
not serving only schools,
and promoted to the Direct subrecipient to cease
general public? operating unallowable
service immediately.
Page 189
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Drug-Free Workplace/Drug and Alcohol Program
Applicability: All FTA subrecipients with safety sensitive employees
If option is red&underlined,see finding and corrective action
Document#1:Drug-free workplace policy Finding&Corrective action Comments
1. Does the subrecipient ❑Yes ❑ No No written DFWA policy
have a Drug-free
workplace policy Subrecipient must submit a
written policy that includes
all required elements along
with documentation that
the amended policy has
been distributed to all
award-related employees.
If yes:Does the subrecipient's drug free DFWA policy does not
workplace policy that states the following include all the required
elements: elements
a. The unlawful ❑Yes ❑ No
manufacture, Subrecipient mustsubmita
distribution,dispensing, written policy that includes
possession, or use of a all required elements along
controlled substance in with documentation that
the workplace is strictly the amended policy has
prohibited been distributed to all
b. Employees must abide by ❑Yes ❑No award-related employees.
the terms of the policy
statement as a condition
of employment
c. if convicted of a drug ❑Yes ❑ No
statute violation that
occurred in the
workplace,employees
are to report it to the
employer in writing no
later than five calendar
days after such a
conviction
Document#2:Drug and alcohol testing policy Finding&Corrective action Comments
Page l 90
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
2. Does the subrecipient ❑Yes o No Drug and alcohol policy
have a drug and alcohol lacking required elements
testing policy
Subrecipient must submit
an amended policy that has
been adopted by the
governing board or other
"final authority,"and re-
communicated to all
affected employees.
a. Does subrecipient's drug and alcohol testing policy include the following elements:
Comments
Corrective Action:Subrecipient must submit an amended policy that has been
adopted by the governing board or other"final authority,"and re-
communicated to all affected employees.
i. Proof of policy adoption by the appropriate ❑Yes ❑ No
governing body or other"final authority"with
effective date indicated
II. Identity of the person,office, or position designated ❑Yes ❑ No
by the employer to answer questions about the
anti-drug and alcohol misuse program
Ill. Categories of employees who are subject to testing ❑Yes ❑ No
IV. Prohibited behavior,including when the regulations ❑Yes ❑ No
prohibit the use of alcohol and drugs
V. Testing circumstances for drugs and alcohol (i.e., o Yes ❑ No
pre-employment,random, post-accident,
reasonable suspicion, return-to-duty(only for
employers with a second-chance policy), and follow-
up testing(only for employers with a second-chance
policy))
VI. Drug and alcohol testing procedures consistent with o Yes ❑ No
49 CFR Part 40,as amended
VII. Requirement that covered employees submit to ❑Yes ❑ No
drug and alcohol testing administered in accordance
with FTA regulations
VIII. Check all (a)through(I)that are included) ❑Yes ❑ No
Description of the behavior and circumstancesthat
constitute a refusal to take a drug and/or alcohol
test and a statement that a refusal constitutes a
verified positive test result.The following describes
Page 91
City of Rosemead
CALYPTTJS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
refusals under the DOT program:
(a) Fail to appearfor anytest(except a pre-employment
test)within a reasonable time,as determined by the
employer after being directed to do so by the employer
(b) Fail to remain at the testing site until the testing process
is complete (an employee who leaves the testing site before
the testing process commences for a pre-employment test
is not deemed to have refused to test)
(c) Fail to provide a urine specimen for any drug test or an
adequate amount of saliva or breath for any alcohol test
required by this part or DOT agency regulations
(d) Fail to provide a sufficient amount of urine or breath
specimen when directed,and it has been determined,
through a required medical evaluation,that there was no
adequate medical explanation for the failure
(e) Fail or decline to take an additional drug test the
employer or collector has directed to be taken
(f) Fail to undergo a medical examination or evaluation,as
directed by the MRO or employer as part of the drug test
verification process, or employer as part of the insufficient
breath procedures. In the case of a pre-employment drug
test,the employee is deemed to have refused to test on this
basis only if the pre-employment test is conducted following
a contingent offer of employment. If there was no
contingent offer of employment,the MRO will cancel the
test.
(g) Fail to sign the certification at Step 2 of the alcohol
testing form
(h) Fail to cooperate with any part of the testing process
(e.g., refuse to empty pockets when directed by the
collector,behave in a confrontational waythat disrupts the
collection process, fail to wash hands after being directed to
do so by the collector)
(i) In the case of a directly observed or monitored collection
in a drug test,fail to permit the observation or monitoring of
the provision of a specimen
(j) For an observed collection,fail to follow the observer's
Page 192
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
instructions to raise clothing above the waist,lower clothing
and underpants,and to turn around to permit the observer
to determine if there is any type of prosthetic or other
device that could be used to interfere with the collection
process
(k) Possess or wear a prosthetic or other device that could
be used to interfere with the collection process
(I)Admit to the collector or MRO that the specimen was
adulterated or substituted
Instead of listing all the refusals,the policy may state that
refusals to test are listed in 49 CFR Part 40,as amended,or
49 CFR 40.191, as amended,for drug tests and 49 CFR
40.261, as amended,for breathtests.The policy should then
state that a copy of 49 CFR Part 40 is available upon request.
However,if the policy lists any refusals to test,the policy
must list all of them.
IX. Description of the consequences for a covered ❑Yes ❑ No
employee who has a verified positive drug test
result or a confirmed alcohol test with an alcohol
concentration of 0.04 or greater.If the system has a
second chance policy, a description of the
evaluation and treatment processes must be
included.
X. Description of the consequences for covered ❑Yes ❑ No
employees found to have an alcohol concentration
of 0.02 or greater but less than 0.04
Xl. Employer's policy toward retesting of negative ❑Yes ❑ No
dilute urine collections as required by 49 CFR 40.197
that statesthat if the MRO informs the agencythat
a negative drug test was dilute,the agency may,but
is not required to,direct the employee to take
another test immediately.All employees must be
treated the same for this purpose. For example,the
subrecipient must not retest some employees and
not others.The subrecipient may retest for some
types of tests(e.g., pre-employment tests) and not
others.The policy should state whether or not
immediate retesting for negative dilutes is required
and,if required,that the second test will be the test
of record.
Page 193
figTO City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Document#3:Post-accident decision form,if Finding and Corrective Comments
used action
3. Does the subrecipient a Yes ❑ No Improper post-accident
have a Post-accident determination
decision form?
Subrecipient must submit a
process for making proper
post-accident
determinations,including
procedures to document
the decision-making process
when appropriate.
Document#4 and#5:List of supervisors and Finding and Corrective Comments
other officials responsible for making action
reasonable suspicion testing decisions and
training records
4. Does the subrecipient ❑Yes ❑ No Reasonable suspicion
have a list of supervisors training not
and other officials provided/insufficient
responsible for making
reasonable suspicion Subrecipient must submit
testing decisions? documentation that all
5. Does the subrecipient a Yes ❑ No supervisors and other
have training records of
supervisors and other officials who make
officials responsible for reasonable suspicion
making reasonable determinations have
suspicion testing received the required
decisions training and procedures for
ensuring training is provided
before individuals are
allowed to make reasonable
suspicion testing decisions.
Document#6:Form requesting drug and Finding and Corrective Comments
alcohol testing history of applicants action
Page 194
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
6. Does the subrecipient ❑Yes ❑No Deficienciesin processof
have a form requesting checking previous drug and
drug and alcohol testing alcohol testing records
history of applicants Subrecipient must submit a
process for ensuring that
the previous drug and
alcohol testing records of
first-time safety sensitive
employees are reviewed.
Document#7:MIS reports for past two years Finding and Corrective Comments
for subrecipient and sample of contractors action
7. Does the subrecipient ❑Yes ❑ No Random testing rate below
have MIS reports for past required level
three years for
subrecipient and sample Subrecipient must submit a
of contractors plan to bring the random
a. Is the random test rate ❑Yes ❑ No testing rate to the required
below the required level? level.
Annual rates:25%for
drugs. 10%for alcohol
On Site Visit Document Review
Document#1:Accident files and reports Finding and Corrective Comments
action
1. Is there evidence of post- ❑Yes ❑No No evidence of testing after
accident testing(if accidents
a pplica ble)
Subrecipient must submit a
process for making proper
post-accident
determinations,including
procedures to ensure post-
accident testing
Document#2:Monitoring certifications of Finding and Corrective Comments
substance abuse professionals,breath alcohol action
technicians and medical review officers
Page 195
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
2. Monitoring Certifications ❑Yes ❑ No Drug and/or alcohol
dated within three years: program vendors not
substance a buse properly monitored
professionals
a. Certifications dated Subrecipient must submit
within five years: evidence of certifications.
Breath alcohol
technicians,
collectors,and
medical review
officers
Page 196
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Transit Asset Management
Applicability: All Subrecipients that have opted out of the Group Plan or are Tier 1 providers.
If option is red&underlined,see finding and corrective action.
Document 1:Subrecipient documentation Finding and Corrective Comments
Action
1. Does the subrecipient ❑Yes ❑ No TAM compliance
have documentation that
shows compliance with
TAM requirements and Ensure that the
OCTA direction? subrecipient has
developed a TAM plan as
needed.
2. Does the subrecipient ❑Yes ❑ No TAM plan elements
have a TAM plan that
includes all elements and
have an accountable Ensure that the TAM plan
executive? includes all elements
Page 197
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Equal Employment Opportunity
Subrecipients with 50 or more transit related employees and either a)requests or received in excess of$1M
in capital and/or operating assistance or requests or b)receives in excess of$250K in planning assistance.
Agencies with employees between 50-99 employees must submit abbreviated plans. All plans are valid for 3
4 years.
If option is red&underlined,see finding and corrective action
Document#1:EEO Program Submitted and Finding&Corrective Comments
Approved by OCTA(if applicable) action
Does the subrecipient have an o Yes ❑No EEO program not
EEO Program Submitted and submitted or expired
Approved by OCTA?Does the
abbreviated EEO program include Subrecipient must
the required elements? develop a EEO program
1. Statement of Policy that: that meetsthe FTA
• Expresses a commitment that requirements
all employment actions will be
administered without regard
to race,color,religion,
national origin,sex(including
gender identity,sexual
orientation,and pregnancy),
age,genetic information,
disability,veteran status,or
other protected class
• Commits to developing a
written nondiscrimination
program to which the agency
is committed,and which is
available for inspection upon
request
• Explains that the responsibility
for implementing the EEO
program is assigned to an
agency executive who reports
directly to the Chief Executive
Officer(CEO)/General
Manager(GM)
• States that applicants and
employees have the right to
file complaints alleging
discrimination
• States that retaliation is strictly
prohibited and will not be
tolerated
Page 198
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
• States the commitment to
provide reasonable
accommodations to applicants
and employees
• States that all management
and supervisory personnel
share in this responsibility and
are assigned specific tasks to
ensure and achieve
compliance
• States that the agency
evaluates the performance of
managers,supervisors,and
others based on the success of
the EEO program in the same
manner that the agency
evaluates their performance in
other agency programs
2. Policy Dissemination Plan
3. Designation of Personnel
Responsibility
4. Assessment of Employment
Practices
5. Monitoring and Reporting Plan
6. Contractor monitoring
Document#2:Job description for EEO Officer Finding&Corrective action Comments
2. Does the subrecipient o Yes ❑ No Inadequate designation of
have a job description for EEO Officer
EEO Officer?
Subrecipient must designate
an EEO officer and ensure
EEO officer has a clear
reporting relationship to the
CEO.
b. Does the EEO officer have o Yes ❑ No Inadequate designation of
a clear reporting EEO Officer
relationship to the CEO?
Page j 99
e,® .-, City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
c. Is the EEO officer ❑Yes ❑ No. Direct subrecipient to
responsible for change the EEO officer
processing EEO reporting relationship and
complaints? job description as needed
Document#3:Workforce utilization analysis Finding&Corrective action Comments
3. Does the subrecipient ❑Yes ❑ No EEO utilization analysis
have workforce deficiency
utilization analysis?
Subrecipient must complete
a workforce utilization
analysis and develop
procedures to ensure
analysis is submitted on
time annually
b. If yes:Does the analysis ❑Yes ❑No EEO utilization analysis
include a justification for deficiency
why prior EEO goals were
not met(if applicable)? Direct subrecipient to revise
the workforce utilization
analysis as needed
Document#4:Employment practice analysis Finding&Corrective action Comments
4. Does the subrecipient ❑Yes ❑No Employment practice
have employment analysis deficiencies
practice analysis?
