Local Assistance Procedures Manual EXHBIT 10-H1
Cost Proposal
Note: Mark-ups are Not Allowed
Consultant
Project No. Contract No. Date 09/16/24
DIRECT LABOR
Hours
53 204
408
503
920
218
20 68
LABOR COSTS
a) Subtotal Direct Labor Costs
b) Anticipated Salary Increases
(see Escalation Calc.)
c) Total Direct Labor Costs [(a) + (b)] 113,499.07$
INDIRECT COSTS
d) Fringe Benefits ( Rate: 71.49% ) e) Total Fringe Benefits [(c) x (d)] 81,140.49$ f) Overhead ( Rate: 0.0% ) - $
h) General & Administrative ( Rate: 107.9% ) i) Gen & Admin [(c) x (h)] 122,499.55$ TOTAL ICR 179.42%
j) Total Indirect Costs [(e) + (g) + (i)] 203,640.03$
FIXED FEE k) TOTAL FIXED FEE [(c) + (j)]* fixed fee 10% ] 31,713.91$ Quatity Unit
0 mile
0e a
l) TOTAL OTHER DIRECT COSTS -$
Subconsultant 1: 38,505.79$
38,505.79$
38,505.79$
387,358.80$
1,086.60$
4,250.00$
Systems Engineer II $54.33
Total
6,370.07$
16,320.00$
23,145.84$
23,701.36$
33,175.20$
5,450.00$
$36.06
$25.00
Project Engineer II
Project Engineer I
Intern
m) SUBCONSULTANTS' COSTS
(Add additional pages if necessary)
(m) TOTAL SUBCONSULTANS' COSTS
(n) TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS [(l) + (m)] TOTAL COST [(c) + (j) + (k) + (n)]
Mileage Costs $0.670 - $
Plan Sheets $20.00 - $
113,499.07$
-$
g) Overhead [(c) x (f)
l) CONSULTANT'S OTHER DIRECT COSTS (ODC) - ITEMIZE (Add additional pages if necessary) Description of Item Unit Cost Total
Senior Project Engineer $56.73
Construction Manager $62.50
$47.12
Principal-in-Charge $120.19
Principal Manager $80.00
Project Name Cathedral City HSIP Cycle 11 Projects
HSIPL-5430-039(C08754) | HSIPL-5430-040 (C08755) | HSIPL-5430-042 (C08757) HSIPL-5430-039
HSIPL-5430-040
HSIPL-5430-042 TBD
Employee Title - Proposal
Classification/Role Actual Hourly Rate
STC Traffic, Inc.
Exhibit 10-H1 Cost Proposal
Actual Cost-Plus-Fixed Fee or Lump Sum (Firm Fixed Price) Contracts (Design, Engineering and Environmental Studies)
Prime Consultant
Subconsultant
2nd Tier Subconsultant
January 2020
Principal-In-Charge Principal
Manager
Senior Project
Engineer
Project
Engineer II
Project
Engineer I Intern Construction
Manager ERSC
$369.42 $245.89 $174.37 $144. 83 $110.83 $76.84 $192.10 Lump Sum Task Task Description Total
Hours Total Cost
Task 1.0 Project Management / Administration 4 24 8 2 -$ 38 9,063.66$ Task 2.0
Task 2.1 Field Work 2 8 30 36 8 -$ 84 10,836.24$ Task 2.2 Survey 6 26,614.38$ 6 089.7228, $ Task 2.3 Preliminary Plans 4 8 24 50 90 30 -$ 206 27,151.08$ Task 3.0 Environmental Documentation 2 8 2 -$ 12 2,176.40$ Task 4.0
Task 4.1 Plans 12
30 110 190 410 100 -$ 852 111,632.44$
Task 4.2 Specifications 2 6 26 10 -$ 44 8,196.10$ Task 4.3 Engineers Estimate 2 20 10 6 -$ 38 4,957.72$ Task 5.0 Funding Allocation Request (Optional Task) 4 12 2 -$ 18 3,365.66$ Task 6.0 Bidding Assistance 1 2 4 10 -$ 17 3,479.68$ Task 7.0 Construction Support 2 4 20 28 -$ 54 10,588.60$ Task 8.0 Utility Coordination 2 10 28 -$ 40 5,043.32$ 25 92 220 316 574 144 38 -$ 1,409
$9,235.50 $22,621.88 $38,361.40 $45,766.28 $63,616.42 $11,064.96 $7,299.80 26,614.38 $ 224,580.62$
221,214.96$
Fee Proposal
Total Hours
Total Cost (Optional Tasks Not Included)
Total Cost (All Tasks)
Subtotal Labor
