Costa Mesa City Council
November 19, 2024

M
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ARTICLE XXII CONTINGENT FEE ................................................................... .................................. 29 AR
TICLE XXIII DISPUTES................................................................... ............................................... 30
AR
TICLE XXIV INSPECTION OF WORK ........................................................................................... 30 AR
TICLE XXV SAFETY................................................................. ..................................................... 30 AR
TICLE XXVI OWNERSHIP OF DATA................................................................... .......................... 31
AR
TICLE XXVII CLAIMS FILED BY LOCAL AGENCY’s CONSTRUCTION CONTRACTOR............ 31 AR
TICLE XXVIII CONFIDENTIALITY OF DATA................................................................................. 32 AR
TICLE XXIX NATIONAL LABOR RELATIONS BOARD CERTIFICATION.................................... 32 AR
TICLE XXX EVALUATION OF CONSULTANT................................................................. ............. 33
AR
TICLE XXXI PROMPT PAYMENT................................................................... ............................... 33
AR
TICLE XXXII TITLE VI ASSURANCES .......................................................................................... 33 AR
TICLE XXXIII NOTIFICATION............................................................................................ ............ 38
AR
TICLE XXXIV CONTRACT................................................................. ............................................ 38
AR
TICLE XXXV SIGNATURES ................................................................... ....................................... 39

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ARTICLE I INTRODUCTION
A. This AGREEMENT is between the following named, hereinafter referred to as, CONSULTANT and the following named, hereinafter referred to as, LOCAL AGENCY:

The name of the “CONSULTANT” is as follows:
(NAME OF CONSULTANT)
Incorporated in the State of (NAME OF STATE)
The Project Manager for the “CONSULTANT” will be (NAME) The name of the “LOCAL AGENCY” is as follows:
(NAME)
The Contract Administrator for LOCAL AGENCY will be (NAME) B. The work to be performed under this AGREEMENT is described in Article III Statement of Work and the approved CONSULTANT’s Cost Proposal dated (DATE). The approved CONSULTANT’s Cost Proposal is attached hereto (Attachment #) and incorporated by reference. If there is any conflict between the approved Cost Proposal and this AGREEMENT, this AGREEMENT shall take precedence.

C. CONSULTANT agrees to the fullest extent permitted by law, to indemnify, protect, defend, and hold harmless LOCAL AGENCY, its officers, officials, agents, employees and volunteers from and against any and all claims, damages, demands, liability, costs, losses and expenses, including without limitation, court costs and reasonable attorneys’ and expert witness fees, arising out of any failure to comply with applicable law, any injury to or death of any person(s), damage to property, loss of use of property, economic loss or otherwise arising out of the performance of the work described herein, to the extent caused by a negligent act or negligent failure to act, errors, omissions, recklessness or willful misconduct incident to the performance of this AGREEMENT on the part of CONSULTANT, except such loss or damage which was caused by the sole negligence, or willful misconduct of LOCAL AGENCY, as determined by a Court of competent jurisdiction. The provisions of this section shall survive termination or suspension of this AGREEMENT.

D. CONSULTANT in the performance of this AGREEMENT, shall act in an independent capacity. It is understood and agreed that CONSULTANT (including CONSULTANT's employees) is an independent contractor and that no relationship of employer-employee exists between the Parties hereto. CONSULTANT's assigned personnel shall not be entitled to any benefits payable to employees of City.

E. LOCAL AGENCY is not required to make any deductions or withholdings from the compensation payable to CONSULTANT under the provisions of the AGREEMENT, and is not required to issue W-2 Forms for income and employment tax purposes for any of CONSULTANT's assigned personnel. CONSULTANT, in the performance of its obligation hereunder, is only subject to the control or direction of the LOCAL AGENCY as to the designation of tasks to be performed and the results to be accomplished.

F. Any third party person(s) employed by CONSULTANT shall be entirely and exclusively under the direction, supervision, and control of CONSULTANT. CONSULTANT hereby indemnifies and holds LOCAL AGENCY harmless from any and all claims that may be made against City based upon any contention by any third party that an employer-employee relationship exists by reason of this AGREEMENT.

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G. Except as expressly authorized herein, CONSULTANT's obligations under this AGREEMENT are not assignable or transferable, and CONSULTANT shall not subcontract any work, without the prior written approval of the LOCAL AGENCY. However, claims for money due or which become due to CONSULTANT from City under this AGREEMENT may be assigned to a financial institution or to a trustee in bankruptcy, without such approval. Notice of any assignment or transfer whether voluntary or involuntary shall be furnished promptly to the LOCAL AGENCY.

H. CONSULTANT shall be as fully responsible to the LOCAL AGENCY for the negligent acts and omissions of its contractors and subcontractors or subconsultants, and of persons either directly or indirectly employed by them, in the same manner as persons directly employed by CONSULTANT.

I. No alteration or variation of the terms of this AGREEMENT shall be valid, unless made in writing and signed by the parties authorized to bind the parties; and no oral understanding or agreement not incorporated herein, shall be binding on any of the parties hereto.

J. The consideration to be paid to CONSULTANT as provided herein, shall be in compensation for all of CONSULTANT’s expenses incurred in the performance hereof, including travel and per diem, unless otherwise expressly so provided.

ARTICLE II CONSULTANT’S REPORTS OR MEETINGS
[Choose either Option 1 or Option 2]
[Option 1 - Use paragraphs A & B below for standard AGREEMENTs] A. CONSULTANT shall submit progress reports at least once a month. The report should be sufficiently detailed for the LOCAL AGENCY’s Contract Administrator to determine, if CONSULTANT is performing to expectations, or is on schedule; to provide communication of interim findings, and to sufficiently address any difficulties or special problems encountered, so remedies can be developed.

B. CONSULTANT’s Project Manager shall meet with LOCAL AGENCY’s Contract Administrator, as needed, to discuss progress on the AGREEMENT.
[Option 2 - Use paragraphs A & B below for on-call AGREEMENTs] A. CONSULTANT shall submit progress reports on each specific project in accordance with the Task Order. These reports shall be submitted at least once a month. The report should be sufficiently detailed for LOCAL AGENCY’s Contract Administrator or Project Coordinator to determine, if CONSULTANT is performing to expectations, or is on schedule; to provide communication of interim findings, and to sufficiently address any difficulties or special problems encountered, so remedies can be developed.

B. CONSULTANT’s Project Manager shall meet with LOCAL AGENCY’s Contract Administrator or Project Coordinator, as needed, to discuss progress on the project(s).

ARTICLE III STATEMENT OF WORK
[Insert Appropriate Statement of work including a Description of the Deliverables in the following sections. If a section does not apply to the AGREEMENT, state “Not Applicable to this AGREEMENT.”] A. CONSULTANT Services
[Detail based on the services to be furnished should be provided by CONSULTANT. Nature and extent should be verified in the negotiations to make precise statements to eliminate subsequent

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uncertainties and misunderstandings. Reference to the appropriate standards for design or other standards for work performance stipulated in CONSULTANT AGREEMENT should be included.

Describe acceptance criteria, and if the responsible CONSULTANT/engineer shall sign all Plans, Specifications and Estimate (PS&E) and engineering data furnished under the AGREEMENT including registration number.

Environmental documents are not considered complete until a Caltrans District Senior Environmental Planner signs the Categorical Exclusion, a Caltrans Deputy District Director signs the Finding of No Significant Impact, or the Caltrans District Director signs the Record of Decision (see LAPM Chapter 6: Environmental Procedures, and the Standard Environmental Reference).] B. Right of Way
[State whether Right of Way requirements are to be determined and shown by CONSULTANT, whether land surveys and computations with metes and bounds descriptions are to be made, and whether Right of Way parcel maps are to be furnished.]
C. Surveys
[State whether or not the CONSULTANT has the responsibility for performing preliminary or construction surveys.]
D. Subsurface Investigations
[State specifically whether or not CONSULTANT has responsibility for making subsurface investigations. If borings or other specialized services are to be made by others under the supervision of CONSULTANT, appropriate provisions are to be incorporated. Archaeological testing and data recovery guidance can be found in the Standard Environmental Reference.] E. Local Agency Obligations
All data applicable to the project and in possession of LOCAL AGENCY, another agency, or government agency that are to be made available to CONSULTANT are referred to in the AGREEMENT. Any other assistance or services to be furnished to CONSULTANT are to be stated clearly.

F. Conferences, Site Visits, Inspection of Work
This AGREEMENT provides for conferences as needed, visits to the site, and inspection of the work by representatives of the LOCAL AGENCY, State, and/or FHWA. Costs incurred by CONSULTANT for meetings, subsequent to the initial meeting shall be included in the fee.

G. Checking Shop Drawings
[For AGREEMENTs requiring the preparation of construction drawings, make provision for checking shop drawings. Payment for checking shop drawings by CONSULTANT may be included in the AGREEMENT fee, or provision may be made for separate payment.] H. CONSULTANT Services During Construction
The extent, if any of CONSULTANT’s services during the course of construction as material testing, construction surveys. etc., are specified in the AGREEMENT together with the method of payment for such services.

I. Documentation and Schedules
AGREEMENTs where appropriate, shall provide that CONSULTANT document the results of the work to the satisfaction of LOCAL AGENCY, and if applicable, the State and FHWA. This may include preparation of progress and final reports, plans, specifications and estimates, or similar evidence of attainment of the AGREEMENT objectives.

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J. Deliverables and Number of Copies
The number of copies or documents to be furnished, such as reports, brochures, sets of plans, specifications, or Right of Way parcel maps shall be specified. Provision may be made for payment for additional copies.

ARTICLE IV PERFORMANCE PERIOD
[A time must be set for beginning and ending the work under the AGREEMENT. The time allowed for performing the work is specified; it should be reasonable for the kind and amount of services contemplated; and it is written into the AGREEMENT. If it is desirable that Critical Path Method (CPM) networks, or other types of schedules be prepared by CONSULTANT, they should be identified and incorporated into the AGREEMENT.]
A. This AGREEMENT shall go into effect on (DATE), contingent upon approval by LOCAL AGENCY, and CONSULTANT shall commence work after notification to proceed by LOCAL AGENCY’S Contract Administrator. The AGREEMENT shall end on (DATE), unless extended by AGREEMENT amendment.

B. CONSULTANT is advised that any recommendation for AGREEMENT award is not binding on LOCAL AGENCY until the AGREEMENT is fully executed and approved by LOCAL AGENCY. [Use paragraph C below in addition to paragraphs A & B above for on-call AGREEMENTs. On-call AGREEMENTs shall be 5 years maximum.]
C. The period of performance for each specific project shall be in accordance with the Task Order for that project. If work on a Task Order is in progress on the expiration date of this AGREEMENT, the terms of the AGREEMENT shall be extended by AGREEMENT amendment prior to the expiration of the contract to cover the time needed to complete the task order in progress only. The maximum term shall not exceed five (5) years.