Subrecipient must develop a
narrative description and
statistical analysis of its
employment practices
a. If Yes:Does the analysis ❑Yes ❑ No Employment practice
contain a narrative analysis deficiencies
description of the
subrecipient's Direct subrecipient to revise
employment practices? the employment practice
b. Does the analysis contain ❑Yes ❑No analysis as needed
a statistical analysis of
employment practices?
Document#5:EEO management reports Finding&Corrective action Comments
Page 1100
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
5. Does the subrecipient ❑Yes ❑ No EEO monitoring/reporting
have EEO management system deficiencies
reports?
Subrecipient must develop
documentation of what is
being monitored and
reported to management
On Site Documentation Review
Document#6:EEO complaints Finding and Corrective Comments
action
6. Has the subrecipient o Yes ❑No EEO complaints not resolved
taken action to
investigate and resolve Direct subrecipient to
the complaints? investigate and resolve any
outstanding EEO
complaints.
•
Page 101
cadrOwl City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
g. Su bred pient Monitoring Virtual Review Procurement Checklist
• Micro-purchase threshold$3,000
• Small purchase threshold, as outlined in subrecipient procurement manual. For FTA procurements
this may range from $3,000 to$100,000
• RFP or IFB threshold.Anything above small purchase.
• Sole source procurement—only if other awards are infeasible
Contract: Contract Value:
REQUIREMENT FTA C 4220.1F ND D Comments
REFERENCES
The subrecipient has written
selection procedures and the
Selection solicitation also identifies all
Procedures requirements that offerors must Ch.III,
fulfill and all other factors to be §3d(1)(c)
used in evaluating bids or
proposals. All procurements over
small purchase threshold
The subrecipient made and
Independent Cost documented an independent cost
Estimate estimate before receipt of Ch.VI,§6
proposals. All procurements over
micro-purchase threshold
Either a cost analysis,with
associated profit negotiation,or a
price analysis was performed and
documented in the procurement
file with respect to the initial
contract award.Also cost analysis
was performed when negotiating
Cost/Price contract modifications unless
Analysis price reasonableness was Ch.VI, §6
established on the basis of a
catalog or market price of a
commercial product sold in
substantial quantities to the
general public or on the basis of
prices set by law or regulation.
All procurements over micro-
purchase threshold
Page 1102
rag City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Contract: Contract Value:
REQUIREMENT FTA C 4220.1E ND D Comments
REFERENCES •
The subrecipient made a
determination that it was
awarding to a responsible
contractor considering such
Responsibility matters as contractor integrity,
Determination compliance with public policy,
record of past performance,and Ch.VI, §8.6
financial and technical resources.
This is done through evidence of
a SAM check www.sam.gov.All
procurements over a small
purchase threshold.
The contract file contains
documentation that award of a
contract was infeasible under
small purchase procedures,
sealed bids,or competitive
proposals and at least one of the
following circumstances applies:
(1)The item was available only
from a single source.
(2) Public exigency for the
Justification for requirement did not permit a
Noncompetitive delay resulting from a ch VI,
Awards competitive solicitation. §3.i(1)(b)
(3)An emergency for the
requirement did not permit a
delay resulting from a
competitive solicitation.
(4)The FTA authorized
noncompetitive negotiations.
(5)Competition was determined
inadequate after solicitation ofa
number of sources.
For sole source procurements
(above micro-purchase threshold)
No excessive No unreasonable requirements
bonding are placed on firms in order for Ch.VI,
requirements them to qualify to do business. §2.h(1)(f)
Above small purchase threshold
The solicitation does not contain
No exclusionary unreasonable requirements
specifications placed on firms in order for them Ch.VI, §2.a(4)
to qualify to do business.Above
micro-purchase threshold
Page 1103
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Contract: Contract Value:
REQUIREMENT FTA C 4220.1E ND D Comments
REFERENCES
Except when procuring A&E
services,no in-State or local
geographical preferences are
No geographic allowed in the evaluation of bids
preferences or proposals unless Federal Ch.VI,
statutes expressly mandate or §2.o(4)(g)
encourage geographic
preference. Above micro-
purchase threshold
The option quantities or periods
contained in the contractor's bid
or offer were evaluated in order
to determine contract award.(To
be eligible for Federal funding,
Evaluation of options must be evaluated as
Options
part of the price evaluation of Ch.VI,§7.b
offers, or must be treated as sole
source awards.) If the contract
does not contain options,state
NA.Above micro-purchase
threshold
The subrecipient exercised an
option on this contract adhering
to the terms and conditions of
the option stated in the contract
and determined that the option
price was better than prices
Exercise of available in the market or that
Options the option was a more Ch.V,§7.a
advantageous offer at the time
the option was exercised.If an
option was not exercised under
this contract,state NA. For
procurements above micro-
purchase level
Lobbying For procurements>$100,000
Certifications
Signed by §3.d(1)
Contractors
Page 1104
City of Rosemead
CALYPTTJS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Contract: Contract Value:
REQUIREMENT FTA C 4220.1E ND D Comments
REFERENCES
Buy America Procurements of steel,iron or
Provisions in manufactured products>
Solicitation or $100,000 Ch VI§16.a
Contract
If this is a time and materials
contract;the subrecipient
determined that no other type of
Time and contract is suitable;and the Ch VI,
Materials Type contract specifies a ceiling price. §2.c.(2)(b)
If this is nota time and materials
Contract contract,check NA.
Procurements above micro-
purchase threshold
This solicitation did not contain
Qualifications unreasonable requirements
Ch VI,2.a.(4)
Based
placed on firms in order for them (a)
Procurement to qualify to do business.
Requirements Procurements above micro-
purchase threshold
This contract contains liquidated
damages provisions and the
assessment for damages is
specified in the contract at a
Liquidated specific rate per day for each day Ch Iv,
Damages Clause of overrun in contract time.If this 2.b.(6)(b)1)
contract does not contain
liquidated damages provisions,
check NA. Procurements above
micro-purchase threshold
The subrecipient amended this
contract outside the scope of the
original contract.The
amendment was treated as a sole
source procurement(complying
with the FTA requirements fora
Change Order justification,cost analysis and
Documentation profit negotiation). Ifthe
contract was not modified or if all
reviewed modifications were
within the scope of the contract,
check Not Applicable. All
procurements above the micro-
purchase threshold
Page 1105
(440 City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
Contract: Contract Value:
REQUIREMENT FTA C 4220.1E ND D Comments
REFERENCES
This contract contains the
appropriate FTA required clauses
(see separate summary sheet on
following page). Above micro-
purchase threshold
The Master Agreement should be
used to determine the
Contract Clauses applicability ofthe clauses to the
procurement type.FTAC
4220.1F,Appendix D,and The
Best Practices Procurement
Manual,Appendix Al,can be
used to determine the
applicability of the specific
language of a clause that a
grantee may use.
Page 1106
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
ATTACHMENT B: Example Sub recipient Monitoring Checklist
We will use various checklists to govern our work.This checklist is an example of one that we may use:
Page 1107
CDFA SUBRECIPIENT MONITORING CHECKLIST
A subrecipient is an agency or organization working for the grantee,having administrative or other responsibilities for the Community
Development Block Grant. The municipality,as a recipient of federal funds,is ultimately responsible for the Subrecipient's performance and
compliance with federal and state regulations and requirements. As a consequence,the municipality must monitor the activities of the
subrecipient.
Name of Subrecipient(s):
YES NO N/A
Is there a written Subrecipient Agreement of understanding with each operating
agency?
Date of Contract: 12/23/2013
Does the grantee have a system (regular procedure)for amending
Agreements?
If no, explain
Subrecipient Agreement(continued) YES NO N/A
Does the Subrecipient Agreement contain a description of the types and
amount of work or products in sufficient detail to permit effective monitoring by
the grantee?
If no, explain:
Does the Subrecipient Agreement specify a deadline for each major service or
product identified in the Statement of Work?
If no, explain:
Does the Subrecipient Agreement specify projected costs in sufficient detail to
provide a basis for comparing budgeted costs with actual costs of work?
If no, explain:
Is the documentation required for payment of expenses sufficient to ensure that:
a. The payments are made only for eligible expenses?
b. Expenses are reasonable in relation to actual performance?
c. The funds requested are not in excess of immediate needs?
If no, explain:
Is any special documentation (required by the Subrecipient Agreement)
maintained by the subrecipient for particular activities (i.e. "appropriate"
determinations)?
If no, explain.
If program income is retained by the subrecipient, what provisions are made to ensure that it is used in
accordance with CDBG rules?
SUBRECIPIENT MONITORING (continued)
Subrecipient Management and Training System
Explain the grantee's management system for subrecipient oversight:
What efforts are being made to assure the Subrecipient's understanding of applicable CDBG program
requirements?
a. What technical assistance/training has been provided during the year?
Trainees Topic Date
b. What resource materials (regulations, OMB Circulars, etc.) did the grantee provide?
How does the grantee ensure that the subrecipient(s) maintain adequate records to comply with program
requirements, including record retention?
Subrecipient's Internal Controls
How does the grantee assure that the Subrecipient's financial management systems are kept in accordance with
Subpart C.20- .29 of OMB Circular A-110 (disclosure of financial results; sources and uses of funds; control of
funds; property and other assets; comparison of actual with budgeted outlays; cash management; procedures for
determining reasonableness, allowability and allocability of costs; figures supported with source documentation;
examination with audits by qualified individuals and resolution of audit results)?
YES NO N/A
Does the grantee ensure that subrecipient employees working on CDBG and
non-CDBG activities keep appropriate time distribution records?
SUBRECIPIENT MONITORING (continued)
Subrecipient's Internal Controls (continued)
How does the grantee ensure compliance with procurement and/or
subcontracting requirements of Subpart C.40-.48 of OMB Circular A-110
YES NO N/A
Does grantee require audit reports (as required under OMB Circulars A-128 and A-
133)?
Who reviews the audit, and how do they follow up on irregularities?
What process does the grantee use to review subrecipients for evidence of conflicts of interest involving grantee
and subrecipient or subrecipient and its contractors?
What procedures does the subrecipient use to identify CDBG property and assets such as property records
(Subpart C.30- .37 of OMB Circular A-110)?
What procedures does subrecipient use to ensure adequate safeguards for preventing loss, damage, or theft of
subrecipient-held property?
Who is responsible for the following:
a. Approving/signing invoices?
b. Writing checks?
c. Bookkeeping?
What is the process for paying project invoices?
SUBRECIPIENT MONITORING (continued)
Subrecipient's Internal Controls(continued)
Based on the receipt of CDBG funds issued in response to payment requests sampled, how many days does it
take to disburse CDBG funds?
Date Check Received by Date Funds Disbursed by Total
Check# Grantee Grantee Days
YES NO N/A
Based on information collected in the previous question, were CDBG funds
disbursed as close as administratively feasible to the time they were received?
Describe any special procedures the grantee uses to minimize the time elapsing
between the receipt of CDBG funds from CDFA and the disbursement of these
funds:
Are CDBG payments from CDFA deposited in an interest bearing account?
If yes, have provisions been made for returning interest earned on the deposit
of CDBG funds to CDFA?
Reporting on Grant
Are regular progress and financial reports reviewed?
If yes, how often?
What report mechanism is used to obtain information necessary for the Semi-Annual Progress Reports submitted
to CDFA?
Is the content of the written reports clearly specified; information required is
sufficient to assess the Subrecipient's performance against specifications in
Statement of Work?
If no, explain.
Does the grantee verify the data and actual beneficiaries reported by the
subrecipient?
If no, explain.
SUBRECIPIENT MONITORING (continued)
On-Site Monitoring by the Grantee
How often does the grantee monitor its subrecipient(s) on site?
Do monitoring reports document areas monitored, conclusions reached, and
necessary corrective actions?
If no, explain.
Are sufficient time to respond given to subrecipients?
If no, explain.
Are monitoring results communicated on a timely basis to subrecipients?
If no, explain.
1. Do results include expected corrective actions and dates for resolutions?
If no, explain.
2. What are the grantee's internal procedures for ensuring quality of monitoring efforts, including documentation,
indented actions, and follow-through on intended actions.
SUBRECIPIENT MONITORING (continued)
Program Income Monitoring
How does the grantee keep track of subrecipient-generated program income and ensure accurate reporting?
YES NO N/A
Does the grantee check to determine if the subrecipient has established
revenue accounts to record program income?
If no, explain.
SUBRECIPIENT MONITORING (continued)
Summary&Conclusions YES NO N/A
Based on the evidence available, does it appear that the grantee has an
adequate system to review the performance of subrecipients?
Based on the evidence available, does it appear that the subrecipients are in
compliance with Section 504 and ADA?