STC Traffic | City of Cathedral City - HSIPL-5430-039 (C08754) [18 Unsignalized Intersection Upgrades Project] Plans, Specifications, and Estimate (PS&E)
Field Work/Preliminary Plans/ Inventory/ Standards
Principal-In-Charge Principal
Manager
Senior Project
Engineer
Project
Engineer II
Project
Engineer I Intern Systems
Engineer II
Construction
Manager ERSC
$369.42 $245.89 $174.37 $144.83 $110.83 $76.84 $166.99 $192.10 Lump Sum Task Task Description Total
Hours Total Cost
Task 1.0 Project Management / Administration 4 18 6 -$ 28 6,949.92$ Task 2.0
Task 2.1 Field Work 2 6 12 14 4 -$ 38 5,134.94$ Task 2.2 Survey 6 7,701.12$ 6 9,176.46 $ Task 2.3 Preliminary Plans 2 6 12 18 34 10 -$ 82 11,450.18 $ Task 3.0 Environmental Documentation 2 8 2 -$ 12 2,176.40$ Task 4.0
Task 4.1 Plans 6
10 40 90 180 40 -$ 366 47,707.92$
Task 4.2 Specifications 2 4 18 12 -$ 36 6,599.02$ Task 4.3 Engineers Estimate 3 12 8 6 -$ 29 3,823.31$ Task 5.0 Funding Allocation Request (Optional Task) 4 14 -$ 18 3,424.74$ Task 6.0 Bidding Assistance 1 2 4 10 17 3,479.68$ Task 7.0 Construction Support 2 4 14 8 28 5,700.38$ Task 7.0 Signal Timing (Optional Task) 20 4 24 4,108.20$ Task 8.0 Utility Coordination 2 4 10 16 2,179.40$ 17 63 122 150 246 60 20 22 -$ 700
$6,280.14 $15,491.07 $21,273.14 $21,724.50 $27,264.18 $4,610.40 $3,339.80 $4,226.20 7,701.12 $ 111,910.55$
104,377.61$
Total Cost (All Tasks)
Total Cost (Optional Tasks Not Included)
Field Work/Preliminary Plans/ Inventory/ Standards
Plans, Specifications, and Estimate (PS&E)
STC Traffic | City of Cathedral City - HSIPL-5430-040 (C08755) [2 Signalized Pedestrian Crossings] Fee Proposal
Total Hours
Subtotal Labor
Principal-In-Charge Principal
Manager
Senior Project
Engineer
Project
Engineer II
Project
Engineer I Intern Construction
Manager ERSC
$369.42 $245.89 $174.37 $144.83 $110.83 $76.84 $192.10 Lump Sum Task Task Description Total
Hours Total Cost
Task 1.0 Project Management / Administration 4 12 4 -$ 20 5,125.84 $ Task 2.0
Task 2.1 Field Work 2 6 8 8 -$ 24 2,862.12 $ Task 2.2 Survey 6 4,190.10$ 6 5,665.44 $ Task 2.3 Preliminary Plans 2 4 20 6 -$ 32 3,866.90 $ Task 3.0 Environmental Documentation 2 10 -$ 12 2,235.48 $ Task 4.0
Task 4.1 Plans 2 8 15 20 65 -$ 110 15,422.06 $ Task 4.2 Specifications 2 4 8 -$ 14 3,117.36 $ Task 4.3 Engineers Estimate 2 7 2 -$ 11 1,727.25 $ Task 5.0 Funding Allocation Request (Optional Task) 4 12 2 -$ 18 3,365.66 $ Task 6.0 Bidding Assistance 1 2 5 2 -$ 10 2,117.25 $ Task 7.0 Construction Support 2 4 8 6 -$ 20 4,269.96 $ Task 8.0 Utility Coordination 1 2 5 8 1,089.70 $ 11 49 66 37 100 14 8 -$ 285
$4,063.62 $12,048.61 $11,508.42 $5,358.71 $11,083.00 $1,075.76 $1,536.80 4,190.10 $ 50,865.02$
47,499.36$
Total Cost (All Tasks)
Total Cost (Optional Tasks Not Included)
Field Work/Preliminary Plans/ Inventory/ Standards
Plans, Specifications, and Estimate (PS&E)
STC Traffic | City of Cathedral City - HSIPL-5430-042 (C08757) [1 Pedestrian Crossing] Fee Proposal
Total Hours
Subtotal Labor
Consultant Contract No. TBD Date 09/16/24
1. Calculate average hourly rate for 1st year of the contract (Direct Labor Subtotal divided b y total hours) Direct Labor
Subtotal per
Cost Proposal
Total Hours
per Cost
Proposal
Avg Hourly
Rate Contract Duration
$ 113,499.07 / 2394 = $47.41 Year 1 Avg Hourly Rate Avg Hourly Rate Proposed