ARTICLE V ALLOWABLE COSTS AND PAYMENTS
[Choose either Option 1, 2, 3, or 4]
[Option 1 - Use paragraphs A through K below for Cost-Plus-Fixed Fee AGREEMENTs] A. The method of payment for this AGREEMENT will be based on actual cost plus a fixed fee. LOCAL AGENCY will reimburse CONSULTANT for actual costs (including labor costs, employee benefits, travel, equipment rental costs, overhead and other direct costs) incurred by CONSULTANT in performance of the work. CONSULTANT will not be reimbursed for actual costs that exceed the estimated wage rates, employee benefits, travel, equipment rental, overhead, and other estimated costs set forth in the approved CONSULTANT’S Cost Proposal, unless additional reimbursement is provided for by AGREEMENT amendment. In no event, will CONSULTANT be reimbursed for overhead costs at a rate that exceeds LOCAL AGENCY’s approved overhead rate set forth in the Cost Proposal. In the event, that LOCAL AGENCY determines that a change to the work from that specified in the Cost Proposal and AGREEMENT is required, the AGREEMENT time or actual costs reimbursable by LOCAL AGENCY shall be adjusted by AGREEMENT amendment to accommodate the changed work. The maximum total cost as specified in Paragraph “I” of this Article shall not be exceeded, unless authorized by AGREEMENT amendment.

B. The indirect cost rate established for this AGREEMENT is extended through the duration of this specific AGREEMENT. CONSULTANT’s agreement to the extension of the 1-year applicable period shall not be a condition or qualification to be considered for the work or AGREEMENT award.

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C. In addition to the allowable incurred costs, LOCAL AGENCY will pay CONSULTANT a fixed fee of $(AMOUNT). The fixed fee is nonadjustable for the term of the AGREEMENT, except in the event of a significant change in the scope of work and such adjustment is made by AGREEMENT amendment.

D. Reimbursement for transportation and subsistence costs shall not exceed the rates specified in the approved Cost Proposal.

E. When milestone cost estimates are included in the approved Cost Proposal, CONSULTANT shall obtain prior written approval for a revised milestone cost estimate from the Contract Administrator before exceeding such cost estimate.

F. Progress payments will be made monthly in arrears based on services provided and allowable incurred costs. A pro rata portion of CONSULTANT’s fixed fee will be included in the monthly progress payments. If CONSULTANT fails to submit the required deliverable items according to the schedule set forth in Article III Statement of Work, LOCAL AGENCY shall have the right to delay payment or terminate this AGREEMENT.

G. No payment will be made prior to approval of any work, nor for any work performed prior to approval of this AGREEMENT.

H. CONSULTANT will be reimbursed promptly according to California Regulations upon receipt by LOCAL AGENCY’s Contract Administrator of itemized invoices in duplicate. Invoices shall be submitted no later than thirty (30) calendar days after the performance of work for which CONSULTANT is billing. Invoices shall detail the work performed on each milestone and each project as applicable. Invoices shall follow the format stipulated for the approved Cost Proposal and shall reference this AGREEMENT number and project title. Final invoice must contain the final cost and all credits due LOCAL AGENCY including any equipment purchased under the provisions of Article XI Equipment Purchase. The final invoice should be submitted within sixty (60) calendar days after completion of CONSULTANT’s work. Invoices shall be mailed to LOCAL AGENCY’s Contract Administrator at the following address:
(LOCAL AGENCY/NAME OF CONTRACT ADMINISTRATOR)
(ADDRESS)
I. The total amount payable by LOCAL AGENCY including the fixed fee shall not exceed $(Amount).

J. For personnel subject to prevailing wage rates as described in the California Labor Code, all salary increases, which are the direct result of changes in the prevailing wage rates are reimbursable. [Option 2 - For Cost per Unit of Work AGREEMENTs, replace paragraphs A & B of Option 1 with the following paragraphs A, B, and C and re-letter the remaining paragraphs. Adjust as necessary for work specific to your project].

A. The method of payment for the following items shall be at the rate specified for each item, as described in this Article. The specified rate shall include full compensation to CONSULTANT for the item as described, including but not limited to, any repairs, maintenance, or insurance, and no further compensation will be allowed therefore.

B. The specified rate to be paid for vehicle expense for CONSULTANT’s field personnel shall be $(Amount) per approved Cost Proposal. This rate shall be for fully equipped vehicle(s) specified in

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Article III Statement of Work, as applicable. The specified rate to be paid for equipment shall be, as listed in the approved Cost Proposal.

C. The method of payment for this AGREEMENT, except those items to be paid for on a specified rate basis, will be based on cost per unit of work. LOCAL AGENCY will reimburse CONSULTANT for actual costs (including labor costs, employee benefits, travel, equipment-rental costs, overhead and other direct costs) incurred by CONSULTANT in performance of the work. CONSULTANT will not be reimbursed for actual costs that exceed the estimated wage rates, employee benefits, travel, equipment rental, overhead and other estimated costs set forth in the approved Cost Proposal, unless additional reimbursement is provided for, by AGREEMENT amendment. In no event, will CONSULTANT be reimbursed for overhead costs at a rate that exceeds LOCAL AGENCY approved overhead rate set forth in the approved Cost Proposal. In the event, LOCAL AGENCY determines that changed work from that specified in the approved Cost Proposal and AGREEMENT is required; the actual costs reimbursable by LOCAL AGENCY may be adjusted by AGREEMENT amendment to accommodate the changed work. The maximum total cost as specified in Paragraph “I,” of this article shall not be exceeded unless authorized by AGREEMENT amendment. [Option 3 - Use paragraphs A through P for Specific Rates of Compensation Agreements (such as on- call Agreements). This payment method shall only be used when it is not possible at the time of procurement to estimate the extent or duration of the work or to estimate costs with any reasonable degree of accuracy. The specific rates of compensation payment method should be limited to AGREEMENTs or components of AGREEMENTs for specialized or support type services where the CONSULTANT is not in direct control of the number of hours worked, such as construction engineering and inspection.]
A. CONSULTANT will be reimbursed for hours worked at the hourly rates specified in the CONSULTANT’s approved Cost Proposal. The specified hourly rates shall include direct salary costs, employee benefits, prevailing wages, employer payments, overhead, and fee. These rates are not adjustable for the performance period set forth in this AGREEMENT. CONSULTANT will be reimbursed within thirty (30) days upon receipt by LOCAL AGENCY’S Contract Administrator of itemized invoices in duplicate.

B. In addition, CONSULTANT will be reimbursed for incurred (actual) direct costs other than salary costs that are in the approved Cost Proposal and identified in the approved Cost Proposal and in the executed Task Order.

C. Specific projects will be assigned to CONSULTANT through issuance of Task Orders.

D. After a project to be performed under this AGREEMENT is identified by LOCAL AGENCY, LOCAL AGENCY will prepare a draft Task Order; less the cost estimate. A draft Task Order will identify the scope of services, expected results, project deliverables, period of performance, project schedule and will designate a LOCAL AGENCY Project Coordinator. The draft Task Order will be delivered to CONSULTANT for review. CONSULTANT shall return the draft Task Order within ten (10) calendar days along with a Cost Estimate, including a written estimate of the number of hours and hourly rates per staff person, any anticipated reimbursable expenses, overhead, fee if any, and total dollar amount. After agreement has been reached on the negotiable items and total cost; the finalized Task Order shall be signed by both LOCAL AGENCY and CONSULTANT.

E. Task Orders may be negotiated for a lump sum (Firm Fixed Price) or for specific rates of compensation, both of which must be based on the labor and other rates set forth in CONSULTANT’s approved Cost Proposal.

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CONSULTANT shall be responsible for any future adjustments to prevailing wage rates including, but not limited to, base hourly rates and employer payments as determined by the Department of Industrial Relations. CONSULTANT is responsible for paying the appropriate rate, including escalations that take place during the term of the AGREEMENT.

F. [Local Agency to include either (a) or (b) below; delete the other one] (a) Reimbursement for transportation and subsistence costs shall not exceed State rates. (b) Reimbursement for transportation and subsistence costs shall not exceed the rates as specified in the approved Cost Proposal. CONSULTANT will be responsible for transportation and subsistence costs in excess of State rates.

G. When milestone cost estimates are included in the approved Cost Proposal, CONSULTANT shall obtain prior written approval in the form of an AGREEMENT amendment for a revised milestone cost estimate from the Contract Administrator before exceeding such estimate.

H. Progress payments for each Task Order will be made monthly in arrears based on services provided and actual costs incurred.

I. CONSULTANT shall not commence performance of work or services until this AGREEMENT has been approved by LOCAL AGENCY and notification to proceed has been issued by LOCAL AGENCY’S Contract Administrator. No payment will be made prior to approval or for any work performed prior to approval of this AGREEMENT.

J. A Task Order is of no force or effect until returned to LOCAL AGENCY and signed by an authorized representative of LOCAL AGENCY. No expenditures are authorized on a project and work shall not commence until a Task Order for that project has been executed by LOCAL AGENCY.

K. CONSULTANT will be reimbursed within thirty (30) days upon receipt by LOCAL AGENCY’S Contract Administrator of itemized invoices in duplicate. Separate invoices itemizing all costs are required for all work performed under each Task Order. Invoices shall be submitted no later than thirty (30) calendar days after the performance of work for which CONSULTANT is billing, or upon completion of the Task Order. Invoices shall detail the work performed on each milestone, on each project as applicable. Invoices shall follow the format stipulated for the approved Cost Proposal and shall reference this AGREEMENT number, project title and Task Order number. Credits due LOCAL AGENCY that include any equipment purchased under the provisions of Article XI Equipment Purchase, must be reimbursed by CONSULTANT prior to the expiration or termination of this AGREEMENT. Invoices shall be mailed to LOCAL AGENCY’s Contract Administrator at the following address:
(NAME OF LOCAL AGENCY/ NAME OF CONTRACT ADMINISTRATOR)
(ADDRESS)
L. The period of performance for Task Orders shall be in accordance with dates specified in the Task Order. No Task Order will be written which extends beyond the expiration date of this AGREEMENT.

M. The total amount payable by LOCAL AGENCY for an individual Task Order shall not exceed the amount agreed to in the Task Order, unless authorized by amendment.

N. If CONSULTANT fails to satisfactorily complete a deliverable according to the schedule set forth in a Task Order, no payment will be made until the deliverable has been satisfactorily completed.

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O. Task Orders may not be used to amend the language (or the terms) of this AGREEMENT nor to exceed the scope of work under this AGREEMENT.

P. The total amount payable by LOCAL AGENCY for all Task Orders resulting from this AGREEMENT shall not exceed $ (Amount). It is understood and agreed that there is no guarantee, either expressed or implied that this dollar amount will be authorized under this AGREEMENT through Task Orders.
[Option 4 - Use paragraphs A through E below for lump sum agreements.

A. The method of payment for this AGREEMENT will be based on lump sum. The total lump sum price paid to CONSULTANT will include compensation for all work and deliverables, including travel and equipment described in Article III Statement of Work. No additional compensation will be paid to CONSULTANT, unless there is a change in the scope of the work or the scope of the project. In the instance of a change in the scope of work or scope of the project, adjustment to the total lump sum compensation will be negotiated between CONSULTANT and LOCAL AGENCY. Adjustment in the total lump sum compensation will not be effective until authorized by AGREEMENT amendment and approved by LOCAL AGENCY.