COMMENTS
For any issues identified during the review, provide clarification as necessary and specify corrective actions
the grantee must take to resolve the issues. Describe the nature of any technical assistance provided
during the review. Also describe any necessary follow-up actions that should be provided by CDFA
staff.
4 City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
ATTACHMENT C: Complete List of DOT Compliance Reviews Conducted 2013-2019
The tables below list the FTA Triennial Reviews and Civil Rights Compliance Reviews. Region 1 includes the
New England area,including Massachusetts.
2013—Regions4,7,9, 10 2014—Region4
• City of Lewiston • City of Terre Haute
• City of Pocatello • RTA Chicago
• Targhee Regional PublicTransportation Authority • Washington County Transit
• Metropolitan Transit Authority of Black Hawk County • City of Anderson
• University of Northern Iowa • City of Kokomo
• Topeka Metropolitan Transit Authority • TransitAuthority of Northern Kentucky(TANK)
• City of Lincoln • Clermont CountyTransit(CTC)
• City of Sioux City • City of Sheboygan
• Golden Empire Transit District Bakersfield CA • City of Chippewa Falls
• Kings County Area Public Transit Agency • North Indiana Commuter Transport
• San Joaquin Regional Transit District • Northwest Indiana Regional Planning
• Southern California Regional Rail Authority Commission
• Escambia County Board of Commissioners • Michigan City Transit
• . City of Tallahassee-Taltran • Bay Metro TransitAuthority
• City of Greensboro • Michigan Area Council of Governments
• Piedmont Authority For Regional Transportation(PART) (Michiana)
• City of Montgomery-Montgomery Area Transit System • City of Waukesha Metro
• City of Gadsden • City of Hartford
• City ofJacksonville • Indianapolis PublicTransit(IndyGo)
• Franklin TransitAuthority/City of Franklin • River Valley Metro
• Jackson TransitAuthority • County of Lorrain
• Memphis Area Transit Authority • City ofDekalb
• Martin County Board Of County Commissioners • Miami County Transit
• Indian River County Board of County Commissioners • Laketran
• Goldsboro/Wayne Transportation Authority • City of Springfield
• City of High Point • Portage Area Regional Transportation Authority
• City of Greenville • Steel Valley RTA
• City of Winston-Salem • Gary Public Transportation Corp
• City of Rock Hill • Allen County RTA
• Birmingham-Jefferson County TransitAuthority • Twin Cities Area Transportation Authority
• Tuscaloosa County ParkingAnd TransitAuthority • Butler County RTA
• City of Asheville • City of Middletown
• Western Piedmont RegionalTransitAuthority • City of Newark
• Metropolitan Transit Authority Nashville • Danville Mass Transit
• Nashville Regional TransportationAuthority • Licking CountyTransit
• Kalamazoo Metro Transit
• City of Niles
• City of Beloit
• Richland County Transit Board
• Janesville Transit System
Page 1112
4170 City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CD BG Programs
2015—Regions 1,3,9 2016—Region 1,9, 10
• Golden Gate Bridge, Highway, and Transportation • City of Stamford
District • Greater BridgeportTransit Authority
• City of Santa Rosa • Greater New HavenTransit District
• Eastern Contra Costa Transit Authority • Norwalk Transit District
• Livermore-AmadorValley TransitAuthority • Valley Council of Governments
• Central Contra Costa TransitAuthority • Lowell Regional Transit Authority
• Western Contra Costa TransitAuthority • MerrimackValley Regional Transit Authority
• City of Visalia • Southeastern Regional TransitAuthority
• City of Madera • Biddeford-Saco-Old Orchard Beach
• Placer County,Department of PublicWorks • City of Bangor
• Yuba-Sutter TransitAuthority • Greater Portland Transit District
• Sacramento Regional Transit District • City of Nashua
• Yolo County Transportation District • ManchesterTransitAuthority
• Redding Area Bus Authority • Butte County
• San Diego Association of Governments(SANDAG) • City of Elk Grove
• City of Fresno • City of Fairfield
• County of Lebanon TransitAuthority • City of Gardena
• Cumberland-Dauphin TransitAuthority • City of Montebello
• City of Winchester • City of Redondo Beach
• City of Charlottesville • City of Roseville
• City of Harrisonburg • Gold Coast Transit
• Beaver County Transit Authority(BCTA) • Imperial County Transportation Commission
• Southwestern Pennsylvania Commission • Long Beach PublicTransportation Company
• Hazelton Public Transit • Monterey-Salinas Transit
• Lehigh&NorthamptonTransportation Authority • Municipal Transportation Agency
• Erie Metropolitan TransitAuthority • Napa County Transportation Planning Agency
• Cambria County TransitAuthority • Omnitrans
• River Valley Transit(Formally Williamsport Bureau of • Peninsula CorridorJoint Powers Board
Transportation) • RiversideTransitAuthority
• Greater LynchburgTransitAuthority • San Mateo County Transit District
• Eastern Panhandle Transit Authority • Santa Cruz Metro Transit District
• Tri-State TransitAuthority • Sunline Transit Authority
• Monongalia County Urban MTA(Mountain Line) • Ventura County Transportation Commission
• City of Weirton(Weirton Transit Corporation) • Alaska Railroad Corporation
• Brockton Area Transit Authority(BAT) • Fairbanks North Star Borough
• Worcester Regional TransitAuthority • Municipality of Anchorage
• Cape Cod Regional TransitAuthority • Josephine County(Grants Pass)
• Montachusett Regional Transit Authority • Ben Franklin Transit
• PioneerValley Transit Authority • Central Puget Sound Regional TransitAuthority
• Northern New England Passenger Rail Authority (Sound Transit)
• Greater Attleboro-Taunton • Puget Sound Regional Council
• Chittenden County Transit Authority • City of Yakima
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City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
2017—Regions 3,4
• Washington Metropolitan Area Transit Authority
• Central Pennsylvania Transportation Authority
• Centre Area Transportation Authority
• County of Fayette
• Mid-Mon Valley Transit Authority
• City of Sharon
• City of Washington
• Westmoreland County Transit Authority
• Town of Blacksburg
• City of Fredericksburg
• Greater Roanoke Transit Company
• Potomac and Rappahannock Transportation Commission
• City of Richmond
• Williamsburg Area TransitAuthority
• Eastern Ohio/Ohio Valley Regional Transportation Authority
• Mid-Ohio Valley Transit Authority
• Bay County Transportation Planning Organization
• City of Gainesville
• Lake County Board of County Commissioners
• Lee County Transit
• Palm Beach County Board of Commissioners(Pam Beach CountyTransit Authority)
• Paso County Board of CountyCommissioners
• Atlanta Regional Commission
• Gwinnett County Board of Commissioners
• Transit Authority of Lexington-Fayette Urban County Government
• City of Hattiesburg
• City ofJackson
• Cape Fear Public Transportation Authority
• Town of Cary
• Town of Chapel Hill
• City of Concord
• City of Durham
• City of Fayetteville
• Central midlands Council of Governments
• Charleston Area Regional Transportation Authority
• Waccamaw Regional Transportation Authority(CRPTA)
• City of Spartanburg
• Spartanburg County Government
• City of Bristol,Tennessee
• City of Clarksville,ClarksvilleTransit Systems
• City ofJohnson City
• City of Murfreesboro
• City of Bristol,Virginia
Page 1114
tCity of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
2018—Regions 1,3,4,5,6,7,8 2019—Region 6
• Massachusetts Bay Transportation Authority • Arkansas Department of Transportation
• Pennsylvania AlleghenyCounty • Alexandria,LA
• City of Charlotte • Lake Charles,LA
• Greater Peoria Mass Transit • Monroe,LA
• South Bend TRANSPO • Lafayette,LA
• City of Detroit • ShreveportTransit Management
• DetroitTransportation Co. • St.Tammany,LA
• Livingston County • Capital Area Transit System,LA
• Mass Transportation Authority,Inc. • Tangipahoa Parish,LA
• City of Midland • Las Cruces,NM
• RTA Southeast Michigan • Central Oklahoma
• SaginawTransit Authority Regional • MetTulsa Transit Authority
• Suburban Mobility Authority(SMART) • Cleveland Area Rapid Transit
• Metropolitan Council of Minneapolis • Abilene,TX
• Toledo Area RTA • Corpus Christi RTA
• Albuquerque • El Paso,TX
• Rio Metro RTA • Fort WorkTransportationAuthority
• Lawton City • Galveston,TX
• Beaumont • Waco,TX
• Brownsville • North Central Texas Council of Governments
• Conroe • Lower Rio Grande Valley Development Council.
• Dallas Area Rapid Transit • Lubbock,TX
• Denton County • McAllen,TX
• Fort Bend County • Gulf Coast Regional Mental Health Center
• Harris County • Round Rock,TX
• Laredo • The WoodlandsTownship,TX
• MTA Harris County
• Odessa
• Port Arthur
• Texarkana
• Cedar Rapids
• Coralville
• Des Moines Area RTA
• Universityoflowa
• Flint Hills Regional Council
• City Utilities of Springfield
• Kansas City Area
• Grand Island
• Fort Collins
• Greeley,CO
• East.Grand Forks City
• Moorhead
• Fargo
• Grand Forks City
Page 1115
EAsie City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
ATTACHMENT D: Sample Project(Construction) Management Procedures
We have attached two(2)sample project management procedures that we have developed for clients
as exa mples of best practices that will be considered for the project:
a. SunLine.Transit Agency Project Management Procedures
b. Orange County Transportation Authority Construction Ma nagement Manual Table of Contents
Page 1116
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CD BG Programs
1. S u nline Transit Agency Project Management Procedures
SunLine Transit Agency
J hJ
R ,d
i.YS'� L..4 s� L '.i.
Eh IU' ; / i 111E11' 17V
PROJECT MANAGEMENT
PAGE 1 OF 5
RELEASE DATE:
November 24, 2009
SUPERSEDES:
NONE
General
Manage r
PROJECT MANAGEMENT
1.1. Overview
These procedures are designed to provide assistance to those employees designated as Project Managers.
The project management designation carries with it a number of accountabilities that are generally
described in these procedures.It is incumbent upon all Project Managers to familiarize themselves with
these procedures as each Project Manager is charged with their execution.
With respect to compliance with these procedures,the Project Manager must be a Sunline employee.
When Sunline contracts for the technical services of a Project Manager, said designation does not relieve
the responsible Sunline employee of the overall responsibility for project management and compliance
with these procedures.
Project management is the application of knowledge, skills,tools, and techniques to a broad range of
activities in order to meet the requirements of a particular project. Project management is comprised of
five processes
-Initiating,Planning,Executing,Controlling, and Closing-as well as nine
knowledge areas. nine areas center on management expertise in Project Integration,Project Scope,
Project Time,Project Cost,Project Quality,Project Human Resources,Project Communications,Project
Risk Management and Project Procurement.
1.2. Project Manager Appointment
Page j 117
ATO City of Rosemead
C ALYPTUS RFP No. 2021-01
Consulting Group,Inc. ProfessionalServices for Administration of Home/CDBG Programs
The General Manager makes appointments of Project Managers. This will be done as a part of the Capital
Project Planning and can be concurrent with a specific grant application,Transit Plan update, or the
Capital Planning aspect of the budgeting process.
Upon appointment,the Project Manager will be directly responsible for the technical and financial
administration of a project including the monitoring of any and all performance of contractors that may be
required for project execution.
The Project Manager also attends any pre-bid and pre-proposal conferences as the technical expert,
conducts investigations of proposed contractor's technical past performance, questions prospective
contractors at the interviews as to their technical capability to perform the contract, assists the Contracting
Officer with contract negotiations, ascertains the availability of funds prior to asking the Contracting
Officer to initiate the negotiation and approval process for change orders, contract modifications and
supplemental agreements, and issues directions to correct or replace defective items of work.
1.3. Project Initiation
After appointment as Project Manager and prior to initiation of a project,the Project Manager must
make a presentation to all Department Heads to obtain their input and to provide coordination of all
elements of the project implementation. This coordination shall include at a minimum, all of the
. following:
-Operational Need for Project(How Sunline will benefit from the project)
-Project Budget(Planning and grant requirements as well as finance and budgeting implications)
-Project Schedule(MS Project Implementation Schedule)
-Project Human Resource Requirements
-Project Scope(Discussion of work breakdown structure)
-Project Risk Management
-Project Quality Management(How quality assurance or control measures are to be implemented)
-Project Integration(How project will be incorporated into Sunline operations including maintenance,
safety, security, and space requirements)
-Project Communications(Approvals, coordination,and Agency marketing)
After coordination with the Department Heads,the Project Manager will give a presentation to the
General Manager(GM)explaining the project scope,financial impact, scheduling, and monitoring efforts.