Escalation
Year 1 $47.41 + 0% = $47.41
Year 2 $47.41 + 0% = $47.41
Year 3 $47.41 + 0% = $47.41 Year 4 Avg Hourly Rate
Year 4 $47.41 + 0% = $47.41 Year 5 Avg Hourly Rate
Estimated %
Completed Each
Period
Total Hours
per Cost
Pro
posal
Total Hours
per Period
Year 1 0.00% * 2394 = 0 Estimated Hours Year 1
Year 2 0.00% * 2394 = 0 Estimated Hours Year 2
Year 3 0.00% * 2394 = 0 Estimated Hours Year 3
Year 4 0.00% * 2394 = 0 Estimated Hours Year 4
Year 5 0.00% * 2394 = 0 Estimated Hours Year 5
Total 0% Total = 0
4. Calculate Total Costs includin
g Escalation (multiply average hourly rate by the number of hours) Avg Hourly Rate
Estimated
Hours
(calculated above) (calculated above)
Year 1 $47.41 * 0 = $0.00 Estimated Hours Year 1
Year 2 $47.41 * 0 = $0.00 Estimated Hours Year 2
Year 3 $47.41 * 0 = $0.00 Estimated Hours Year 3
Year 4 $47.41 * 0 = $0.00 Estimated Hours Year 4
Year 5 $47.41 * 0 = $0.00 Estimated Hours Year 5
= $0.00
= $113,499.07
= $0.00 Transfer to Page 1
Total Direct Labor Cost with Escalation
Direct Labor Subtotal before escalation
Estimated total of Direct Labor Salary Increase
Cost
Per Period
Exhibit 10-H1 Cost Proposal
Actual Cost-Plus-Fixed Fee or Lump Sum (Firm Fixed Price) contracts (Calculations for Anticipated Salary Increases)
STC Traffic, Inc.
2. Calculate hourly rate for all periods (Increase the Average hourly rate for a period by proposed escalation %) Year 2 Avg Hourly Rate
Year 3 Avg Hourly Rate
3. Calculate estimated hours per year (Multiply estimate % each period by total hours) Name: Title*:
Signature: _ Date of Certification (mm/dd/yyyy): 9/16/ 2024 Email: Phone Number:
Address:
List services the consultant is providing under the proposed contract:
*An individual executive or financial officer of the consultant’s or subconsultant’s organization at a level no lower than a Vice President or a Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the cost proposal for the contract.
Traffic Engineering Design and Analysis, Transportation Planning STC Traffic, Inc. Chief Financial Officer
[email protected] (760) 602-4290
5973 Avenida Encinas, #218 | Carlsbad | CA | 92008
Prime Consultant or Subconsultant Certifying:
Exhibit 10-H1 Cost Proposal
Certification of Direct Costs:
I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are actual, reasonable, and allocable to the contract in accordance with the contract terms and the following requirements:
1. Generally Accepted Accounting Principles (GAAP)
2. Terms and conditions of the contract
3. Title 23 United States Code Section 112 - Letting of Contracts
4. 48 Code of Federal Regulations Part 31 - Contract Cost Principles and Procedures
5. 23 Code of Federal Regulations Part 172 - Procurement, Management, and Administration of Engineering and Design Related Service
6. 48 Code of Federal Regulations Part 9904 - Cost Accounting Standards Board (when applicable) All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files and be in compliance with applicable federal and state requirements. Costs that are noncompliant with the federal and state requirements are not eligible for reimbursement.
Local governments are responsible for applying only cognizant agency approved or Caltrans accepted Indirect Cost Rate(s).