B. Progress payments may be made monthly in arrears based on the percentage of work completed by CONSULTANT. If CONSULTANT fails to submit the required deliverable items according to the schedule set forth in Article III Statement of Work, LOCAL AGENCY shall have the right to delay payment or terminate this AGREEMENT in accordance with the provisions of Article VI Termination.

C. CONSULTANT shall not commence performance of work or services until this AGREEMENT has been approved by LOCAL AGENCY and notification to proceed has been issued by LOCAL AGENCY’S Contract Administrator. No payment will be made prior to approval of any work, or for any work performed prior to approval of this AGREEMENT.

D. CONSULTANT will be reimbursed within thirty (30) days upon receipt by LOCAL AGENCY’S Contract Administrator of itemized invoices in duplicate. Invoices shall be submitted no later than thirty (30) calendar days after the performance of work for which CONSULTANT is billing. Invoices shall detail the work performed on each milestone, on each project as applicable. Invoices shall follow the format stipulated for the approved Cost Proposal and shall reference this AGREEMENT number and project title. Final invoice must contain the final cost and all credits due LOCAL AGENCY that include any equipment purchased under the provisions of Article XI Equipment Purchase. The final invoice must be submitted within sixty (60) calendar days after completion of CONSULTANT’s work unless a later date is approved by the LOCAL AGENCY. Invoices shall be mailed to LOCAL AGENCY’s Contract Administrator at the following address:
(LOCAL AGENCY/NAME OF CONTRACT ADMINISTRATOR)
(ADDRESS)
E. The total amount payable by LOCAL AGENCY shall not exceed $(Amount).

ARTICLE VI TERMINATION
A. This AGREEMENT may be terminated by LOCAL AGENCY, provided that LOCAL AGENCY gives not less than thirty (30) calendar days’ written notice (delivered by certified mail, return receipt requested) of intent to terminate. Upon termination, LOCAL AGENCY shall be entitled to all work, including but not limited to, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not.

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B. LOCAL AGENCY may temporarily suspend this AGREEMENT, at no additional cost to LOCAL AGENCY, provided that CONSULTANT is given written notice (delivered by certified mail, return receipt requested) of temporary suspension. If LOCAL AGENCY gives such notice of temporary suspension, CONSULTANT shall immediately suspend its activities under this AGREEMENT. A temporary suspension may be issued concurrent with the notice of termination.

C. Notwithstanding any provisions of this AGREEMENT, CONSULTANT shall not be relieved of liability to LOCAL AGENCY for damages sustained by City by virtue of any breach of this AGREEMENT by CONSULTANT, and City may withhold any payments due to CONSULTANT until such time as the exact amount of damages, if any, due City from CONSULTANT is determined.

D. In the event of termination, CONSULTANT shall be compensated as provided for in this AGREEMENT. Upon termination, LOCAL AGENCY shall be entitled to all work, including but not limited to, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not.

ARTICLE VII COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS A. The CONSULTANT agrees that 48 CFR 31, Contract Cost Principles and Procedures, shall be used to determine the allowability of individual terms of cost.

B. The CONSULTANT also agrees to comply with Federal procedures in accordance with 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.

C. Any costs for which payment has been made to the CONSULTANT that are determined by subsequent audit to be unallowable under 48 CFR 31 or 2 CFR 200 are subject to repayment by the CONSULTANT to LOCAL AGENCY.

D. When a CONSULTANT or Subconsultant is a Non-Profit Organization or an Institution of Higher Education, the Cost Principles for Title 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards shall apply.

ARTICLE VIII RETENTION OF RECORD/AUDITS
For the purpose of determining compliance with Gov. Code § 8546.7, the CONSULTANT, Subconsultants, and LOCAL AGENCY shall maintain all books, documents, papers, accounting records, Independent CPA Audited Indirect Cost Rate workpapers, and other evidence pertaining to the performance of the AGREEMENT including, but not limited to, the costs of administering the AGREEMENT. All parties, including the CONSULTANT’s Independent CPA, shall make such workpapers and materials available at their respective offices at all reasonable times during the AGREEMENT period and for three (3) years from the date of final payment under the AGREEMENT and records for real property and equipment acquired with federal funds must be retained for three (3) years after final disposition. LOCAL AGENCY, Caltrans Auditor, FHWA, or any duly authorized representative of the Federal government having jurisdiction under Federal laws or regulations (including the basis of Federal funding in whole or in part) shall have access to any books, records, and documents of the CONSULTANT, Subconsultants, and the CONSULTANT’s Independent CPA, that are pertinent to the AGREEMENT for audits, examinations, workpaper review, excerpts, and transactions, and copies thereof shall be furnished if requested without limitation.

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ARTICLE IX AUDIT REVIEW PROCEDURES
A. Any dispute concerning a question of fact arising under an interim or post audit of this AGREEMENT that is not disposed of by AGREEMENT, shall be reviewed by LOCAL AGENCY’S Chief Financial Officer.

B. Not later than thirty (30) calendar days after issuance of the final audit report, CONSULTANT may request a review by LOCAL AGENCY’S Chief Financial Officer of unresolved audit issues. The request for review will be submitted in writing.

C. Neither the pendency of a dispute nor its consideration by LOCAL AGENCY will excuse CONSULTANT from full and timely performance, in accordance with the terms of this AGREEMENT.

D. CONSULTANT and subconsultant AGREEMENTs, including cost proposals and Indirect Cost Rates (ICR), may be subject to audits or reviews such as, but not limited to, an AGREEMENT audit, an incurred cost audit, an ICR Audit, or a CPA ICR audit work paper review. If selected for audit or review, the AGREEMENT, cost proposal and ICR and related work papers, if applicable, will be reviewed to verify compliance with 48 CFR 31 and other related laws and regulations. In the instances of a CPA ICR audit work paper review it is CONSULTANT’s responsibility to ensure federal, LOCAL AGENCY, or local government officials are allowed full access to the CPA’s work papers including making copies as necessary. The AGREEMENT, cost proposal, and ICR shall be adjusted by CONSULTANT and approved by LOCAL AGENCY Contract Administrator to conform to the audit or review recommendations. CONSULTANT agrees that individual terms of costs identified in the audit report shall be incorporated into the AGREEMENT by this reference if directed by LOCAL AGENCY at its sole discretion. Refusal by CONSULTANT to incorporate audit or review recommendations, or to ensure that the federal, LOCAL AGENCY or local governments have access to CPA work papers, will be considered a breach of AGREEMENT terms and cause for termination of the AGREEMENT and disallowance of prior reimbursed costs.

E. CONSULTANT’s Cost Proposal may be subject to a CPA ICR Audit Work Paper Review and/or audit by the Independent Office of Audits and Investigations (IOAI). IOAI, at its sole discretion, may review and/or audit and approve the CPA ICR documentation. The Cost Proposal shall be adjusted by the CONSULTANT and approved by the LOCAL AGENCY Contract Administrator to conform to the Work Paper Review recommendations included in the management letter or audit recommendations included in the audit report. Refusal by the CONSULTANT to incorporate the Work Paper Review recommendations included in the management letter or audit recommendations included in the audit report will be considered a breach of the AGREEMENT terms and cause for termination of the AGREEMENT and disallowance of prior reimbursed costs.

1. During IOAI’s review of the ICR audit work papers created by the CONSULTANT’s independent CPA, IOAI will work with the CPA and/or CONSULTANT toward a resolution of issues that arise during the review. Each party agrees to use its best efforts to resolve any audit disputes in a timely manner. If IOAI identifies significant issues during the review and is unable to issue a cognizant approval letter, LOCAL AGENCY will reimburse the CONSULTANT at an accepted ICR until a FAR (Federal Acquisition Regulation) compliant ICR (e.g. 48 CFR Part 31; GAGAS (Generally Accepted Auditing Standards); CAS (Cost Accounting Standards), if applicable; in accordance with procedures and guidelines of the American Association of State Highways and Transportation Officials (AASHTO) Audit Guide; and other applicable procedures and guidelines) is received and approved by IOAI.

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Accepted rates will be as follows:
a. If the proposed rate is less than one hundred fifty percent (150%) - the accepted rate reimbursed will be ninety percent (90%) of the proposed rate. b. If the proposed rate is between one hundred fifty percent (150%) and two hundred percent (200%) - the accepted rate will be eighty-five percent (85%) of the proposed rate.
c. If the proposed rate is greater than two hundred percent (200%) - the accepted rate will be seventy-five percent (75%) of the proposed rate.

2. If IOAI is unable to issue a cognizant letter per paragraph E.1. above, IOAI may require CONSULTANT to submit a revised independent CPA-audited ICR and audit report within three (3) months of the effective date of the management letter. IOAI will then have up to six (6) months to review the CONSULTANT’s and/or the independent CPA’s revisions.

3. If the CONSULTANT fails to comply with the provisions of this paragraph E, or if IOAI is still unable to issue a cognizant approval letter after the revised independent CPA audited ICR is submitted, overhead cost reimbursement will be limited to the accepted ICR that was established upon initial rejection of the ICR and set forth in paragraph E.1. above for all rendered services. In this event, this accepted ICR will become the actual and final ICR for reimbursement purposes under this AGREEMENT.

4. CONSULTANT may submit to LOCAL AGENCY final invoice only when all of the following items have occurred: (1) IOAI accepts or adjusts the original or revised independent CPA audited ICR; (2) all work under this AGREEMENT has been completed to the satisfaction of LOCAL AGENCY; and, (3) IOAI has issued its final ICR review letter. The CONSULTANT MUST SUBMIT ITS FINAL INVOICE TO LOCAL AGENCY no later than sixty (60) calendar days after occurrence of the last of these items. The accepted ICR will apply to this AGREEMENT and all other agreements executed between LOCAL AGENCY and the CONSULTANT, either as a prime or subconsultant, with the same fiscal period ICR.

ARTICLE X SUBCONTRACTING
A. Nothing contained in this AGREEMENT or otherwise, shall create any contractual relation between the LOCAL AGENCY and any Subconsultants, and no subagreement shall relieve the CONSULTANT of its responsibilities and obligations hereunder. The CONSULTANT agrees to be as fully responsible to the LOCAL AGENCY for the acts and omissions of its Subconsultants and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the CONSULTANT. The CONSULTANT's obligation to pay its Subconsultants is an independent obligation from the LOCAL AGENCY's obligation to make payments to the CONSULTANT.

B. The CONSULTANT shall perform the work contemplated with resources available within its own organization and no portion of the work shall be subcontracted without written authorization by the LOCAL AGENCY Contract Administrator, except that which is expressly identified in the CONSULTANT’s approved Cost Proposal.

C. Any subagreement entered into as a result of this AGREEMENT, shall contain all the provisions stipulated in this entire AGREEMENT to be applicable to Subconsultants unless otherwise noted.

D. CONSULTANT shall pay its Subconsultants within Fifteen (15) calendar days from receipt of each payment made to the CONSULTANT by the LOCAL AGENCY.

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E. Any substitution of Subconsultants must be approved in writing by the LOCAL AGENCY Contract Administrator in advance of assigning work to a substitute Subconsultant.