This will be the formal approval to start project activities. The Project Manager will document the
results of this meeting and any performance items requested by the GM shall be included in the project
plan.
1.4. Project Planning
Project plans shall be developed for each project. Many of the planning aspects will be covered in the MS
(Microsoft)Project Schedule and identified as either tasks or milestones.The project plan may consist of
the detailed project schedule as long as all tasks and milestones are monitored for completion. The
Page 1118
City of Rosemead
CALYPTUS REP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
planning effort shall include the following as a minimum:
-Funding Requirements(Undertake all actions necessary to support the funding process including
providing the Planning Department with a project description)
-Timing of Funding(Provide all actions and coordination necessary to ensure that the funding is in place
when the expenditures are incurred including coordination with the Finance and Planning Departments)
-Regional Planning Efforts(Undertake all actions necessary to support any regional planning activities
including coordination of regional plans with the Planning Department)
-Task Scheduling(Task scheduling should include all necessary coordination of planning actions with the
Planning Department)
Sunline Budget(Undertake all necessary actions to ensure that projected project costs to be incurred in a
given year are included in the fiscal year budget applicable to the expenditure)
-Acquisitions Process Needs (Undertake all actions necessary to ensure that requisitions are initiated in
time to support delivery requirements of the project)
-Interdepartmental Coordination(Undertake all actions necessary to ensure that all affected Sunline
departments are advised of the project's impacts and supportive of the project's needs)
-Project Approvals(Undertake all actions necessary to ensure that Board and GM approvals are obtained
as required. Coordination should also include regional plan approvals when necessary)
1.5. Project Execution
Project Execution starts with a kick-off meeting involving the senior leadership team,including the GM,
and any contractors involved in implementing the project.
-Inclusion in approved SRTP,LRTP, or Capital Project Plan
-Board approvals obtained if necessary
-Purchasing Requisitions completed
-Internal coordination protocols established
-Project communications established
-Project accounting in place
-Project staffing in place
-Project approval protocol in place
-Project budget coordinated with the Director of Finance and Planning
Page 1119
/40 City of Rosemead
CALYPTUS REP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
1.6. Project Controls
Project Controls refer to managing those areas that may represent a risk to the project in terms of quality,
cost, and schedule. Therefore, each
Project Manager shall implement the following"""""•al,i:e a 1Els as a minimum in order to reduce the
risk to project execution:
-Project Cost Variance Reporting-(The Project Manager shall maintain an accounting of project
expenditures to ensure that the project is proceeding within the established project budget)
-Project Quality Oversight-(The Project Manager shall approve all work invoiced by all contractors
supporting their assigned project and shall put in place all necessary resources to ensure that the project
has the necessary level of oversight to provide the quality delivery of the project's objectives)
-Project Schedule Monitoring-(The Project Manager shall manage the project schedule and inform all
affected personnel, including the GM, of any project delays)
1.7. Project Close-out
The Project Manager is responsible to ensure that all required certifications and approvals are obtained
that are necessary for Sunline's utilization of any personal or real property assets acquired as a result of
project activities. The Project Manager is also responsible for notification of the Finance and Grants
Departments and compliance with their project closeout procedures. The following is a listing of typical
technical considerations that are required to effectively closeout a capital project:
-Certificates of Occupancy
-Civil Plan approval
-Environmental approvals(National Environmental Policy Act and California Environmental Quality
Act)
-Federal Motor Vehicle Safety Standards
-As Built Drawings obtained
-Punch List items closed
-Specification Sheets obtained(Product Sheets for warranty and maintenance)
-Warranties transferred to Sunline
Page 1120
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
h. Orange County Transportation Authority, Construction Management Manual Table of
Contents
TABLE OF CONTENTS
PAGE
Section I Construction Management Team,Organization 1
and Relationships
The Team
The Organization and Relationships
Section II Responsibility and Authority 2
The Project Manager/Resident Engineer
The Construction Inspector
Section III Construction Documents 5
Specifications and Drawings
Content of the Specifications
Standard Specifications and Standard Drawings
Section IV. Construction Schedules 7
Types of Schedules
Section V Meetings 8
Types of Meetings
The Pre-construction Meeting
Project Meetings
Section VI Submittals and Materials Control 12
Submittal Procedure
Construction Materials Control
Section VII Records, Reports and Correspondence 14
Diaries and Telephone Logs
Correspondence
Weekly Statement of Calendar Days
Labor Forms and Records
Page 121
City of Rosemead
CALYPTUS RFP No. 2021-01
Consulting Group,Inc. Professional Services for Administration of Home/CDBG Programs
PAGE
Test Results and Materials Reports
Preliminary Notices and Stop Notices
Contract Change Orders
Progress Payments
Submittals and Samples
Requests for Information
Construction Photographs
Record Drawings
Section VIII Contract Change Orders 19
Definition and Scope
Types of Change Orders
Authority to Execute Changes
Change Order Form
Processing Change Orders
Section IX Construction Safety 23
General Responsibility
Procedural Guidelines
Shoring and Bracing
Other Safety Requirements
Section X Progress Payments 25
Progress Payment Forms
Preparation and Processing
Stop Notices
Liquidated Damages
Claims and Disputes
Section XI Project Closeout 27
Acceptance of Work
Clean Up
Submittals
Appendix
Section A- Equal Opportunity and Labor Compliance
Section B- Construction Activity Checklist
Section C - Figures
Section D - Contractual Documents
Section E-Typical Construction Project Files
Page 1122
ifilMF
1 -.'- %.°\ s--).
CIVIC PRIDE
.7
'NCoRPOHATEO l'a°
Attachment C
Proposal from Priscila Davila & Associates, Inc.
G PRISCILA DAVILA & ASSOCIATES, INC.
rr/NSP
34 Plaza Square
� Orange, California 92866
562.673.3388
®program W
February 24, 2021
Ms. Angelica Frausto-Lupo
Director of Community Development
City of Rosemead
8838 E. Valley Blvd.
Rosemead, CA 91770
Subject: Response to Request for RFP No.2021-01
Administration of HOME/CDBG Programs
Dear Ms. Frausto-Lupo:
Priscila Davila &Associates, Inc. in partnership with JEDA Works (DBA Housing Programs) is
pleased to submit this proposal to administer the City of Rosemead's HOME Investment
Partnership (HOME) and Community Development Department Block Grant(CDBG)programs.
Both Priscila Davila & Associates, Inc. and JEDA Works are well versed in preparing
Consolidated Plans, Action Plans and designing and implementation CDBG and HOME
programs in compliance with HUD regulations and HUD waivers. Our knowledge allows us to
prepare documents that are consistent with the City's visions. With over twenty years of
professional experience working with various HUD programs, our background includes
monitoring CDBG, HOME and ESG activities, managing CDBG, HOME and ESG programs,
and developing and implementing small business, housing rehabilitation and emergency rental
assistance programs.
For the purposes of this proposal, Priscila Davila, of Priscila Davila & Associates, Inc. will be
the primary contact and on-site individual who will provide the direct services to the City of
Rosemead.
We look forward to your evaluation of our proposal for consulting services. Should you have any
questions please contact Priscila Davila at (562) 673-3388.
Sincerely,
Priscila Davila
Principal,Housing/Grants Management Consultant
t
olk.
` `� PRISCILA DAVILA ASSOCIATES, INC.
ggni
: :".'1 34 Plaza Square
I Ey, -1 a9§ Orange, California 92866
(562) 673-3388
� � � � prisciladh@yahoo.corn
RESPONSE TO REQUEST FOR
RFP NO. 2021 -01
PROPOSAL FOR ADMINISTRATION
OF FIOME/CDBG PROGRAMS
SUBMITTED FOR CONSIDERATION TO:
City of Rosemead
Community Development Department
8838 E. Valley Boulevard
Rosemead, California 91770
February 24, 2021
TABLE OF CONTENTS
Executive Summary 1
HUD Document - Specific Services 2
1. Annual Action Plan 2
2. CAPER 3
Administration Services 4
1. General Grant Administration 4
2. Environmental Review Records 4
3. Davis-Bacon Wage & Section 3 Compliance 4
4. Housing Rehabilitation Services 5
5. CDBG-CV Program . 5
6. Substantial Amendment 6
7. Commercial Facade Program 6
Personnel - Direct Services Team 7
Experience/References 8
Cost Schedule 10
Resumes 12
EXECUTIVE SUMMARY
Priscila Davila & Associates, Inc. is a firm of dedicated professionals that have a passion for
providing first-rate consulting services in the areas of community development and affordable housing
within communities throughout Southern California. Priscila Davila &Associates, Inc. principals are
directly responsible for performing all work associated with the company.
Priscila Davila & Associates, Inc. principals, having worked as city employees and with other private
consulting firms, saw the need to come together as a team to provide competitive and effective
services to local government agencies and non-profit organizations.
Priscila Davila & Associates, Inc. has no pending or previous litigations related to our work.
Summary of Experience/Services - The following is a summary of the various services provided by
Priscila Davila & Associates, Inc.:
• Preparation of Five-Year Consolidated Plans.
• Preparation of Annual Action Plan and Consolidated Annual Performance Evaluation Reports.
• Preparation of Citizen Participation Plans.
• Hands on use of the federal Integrated Disbursement Information System (IDIS).
• Monitoring Public Service Subrecipients, Housing Projects, Commercial Rehabilitation, Public
Improvement Projects, and Economic Development Projects.
• Preparation of Environmental Documentation and Compliance.
• Technical Assistance on resolution of regulatory compliance issues.
• Regulatory monitoring and compliance associated with Davis Bacon Related Act(DBRA).
• HUD monitoring/audit preparation (file organization, resolution of Concerns/Findings,
follow-up correspondence).
• Administration, development, and design of HUD and State-funded Community
Development, Housing Programs and Homeless programs/projects.
• CDBG, CDBG-CV, HOME, State HOME, NSP and ESG-funded program/project design,
development,and implementation.
• Ongoing program administration including processing subordinations and loan payoffs for,
first-time buyer and owner-occupant programs.
Knowledge of State and Federal Regulations - Priscila Davila & Associates, Inc. principals have
attended over 30 workshops and trainings sponsored by the U.S. Department of Housing and Urban
Development and the State of California Housing and Community Development.
Additional Qualifications (Real Estate Broker) -Team member, Deborah Sottek, has held an active
California Real Estate Broker's license for 20 years. She has coordinated over 2,000 escrow
transactions for first- time homebuyer, owner occupied and multi-family rehabilitation programs. She
is experienced in all aspects of loan transactions including underwriting, loan processing, and escrow
transactions. She has 20.years of experience in property title search and document recording.
1iPage
HUD DOCUMENT - SPECIFIC SERVICES
The following summarizes the specific services for the following documents:
1. ANNUAL ACTION PLAN(S)
A. Prepare all HUD required reports, notices, and documents necessary to process the
City's Annual Action Plan.
B. Prepare the annual Notice of Funding Availability (NOFA) for allocation of City CDBG
and HOME funding.
C. Work with City staff to review submitted funding requests for completeness and
eligibility.
D. Assist or prepare, as required, reports for the City Council concerning the allocation
of funds for public service and capital expenditure activities.
E. Prepare narrative and submit to HUD in the IDIS-prescribed format, including but not
limited to, a description and assessment of the following:
• Use of funds.
• Program and project accomplishments.
• Geographic distribution of funds.
• Leveraging of funds.
• Homeless activities.
• Public housing.
• Institutional structure.
F. Assistance in compiling eligibility documentation in accordance with HUD regulations
for program year funded projects, including National Objective determinations.
G. Set-up and maintain activities and narratives in the Integrated Disbursement
Information System (IDIS).
TIMELINE December January February March April May
Drafting of Plan December to April
Community Forums/Meetings February to March
Draft of Document for Staff Review April
Presentation of Draft to Public/City Council April to May
Submit to HUD
May 15th
2IPage
HUD DOCUMENT - SPECIFIC SERVICES (CONTINUED)
2. CONSOLIDATED ANNUAL PERFORMANCE AND EVALUATION REPORT(S)
A. Prepare all HUD required reports, notices, and documents necessary to process the
City's CAPER.
B. Assist or prepare, as required, reports for the City Council concerning the
expenditures and accomplishments.