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Inspector General
California Department of Transportation
Certification of Indirect Costs and Financial Management System (Note: If a Safe Harbor Indirect Cost Rate is approved, this form is not required) Consultant’s Full Legal Name:
Important: Consultant means the individual or consultant providing engineering and design related services as a party of a contract with a recipient or sub-recipient of Federal assistance. Therefore, the Indirect Cost Rate(s) shall not be combined with its parent company or subsidiaries.
Indirect Cost Rate (ICR):
Combined Rate: Or
+RPH2ႈFH5DWH
DQG)LHOG2ႈFH5DWH
LIDSSOLFDEOH
Facilities Capital Cost of Money (if applicable):
Fiscal Period:*
* Fiscal period is annual one year applicable accounting period that the ICR was developed (not the contract period). The ICR is based on the FRQVXOWDQW¶VRQH\HDUDSSOLFDEOHDFFRXQWLQJSHULRGIRUZKLFKILQDQFLDOVWDWHPHQWVDUHUHJXODUO\SUHSDUHGE\WKHFRQVXOWDQW ,KDYHUHYLHZHGWKHSURSRVDOWRHVWDEOLVKDQ,&5
V
IRUWKHILVFDOSHULRGDVVSHFLILHGDERYHDQGKDYHGHWHUPLQHG to the best of my knowledge and belief that:
• All costs included in the cost proposal to establish the ICR(s) are allowable in accordance with the cost principles of the Federal Acquisition Regulation (FAR) 48, Code of Federal Regulations (CFR), Chapter 1, Part 31 (48 CFR Part 31)
• The cost proposal does not include any costs which are expressly unallowable under the cost principles of 48 CFR Part 31
• The accounting treatment and billing of prevailing wage delta costs are consistent with our prevailing wage policy as either direct labor, indirect costs, or other direct costs on all federally-funded A&E Consultant Contracts.
• $OONQRZQPDWHULDOWUDQVDFWLRQVRUHYHQWVWKDWKDYHRFFXUUHGVXEVHTXHQWWR\HDUHQGDIIHFWLQJWKHFRQVXOWDQW¶V RZQHUVKLSRUJDQL]DWLRQDQGLQGLUHFWFRVWUDWHVKDYHEHHQGLVFORVHGDVRIWKHGDWHRIWKLVFHUWLILFDWLRQ I am providing the required and applicable documents as instructed on the Financial Document Review Request form.
Financial Management System:
2XUODERUFKDUJLQJMREFRVWLQJDQGDFFRXQWLQJV\VWHPVPHHWWKHVWDQGDUGVIRU¿QDQFLDOUHSRUWLQJDFFRXQWLQJ records, and internal control adequate to demonstrate that costs claimed have been incurred, appropriately accounted for, are allocable to the contract, and comply with the federal requirements as set forth in Title 23 United States Code (U.S.C.) Section 112(b)(2); 48 CFR Part 31.201-2(d); 23 CFR, Chapter 1, Part 172.1 1(a)(2);
and all applicable state and federal rules and regulations. 2XU¿QDQFLDOPDQDJHPHQWV\VWHPKDVWKHIROORZLQJDWWULEXWHV
• Account numbers identifying allowable direct, indirect, and unallowable cost accounts; •
Ability to accumulate and segregate allowable direct, indirect, and unallowable costs into separate cost accounts;
1
STC Traffic, Inc.