F. Prompt Progress Payment
CONSULTANT or subconsultant shall pay to any subconsultant, not later than fifteen (15) days after receipt of each progress payment, unless otherwise agreed to in writing, the respective amounts allowed CONSULTANT on account of the work performed by the subconsultants, to the extent of each subconsultant’s interest therein. In the event that there is a good faith dispute over all or any portion of the amount due on a progress payment from CONSULTANT or subconsultant to a subconsultant, CONSULTANT or subconsultant may withhold no more than 150 percent of the disputed amount. Any violation of this requirement shall constitute a cause for disciplinary action and shall subject the licensee to a penalty, payable to the subconsultant, of 2 percent of the amount due per month for every month that payment is not made.

In any action for the collection of funds wrongfully withheld, the prevailing party shall be entitled to his or her attorney’s fees and costs. The sanctions authorized under this requirement shall be separate from, and in addition to, all other remedies, either civil, administrative, or criminal. This clause applies to both DBE and non-DBE subconsultants.

G. Prompt Payment of Withheld Funds to Subconsultants
The LOCAL AGENCY may hold retainage from CONSULTANT and shall make prompt and regular incremental acceptances of portions, as determined by the LOCAL AGENCY, of the contract work, and pay retainage to CONSULTANT based on these acceptances. The LOCAL AGENCY shall designate one of the methods below in the contract to ensure prompt and full payment of any retainage kept by CONSULTANT or subconsultant to a subconsultant. [Choose either Method 1, Method 2, or Method 3 below and delete the other two.] Method 1: No retainage will be held by the LOCAL AGENCY from progress payments due to CONSULTANT. CONSULTANTS and subconsultants are prohibited from holding retainage from subconsultants. Any delay or postponement of payment may take place only for good cause and with the LOCAL AGENCY’s prior written approval. Any violation of these provisions shall subject the violating CONSULTANT or subconsultant to the penalties, sanctions, and other remedies specified in Section 3321 of the California Civil Code. This requirement shall not be construed to limit or impair any contractual, administrative or judicial remedies, otherwise available to CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment by CONSULTANT, deficient subconsultant performance and/or noncompliance by a subconsultant. This clause applies to both DBE and non-DBE subconsultants.

Method 2: No retainage will be held by the LOCAL AGENCY from progress payments due to CONSULTANT. Any retainage kept by CONSULTANT or by a subconsultant must be paid in full to the earning subconsultant within 15 days after the subconsultant’s work is satisfactorily completed.

Any delay or postponement of payment may take place only for good cause and with the LOCAL AGENCY’s prior written approval. Any violation of these provisions shall subject the violating CONSULTANT or subconsultant to the penalties, sanctions, and remedies specified in Section 3321 of the California Civil Code. This requirement shall not be construed to limit or impair any contractual, administrative or judicial remedies, otherwise available to CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment by CONSULTANT, deficient subconsultant performance and/or noncompliance by a subconsultant. This clause applies to both DBE and non-DBE subconsultants.

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Method 3: The LOCAL AGENCY shall hold retainage from CONSULTANT and shall make prompt and regular incremental acceptances of portions, as determined by the LOCAL AGENCY of the contract work and pay retainage to CONSULTANT based on these acceptances. CONSULTANT or subconsultant shall return all monies withheld in retention from all subconsultants within 15 days after receiving payment for work satisfactorily completed and accepted including incremental acceptances of portions of the contract work by the LOCAL AGENCY. Any delay or postponement of payment may take place only for good cause and with the LOCAL AGENCY’s prior written approval. Any violation of these provisions shall subject the violating CONSULTANT or subconsultant to the penalties, sanctions, and other remedies specified in Section 3321 of the California Civil Code. This requirement shall not be construed to limit or impair any contractual, administrative or judicial remedies otherwise available to CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment by CONSULTANT; deficient subconsultant performance and/or noncompliance by a subconsultant. This clause applies to both DBE and non- DBE subconsultants.

Any violation of these provisions shall subject the violating CONSULTANT or subconsultant to the penalties, sanctions and other remedies specified therein. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment by CONSULTANT, deficient subcontract performance, or noncompliance by a subconsultant.

ARTICLE XI EQUIPMENT PURCHASE AND OTHER CAPITAL EXPENDITURES A. Prior authorization in writing by LOCAL AGENCY’s Contract Administrator shall be required before CONSULTANT enters into any unbudgeted purchase order, or subcontract exceeding five thousand dollars ($5,000) for supplies, equipment, or CONSULTANT services. CONSULTANT shall provide an evaluation of the necessity or desirability of incurring such costs.

B. For purchase of any item, service, or consulting work not covered in CONSULTANT’s approved Cost Proposal and exceeding five thousand dollars ($5,000), with prior authorization by LOCAL AGENCY’s Contract Administrator, three competitive quotations must be submitted with the request, or the absence of proposal must be adequately justified.

C. Any equipment purchased with funds provided under the terms of this AGREEMENT is subject to the following:

1. CONSULTANT shall maintain an inventory of all nonexpendable property. Nonexpendable property is defined as having a useful life of at least two years and an acquisition cost of five thousand dollars ($5,000) or more. If the purchased equipment needs replacement and is sold or traded in, LOCAL AGENCY shall receive a proper refund or credit at the conclusion of the AGREEMENT, or if the AGREEMENT is terminated, CONSULTANT may either keep the equipment and credit LOCAL AGENCY in an amount equal to its fair market value, or sell such equipment at the best price obtainable at a public or private sale, in accordance with established LOCAL AGENCY procedures; and credit LOCAL AGENCY in an amount equal to the sales price. If CONSULTANT elects to keep the equipment, fair market value shall be determined at CONSULTANT’s expense, on the basis of a competent independent appraisal of such equipment. Appraisals shall be obtained from an appraiser mutually agreeable to by LOCAL AGENCY and CONSULTANT, if it is determined to sell the equipment, the terms and conditions of such sale must be approved in advance by LOCAL AGENCY.

2. Regulation 2 CFR 200 requires a credit to Federal funds when participating equipment with a fair market value greater than five thousand dollars ($5,000) is credited to the project.

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ARTICLE XII STATE PREVAILING WAGE RATES
A. No CONSULTANT or Subconsultant may be awarded an AGREEMENT containing public work elements unless registered with the Department of Industrial Relations (DIR) pursuant to Labor Code §1725.5. Registration with DIR must be maintained throughout the entire term of this AGREEMENT, including any subsequent amendments.

B. The CONSULTANT shall comply with all of the applicable provisions of the California Labor Code requiring the payment of prevailing wages. The General Prevailing Wage Rate Determinations applicable to work under this AGREEMENT are available and on file with the Department of Transportation's Regional/District Labor Compliance Officer (https://dot.ca.gov/programs/construction/labor-compliance). These wage rates are made a specific part of this AGREEMENT by reference pursuant to Labor Code §1773.2 and will be applicable to work performed at a construction project site. Prevailing wages will be applicable to all inspection work performed at LOCAL AGENCY construction sites, at LOCAL AGENCY facilities and at off-site locations that are set up by the construction contractor or one of its subcontractors solely and specifically to serve LOCAL AGENCY projects. Prevailing wage requirements do not apply to inspection work performed at the facilities of vendors and commercial materials suppliers that provide goods and services to the general public.

C. General Prevailing Wage Rate Determinations applicable to this project may also be obtained from the Department of Industrial Relations website at http://www.dir.ca.gov.

D. Payroll Records

1. Each CONSULTANT and Subconsultant shall keep accurate certified payroll records and supporting documents as mandated by Labor Code §1776 and as defined in 8 CCR §16000 showing the name, address, social security number, work classification, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker, or other employee employed by the CONSULTANT or Subconsultant in connection with the public work. Each payroll record shall contain or be verified by a written declaration that it is made under penalty of perjury, stating both of the following:
a. The information contained in the payroll record is true and correct. b. The employer has complied with the requirements of Labor Code §1771, §1811, and §1815 for any work performed by his or her employees on the public works project.

2. The payroll records enumerated under paragraph (1) above shall be certified as correct by the CONSULTANT under penalty of perjury. The payroll records and all supporting documents shall be made available for inspection and copying by LOCAL AGENCY representatives at all reasonable hours at the principal office of the CONSULTANT. The CONSULTANT shall provide copies of certified payrolls or permit inspection of its records as follows:
a. A certified copy of an employee's payroll record shall be made available for inspection or furnished to the employee or the employee's authorized representative on request. b. A certified copy of all payroll records enumerated in paragraph (1) above, shall be made available for inspection or furnished upon request to a representative of LOCAL AGENCY, the Division of Labor Standards Enforcement and the Division of Apprenticeship Standards of the Department of Industrial Relations. Certified payrolls submitted to LOCAL AGENCY, the Division of Labor Standards Enforcement and the Division of Apprenticeship Standards shall not be altered or obliterated by the CONSULTANT.

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c. The public shall not be given access to certified payroll records by the CONSULTANT.

The CONSULTANT is required to forward any requests for certified payrolls to the LOCAL AGENCY Contract Administrator by both email and regular mail on the business day following receipt of the request.

3. Each CONSULTANT shall submit a certified copy of the records enumerated in paragraph (1) above, to the entity that requested the records within ten (10) calendar days after receipt of a written request.

4. Any copy of records made available for inspection as copies and furnished upon request to the public or any public agency by LOCAL AGENCY shall be marked or obliterated in such a manner as to prevent disclosure of each individual's name, address, and social security number. The name and address of the CONSULTANT or Subconsultant performing the work shall not be marked or obliterated.

5. The CONSULTANT shall inform LOCAL AGENCY of the location of the records enumerated under paragraph (1) above, including the street address, city and county, and shall, within five (5) working days, provide a notice of a change of location and address.

6. The CONSULTANT or Subconsultant shall have ten (10) calendar days in which to comply subsequent to receipt of written notice requesting the records enumerated in paragraph (1) above. In the event the CONSULTANT or Subconsultant fails to comply within the ten (10) day period, he or she shall, as a penalty to LOCAL AGENCY, forfeit one hundred dollars ($100) for each calendar day, or portion thereof, for each worker, until strict compliance is effectuated.

Such penalties shall be withheld by LOCAL AGENCY from payments then due. CONSULTANT is not subject to a penalty assessment pursuant to this section due to the failure of a Subconsultant to comply with this section.

E. When prevailing wage rates apply, the CONSULTANT is responsible for verifying compliance with certified payroll requirements. Invoice payment will not be made until the invoice is approved by the LOCAL AGENCY Contract Administrator.

F. Penalty

1. The CONSULTANT and any of its Subconsultants shall comply with Labor Code §1774 and §1775. Pursuant to Labor Code §1775, the CONSULTANT and any Subconsultant shall forfeit to the LOCAL AGENCY a penalty of not more than two hundred dollars ($200) for each calendar day, or portion thereof, for each worker paid less than the prevailing rates as determined by the Director of DIR for the work or craft in which the worker is employed for any public work done under the AGREEMENT by the CONSULTANT or by its Subconsultant in violation of the requirements of the Labor Code and in particular, Labor Code §§1770 to 1780, inclusive.

2. The amount of this forfeiture shall be determined by the Labor Commissioner and shall be based on consideration of mistake, inadvertence, or neglect of the CONSULTANT or Subconsultant in failing to pay the correct rate of prevailing wages, or the previous record of the CONSULTANT or Subconsultant in meeting their respective prevailing wage obligations, or the willful failure by the CONSULTANT or Subconsultant to pay the correct rates of prevailing wages. A mistake, inadvertence, or neglect in failing to pay the correct rates of prevailing wages is not excusable if the CONSULTANT or Subconsultant had knowledge of the obligations under the Labor Code. The CONSULTANT is responsible for paying the appropriate rate, including any escalations that take place during the term of the AGREEMENT.