C. Preparation of the Consolidated Annual Performance and Evaluation Report (CAPER)
will include the following:
• Executive Summary • Public Housing Strategy
• General Questions • Barriers to Affordable Housing
• Managing the Process • HOME
• Citizen Participation • Homelessness
• Institutional Structure • Homeless Needs
• Monitoring • Specific Prevention Elements
• Lead-based Paint • Non-Homeless Special Needs
• Housing Housing
• Housing Needs • Community Development
• Specific Housing Objectives • Antipoverty Strategy
D. Enter CAPER and submit to HUD via the Integrated Disbursement Information System
(IDIS).
TIMELINE July August September
Drafting of CAPER July to September
Draft of Document for Staff August to September
Review
Presentation of Draft to Mid-September
Public/City Council
Submit to HUD End of September
3IPage
ADMINISTRATION SERVICES
The following services are available to assist City staff in the implementation of its HUD-funded
programs:
1. GENERAL GRANT ADMINISTRATION
A. Provide CDBG and HOME program training and technical assistance to City staff and
funded subrecipients for CDBG and HOME compliance.
B. Coordinate preparation of sub-recipient contracts with City Attorney; review sub-
recipient's invoices for accuracy and eligibility.
C. Create and maintain files for CDBG, HOME funded projects/activities and programs.
D. Review quarterly status reports on the status of work projects/activities and
programs assigned, unless otherwise instructed by the City.
E. Provide any other administrative services necessary to effectively administer the
City's CDBG and HOME programs.
F. Develop a monitoring plan and monitor all CDBG and HOME projects/programs for
appropriate records maintenance, reporting, and compliance with applicable program
requirements.
G. Assistance in preparing for Department of Housing & Urban Development program
monitoring of CDBG and HOME projects/programs.
H. Assist with preparation of responses, as needed, to Findings and Concerns noted in
HUD Project Monitoring.
Attend public meetings, as needed.
J. Work with City staff, as needed to maintain financial records as defined by CDBG and
HOME Program regulations and policies.
K. Provide monthly status reports for work programs/projects assigned.
L. Prepare drawdowns in IDIS.
2. ENVIRONMENTAL REVIEW RECORDS
A. Preparation of the environmental review records for all HUD-funded programs and
activities including but not limited to:
• Notice of Intent to Request Release of Funds
• Request for Release of Funds
• 8-Step Flood Plain Determination
• CEST (formerly Appendix A)
3. DAVIS-BACON WAGE & SECTION 3 COMPLIANCE
A. Provide Davis-Bacon Wage compliance procedures.
B. Provide Davis-Bacon project monitoring compliance, as applicable.
41 _P-ag_e
ADMINISTRATION SERVICES (CONTINUED)
C. Provide labor compliance services for the City of Rosemead's CDBG and HOME funded
projects.
D. Provide Section 3 project reporting/monitoring.
E. Prepare Contractor/Subcontractor Activity Report.
4. HOUSING REHABILITATION SERVICES
A. Household Qualification
1. Calculate household income.
2. Prepare and send letters of verification to third parties such as IRS, employers,
social Security, EDD, retirement benefits system, etc.
3. Review asset documentation for income calculation and evidence of additional
unreported income.
4. Review credit report for evidence of assets and additional unreported income.
5. Prepare and transmit all correspondence including additional information
requests, approval, denial letters, etc.
B. Document Preparation
1. Environmental documentation (CEST formerly Appendix A).
2. Prepare grant/loan/construction contracts.
3. Prepare and transmit all correspondence including additional information
requests, approval, denial letters, etc.
C. Construction Management - The following services are offered for the housing
rehabilitation program:
1. Arrange/Conduct inspections.
2. Develop written scope of work.
3. General project construction oversight.
5. COMMUNTY DEVELOPMENT BLOCK GRANT - CV
In response the coronavirus pandemic, Congress approved the CARES Act. Priscila Davila &
Associates, Inc. has been instrumental in designing and implementing CDBG-CV programs to
address the impacts of the pandemic on businesses, tenants and homeowners. An online
application portal is used to expedite the processing of applications and distribution of funds to
businesses, tenants and landlords that have been devastated by the loss of jobs, loss of income
placing businesses owners losing their businesses and/or residents at risk of losing their housing.
The following may be provided to the City in conjunction with its Round 1 and Round 3 CDBG-CV
funds:
A. Assist with substantial amendments.
B. Development written small business program guidelines.
5lPage
ADMINISTRATION SERVICES (CONTINUED)
C. Development of written emergency rental assistance program guidelines.
D. Provide online portal and application for small business and/or rental assistance or other
City-identified CDBG-CV eligible program.
E. Determine if applications meet HUD and City of Rosemead eligibility requirements.
F. Assist with document preparation and execution.
G. Coordinate payments.
H. Prepare other documents, as needed.
6. SUBSTANTIAL AMENDMENT
A. Prepare all HUD required reports, notices, and documents necessary to process any
City approved amendments to the Annual Action Plan.
B. Assist staff in determining allocation of resources based on HUD waivers.
C. Assist or prepare, as required, reports for the City Council.
D. Assistance in compiling eligibility documentation in accordance with HUD regulations
for program year funded projects, including National Objective determinations.
E. Set-up and maintain activities and narratives in the Integrated Disbursement
Information System (IDIS).
7. COMMERICAL FACADE PROGRAM IMPLEMENTATION SERVICES
A. Review and update Policies and Procedures
B. Determine business eligibility.
C. Provide construction management services.
D. Prepare documents.
6IPage
PERSONNEL - DIRECT SERVICES TEAM
The following is a listing of the key personnel performing the specific, program tasks outlined in the
proposal. Complete resumes for each person can be found in the "Resume" section of this proposal.
Priscila Davila Ms. Davila has over twenty (20) years of CDBG, HOME, and ESG professional
experience. She has thorough knowledge of CFR Title 24 Part 570 and has an excellent command of
HUD regulations. Ms. Davila will be lead person for the work under the Annual Action Plan and CAPER
component of this proposal. Her focus will be the general administration of all the City's HUD-funded
grants and programs identified in this Proposal. Ms. Davila will provide general oversight and
management of the CDBG, HOME and CDBG-CV programs. She will meet with City staff monthly, or as
needed, to discuss project status and implementation. She will charge for time expended on project
management, attending meetings, telephone calls, research time and preparing documents.
Deborah Sottek - Deborah Sottek has over thirty (30) years of experience in the administration of
federally funded community development and housing programs. Ms. Sottek will provide assistance
to Ms. Davila in the development and preparation of HUD documents. Ms. Sottek will be lead person
for services performed under the First-time Homebuyer, Housing Rehabilitation, and Commercial
Facade component of this proposal. She will charge for time expended on project management,
attending meetings, telephone calls, research time and preparing documents.
ADDITIONAL SUPPORT STAFF (if needed)
Nicole Gangale - Ms. Gangale currently assists in providingoff-site program administrative and
application processing services including application loan and grant processing, credit report
review, grant/loan document and construction contract preparation. Tracking project
disbursements, contingency and fund verification.
Shannon Prebil - Ms. Prebil assists in compiling data for analysis and preparing draft narrative.
In this role, she assists with data entry, project file setup and records maintenance.
Abel Torres - Mr. Torres assists in completing HQS inspections, lead-based paint testing, and
construction management.
7IPage
EXPERIENCE/REFERENCES
Client History:The following is a history of agencies served by Priscila Davila&Associates and
Housing Programs:
City of Gardena City of Bellflower City of San Bernardino
City of Lawndale City of Lawndale City of Pomona
City of Huntington Park City of Montebello City of Encinitas
City of South Gate City of Buena Park City of San Juan Capistrano
The following is a list of current references.
City of Rosemead 2019-Present
Community Development Department Responsible Persons:
8838 E. Valley Blvd. Priscila Davila& Debbie Sottek
Rosemead, CA 91770 Funding Source(s):
Angelica Frausto-Lupo HOME, CDBG & CDBG-CV
Director of Community Development
Responsibilities: General consulting services in support of the City's administration of the CDBG, CDBG-CV
and HOME funded programs; preparation of environmental documentation, preparation/attendance at HUD
monitorings, 2019 CAPER, 2020 Citizen Participation Plan, CDBG subrecipient oversight/monitoring, provide
IDIS support by setting up activities/projects, committing funds, and generating reports, provide staff with
CDBG and HOME Program technical assistance, income determination for owner-occupied housing
rehabilitation program.
City of Newport Beach 2020-Present
Community Development Department Responsible Persons:
100 Civic Center Drive Priscila Davila& Debbie Sottek
Newport Beach, CA 92660 Funding Source(s):
Lauren Wooding Whitlinger CDBG &CDBG-CV
Real Property Administrator
Responsibilities: General consulting services in support of the City's administration of the CDBG and CDBG-
CV funded programs; preparation of environmental documentation, CDBG subrecipient oversight/monitoring;
provide IDIS support by setting up activities/projects, committing funds, and generating reports, provide staff
with CDBG and HOME Program technical assistance, prepare Action Plans and CAPER; monitor affordable
housing projects.
City of La Habra: 2019-Present
Community and Economic Department Responsible Persons:
110 E. La Habra Blvd. Priscila Davila
La Habra, CA 90631 Funding Source(s):
Miranda Cole-Corona CDBG
Economic Development and Housing Manager
Responsibilities: General consulting services in support of the City's administration of the CDBG funded
program; preparation of environmental documentation, CDBG subrecipient oversight/monitoring; provide IDIS
support by setting up activities/projects, committing funds, and generating reports, provide staff with CDBG
Program technical assistance, prepare Action Plans and CAPER; provide labor compliance services for all CDBG
construction projects.
8IPage
EXPERIENCE/REFERENCES (CONTINUED)
City of Ontario 2018-Present
Housing &Neighborhood Preservation Agency Responsible Person:
208 West Emporia Street Priscila Davila& Debbie Sottek
Ontario, CA 91762 Funding Source(s):
(909) 395-2322 HOME, CDBG, & ESG
Mrs. Katryna Gonzalez
Responsibilities: Provide labor compliance services for all CDBG construction projects, Assist in preparation
of Consolidated Plans, Annual Action Plans, and CAPERs.
City of Monterey Park 2008-Present
Community& Economic Development Department Responsible Persons:
320 W New Mark Avenue Priscila Davila& Debbie Sottek
Monterey Park, CA 91754 Funding Source(s):
Martha Garcia, CPFO HOME, CDBG &CDBG-CV
Director of Management Services
Responsibilities: General consulting services in support of the City's administration of the CDBG, CDBG-CV
and HOME funded programs; preparation of environmental documentation, preparation/attendance at HUD
monitorings preparation of 2015, and 2020 Five Year Consolidated Plans, 2008 to 2020 Annual Action Plans
and CAPERs, 2008 to 2020 Citizen Participation Plan, CDBG subrecipient monitoring, provide IDIS support by
setting up activities/projects, committing funds, and generating reports, provide staff with CDBG and HOME
Program technical assistance, income determination for owner-occupied housing rehabilitation program.
Design and implementation of CDBG-CV Small Business Assistance Program. Design and implementation of
Rental Assistance Program.
City of Pasadena 2008-Present
Housing Department Responsible Person:
649 North Fair Oaks Avenue, Suite 202
Priscila Davila
Pasadena, California 91 109
Phone No.: (626) 396-8321 Funding Source(s):
Mr.Jim Wong, Senior Project Manager HOME, CDBG & ESG
Responsibilities: General consulting services in support of the City's administration of the CDBG, ESG and
HOME federal funding programs; provides information, guidance, and advice on CDBG, ESG and HOME matters,
including environmental and financial requirements, review program documents to ensure compliance with
HUD requirements, provide IDIS support by setting up activities/projects, committing funds and generating
reports, provide all Section 3 and Davis-Bacon monitoring, provide Long Term Monitoring HQS inspections.
Additional references available upon request.
•
91 Page
COST SCHEDULE
HUD REPORTS
Task Total Cost
Annual Action Plan $4,400.00
CAPER $3,600.00
GENERAL PROGRAM ADMINISTRATION
Task Hourly Rate
Priscila Davila $75.00
Deborah Sottek $75.00
Nicole Gangale $40.00
Abel Torres $40.00
Shannon Prebil $30.00
HOUSING REHABLITATION SERVICES
PLEASE REFER TO FOLLOWING PAGE
This cost approach is recommended as it provides a concise cost for processing each loan. We
believe it is a better way to manage the cost to processing a loan rather than an hourly rate. The line
items are costed out at the average amount of time it takes for each loan. Easier loans will cover the
cost of more difficult loans.