179.42%
01/01/2023-12/31/2023
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• Ability to accumulate and segregate allowable direct costs by project, contract and type of cost; • ,QWHUQDOFRQWUROVWRPDLQWDLQLQWHJULW\RIILQDQFLDOPDQDJHPHQWV\VWHP
• Ability to account and record costs consistently and to ensure costs billed are in compliance with FAR; • Ability to ensure and demonstrate costs billed reconcile to general ledgers and job costing system; and • Ability to ensure costs are in compliance with contract terms and federal and state requirementV Cost Reimbursements on Contracts:
I also understand that failure to comply with 48 CFR Part 16.301-3 or knowingly charge unallowable costs to Federal-Aid Highway Program (FAHP) contracts may result in possible penalties and sanctions as provided by the following:
• Sanctions and Penalties - 23 CFR Part 172.11(c)(4)
• False Claims Act - Title 31 U.S.C. Sections 3729-3733 • Statements or entries generally - Title 18 U.S.C. Section 1001 • Major Fraud Act - Title 18 U.S.C. Section 1031
All A&E Contract Information:
• Total participation amount ___________________ on all State and FAHP contracts for Architectural & (QJLQHHULQJVHUYLFHVWKDWWKHFRQVXOWDQWUHFHLYHGLQWKHODVWWKUHHILVFDOSHULRGV • The number of states in which the consultant does business is • Years of consultant’s experience with 48 CFR Part 31 is • ,GHQWLI\WKHW\SHRIDXGLWVOLVWHGEHORZWKDWWKHFRQVXOWDQWKDVKDGSHUIRUPHG LIDSSOLFDEOH
Cognizant ICR Audit Local Govt ICR Audit
Caltrans ICR Audit
CPA ICR Audit Federal Govt ICR Audit
I, the undersigned, certify all of the above to the best of my knowledge and belief and that I have reviewed the ICR Schedule to determine that any costs which are expressly unallowable under the Federal cost principles have been removed and comply with Title 23 U.S.C. Section 112(b)(2), 48 CFR Part 31, 23 CFR Part 172, and all applicable state and federal rules and regulations. I also certify that I understand that all documentation of compliance must be retained by the consultant. I hereby acknowledge that costs that are noncompliant with the federal and state requirements are not eligible for reimbursement and must be returned to Caltrans.
Name
** Title**:
Signature: Date:
Phone**: Email**:
$QLQGLYLGXDOH[HFXWLYHRU¿QDQFLDORႈFHURIWKHFRQVXOWDQW¶VRUVXEFRQVXOWDQW¶VRUJDQL]DWLRQDWDOHYHOQRORZHUWKDQD 9LFH3UHVLGHQWD&KLHI)LQDQFLDO2ႈFHURUHTXLYDOHQWZKRKDVDXWKRULW\WRUHSUHVHQWWKH¿QDQFLDOLQIRUPDWLRQXVHGWR establish the indirect cost rate.
Note: Both prime and subconsultants as parties of a contract must complete their own forms. Caltrans will not SURFHVVORFDODJHQF\¶VLQYRLFHVXQWLODFRPSOHWHIRUPLVDFFHSWHGDQGDSSURYHGE\WKH,QGHSHQGHQW2ႈFHRI Audits and Investigations.
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$14,471,121.37
1 8
CFO
Sandra Sass
09/16/2024
760-602-4290
[email protected]
Local Assistance Procedures Manual EXHBIT 10-H1
Cost Proposal
Note: Mark-ups are Not Allowed
Consultant
Project No. Contract No. Date 09/16/24
DIRECT LABOR
Hours
80 80
80 LABOR COSTS
a) Subtotal Direct Labor Costs
b) Anticipated Salary Increases
(see Escalation Calc.)
c) Total Direct Labor Costs [(a) + (b)] 16,357.60$
INDIRECT COSTS
d) Fringe Benefits ( Rate: 54.00% ) e) Total Fringe Benefits [(c) x (d)] 8,833.10$ f) Overhead ( Rate: 0.0% ) - $
h) General & Administrative ( Rate: 60.00% ) i) Gen & Admin [(c) x (h)] 9,814.56$ TOTAL ICR 114.00%
j) Total Indirect Costs [(e) + (g) + (i)] 18,647.66$
FIXED FEE k) TOTAL FIXED FEE [(c) + (j)]* fixed fee 10% ] 3,500.53$ Quatity Unit
0 mile
0e a
l) TOTAL OTHER DIRECT COSTS -$
Subconsultant 1: -$
-$
-$
38,505.79$
m) SUBCONSULTANTS' COSTS (Add additional pages if necessary)
(m) TOTAL SUBCONSULTANS' COSTS
(n) TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS [(l) + (m)] TOTAL COST [(c) + (j) + (k) + (n)]
Mileage Costs $0.670 - $
Plan Sheets $20.00 - $
16,357.60$
-$
g) Overhead [(c) x (f)
l) CONSULTANT'S OTHER DIRECT COSTS (ODC) - ITEMIZE (Add additional pages if necessary) Description of Item Unit Cost Total
SURVEYOR III - FIELD
SURVEY, CHAIN/ROD MAN $60.96 4,876.80$
SR. ENGINEERING
ASSOCIATE - FIELD
SURVEY CHIEF, MAPPING
$71.39
PRINCIPAL SURVEYOR -
RESEARCH, MAPPING,
OVERSIGHT
$72.12
5,711.20$
5,769.60$
Project Name Cathedral City HSIP Cycle 11 Projects
HSIPL-540-039(C08754) | HSIPL-5430-040 (C08755) | HSIPL-5430-042 (C08757) HSIPL-5430-039
HSIPL-5430-040
HSIPL-5430-042 TBD
Employee Title - Proposal
Classification/Role Actual Hourly Rate Total
ENGINEERING RESOURCES OF SOUTHERN CA, INC.