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3. In addition to the penalty and pursuant to Labor Code §1775, the difference between the prevailing wage rates and the amount paid to each worker for each calendar day or portion thereof for which each worker was paid less than the prevailing wage rate shall be paid to each worker by the CONSULTANT or Subconsultant.

4. If a worker employed by a Subconsultant on a public works project is not paid the general prevailing per diem wages by the Subconsultant, the CONSULTANT of the project is not liable for the penalties described above unless the CONSULTANT had knowledge of that failure of the Subconsultant to pay the specified prevailing rate of wages to those workers or unless the CONSULTANT fails to comply with all of the following requirements:
a. The AGREEMENT executed between the CONSULTANT and the Subconsultant for the performance of work on public works projects shall include a copy of the requirements in Labor Code §§ 1771, 1775, 1776, 1777.5, 1813, and 1815. b. The CONSULTANT shall monitor the payment of the specified general prevailing rate of per diem wages by the Subconsultant to the employees by periodic review of the certified payroll records of the Subconsultant.
c. Upon becoming aware of the Subconsultant’s failure to pay the specified prevailing rate of wages to the Subconsultant’s workers, the CONSULTANT shall diligently take corrective action to halt or rectify the failure, including but not limited to, retaining sufficient funds due the Subconsultant for work performed on the public works project. d. Prior to making final payment to the Subconsultant for work performed on the public works project, the CONSULTANT shall obtain an affidavit signed under penalty of perjury from the Subconsultant that the Subconsultant had paid the specified general prevailing rate of per diem wages to the Subconsultant’s employees on the public works project and any amounts due pursuant to Labor Code §1813.

5. Pursuant to Labor Code §1775, LOCAL AGENCY shall notify the CONSULTANT on a public works project within fifteen (15) calendar days of receipt of a complaint that a Subconsultant has failed to pay workers the general prevailing rate of per diem wages.

6. If LOCAL AGENCY determines that employees of a Subconsultant were not paid the general prevailing rate of per diem wages and if LOCAL AGENCY did not retain sufficient money under the AGREEMENT to pay those employees the balance of wages owed under the general prevailing rate of per diem wages, the CONSULTANT shall withhold an amount of moneys due the Subconsultant sufficient to pay those employees the general prevailing rate of per diem wages if requested by LOCAL AGENCY.

G. Hours of Labor
Eight (8) hours labor constitutes a legal day's work. The CONSULTANT shall forfeit, as a penalty to the LOCAL AGENCY, twenty-five dollars ($25) for each worker employed in the execution of the AGREEMENT by the CONSULTANT or any of its Subconsultants for each calendar day during which such worker is required or permitted to work more than eight (8) hours in any one calendar day and forty (40) hours in any one calendar week in violation of the provisions of the Labor Code, and in particular §§1810 to 1815 thereof, inclusive, except that work performed by employees in excess of eight (8) hours per day, and forty (40) hours during any one week, shall be permitted upon compensation for all hours worked in excess of eight (8) hours per day and forty (40) hours in any week, at not less than one and one-half (1.5) times the basic rate of pay, as provided in §1815.

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H. Employment of Apprentices

1. Where either the prime AGREEMENT or the subagreement exceeds thirty thousand dollars ($30,000), the CONSULTANT and any subconsultants under him or her shall comply with all applicable requirements of Labor Code §§ 1777.5, 1777.6 and 1777.7 in the employment of apprentices.

2. CONSULTANTs and subconsultants are required to comply with all Labor Code requirements regarding the employment of apprentices, including mandatory ratios of journey level to apprentice workers. Prior to commencement of work, CONSULTANT and subconsultants are advised to contact the DIR Division of Apprenticeship Standards website at https://www.dir.ca.gov/das/, for additional information regarding the employment of apprentices and for the specific journey-to- apprentice ratios for the AGREEMENT work. The CONSULTANT is responsible for all subconsultants’ compliance with these requirements.

Penalties are specified in Labor Code §1777.7.

ARTICLE XIII CONFLICT OF INTEREST
A. During the term of this AGREEMENT, the CONSULTANT shall disclose any financial, business, or other relationship with LOCAL AGENCY that may have an impact upon the outcome of this AGREEMENT or any ensuing LOCAL AGENCY construction project. The CONSULTANT shall also list current clients who may have a financial interest in the outcome of this AGREEMENT or any ensuing LOCAL AGENCY construction project which will follow.

B. CONSULTANT certifies that it has disclosed to LOCAL AGENCY any actual, apparent, or potential conflicts of interest that may exist relative to the services to be provided pursuant to this AGREEMENT. CONSULTANT agrees to advise LOCAL AGENCY of any actual, apparent or potential conflicts of interest that may develop subsequent to the date of execution of this AGREEMENT. CONSULTANT further agrees to complete any statements of economic interest if required by either LOCAL AGENCY ordinance or State law.

C. The CONSULTANT hereby certifies that it does not now have, nor shall it acquire any financial or business interest that would conflict with the performance of services under this AGREEMENT.

D. The CONSULTANT hereby certifies that the CONSULTANT or subconsultant and any firm affiliated with the CONSULTANT or subconsultant that bids on any construction contract or on any Agreement to provide construction inspection for any construction project resulting from this AGREEMENT, has established necessary controls to ensure a conflict of interest does not exist. An affiliated firm is one, which is subject to the control of the same persons, through joint ownership or otherwise.

ARTICLE XIV REBATES, KICKBACKS OR OTHER UNLAWFUL CONSIDERATION The CONSULTANT warrants that this AGREEMENT was not obtained or secured through rebates, kickbacks or other unlawful consideration either promised or paid to any LOCAL AGENCY employee.

For breach or violation of this warranty, LOCAL AGENCY shall have the right, in its discretion, to terminate this AGREEMENT without liability, to pay only for the value of the work actually performed, or to deduct from this AGREEMENT price or otherwise recover the full amount of such rebate, kickback or other unlawful consideration.

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ARTICLE XV PROHIBITION OF EXPENDING LOCAL AGENCY, STATE, OR FEDERAL FUNDS

FOR LOBBYING
[Include this article in all AGREEMENTs where federal funding will exceed $150,000. If less than $150,000 in federal funds will be expended on the AGREEMENT; delete this article and re-number the subsequent articles.]
A. The CONSULTANT certifies, to the best of his or her knowledge and belief, that:

1. No State, Federal, or LOCAL AGENCY appropriated funds have been paid or will be paid, by or on behalf of the CONSULTANT, to any person for influencing or attempting to influence an officer or employee of any local, State, or Federal agency, a Member of the State Legislature or United States Congress, an officer or employee of the Legislature or Congress, or any employee of a Member of the Legislature or Congress in connection with the awarding or making of this AGREEMENT, or with the extension, continuation, renewal, amendment, or modification of this AGREEMENT.

2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this AGREEMENT, the CONSULTANT shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

B. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. §1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than ten thousand dollars ($10,000) and not more than one hundred thousand dollars ($100,000) for each such failure.

C. The CONSULTANT also agrees by signing this document that he or she shall require that the language of this certification be included in all lower tier subagreements, which exceed one hundred thousand dollars ($100,000), and that all such subrecipients shall certify and disclose accordingly.

ARTICLE XVI NON-DISCRIMINATION CLAUSE AND STATEMENT OF COMPLIANCE A. The CONSULTANT’s signature affixed herein and dated shall constitute a certification under penalty of perjury under the laws of the State of California that the CONSULTANT has, unless exempt, complied with the nondiscrimination program requirements of Gov. Code §12990 and 2 CCR § 8103.

B. During the performance of this AGREEMENT, CONSULTANT and its subconsultants shall not deny the AGREEMENT’s benefits to any person on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status, nor shall they unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status. CONSULTANT and subconsultants shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment.

C. CONSULTANT and subconsultants shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12990 et seq.), the applicable regulations promulgated there under (2

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CCR §11000 et seq.), the provisions of Gov. Code §§11135-11139.5, and the regulations or standards adopted by LOCAL AGENCY to implement such article. The applicable regulations of the Fair Employment and Housing Commission implementing Gov. Code §12990 (a-f), set forth 2 CCR §§8100-8504, are incorporated into this AGREEMENT by reference and made a part hereof as if set forth in full.

D. CONSULTANT shall permit access by representatives of the Department of Fair Employment and Housing and the LOCAL AGENCY upon reasonable notice at any time during the normal business hours, but in no case less than twenty-four (24) hours’ notice, to such of its books, records, accounts, and all other sources of information and its facilities as said Department or LOCAL AGENCY shall require to ascertain compliance with this clause.

E. CONSULTANT and its subconsultants shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement.

F. CONSULTANT shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under this AGREEMENT.

G. The CONSULTANT, with regard to the work performed under this AGREEMENT, shall act in accordance with Title VI of the Civil Rights Act of 1964 (42 U.S.C. §2000d et seq.). Title VI provides that the recipients of federal assistance will implement and maintain a policy of nondiscrimination in which no person in the United States shall, on the basis of race, color, national origin, religion, sex, age, disability, be excluded from participation in, denied the benefits of or subject to discrimination under any program or activity by the recipients of federal assistance or their assignees and successors in interest.

H. The CONSULTANT shall comply with regulations relative to non-discrimination in federally-assisted programs of the U.S. Department of Transportation (49 CFR 21 - Effectuation of Title VI of the Civil Rights Act of 1964). Specifically, the CONSULTANT shall not participate either directly or indirectly in the discrimination prohibited by 49 CFR §21.5, including employment practices and the selection and retention of Subconsultants.

I. CONSULTANT, subrecipient or subconsultant will never exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR 26 on the basis of race, color, sex, or national origin. In administering the LOCAL AGENCY components of the DBE Program Plan, CONSULTANT, subrecipient or subconsultant will not, directly, or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of the DBE Program Plan with respect to individuals of a particular race, color, sex, or national origin.

ARTICLE XVII DEBARMENT AND SUSPENSION CERTIFICATION
A. The CONSULTANT’s signature affixed herein shall constitute a certification under penalty of perjury under the laws of the State of California, that the CONSULTANT or any person associated therewith in the capacity of owner, partner, director, officer or manager:

1. Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency;

2. Has not been suspended, debarred, voluntarily excluded, or determined ineligible by any federal agency within the past three (3) years;

3. Does not have a proposed debarment pending; and

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4. Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past three (3) years.

B. Any exceptions to this certification must be disclosed to LOCAL AGENCY. Exceptions will not necessarily result in denial of recommendation for award, but will be considered in determining responsibility. Disclosures must indicate the party to whom the exceptions apply, the initiating agency, and the dates of agency action.

C. Exceptions to the Federal Government excluded parties (https://sam.gov/content/home) maintained by the U.S. General Services Administration are to be determined by FHWA.

ARTICLE XVIII DISADVANTAGED BUSINESS ENTERPRISES (DBE) PARTICIPATION A. CONSULTANT, subrecipient (LOCAL AGENCY), or subconsultant shall take necessary and reasonable steps to ensure that DBEs have opportunities to participate in the contract (49 CFR 26).