COST SCHEDULE (CONTINUED)
FEES,PER . ;FEES
GRANT PER,
DESCRIPTION OF WORK
LOAN
Application Processing(Applicant/Property Eligibility Determination) $375.00 $575.00
Preparation of Environmental Documentation $175.00 $175.00
Initial Property Inspection &Preliminary Cost Analysis $350.00 $550.00
Work Specifications, Final Specifications for Bidding $250.00 $500.00
BID PROCESS
Coordination of Bid Process and Bid Walks with Homeowner and Contractors
Review of Bids,follow-up
$525.00 $750.00
Verification of License&Insurance
Selection&Award of Contract
Additional bid-walks billed hourly @$75.00
CONTRACTOR SELECTION
Award of Contract
Preparation of Construction Contract $425.00 $650.00
Verification of Selected Contractor State License, non-debarment, required insurance(s),and
City business license
Construction contract execution meeting with Homeowner/Selected Contractor
____ ,. 3^. i9F<a;& "P9 S+ "-F,x.-a-az, ;":x#53°i?T#{Y 'a^eom e od3u'm §. -W?
74,1 ple contracts,A P:t.5onal contracf i e rtrade o.tg actors) War # _,M Sff , Z00 QO .$20D 0,t0_
EXECUTION OF LOAN/GRANT DOCUMENTS
Loan/Grant Document Preparation,execution &transmittal for recording. $275.00 $425.00
Loan/Grant Closing
CONSTRUCTION MANAGEMENT $75.00 $850
Oversight of project under construction $350.00 $550.00
Progress Inspections $175.00 $175.00
Payment processing(each payment) $85.00 $85.00
Change Order processing
FILE MAINTENANCE
Organizing and closing out file documents,ensuring all documents are in order and file is $75.00 $150.00
Organized, complete and ready for audit.
TOTAL BASE COST PER GRANT/LOAN
(Does not include cost of items shown in shaded areas,above.These costs only apply if there is a $3,335.00 $5,635.00
change in the contractor or the applicant uses more than one contractor.)Cost are based on an
average$2,000-$5,000 grant/average$50,000 to$80,000 loan.
REIMBURSABLES
Title Report N/A $175.00
Credit Report N/A $35.00
ASBESTOS/LEAD BASED PAINT (If Applicable) .,
DESCRIPTION OF WORK FEES PER GRANT/LOAN
Asbestos Inspection/Report(Barr&Clark) $575.00
Asbestos Abatement(Specifications)(Barr&Clark) $275.00
Lead Based Paint Risk Assessment/Inspection and Report(Barr&Clark) $375.00
Lead-Based Paint Abatement(Specifications)(Barr&Clark) $275.00
Coordinate/obtain and review lead inspection/report incorporate into WWU $150.00
Coordinate obtain lead abatement bids $150.00
Prepare Contract/Coordinate/oversee lead abatement work $350.00
Lead Based Paint Clearance Inspection(Barr&Clark) $220.00
Lead Based Paint Clearance Re Inspection(Barr&Clark)This cost can be transferred to General Contractor. $220.00
11 IPage
RESUMES
PRISCILA.r•divii-PL
(362)6n-338s
pnicaaah@phooxorn
EMPLOYMENT)EXPERIENCE:
Priscila Associates lizy 2006,Ctirrant •
• C.,I3BG/H011E/ESG Consultant
• . + Provide professional services to augment and mentor. city stiff in the areas of Ccusanaunity
'Development Block Giant (C.D13G), HOME krestenent Partnerships and .Ernergency
Sooni Grant(E$G)PICSPRIC0.1;
'ties include program adrastration assistance, ploiect Management, and IDIS
peognen assistance;
+ Provide assistance on analyzing and developing proposed affotdable housing and projects
related to CDBG/HOME program guidelines;
Ass:ist on speeific reporting requirements, such as the Annual Action Egan and CAPER and
preparation of requests for ptoposah;
• Monitor and'maintain records CDBG,HOME and ESG;
+ Provide advice and infoemation on funding oppormnides,requirements and permeates;
+ Coordinate programs with Community Housing Development Osgan.z-. ations( Os)and „
afforelabk,housing developers;coordinate agteernents and monitor projects.
'• City of Ba.ldtv'in Fade Islay.2034— '"Vlay 2006
Grants Art,m4eiStrator
• Performed a videty of analyses and studies to identify State and Federal funding options
+ Performed tinte-cridszl and confidential studies related to fiscal and arlee:-Iisteaive
- requErerlierit cef grant Flog:Pals;
+ Assisted in the grants solicitation process; •
+ Planned and coordinated the ineplementaton of awarded g;ants to ensrme that the City Iris
ita compliance Lith applicable byes and regulations;
+ Monitored and audited grant expenses.
City of Huntington Park Aug.20 —1sZov.2004
CDBGPtoject Cootdinator
+ Research and prepare grant applications for the Community Development Depart
.Adininister the City's Community Development Block Gan; HOME Investment
• Partnership and Ennergency Shelter grants; •
▪ otanize and implement the admin. istration of gar=received;
Prepare Annual Ao'Eon Plan and ComolielUe51 Annual Performance Evaluation Report
(CAPER*)to the Department of Housnsg and Urhan Development
+ Prepare staff reports and epresent the City on grant mattets;
+ Execute contracts nith sub-le6pientS and consultants;
+ Monitor sub-repieriti to ensuze cornpEance uitla federal zequirements;
+ En,sute the City's comPlia!ace uith tequitements of awatded ..ants; , •
•
•
12IPage
•
+ Perform Environmental Reviews and Davis-Bacon monitoriri
+ Prepare City's annual bud_et for grants and Community Development Departriaent;
Attend meetings and speak at public gatherin .
City of La Habra Aug.2000-Aug.2001
associate Planner
Assisted at a professional levet in organizing,implementing and naonitorictg CDBG program
and planning projects_
+ Performed population,housing,social,economic and other specialized studies of the Cite,
+ Provided local officials and citizens with information regare;na projects;
+ Conducted field studies and surveys to collect original research data for City projects;
+ Monitored program activities for progress and compliance with program requirements;
+ Evaluated program results against states objectives;
+ Reviewed environmental documents and enforce labor standards; •
+ Made presentations to government offir lc,commissions,and citizens.
LA County Community Development Commission Feb.1999-Aug.2000
Development Specialist
+ Responsible for evaluating Cities, Communing ga. County
a Ba=_ed Ctr �...4at<ons and
Departments to ensure compliance with regulations;
«b Provided technical assistance to grant recipients by identifying appropriate systems that
could be implrneated to meet requirements;
• Reviewed and responded to eligibility'inquiries for proposed projects;
+ Prepared agreements,amendments,statistical and financial reports for projects;
Investigated complaints and prepared recommendations for corrective actions.
EDUCATION
California State University at Long Beach,1992-1997
Bachelor of Arts Degree in English
Sia lfirada high School,1988-1992
High School Diploma
LANGUAGES
Fluent in English and Spanish
REFERENCES
Available upon request
13 Hage
. . _ _ .•
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Deborah A. Sottek: . •
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• Davelinnent of proOni aridOdicidaauirw*.andforteahnibaf assistance la gOvenim. ent.qi Ent agenci*, • 1
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• raitrailanzne restfatiansi-ard relaaalian- • ” - .- • •-- i
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. 14 1 Page
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CIVIC PRIDE,
944,Thoor
Attachment D
Professional Services Agreement with Priscila
Davila & Associates, Inc.
( EM .� 4 Q
CIVIC PRIDE
.14
ivy
4CORPoRATED.`°
PROFESSIONAL SERVICES AGREEMENT
HUD PROGRAMS AND GRANT ADMINISTRATIVE SERVICES
(PRISCILA DAVILA & ASSOCIATES, INC.)
1. PARTIES AND DATE.
This Agreement is made and entered into this this day of March, 2021
("Effective Date") by and between the City of Rosemead, a municipal organization
organized under the laws of the State of California with its principal place of business at
8838 E. Valley Blvd., Rosemead, California 91770 ("City") and Priscila Davila &
Associates, Inc. with its principal place of business at 34 Plaza Square, Orange, CA
92866 ("Consultant"). City and Consultant are sometimes individually referred to herein
as "Party" and collectively as "Parties."
2. RECITALS.
2.1 Consultant.
Consultant desires to perform and assume responsibility for the provision of certain
professional services required by the City on the terms and conditions set forth in this
Agreement. Consultant represents that it is experienced in providing HUD Programs and
Grant Administrative Services to public clients and is experienced and holds the duly
required licenses and certifications to perform the said services.
2.2 Project.
City desires to engage Consultant as an independent contractor to provide HUD
Programs and Grant Administrative services to the City of Rosemead ("Project").
3. TERMS.
3.1 Scope of Services and Term.
3.1.1 General Scope of Services. Consultant promises and agrees to
furnish to the. City all labor, materials, tools, equipment, services, and incidental and
customary work necessary to fully and adequately supply the professional consulting
services necessary for the Project ("Services"). The Services are more particularly
Priscila Davila &Associates, Inc.
Page 2 of 11
described in Exhibit "A" attached hereto and incorporated herein by reference. All
Services shall be subject to, and performed in accordance with, this Agreement, the
exhibits attached hereto and incorporated herein by reference, and all applicable local,
state and federal laws, rules and regulations.
3.1.2 Term. The term of this Agreement shall be for a three (3) year time
period with the option of up to two (2) one-year extensions from the Effective Date unless
earlier terminated as provided herein. Consultant shall complete the Services within the
term of the Agreement, and shall meet any other established shcedules and deadlines.
3.2 Responsibilities of Consultant.
3.2.1 Control and Payment of Subordinates; Independent Contractor. The
Services shall be performed by Consultant or under its supervision. Consultant will
determine the means, methods and details of performing the Services subject to the
requirements of this Agreement. City retains Consultant on an independent contractor
basis and not as an employee. Consultant retains the right to perform similar or different
services for others during the term of this Agreement. Any additional personnel
performing the Services under this Agreement on behalf of Consultant shall also not be
employees of City and shall at all times be under Consultant's exclusive direction and
control. Consultant shall pay all wages, salaries, and other amounts due such personnel
in connection with their performance of Services under this Agreement and as required
by law. Consultant shall be responsible for all reports and obligations respecting such
additional personnel, including, but not limited to: social security taxes, income tax
withholding, unemployment insurance, disability insurance, and workers' compensation
insurance.
3.2.2 Schedule of Services. Consultant shall perform the Services
expeditiously, within the term of this Agreement. Consultant represents that it has the
professional and technical personnel required to perform the Services in conformance
with such conditions. In order to facilitate Consultant's conformance with the Schedule,
City shall respond to Consultant's submittals in a timely manner. Upon request of City,
Consultant shall provide a more detailed schedule of anticipated performance to meet the
Schedule of Services.
3.2.3 Conformance to Applicable Requirements. All work prepared by
Consultant shall be subject to the approval of City.
3.2.4 Substitution of Key Personnel. Consultant has represented to City
that certain key personnel will perform and coordinate the Services under this Agreement.
Should one or more of such personnel become unavailable, Consultant may substitute
other personnel of at least equal competence upon written approval of City. In the event
that City and Consultant cannot agree as to the substitution of key personnel, City shall
be entitled to terminate this Agreement for cause. As discussed below, any personnel
who fail or refuse to perform the Services in a manner acceptable to the City, or who are
determined by the City to be uncooperative, incompetent, a threat to the adequate or
Priscila Davila &Associates, Inc.
Page 3 of 11
timely completion of the Project or a threat to the safety of persons or property, shall be
promptly removed from the Project by the Consultant at the request of the City.
3.2.5 City's Representative. The City hereby designates the City
Manager, or his or her designee, to act as its representative for the performance of this
Agreement ("City's Representative"). City's Representative shall have the power to act
on behalf of the City for all purposes under this Agreement. Consultant shall not accept
direction or orders from any person other than the City's Representative or his or her
designee.
3.2.6 Consultant's Representative. Consultant will designate to act as its
representative for the performance of this Agreement ("Consultant's Representative").
Consultant's Representative shall have full authority to represent and act on behalf of the
Consultant for all purposes under this Agreement. The Consultant's Representative shall
supervise and direct the Services, using his/her best skill and attention, and shall be
responsible for all means, methods, techniques, sequences and procedures and for the
satisfactory coordination of all portions of the Services under this Agreement.
3.2.7 Coordination of Services: Consultant agrees to work closely with
City staff in the performance of Services and shall be available to City's staff, consultants
and other staff at all reasonable times.