Exhibit 10-H1 Cost Proposal
Actual Cost-Plus-Fixed Fee or Lump Sum (Firm Fixed Price) Contracts (Design, Engineering and Environmental Studies)
Prime Consultant
Subconsultant
2nd Tier Subconsultant
January 2020
SR. ENGINEERING
ASSOCIATE
PRINCIPAL
SURVEYOR SURVEYOR III
$168.05 $169.77 $143.50
Task Task Description Total
Hours Total Cost
Task 1.0 Research - 18 - 18 3,055.86$ Task 2.0 Control Survey 32 - 32 64 9,969.60$ Task 3.0 Topo Survey 24 - 24 48 7,477.20$ Task 4.0 Base Mapping - 36 - 36 6,111.72$ 56 54 56 166 $9,410.80 $9,167.58 $8,036.00
26,614.38$
ERSC| City of Cathedral City - HSIPL-5430-039 (C08754)
Fee Proposal
Total Hours
Subtotal Labor
SR. ENGINEERING
ASSOCIATE
PRINCIPAL
SURVEYOR SURVEYOR III
$168.05 $169.77 $143.50
Task Task Description Total
Hours Total Cost
Task 1.0 Research - 4 - 4 679.08$ Task 2.0 Control Survey 8 - 8 16 2,492.40$ Task 3.0 Topo Survey 8 - 8 16 2,492.40$ Task 4.0 Base Mapping - 12 - 12 2,037.24$ 16 16 16 48 $2,688.80 $2,716.32 $2,296.00
7,701.12$
ERSC| City of Cathedral City - HSIPL-5430-040 (C08755)
Fee Proposal
Total Hours
Subtotal Labor
SR. ENGINEERING
ASSOCIATE
PRINCIPAL
SURVEYOR SURVEYOR III
$168.05 $169.77 $143.50
Task Task Description Total
Hours Total Cost
Task 1.0 Research - 2 - 2 339.54$ Task 2.0 Control Survey 4 - 4 8 1,246.20$ Task 3.0 Topo Survey 4 - 4 8 1,246.20$ Task 4.0 Base Mapping - 8 - 8 1,358.16$ - 10 - 10 $0.00 $1,697.70 $0.00
4,190.10$
ERSC| City of Cathedral City - HSIPL-5430-042 (C08757)
Fee Proposal
Total Hours
Subtotal Labor
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Inspector General
California Department of Transportation
Certification of Indirect Costs and Financial Management System (Note: If a Safe Harbor Indirect Cost Rate is approved, this form is not required) Consultant’s Full Legal Name:
Important: Consultant means the individual or consultant providing engineering and design related services as a party of a contract with a recipient or sub-recipient of Federal assistance. Therefore, the Indirect Cost Rate(s) shall not be combined with its parent company or subsidiaries.
Indirect Cost Rate (ICR):
Combined Rate: Or
+RPH2ႈFH5DWH
DQG)LHOG2ႈFH5DWH
LIDSSOLFDEOH
Facilities Capital Cost of Money (if applicable):
Fiscal Period:*
* Fiscal period is annual one year applicable accounting period that the ICR was developed (not the contract period). The ICR is based on the FRQVXOWDQW¶VRQH\HDUDSSOLFDEOHDFFRXQWLQJSHULRGIRUZKLFKILQDQFLDOVWDWHPHQWVDUHUHJXODUO\SUHSDUHGE\WKHFRQVXOWDQW ,KDYHUHYLHZHGWKHSURSRVDOWRHVWDEOLVKDQ,&5
V
IRUWKHILVFDOSHULRGDVVSHFLILHGDERYHDQGKDYHGHWHUPLQHG to the best of my knowledge and belief that:
• All costs included in the cost proposal to establish the ICR(s) are allowable in accordance with the cost principles of the Federal Acquisition Regulation (FAR) 48, Code of Federal Regulations (CFR), Chapter 1, Part 31 (48 CFR Part 31)
• The cost proposal does not include any costs which are expressly unallowable under the cost principles of 48 CFR Part 31
• The accounting treatment and billing of prevailing wage delta costs are consistent with our prevailing wage policy as either direct labor, indirect costs, or other direct costs on all federally-funded A&E Consultant Contracts.