To ensure equal participation of DBEs provided in 49 CFR 26.5, the LOCAL AGENCY shows a contract goal for DBEs. CONSULTANT shall make work available to DBEs and select work parts consistent with available DBE subconsultants and suppliers.

CONSULTANT shall meet the DBE goal shown elsewhere in these special provisions or demonstrate that they made adequate Good Faith Efforts (GFE) to meet this goal. It is CONSULTANT’s responsibility to verify at date of proposal opening that the DBE firm is certified as a DBE by using the California Unified Certification Program (CUCP) database and possesses the most specific available North American Industry Classification System (NAICS) codes and work code applicable to the type of work the firm will perform on the contract. Additionally, the CONSULTANT is responsible to document the verification record by printing out the CUCP data for each DBE firm. A list of DBEs certified by the CUCP can be found at https://dot.ca.gov/programs/civil-rights/dbe-search.

All DBE participation will count toward the California Department of Transportation’s federally mandated statewide overall DBE goal. Credit for materials or supplies CONSULTANT purchases from DBEs counts towards the goal in the following manner:
• 100 percent counts if the materials or supplies are obtained from a DBE manufacturer. • 60 percent counts if the materials or supplies are purchased from a DBE regular dealer. • Only fees, commissions, and charges for assistance in the procurement and delivery of materials or supplies count if obtained from a DBE that is neither a manufacturer nor regular dealer. 49 CFR 26.55 defines "manufacturer" and "regular dealer." This AGREEMENT is subject to 49 CFR 26 entitled “Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs”. CONSULTANTs who enter into a federally-funded agreement will assist the LOCAL AGENCY in a good faith effort to achieve California's statewide overall DBE goal.

B. The goal for DBE participation for this AGREEMENT is_________%. Participation by DBE CONSULTANT or subconsultants shall be in accordance with information contained in Exhibit 10- O2: Consultant Contract DBE Commitment attached hereto and incorporated as part of the AGREEMENT. If a DBE subconsultant is unable to perform, CONSULTANT must make a good faith effort to replace him/her with another DBE subconsultant, if the goal is not otherwise met.

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C. CONSULTANT can meet the DBE participation goal by either documenting commitments to DBEs to meet the AGREEMENT goal, or by documenting adequate good faith efforts to meet the AGREEMENT goal. An adequate good faith effort means that the CONSULTANT must show that it took all necessary and reasonable steps to achieve a DBE goal that, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to meet the DBE goal. If CONSULTANT has not met the DBE goal, complete and submit Exhibit 15-H: Proposer/Contractor Good Faith Efforts to document efforts to meet the goal. Refer to 49 CFR 26 for guidance regarding evaluation of good faith efforts to meet the DBE goal.

D. Contract Assurance
Under 49 CFR 26.13(b):

CONSULTANT, subrecipient or subconsultant shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. CONSULTANT shall carry out applicable requirements of 49 CFR 26 in the award and administration of federal-aid contracts.

Failure by the CONSULTANT to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate, which may include, but is not limited to:
(1) Withholding monthly progress payments;
(2) Assessing sanctions;
(3) Liquidated damages; and/or
(4) Disqualifying CONSULTANT from future proposing as non-responsible E. Termination and Replacement of DBE Subconsultants
CONSULTANT shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless CONSULTANT or DBE subconsultant obtains the LOCAL AGENCY’s written consent. CONSULTANT shall not terminate or replace a listed DBE for convenience and perform the work with their own forces or obtain materials from other sources without authorization from the LOCAL AGENCY. Unless the LOCAL AGENCY’s consent is provided, the CONSULTANT shall not be entitled to any payment for work or material unless it is performed or supplied by the listed DBE on the Exhibit 10-02: Consultant Contract DBE Commitment form.

Termination of DBE Subconsultants
After execution of the AGREEMENT, termination of a DBE may be allowed for the following, but not limited to, justifiable reasons with prior written authorization from the LOCAL AGENCY:

1. Listed DBE fails or refuses to execute a written contract based on plans and specifications for the project.

2. The LOCAL AGENCY stipulated that a bond is a condition of executing the subcontract and the listed DBE fails to meet the LOCAL AGENCY’s bond requirements.

3. Work requires a consultant's license and listed DBE does not have a valid license under Contractors License Law.

4. Listed DBE fails or refuses to perform the work or furnish the listed materials (failing or refusing to perform is not an allowable reason to remove a DBE if the failure or refusal is a result of bad faith or discrimination).

5. Listed DBE's work is unsatisfactory and not in compliance with the contract.

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6. Listed DBE is ineligible to work on the project because of suspension or debarment.

7. Listed DBE becomes bankrupt or insolvent or exhibits credit unworthiness.

8. Listed DBE voluntarily withdraws with written notice from the Contract.

9. Listed DBE is ineligible to receive credit for the type of work required.

10. Listed DBE owner dies or becomes disabled resulting in the inability to perform the work on the Contract.

11. The LOCAL AGENCY determines other documented good cause.

CONSULTANT must use the following procedures to request the termination of a DBE or portion of a DBE’s work:

1. Send a written notice to the DBE of the CONSULTANT’s intent to use other forces or material sources and include one or more justifiable reasons listed above. Simultaneously send a copy of this written notice to the LOCAL AGENCY. The written notice to the DBE must request they provide any response within five (5) business days to both the CONSULTANT and the LOCAL AGENCY by either acknowledging their agreement or documenting their reasoning as to why the use of other forces or sources of materials should not occur.

2. If the DBE does not respond within five (5) business days, CONSULTANT may move forward with the request as if the DBE had agreed to CONSULTANT’s written notice.

3. Submit CONSULTANT’s DBE termination request by written letter to the LOCAL AGENCY and include:
• One or more above listed justifiable reasons along with supporting documentation. • CONSULTANT’s written notice to the DBE regarding the request, including proof of transmission and tracking documentation of CONSULTANT’s written notice • The DBE's response to CONSULTANT’s written notice, if received. If a written response was not provided, provide a statement to that effect.

The LOCAL AGENCY shall respond in writing to CONSULTANT’s DBE termination request within five (5) business days.

Replacement of DBE Subconsultants
After receiving the LOCAL AGENCY’s written authorization of DBE termination request, CONSULTANT must obtain the LOCAL AGENCY’s written agreement for DBE replacement.

CONSULTANT must find or demonstrate GFEs to find qualified DBE replacement firms to perform the work to the extent needed to meet the DBE commitment.

The following procedures shall be followed to request authorization to replace a DBE firm:

1. Submit a request to replace a DBE with other forces or material sources in writing to the LOCAL AGENCY which must include:
a. Description of remaining uncommitted work item made available for replacement DBE solicitation and participation.
b. The proposed DBE replacement firm's business information, the work they have agreed to perform, and the following:
• Description of scope of work and cost proposal

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• Proposed subcontract agreement and written confirmation of agreement to perform on the Contract
• Revised Exhibit 10-O2: Consultant Contract DBE Commitment

2. If CONSULTANT has not identified a DBE replacement firm, submits documentation of CONSULTANT’s GFEs to use DBE replacement firms within seven (7) days of LOCAL AGENCY's authorization to terminate the DBE. CONSULTANT may request the LOCAL AGENCY's approval to extend this submittal period to a total of 14 days. Submit documentation of actions taken to find a DBE replacement firm, such as:
• Search results of certified DBEs available to perform the original DBE work identified and or other work CONSULTANT had intended to self-perform, to the extent needed to meet DBE commitment
• Solicitations of DBEs for performance of work identified • Correspondence with interested DBEs that may have included contract details and requirements
• Negotiation efforts with DBEs that reflect why an agreement was not reached • If a DBE's quote was rejected, provide reasoning for the rejection, such as why the DBE was unqualified for the work, or why the price quote was unreasonable or excessive
• Copies of each DBE's and non-DBE's price quotes for work identified, as the LOCAL AGENCY may contact the firms to verify solicitation efforts and determine if the DBE quotes are substantially higher
• Additional documentation that supports CONSULTANT’s GFE The LOCAL AGENCY shall respond in writing to CONSULTANT’s DBE replacement request within five (5) business days.

F. Commitment and Utilization
The LOCAL AGENCY’s DBE program must include a monitoring and enforcement mechanism to ensure that DBE commitments reconcile to DBE utilization.

The LOCAL AGENCY shall request CONSULTANT to:

1. Notify the LOCAL AGENCY’s contract administrator or designated representative of any changes to its anticipated DBE participation

2. Provide this notification before starting the affected work

3. Maintain records including:
• Name and business address of each 1
st
-tier subconsultant
• Name and business address of each DBE subconsultant, DBE vendor, and DBE trucking company, regardless of tier
• Date of payment and total amount paid to each business (see Exhibit 9-F: Monthly Disadvantaged Business Enterprise Payment)
If CONSULTANT is a DBE CONSULTANT, they shall include the date of work performed by their own forces and the corresponding value of the work.

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If a DBE is decertified before completing its work, the DBE must notify CONSULTANT in writing of the decertification date. If a business becomes a certified DBE before completing its work, the business must notify CONSULTANT in writing of the certification date. CONSULTANT shall submit the notifications to the LOCAL AGENCY. On work completion, CONSULTANT shall complete Exhibit 17-O: Disadvantaged Business Enterprises (DBE) Certification Status Change and submit the form to the LOCAL AGENCY within 30 days of contract acceptance.

Upon work completion, CONSULTANT shall complete Exhibit 17-F: Final Report – Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors and submit it to the LOCAL AGENCY within 90 days of contract acceptance. The LOCAL AGENCY will withhold $10,000 until the form is submitted. The LOCAL AGENCY will release the withhold upon submission of the completed form.

In the LOCAL AGENCY’s reports of DBE participation to Caltrans, the LOCAL AGENCY must display both commitments and attainments.

G. Commercially Useful Function
DBEs must perform a commercially useful function (CUF) under 49 CFR 26.55 when performing work or supplying materials listed on the DBE Commitment form. The DBE value of work will only count toward the DBE commitment if the DBE performs a CUF. A DBE performs a CUF when it is responsible for execution of the work of the AGREEMENT and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a CUF, the DBE must also be responsible, with respect to materials and supplies used on the AGREEMENT, for negotiating price, determining quality and quantity, ordering the material and installing (where applicable), and paying for the material itself.

CONSULTANT must perform CUF evaluation for each DBE working on a federal-aid contract, with or without a DBE goal. Perform a CUF evaluation at the beginning of the DBE’s work and continue to monitor the performance of CUF for the duration of the project.

CONSULTANT must provide written notification to the LOCAL AGENCY at least 15 days in advance of each DBE's initial performance of work or supplying materials for the Contract. The notification must include the DBE's name, work the DBE will perform on the contract, and the location, date, and time of where their work will take place.