3.2.8 Standard of Care; Performance of Employees: Consultant shall
perform all Services under this Agreement in a skillful and competent manner, consistent
with the standards generally recognized as being employed by professionals in the same
discipline in the State of California. Consultant represents and maintains that it is skilled
in the professional calling necessary to perform the Services. Consultant warrants that
all employees and subcontractors shall have sufficient skill and experience to perform the
Services assigned to them. Finally, Consultant represents that it, its employees and
subcontractors have all licenses, permits, qualifications and approvals of whatever nature
that are legally required to perform the Services, including a City Business License, and
that such licenses and approvals shall be maintained throughout the term of this
Agreement. As provided for in the indemnification provisions of this Agreement,
Consultant shall perform, at its own cost and expense and without reimbursement from
the City, any services necessary to correct errors or omissions which are caused by the
Consultant's failure to comply with the standard of care provided for herein.
3.2.9 Laws and Regulations. Consultant shall keep itself fully informed of
and in compliance with all local, state and federal laws, rules and regulations in any
manner affecting the performance of the Project or the Services, including all Cal/OSHA
requirements, and shall give all notices required by law. Consultant shall be liable for all
violations of such laws and regulations in connection with Services. If the Consultant
performs any work knowing it to be contrary to such laws, rules and regulations and
without giving written notice to the City, Consultant shall be solely responsible for all costs
arising therefrom. Consultant shall defend, indemnify and hold City, its officials, directors,
officers, employees and agents free and harmless, pursuant to the indemnification
Priscila Davila & Associates, Inc.
Page 4 of 11
provisions of this Agreement, from any claim or liability arising out of any failure or alleged
failure to comply with such laws, rules or regulations.
3.2.10 Insurance: Consultant shall maintain prior to the beginning
of and for the duration of this Agreement insurance coverage as specified in Exhibit B
attached to and part of this agreement.
3.2.11 Safety: Contractor shall execute and maintain its work so as
to avoid injury or damage to any person or property. In carrying out its Services, the
Consultant shall at all times be in compliance with all applicable local, state and federal
laws, rules and regulations, and shall exercise all necessary precautions for the safety of
employees appropriate to the nature of the work and the conditions under which the work
is to be performed. Safety precautions as applicable shall include, but shall not be limited
to: (A) adequate life protection and life saving equipment and procedures; (B) instructions
in accident prevention for all employees and subcontractors, such as safe walkways,
scaffolds, fall protection ladders, bridges, gang planks, confined space procedures,
trenching and shoring, equipment and other safety devices, equipment and wearing
apparel as are necessary or lawfully required to prevent accidents or injuries; and (C)
adequate facilities for the proper inspection and maintenance of all safety measures.
3.3 Fees and Payments.
3.3.1 Compensation. Consultant shall receive compensation, including
authorized reimbursements, for all Services rendered under this Agreement and shall not
exceed Eighty Thousand Dollars ($80,000.00) and in accordance with Consultant's
proposal dated February 24, 2021. Extra Work may be authorized in writing, as described
below, and will be compensated at the rates and manner set forth in this Agreement.
3.3.2 Payment of Compensation. Consultant shall submit to City a monthly
itemized statement which indicates work completed and Services rendered by
Consultant. The statement shall describe the amount of Services and supplies provided
since the initial commencement date, or since the start of the subsequent billing periods,
as appropriate, through the date of the statement. City shall, within 45 days of receiving
such statement, review the statement and pay all approved charges thereon.
3.3.3 Reimbursement for Expenses: Consultant shall not be reimbursed
for any expenses unless authorized in writing by City.
3.3.4 Extra Work: At any time during the term of this Agreement, City may
request that Consultant perform Extra Work. As used herein, "Extra Work" means any
work which is determined by City to be necessary for the proper completion of the Project,
but which the parties did not reasonably anticipate would be necessary at the execution
of this Agreement. Consultant shall not perform, nor be compensated for, Extra Work
without written authorization from City's Representative.
3.3.5 Prevailing Wages: Consultant is aware of the requirements of
Priscila Davila &Associates, Inc.
Page 5 of 11
California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code
of Regulations, Title 8, Section 1600, et seq., ("Prevailing Wage Laws"), which require the
payment of prevailing wage rates and the performance of other requirements on "public
works" and "maintenance" project, as defined by the Prevailing Wage Laws, and if the
total compensation is $1,000 or more, Consultant agrees to fully comply with such
Prevailing Wage Laws. City shall provide Consultant with a copy of the prevailing rates
of per diem wages in effect at the commencement of this Agreement. Consultant shall
make copies of the prevailing rates of per diem wages for each craft; classification or type
of worker needed to execute the Services available to interested parties upon request,
and shall post copies at the Consultant's principal place of business and at the project
site. Consultant shall defend, indemnify and hold the City, its elected officials, officers,
employees and agents free and harmless from any claim or liability arising out of any
failure or alleged failure to comply with the Prevailing Wage Laws.
3.4 Accounting Records.
3.4.1 Maintenance and Inspection: Consultant shall maintain complete
and accurate records with respect to all costs and expenses incurred under this
Agreement. All such records shall be clearly identifiable. Consultant shall allow a
representative of City during normal business hours to examine, audit, and make
transcripts or copies of such records and any other documents created pursuant to this
Agreement. Consultant shall allow inspection of all work, data, documents, proceedings,
and activities related to the Agreement for a period of three (3) years from the date of final
payment under this Agreement.
3.5 General Provisions.
3.5.1 Termination of Agreement.
3.5.1.1 Grounds for Termination: City may, by written notice
to Consultant, terminate the whole or any part of this Agreement at any time and without
cause by giving written notice to Consultant of such termination, and specifying the
effective date thereof, at least seven (7) days before the effective date of such termination.
Upon termination, Consultant shall be compensated only for those services which have
been adequately rendered to City, and Consultant shall be entitled to no further
compensation. Consultant may not terminate this Agreement except for cause.
3.5.1.2 Effect of Termination: If this Agreement is terminated
as provided herein, City may require Consultant to provide all finished or unfinished
Documents/ Data and other information of any kind prepared by Consultant in connection
with the performance of Services under this Agreement. Consultant shall be required to
provide such document and other information within fifteen (15) days of the request.
3.5.1.3 Additional Services: In the event this Agreement is
terminated in whole or in part as provided herein, City may procure, upon such terms and
in such manner as it may determine appropriate, services similar to those terminated.
Priscila Davila &Associates, Inc.
Page 6 of 11
3.5.2 Delivery of Notices. All notices permitted or required under this
Agreement shall be given to the respective parties at the following address, or at such
other address as the respective parties may provide in writing for this purpose:
CONSULTANT:
Priscila Davila &Associates, Inc.
34 Plaza Square
Orange, CA 92866
Attn: Priscila Davila
Tel: (562) 673-3388
CITY:
City of Rosemead
8838 E. Valley Boulevard
Rosemead, CA 91770
Attn: City Manager
Such notice shall be deemed made when personally delivered or when mailed,
forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid and
addressed to the party at its applicable address. Actual notice shall be deemed adequate
notice on the date actual notice occurred, regardless of the method of service.
3.5.3 Ownership of Materials and Confidentiality.
3.5.3.1 Documents & Data; Licensing of Intellectual Property:
This Agreement creates a non-exclusive and perpetual license for City to copy, use,
modify, reuse, or sublicense any and all copyrights, designs, and other intellectual
property embodied in plans, specifications, studies, drawings, estimates, and other
documents or works of authorship fixed in any tangible medium of expression, including
but not limited to, physical drawings or data magnetically or otherwise recorded on
computer diskettes, which are prepared or caused to be prepared by Consultant under
this Agreement ("Documents & Data"). Consultant shall require all subcontractors to
agree in writing that City is granted a non-exclusive and perpetual license for any
Documents & Data the subcontractor prepares under this Agreement. Consultant
represents and warrants that Consultant has the legal right to license any and all
Documents & Data. Consultant makes no such representation and warranty in regard to
Documents & Data which were prepared by design professionals other than Consultant
or provided to Consultant by the City. City shall not be limited in any way in its use of the
Documents and Data at any time, provided that any such use not within the purposes
intended by this Agreement shall be at City's sole risk.
3.5.3.2 Confidentiality. All ideas, memoranda, specifications,
plans, procedures, drawings, descriptions, computer program data, input record data,
written information, and other Documents and Data either created by or provided to
Consultant in connection with the performance of this Agreement shall be held
Priscila Davila & Associates, Inc.
Page 7 of 11
confidential by Consultant. Such materials shall not, without the prior written consent of
City, be used by Consultant for any purposes other than the performance of the Services.
Nor shall such materials be disclosed to any person or entity not connected with the
performance of the Services or the Project. Nothing furnished to Consultant which is
otherwise known to Consultant or is generally known, or has become known, to the
related industry shall be deemed confidential. Consultant shall not use City's name or
insignia, photographs of the Project, or any publicity pertaining to the Services or the
Project in any magazine, trade paper, newspaper, television or radio production or other
similar medium without the prior written consent of City.
3.5.4 Cooperation; Further Acts: The Parties shall fully cooperate with one
another, and shall take any additional acts or sign any additional documents as may be
necessary, appropriate or convenient to attain the purposes of this Agreement.
3.5.5 Attorney's Fees: If either party commences an action against the
other party, either legal, administrative or otherwise, arising out of or in connection with
this Agreement, the prevailing party in such litigation shall be entitled to have and recover
from the losing party reasonable attorney's fees and all costs of such action.
3.5.6 Indemnification: To the fullest extent permitted by law, Consultant
shall defend, indemnify and hold the City, its officials, officers, employees, volunteers and
agents free and harmless from any and all claims, demands, causes of action, costs,
expenses, liability, loss, damage or injury, in law or equity, to property or persons,
including wrongful death, in any manner arising out of or incident to any alleged acts,
omissions or willful misconduct of Consultant, its officials, officers, employees, agents,
consultants and contractors arising out of or in connection with the performance of the
Services, the Project or this Agreement, including without limitation the payment of all
consequential damages and attorneys fees and other related costs and expenses.
Consultant shall defend, at Consultant's own cost, expense and risk, any and all such
aforesaid suits, actions or other legal proceedings of every kind that may be brought or
instituted against City, its directors, officials, officers, employees, agents or volunteers.
Consultant shall pay and satisfy any judgment, award or decree that may be rendered
against City or its directors, officials, officers, employees, agents or volunteers, in any
such suit, action or other legal proceeding. Consultant shall reimburse City and its
directors, officials, officers, employees, agents and/or volunteers, for any and all legal
expenses and costs incurred by each of them in connection therewith or in enforcing the
indemnity herein provided. Consultant's obligation to indemnify shall not be restricted to
insurance proceeds, if any, received by the City, its directors, officials officers, employees,
agents or volunteers.
3.5.7 Entire Agreement: This Agreement contains the entire Agreement
of the parties with respect to the subject matter hereof, and supersedes all prior
negotiations, understandings or agreements. This Agreement may only be modified by
a writing signed by both parties.
3.5.8 Governing Law: This Agreement shall be governed by the laws of
Priscila Davila &Associates, Inc.
Page 8 of 11
the State of California. Venue shall be in Los Angeles County.
3.5.9 Time of Essence: Time is of the essence for each and every
provision of this Agreement.
3.5.10 City's Right to Employ Other Consultants: City reserves right to
employ other consultants in connection with this Project.
3.5.11 Successors and Assigns: This Agreement shall be binding on the
successors and assigns of the parties.
3.5.12 Assignment or Transfer: Consultant shall not assign, hypothecate,
or transfer, either directly or by operation of law, this Agreement or any interest herein
without the prior written consent of the City. Any attempt to do so shall be null and void,
and any assignees, hypothecates or transferees shall acquire no right or interest by
reason of such attempted assignment, hypothecation or transfer.
3.5.13 Construction; References; Captions: Since the Parties or their
agents have participated fully in the preparation of this Agreement, the language of this
Agreement shall be construed simply, according to its fair meaning, and not strictly for or
against any Party. Any term referencing time, days or period for performance shall be
deemed calendar days and not work days. All references to Consultant include all
personnel, employees, agents, and subcontractors of Consultant, except as otherwise
specified in this Agreement. All references to City include its elected officials, officers,
employees, agents, and volunteers except as otherwise specified in this Agreement. The
captions of the various articles and paragraphs are for convenience and ease of reference
only, and do not define, limit, augment, or describe the scope, content, or intent of this
Agreement.
3.5.14 Amendment; Modification: No supplement, modification, or
amendment of this Agreement shall be binding unless executed in writing and signed by
both Parties.
3.5.15 Waiver: No waiver of any default shall constitute a waiver of any
other default or breach, whether of the same or other covenant or condition. No waiver,
benefit, privilege, or service voluntarily given or performed by a Party shall give the other
Party any contractual rights by custom, estoppel, or otherwise.
3.5.16 No Third Party Beneficiaries: There are no intended third party
beneficiaries of any right or obligation assumed by the Parties.