• $OONQRZQPDWHULDOWUDQVDFWLRQVRUHYHQWVWKDWKDYHRFFXUUHGVXEVHTXHQWWR\HDUHQGDIIHFWLQJWKHFRQVXOWDQW¶V RZQHUVKLSRUJDQL]DWLRQDQGLQGLUHFWFRVWUDWHVKDYHEHHQGLVFORVHGDVRIWKHGDWHRIWKLVFHUWLILFDWLRQ I am providing the required and applicable documents as instructed on the Financial Document Review Request form.
Financial Management System:
2XUODERUFKDUJLQJMREFRVWLQJDQGDFFRXQWLQJV\VWHPVPHHWWKHVWDQGDUGVIRU¿QDQFLDOUHSRUWLQJDFFRXQWLQJ records, and internal control adequate to demonstrate that costs claimed have been incurred, appropriately accounted for, are allocable to the contract, and comply with the federal requirements as set forth in Title 23
United States Code (U.S.C.) Section 112(b)(2); 48 CFR Part 31.201-2(d); 23 CFR, Chapter 1, Part 172.11(a)(2); and all applicable state and federal rules and regulations. 2XU¿QDQFLDOPDQDJHPHQWV\VWHPKDVWKHIROORZLQJDWWULEXWHV
• Account numbers identifying allowable direct, indirect, and unallowable cost accounts; • Ability to accumulate and segregate allowable direct, indirect, and unallowable costs into separate cost accounts;
1
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• Ability to accumulate and segregate allowable direct costs by project, contract and type of cost; • ,QWHUQDOFRQWUROVWRPDLQWDLQLQWHJULW\RIILQDQFLDOPDQDJHPHQWV\VWHP
• Ability to account and record costs consistently and to ensure costs billed are in compliance with FAR; • Ability to ensure and demonstrate costs billed reconcile to general ledgers and job costing system; and • Ability to ensure costs are in compliance with contract terms and federal and state requirementV Cost Reimbursements on Contracts:
I also understand that failure to comply with 48 CFR Part 16.301-3 or knowingly charge unallowable costs to Federal-Aid Highway Program (FAHP) contracts may result in possible penalties and sanctions as provided by the following:
• Sanctions and Penalties -
23 CFR Part 172.11(c)(4)
• False Claims Act - Title 31 U.S.C. Sections 3729-3733 • Statements or entries generally - Title 18 U.S.C. Section 1001 • Major Fraud Act - Title 18 U.S.C. Section 1031
All A&E Contract Information:
• Total participation amount ___________________ on all State and FAHP contracts for Architectural & (QJLQHHULQJVHUYLFHVWKDWWKHFRQVXOWDQWUHFHLYHGLQWKHODVWWKUHHILVFDOSHULRGV • The number of states in which the consultant does business is • Years of consultant’s experience with 48 CFR Part 31 is • ,GHQWLI\WKHW\SHRIDXGLWVOLVWHGEHORZWKDWWKHFRQVXOWDQWKDVKDGSHUIRUPHG LIDSSOLFDEOH
Cognizant ICR Audit Local Govt ICR Audit
Caltrans ICR Audit
CPA ICR Audit Federal Govt ICR Audit
I, the undersigned, certify all of the above to the best of my knowledge and belief and that I have reviewed the ICR Schedule to determine that any costs which are expressly unallowable under the Federal cost principles have been removed and comply with
Title 23 U.S.C. Section 112(b)(2), 48 CFR Part 31, 23 CFR Part 172, and all applicable state and federal rules and regulations. I also certify that I understand that all documentation of compliance must be retained by the consultant. I hereby acknowledge that costs that are noncompliant with the federal and state requirements are not eligible for reimbursement and must be returned to Caltrans.
Name
** Title**:
Signature: Date:
Phone**: Email**:
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Note: Both prime and subconsultants as parties of a contract must complete their own forms. Caltrans will not SURFHVVORFDODJHQF\¶VLQYRLFHVXQWLODFRPSOHWHIRUPLVDFFHSWHGDQGDSSURYHGE\WKH,QGHSHQGHQW2ႈFHRI Audits and Investigations. 2