Within 10 days of a DBE initially performing work or supplying materials on the Contract, CONSULTANT shall submit to the LPA the initial evaluation and validation of DBE performance of a CUF using the LAPM 9-J: Disadvantaged Business Enterprise Commercially Useful Function Evaluation. Include the following information with the submittal:
• Subcontract agreement with the DBE
• Purchase orders
• Bills of lading
• Invoices
• Proof of payment
CONSULTANT must monitor all DBE’s performance of CUF by conducting quarterly evaluations and validations throughout their duration of work on the Contract using the LAPM 9-J: DBE Commercially Useful Function Evaluation. CONSULTANT must submit to the LOCAL AGENCY

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these quarterly evaluations and validations by the 5th of the month for the previous three months of work.

CONSULTANT must notify the LOCAL AGENCY immediately if they believe the DBE may not be performing a CUF.

The LOCAL AGENCY will verify DBEs performance of CUF by reviewing the initial and quarterly submissions of LAPM 9-J: DBE Commercially Useful Function Evaluation, submitted supporting information, field observations, and through any additional LOCAL AGENCY evaluations. The LOCAL AGENCY must evaluate DBEs and their CUF performance throughout the duration of a Contract. The LOCAL AGENCY will provide written notice to the CONSULTANT and the DBE at least two (2) business days prior to any evaluation. The CONSULTANT and the DBE must participate in the evaluation. Upon completing the evaluation, the LOCAL AGENCY must share the evaluation results with the CONSULTANT and the DBE. An evaluation could include items that must be remedied upon receipt. If the LOCAL AGENCY determines the DBE is not performing a CUF, the CONSULTANT must suspend performance of the noncompliant work.

CONSULTANT and DBEs must submit any additional CUF related records and documents within five (5) business days of LOCAL AGENCY’s request such as:
• Proof of ownership or lease and rental agreements for equipment • Tax records
• Employee rosters
• Certified payroll records
• Inventory rosters
Failure to submit required DBE Commercially Useful Function Evaluation forms or requested records and documents can result in withholding of payment for the value of work completed by the DBE.

If CONSULTANT and/or the LOCAL AGENCY determine that a listed DBE is not performing a CUF in performance of their DBE committed work, CONSULTANT must immediately suspend performance of the noncompliant portion of the work. LOCAL AGENCY may deny payment for the noncompliant portion of the work. LOCAL AGENCY will ask the CONSULTANT to submit a corrective action plan (CAP) to the LOCAL AGENGY within five (5) days of the noncompliant CUF determination. The CAP must identify how the CONSULTANT will correct the noncompliance findings for the remaining portion of the DBE's work. LOCAL AGENCY has five (5) days to review the CAP in conjunction with the CONSULTANT’s review. The CONSULTANT must implement the CAP within five (5) days of the LOCAL AGENCY's approval. The LOCAL AGENCY will then authorize the prior noncompliant portion of work for the DBE's committed work.

If corrective actions cannot be accomplished to ensure the DBE performs a commercially useful function on the Contract, CONSULTANT may have good cause to request termination of the DBE.

H. A DBE does not perform a CUF if its role is limited to that of an extra participant in a transaction, AGREEMENT, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, examine similar transactions, particularly those in which DBEs do not participate.

I. If a DBE does not perform or exercise responsibility for at least thirty percent (30%) of the total cost of its AGREEMENT with its own work force, or the DBE subcontracts a greater portion of the work

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of the AGREEMENT than would be expected on the basis of normal industry practice for the type of work involved, it will be presumed that it is not performing a CUF.

J. CONSULTANT shall maintain records of materials purchased or supplied from all subcontracts entered into with certified DBEs. The records shall show the name and business address of each DBE or vendor and the total dollar amount actually paid each DBE or vendor, regardless of tier.

The records shall show the date of payment and the total dollar figure paid to all firms. DBE CONSULTANT’s shall also show the date of work performed by their own forces along with the corresponding dollar value of the work.

K. If a DBE subconsultant is decertified during the life of the AGREEMENT, the decertified subconsultant shall notify CONSULTANT in writing with the date of decertification. If a subconsultant becomes a certified DBE during the life of the AGREEMENT, the subconsultant shall notify CONSULTANT in writing with the date of certification. Any changes should be reported to LOCAL AGENCY’s Contract Administrator within thirty (30) calendar days.

L. For projects awarded on or after March 1, 2020, but before September 1, 2023: after submitting an invoice for reimbursement that includes a payment to a DBE, but no later than the 10th of the following month, the prime contractor/consultant must complete and email Exhibit 9-F:

Disadvantaged Business Enterprise Running Tally of Payments to [email protected] with a copy to local administering agencies.

For projects awarded on or after September 1, 2023: Exhibit 9-F is no longer required. Instead, by the 15th of the month following the month of any payment(s), the CONSULTANT must now submit Exhibit 9-P to the LOCAL AGENCY administering the contract. If the CONSULTANT does not make any payments to subconsultants, supplier(s), and/or manufacturers they must report “no payments were made to subs this month” and write this visibly and legibly on Exhibit 9-P.

M. Any subcontract entered into as a result of this AGREEMENT shall contain all of the provisions of this section.

ARTICLE XIX INSURANCE
[Choose either Option 1 or Option 2]
[Option 1 - for AGREEMENT with a scope of services that may require the CONSULTANT or subconsultant to work within the operating state or Local Agency Highway Right of Way; where there would be exposure to public traffic or construction operations.] A. Prior to commencement of the work described herein, CONSULTANT shall furnish LOCAL AGENCY a Certificate of Insurance stating that there is general comprehensive liability insurance presently in effect for CONSULTANT with a combined single limit (CSL) of not less than one million dollars ($1,000,000) per occurrence.

B. The Certificate of Insurance will provide:

1. That the insurer will not cancel the insured’s coverage without thirty (30) calendar days prior written notice to LOCAL AGENCY.

2. That LOCAL AGENCY, its officers, agents, employees, and servants are included as additional insureds, but only insofar as the operations under this AGREEMENT are concerned.

3. That LOCAL AGENCY will not be responsible for any premiums or assessments on the policy.

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C. CONSULTANT agrees that the bodily injury liability insurance herein provided for, shall be in effect at all times during the term of this AGREEMENT. In the event said insurance coverage expires at any time or times during the term of this AGREEMENT, CONSULTANT agrees to provide at least thirty (30) calendar days prior notice to said expiration date; and a new Certificate of Insurance evidencing insurance coverage as provided for herein, for not less than either the remainder of the term of the AGREEMENT, or for a period of not less than one (1) year. New Certificates of Insurance are subject to the approval of LOCAL AGENCY. In the event CONSULTANT fails to keep in effect at all times insurance coverage as herein provided, LOCAL AGENCY may, in addition to any other remedies it may have, terminate this AGREEMENT upon occurrence of such event.
[Option 2 - for AGREEMENTs with a scope of services that will not require the CONSULTANT or subconsultant to work within the operating state or Local Agency Highway Right of Way where there would be exposure to public traffic or construction CONSULTANT operations.] CONSULTANT is not required to show evidence of general comprehensive liability insurance.

ARTICLE XX FUNDING REQUIREMENTS
A. It is mutually understood between the parties that this AGREEMENT may have been written before ascertaining the availability of funds or appropriation of funds, for the mutual benefit of both parties, in order to avoid program and fiscal delays that would occur if the AGREEMENT were executed after that determination was made.

B. This AGREEMENT is valid and enforceable only if sufficient funds are made available to LOCAL AGENCY for the purpose of this AGREEMENT. In addition, this AGREEMENT is subject to any additional restrictions, limitations, conditions, or any statute enacted by the Congress, State Legislature, or LOCAL AGENCY governing board that may affect the provisions, terms, or funding of this AGREEMENT in any manner.

C. It is mutually agreed that if sufficient funds are not appropriated, this AGREEMENT may be amended to reflect any reduction in funds.

D. LOCAL AGENCY has the option to terminate the AGREEMENT pursuant to Article VI Termination, or by mutual agreement to amend the AGREEMENT to reflect any reduction of funds.

ARTICLE XXI CHANGE IN TERMS
A. This AGREEMENT may be amended or modified only by mutual written agreement of the parties.

B. CONSULTANT shall only commence work covered by an amendment after the amendment is executed and notification to proceed has been provided by LOCAL AGENCY’s Contract Administrator.

C. There shall be no change in CONSULTANT’s Project Manager or members of the project team, as listed in the approved Cost Proposal, which is a part of this AGREEMENT without prior written approval by LOCAL AGENCY’s Contract Administrator.

ARTICLE XXII CONTINGENT FEE
CONSULTANT warrants, by execution of this AGREEMENT that no person or selling agency has been employed, or retained, to solicit or secure this AGREEMENT upon an agreement or understanding, for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees, or bona fide established commercial or selling agencies maintained by CONSULTANT for the purpose of securing

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business. For breach or violation of this warranty, LOCAL AGENCY has the right to annul this AGREEMENT without liability; pay only for the value of the work actually performed, or in its discretion to deduct from the AGREEMENT price or consideration, or otherwise recover the full amount of such commission, percentage, brokerage, or contingent fee.

ARTICLE XXIII DISPUTES
Prior to either party commencing any legal action under this AGREEMENT, the parties agree to try in good faith, to settle any dispute amicably between them. If a dispute has not been settled after forty-five (45) days of good- faith negotiations and as may be otherwise provided herein, then either party may commence legal action against the other.
[Choose either Option 1 or Option 2]
[Option 1 - Use paragraphs A through C below for all AGREEMENTs without PS&E submittal] A. Any dispute, other than audit, concerning a question of fact arising under this AGREEMENT that is not disposed of by agreement shall be decided by a committee consisting of LOCAL AGENCY’s Contract Administrator and (Insert Department Head or Official), who may consider written or verbal information submitted by CONSULTANT.

B. Not later than thirty (30) calendar days after completion of all work under the AGREEMENT, CONSULTANT may request review by LOCAL AGENCY Governing Board of unresolved claims or disputes, other than audit. The request for review will be submitted in writing.

C. Neither the pendency of a dispute, nor its consideration by the committee will excuse CONSULTANT from full and timely performance in accordance with the terms of this AGREEMENT. [Option 2 - Replace Paragraph B, above, with the following for AGREEMENTs requiring the submission of PS&E]
B. Not later than thirty (30) calendar days after completion of all deliverables necessary to complete the plans, specifications and estimate, CONSULTANT may request review by LOCAL AGENCY Governing Board of unresolved claims or disputes, other than audit. The request for review will be submitted in writing.

ARTICLE XXIV INSPECTION OF WORK
CONSULTANT and any subconsultant shall permit LOCAL AGENCY, the State, and the FHWA if federal participating funds are used in this AGREEMENT; to review and inspect the project activities and files at all reasonable times during the performance period of this AGREEMENT.

ARTICLE XXV SAFETY
A. CONSULTANT shall comply with OSHA regulations applicable to CONSULTANT regarding necessary safety equipment or procedures. CONSULTANT shall comply with safety instructions issued by LOCAL AGENCY Safety Officer and other LOCAL AGENCY representatives.

CONSULTANT personnel shall wear hard hats and safety vests at all times while working on the construction project site.

B. Pursuant to the authority contained in Vehicle Code §591, LOCAL AGENCY has determined that such areas are within the limits of the project and are open to public traffic. CONSULTANT shall comply with all of the requirements set forth in Divisions 11, 12, 13, 14, and 15 of the Vehicle Code.