3.5.17 Invalidity; Severability: If any portion of this Agreement is declared
invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the
remaining provisions shall continue in full force and effect.
3.5.18 Prohibited Interests: Consultant maintains and warrants that it has
Priscila Davila &Associates, Inc.
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not employed nor retained any company or person, other than a bona fide employee
working solely for Consultant, to solicit or secure this Agreement. Further, Consultant
warrants that it has not paid nor has it agreed to pay any company or person, other than
a bona fide employee working solely for Consultant, any fee, commission, percentage,
brokerage fee, gift or other consideration contingent upon or resulting from the award or
making of this Agreement. Consultant further agrees to file, or shall cause its employees
or subconsultants to file, a Statement of Economic Interest with the City's Filing Officer
as required under state law in the performance of the Services. For breach or violation
of this warranty, City shall have the right to rescind this Agreement without liability. For
the term of this Agreement, no member, officer or employee of City, during the term of his
or her service with City, shall have any direct interest in this Agreement, or obtain any
present or anticipated material benefit arising therefrom.
3.5.19 Equal Opportunity Employment: Consultant represents that it is an
equal opportunity employer and it shall not discriminate against any subcontractor,
employee or applicant for employment because of race, religion, color, national origin,
handicap, ancestry, sex or age. Such non-discrimination shall include, but not be limited
to, all activities related to initial employment, upgrading, demotion, transfer, recruitment
or recruitment advertising, layoff or termination. Consultant shall also comply with all
relevant provisions of City's Minority Business Enterprise program, Affirmative Action
Plan or other related programs or guidelines currently in effect or hereinafter enacted.
3.5.20 Labor Certification: By its signature hereunder, Consultant certifies
that it is aware of the provisions of Section 3700 of the California Labor Code which
require every employer to be insured against liability for Worker's Compensation or to
undertake self-insurance in accordance with the provisions of that Code, and agrees to
comply with such provisions before commencing the performance of the Services.
3.5.21 Authority to Enter Agreement: Consultant has all requisite power and
authority to conduct its business and to execute, deliver, and perform the Agreement.
Each Party warrants that the individuals who have signed this Agreement have the legal
power, right, and authority to make this Agreement and bind each respective Party.
3.5.22 Counterparts: This Agreement may be signed in counterparts, each
of which shall constitute an original.
3.6 Subcontracting.
3.6.1 Prior Approval Required: Consultant shall not subcontract any
portion of the work required by this Agreement, except as expressly stated herein, without
prior written approval of City. Subcontracts, if any, shall contain a provision making them
subject to all provisions stipulated in this Agreement.
[Signatures on next page]
Priscila Davila &Associates, Inc.
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CITY OF ROSEMEAD PRISCILA DAVILA &ASSOCIATES,
INC.
By: By:
Gloria Molleda, City Manager Date Date
Name:
Attest:
Title:
City Clerk Date
[If Corporation, TWO SIGNATURES, President
OR Vice President AND Secretary, AND
CORPORATE SEAL OF CONTRACTOR
REQUIRED]
Approved as to Form: By:
Name:
Rachel Richman Date
City Attorney
Title:
EXHIBIT A
PROPOSAL FOR SERVICES/RATE SCHEDULE/RESUME
The Consultant shall provide HUD Programs and Grant Administrative services to the
City of Rosemead ("Project").
(Attachment of proposal dated February 24, 2021 forthcoming)
A-1
EXHIBIT B
INSURANCE REQUIREMENTS
Prior to the beginning of and throughout the duration of the Work, Consultant will maintain
insurance in conformance with the requirements set forth below. Consultant will use
existing coverage to comply with these requirements. If that existing coverage does not
meet the requirements set forth here, Consultant agrees to amend,supplement or
endorse the existing coverage to do so. Consultant acknowledges that the insurance
coverage and policy limits set forth in this section constitute the minimum amount of
coverage required. Any insurance proceeds available to City in excess of the limits and
coverage required in this agreement and which is applicable to a given loss, will be
available to City.
Consultant shall provide the following types and amounts of insurance:
Commercial General Liability Insurance: Consultant shall maintain commercial general
liability insurance with coverage at least as broad as Insurance Services Office form CG
00 01, in an amount not less than $1,000,000 per occurrence, $2,000,000 general
aggregate, for bodily injury, personal injury, and property damage. The policy must
include contractual liability that has not been amended. Any endorsement restricting
standard ISO "insured contract" language will not be accepted.
Automobile liability insurance: Consultant shall maintain automobile insurance at least as
broad as Insurance Services Office form CA 00 01 covering bodily injury and property
damage for all activities of the Consultant arising out of or in connection with Work to be
performed under this Agreement, including coverage for any owned, hired, non-owned or
rented vehicles, in an amount not less than 1,000,000 combined single limit for each
accident.
Excess or Umbrella Liability Insurance (Over Primary) if used to meet limit requirements,
shall provide coverage at least as broad as specified for the underlying coverages. Any
such coverage provided under an umbrella liability policy shall include a drop down
provision providing primary coverage above a maximum $25,000 self-insured retention
for liability not covered by primary but covered by the umbrella. Coverage shall be
provided on a "pay on behalf' basis, with defense costs payable in addition to policy limits.
Policy shall contain a provision obligating insurer at the time insured's liability is
determined, not requiring actual payment by the insured first. There shall be no cross
liability exclusion precluding coverage for claims or suits by one insured against another.
Coverage shall be applicable to City for injury to employees of Consultant, subconsultants
or others involved in the Work. The scope of coverage provided is subject to approval of
City following receipt of proof of insurance as required herein. Limits are subject to review
but in no event less than $1 Million per occurrence.
Professional Liability or Errors and Omissions Insurance as appropriate shall be written
on a policy form coverage specifically designed to protect against acts, errors or
omissions of the consultant and "Covered Professional Services" as designated in the
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policy must specifically include work performed under this agreement. The policy limit
shall be no less than $1,000,000 per claim and in the aggregate. The policy must "pay on
behalf of" the insured and must include a provision establishing the insurer's duty to
defend. The policy retroactive date shall be on or before the effective date of this
agreement.
Insurance procured pursuant to these requirements shall be written by insurers that are
admitted carriers in the state of California and with an A.M. Bests rating of A- or better
and a minimum financial size VII.
General conditions pertaining to provision of insurance coverage by Consultant.
Consultant and City agree to the following with respect to insurance provided by
Consultant:
1. Consultant agrees to have its insurer endorse the third party general liability
coverage required herein to include as additional insureds City, its officials,
employees and agents, using standard ISO endorsement No. CG 2010.
Consultant also agrees to require all contractors, and subcontractors to do
likewise.
2. No liability insurance coverage provided to comply with this Agreement shall
prohibit Consultant, or Consultant's employees, or agents, from waiving the right
of subrogation prior to a loss. Consultant agrees to waive subrogation rights
against City regardless of the applicability of any insurance proceeds, and to
require all contractors and subcontractors to do likewise.
3. All insurance coverage and limits provided by Contractor and available or
applicable to this agreement are intended to apply to the full extent of the policies.
Nothing contained in this Agreement or any other agreement relating to the City or
its operations limits the application of such insurance coverage.
4. None of the coverages required herein will be in compliance with these
requirements if they include any limiting endorsement of any kind that has not been
first submitted to City and approved of in writing.
5. No liability policy shall contain any provision or definition that would serve to
eliminate so-called "third party action over" claims, including any exclusion for
bodily injury to an employee of the insured or of any contractor or subcontractor.
6. All coverage types and limits required are subject to approval, modification and
additional requirements by the City, as the need arises. Consultant shall not make
any reductions in scope of coverage (e.g. elimination of contractual liability or
reduction of discovery period) that may affect City's protection without City's prior
written consent.
7. Proof of compliance with these insurance requirements, consisting of certificates
of insurance evidencing all of the coverages required and an additional insured
endorsement to Consultant's general liability policy, shall be delivered to City at or
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prior to the execution of this Agreement. In the event such proof of any insurance
is not delivered as required, or in the event such insurance is canceled at any time
and no replacement coverage is provided, City has the right, but not the duty, to
obtain any insurance it deems necessary to protect its interests under this or any
other agreement and to pay the premium. Any premium so paid by City shall be
charged to and promptly paid by Consultant or deducted from sums due
Consultant, at City option.
8. Certificate(s) are to reflect that the insurer will provide 30 days notice to City of any
cancellation of coverage. Consultant agrees to require its insurer to modify such
certificates to delete any exculpatory wording stating that failure of the insurer to
mail written notice of cancellation imposes no obligation, or that any party will
"endeavor" (as opposed to being required) to comply with the requirements of the
certificate.
9. It is acknowledged by the parties of this agreement that all insurance coverage
required to be provided by Consultant or any subcontractor, is intended to apply
first and on a primary, noncontributing basis in relation to any other insurance or
self insurance available to City.
10.Consultant agrees to ensure that subcontractors, and any other party involved with
the project who is brought onto or involved in the project by Consultant, provide
the same minimum insurance coverage required of Consultant. Consultant agrees
to monitor and review all such coverage and assumes all responsibility for ensuring
that such coverage is provided in conformity with the requirementsof this section.
Consultant agrees that upon request, all agreements with subcontractors and
others engaged in the project will be submitted to City for review.
11.Consultant agrees not to self-insure or to use any self-insured retentions or
deductibles on any portion of the insurance required herein and further agrees that
it will not allow any contractor, subcontractor, Architect, Engineer or other entity or
person in any way involved in the performance of work on the project contemplated
by this agreement to self-insure its obligations to City. If Consultant's existing
coverage includes a deductible or self-insured retention, the deductible or self-
insured retention must be declared to the City. At that time the City shall review
options with the Consultant, which may include reduction or elimination of the
deductible or selfinsured retention, substitution of other coverage, or other
solutions.
12.The City reserves the right at any time during the term of the contract to change
the amounts and types of insurance required by giving the Consultant ninety (90)
days advance written notice of such change. If such change results in substantial
additional cost to the Consultant, the City will negotiate additional compensation
proportional to the increased benefit to City.
13.For purposes of applying insurance coverage only, this Agreement will be deemed
to have been executed immediately upon any party hereto taking any steps that
can be deemed to be in furtherance of or towards performance of this Agreement.
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14.Consultant acknowledges and agrees that any actual or alleged failure on the part
of City to inform Consultant of non-compliance with any insurance requirement in
no way imposes any additional obligations on City nor does it waive any rights
hereunder in this or any other regard.
15.Consultant will renew the required coverage annually as long as City, or its
employees or agents face an exposure from operations of any type pursuant to
this agreement. This obligation applies whether or not the agreement is canceled
or terminated for any reason. Termination of this obligation is not effective until City
executes a written statement to that effect.
16.Consultant shall provide proof that policies of insurance required herein expiring
during the term of this Agreement have been renewed or replaced with other
policies providing at least the same coverage. Proof that such coverage has been
ordered shall be submitted prior to expiration. A coverage binder or letter from
Consultant's insurance agent to this effect is acceptable. A certificate of insurance
and/or additional insured endorsement as required in these specifications
applicable to the renewing or new coverage must be provided to City within five
days of the expiration of the coverages.
17.The provisions of any workers' compensation or similar act will not limit the
obligations of Consultant under this agreement. Consultant expressly agrees not
to use any statutory immunity defenses under such laws with respect to City, its
employees, officials and agents.
r
18.Requirements of specific coverage features or limits contained in this section are
not intended as limitations on coverage, limits or other requirements nor as a
waiver of any coverage normally provided by any given policy. Specific reference
to a given coverage feature is for purposes of clarification only as it pertains to a
given issue, and is not intended by any party or insured to be limiting or all-
inclusive.
19.These insurance requirements are intended to be separate and distinct from any
other provision in this agreement and are intended by the parties here to be
interpreted as such.
20.The requirements in this Section supersede all other sections and provisions of
this Agreement to the extent that any other section or provision conflicts with or
impairs the provisions of this Section.
21.Consultant agrees to be responsible for ensuring that no contract used by any
party involved in any way with the project reserves the right to charge City or
Consultant for the cost of additional insurance coverage required by this
agreement. Any such provisions are to be deleted with reference to City. It is not
the intent of City to reimburse any third party for the cost of complying with these
requirements. There shall be no recourse against City for payment of premiums or
other amounts with respect thereto.
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Consultant agrees to provide immediate notice to City of any claim or loss against
Consultant arising out of the work performed under this agreement. City assumes no
obligation or liability by such notice, but has the right (but not the duty) to monitor the
handling of any such claim or claims if they are likely to involve City.
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