CONSULTANT shall take all reasonably necessary precautions for safe operation of its vehicles and the protection of the traveling public from injury and damage from such vehicles.

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C. Any subcontract entered into as a result of this contract, shall contain all of the provisions of this Article.
[Add the following paragraph to all AGREEMENTs, which may require trenching of five feet or deeper] D. CONSULTANT must have a Division of Occupational Safety and Health (CAL-OSHA) permit(s), as outlined in Labor Code §6500 and §6705, prior to the initiation of any practices, work, method, operation, or process related to the construction or excavation of trenches which are five (5) feet or deeper.

ARTICLE XXVI OWNERSHIP OF DATA
A. It is mutually agreed that all materials prepared by CONSULTANT under this AGREEMENT shall become the property of City, and CONSULTANT shall have no property right therein whatsoever.

Immediately upon termination, City shall be entitled to, and CONSULTANT shall deliver to City, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not, and other such materials as may have been prepared or accumulated to date by CONSULTANT in performing this AGREEMENT which is not CONSULTANT’s privileged information, as defined by law, or CONSULTANT’s personnel information, along with all other property belonging exclusively to City which is in CONSULTANT’s possession. Publication of the information derived from work performed or data obtained in connection with services rendered under this AGREEMENT must be approved in writing by City.

B. Additionally, it is agreed that the Parties intend this to be an AGREEMENT for services and each considers the products and results of the services to be rendered by CONSULTANT hereunder to be work made for hire. CONSULTANT acknowledges and agrees that the work (and all rights therein, including, without limitation, copyright) belongs to and shall be the sole and exclusive property of City without restriction or limitation upon its use or dissemination by City.

C. Nothing herein shall constitute or be construed to be any representation by CONSULTANT that the work product is suitable in any way for any other project except the one detailed in this Contract.

Any reuse by City for another project or project location shall be at City’s sole risk.

D. Applicable patent rights provisions regarding rights to inventions shall be included in the contracts as appropriate (48 CFR 27 Subpart 27.3 - Patent Rights under Government Contracts for federal- aid contracts).

E. LOCAL AGENCY may permit copyrighting reports or other agreement products. If copyrights are permitted; the AGREEMENT shall provide that the FHWA shall have the royalty-free nonexclusive and irrevocable right to reproduce, publish, or otherwise use; and to authorize others to use, the work for government purposes.

ARTICLE XXVII CLAIMS FILED BY LOCAL AGENCY’s CONSTRUCTION CONTRACTOR A. If claims are filed by LOCAL AGENCY’s construction contractor relating to work performed by CONSULTANT’s personnel, and additional information or assistance from CONSULTANT’s personnel is required in order to evaluate or defend against such claims; CONSULTANT agrees to make its personnel available for consultation with LOCAL AGENCY’S construction contract administration and legal staff and for testimony, if necessary, at depositions and at trial or arbitration proceedings.

B. CONSULTANT’s personnel that LOCAL AGENCY considers essential to assist in defending against construction contractor claims will be made available on reasonable notice from LOCAL AGENCY.

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Consultation or testimony will be reimbursed at the same rates, including travel costs that are being paid for CONSULTANT’s personnel services under this AGREEMENT.

C. Services of CONSULTANT’s personnel in connection with LOCAL AGENCY’s construction contractor claims will be performed pursuant to a written contract amendment, if necessary, extending the termination date of this AGREEMENT in order to resolve the construction claims.

ARTICLE XXVIII CONFIDENTIALITY OF DATA
A. All financial, statistical, personal, technical, or other data and information relative to LOCAL AGENCY’s operations, which are designated confidential by LOCAL AGENCY and made available to CONSULTANT in order to carry out this AGREEMENT, shall be protected by CONSULTANT from unauthorized use and disclosure.

B. Permission to disclose information on one occasion, or public hearing held by LOCAL AGENCY relating to the AGREEMENT, shall not authorize CONSULTANT to further disclose such information, or disseminate the same on any other occasion.

C. CONSULTANT shall not comment publicly to the press or any other media regarding the AGREEMENT or LOCAL AGENCY’s actions on the same, except to LOCAL AGENCY’s staff, CONSULTANT’s own personnel involved in the performance of this AGREEMENT, at public hearings, or in response to questions from a Legislative committee.

D. CONSULTANT shall not issue any news release or public relations item of any nature, whatsoever, regarding work performed or to be performed under this AGREEMENT without prior review of the contents thereof by LOCAL AGENCY, and receipt of LOCAL AGENCY’S written permission.

E. Any subcontract entered into as a result of this contract shall contain all of the provisions of this Article.
[For PS&E contracts add paragraph F, below, to paragraphs A through E, above] F. All information related to the construction estimate is confidential, and shall not be disclosed by CONSULTANT to any entity, other than LOCAL AGENCY, Caltrans, and/or FHWA. All of the materials prepared or assembled by CONSULTANT pursuant to performance of this Contract are confidential and CONSULTANT agrees that they shall not be made available to any individual or organization without the prior written approval of City or except by court order. If CONSULTANT or any of its officers, employees, or subcontractors does voluntarily provide information in violation of this Contract, City has the right to reimbursement and indemnity from CONSULTANT for any damages caused by CONSULTANT releasing the information, including, but not limited to, City’s attorney’s fees and disbursements, including without limitation experts’ fees and disbursements.

ARTICLE XXIX NATIONAL LABOR RELATIONS BOARD CERTIFICATION In accordance with Public Contract Code §10296, CONSULTANT hereby states under penalty of perjury that no more than one final unappealable finding of contempt of court by a federal court has been issued against CONSULTANT within the immediately preceding two-year period, because of CONSULTANT’s failure to comply with an order of a federal court that orders CONSULTANT to comply with an order of the National Labor Relations Board.

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ARTICLE XXX EVALUATION OF CONSULTANT
CONSULTANT’s performance will be evaluated by LOCAL AGENCY. A copy of the evaluation will be sent to CONSULTANT for comments. The evaluation together with the comments shall be retained as part of the AGREEMENT record.

ARTICLE XXXI PROMPT PAYMENT
A. PROMPT PAYMENT FROM LOCAL AGENCY TO CONSULTANT
The LOCAL AGENCY shall make all project progress payment within 30 days after receipt of an undisputed and properly submitted payment request from CONSULTANT on a professional service contract. If the LOCAL AGENCY fails to pay promptly, the LOCAL AGENCY shall pay interest to the CONSULTANT, which accrues at the rate of 10 percent per annum on the principal amount of a money judgment remaining unsatisfied and pro-rated as necessary. Upon receipt of the payment request, the LOCAL AGENCY shall act in accordance with both of the following:
(1) The LOCAL AGENCY shall review each payment request as soon as feasible after receipt to verify it is a proper payment request.
(2) The LOCAL AGENCY must return any payment request deemed improper by the LOCAL AGENCY to the CONSULTANT as soon as feasible, but not later than seven (7) days, after receipt. A request returned pursuant to this paragraph shall include documentation setting forth in writing the reasons why it is an improper payment request.

B. PROMPT PAYMENT CERTIFICATION
For projects awarded on or after September 1, 2023: the CONSULTANT must now submit Exhibit 9-P to the LOCAL AGENCY administering the contract by the 15th of the month following the month of any payment(s). If the CONSULTANT does not make any payments to subconsultants, supplier(s), and/or manufacturers they must report “no payments were made to subs this month” and write this visibly and legibly on Exhibit 9-P.

The LOCAL AGENCY must verify all Exhibit 9-P information, monitor compliance with prompt payment requirements for DBE and non-DBE firms, and address any shortfalls to the DBE commitment and prompt payment issues until the end of the project. The LOCAL AGENCY must email a copy of Exhibit 9-P to [email protected] before the end of the month after receiving the Exhibit 9-P from the CONSULTANT.

ARTICLE XXXII TITLE VI ASSURANCES
APPENDICES A - E of the TITLE VI ASSURANCES
[The U.S. Department of Transportation Order No.1050.2A requires all federal-aid Department of Transportation contracts between an agency and a consultant to contain Appendices A and E of the Title VI Assurances. Include Appendices B, C, and D if appliable as shown below. In addition, the consultant must include the Title VI Assurances Appendices A and E, and if applicable Appendices B, C, and D in all subcontracts to perform work under the contract.

The clauses of Appendix B of this Assurance shall be included as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a LOCAL AGENCY.

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The clauses set forth in Appendix C and Appendix D of this Assurance shall be included as a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered into by the LOCAL AGENCY with other parties:
a. for the subsequent transfer of real property acquired or improved under the applicable activity, project, or program; and
b. for the construction or use of, or access to, space on, over, or under real property acquired or improved under the applicable activity, project, or program.]

APPENDIX A
During the performance of this Agreement, the contractor, for itself, its assignees and successors in interest (hereinafter collectively referred to as CONSULTANT) agrees as follows:
a. Compliance with Regulations: CONSULTANT shall comply with the regulations relative to nondiscrimination in federally assisted programs of the Department of Transportation, Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time, (hereinafter referred to as the REGULATIONS), which are herein incorporated by reference and made a part of this agreement.
b. Nondiscrimination: CONSULTANT, with regard to the work performed by it during the AGREEMENT, shall not discriminate on the grounds of race, color, sex, national origin, religion, age, or disability in the selection and retention of sub-applicants, including procurements of materials and leases of equipment. CONSULTANT shall not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including employment practices when the agreement covers a program set forth in Appendix B of the Regulations.
c. Solicitations for Sub-agreements, Including Procurements of Materials and Equipment: In all solicitations either by competitive bidding or negotiation made by CONSULTANT for work to be performed under a Sub- agreement, including procurements of materials or leases of equipment, each potential sub-applicant or supplier shall be notified by CONSULTANT of the CONSULTANT’S obligations under this Agreement and the Regulations relative to nondiscrimination on the grounds of race, color, or national origin. d. Information and Reports: CONSULTANT shall provide all information and reports required by the Regulations, or directives issued pursuant thereto, and shall permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the recipient or FHWA to be pertinent to ascertain compliance with such Regulations or directives.

Where any information required of CONSULTANT is in the exclusive possession of another who fails or refuses to furnish this information, CONSULTANT shall so certify to the recipient or FHWA as appropriate, and shall set forth what efforts CONSULTANT has made to obtain the information.
e. Sanctions for Noncompliance: In the event of CONSULTANT’s noncompliance with the nondiscrimination provisions of this agreement, the recipient shall impose such agreement sanctions as it or the FHWA may determine to be appropriate, including, but not limited to:
i. withholding of payments to CONSULTANT under the Agreement within a reasonable period of time, not to exceed 90 days; and/or
ii. cancellation, termination or suspension of the Agreement, in whole or in part.

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f. Incorporation of Provisions: CONSULTANT shall include the provisions of paragraphs (1) through (6) in every sub-agreement, including procurements of materials and leases of equipment, unless exempt by the Regulations, or directives issued pursuant thereto.

CONSULTANT shall take such action with respect to any sub-agreement or procurement as the recipient or FHWA may direct as a means of enforcing such provisions including sanctions for noncompliance, provided, however, that, in the event CONSULTANT becomes involved in, or is threatened with, litigation with a sub-applicant or supplier as a result of such direction, CONSULTANT may request the recipient enter into such litigation to protect the interests of the State, and, in addition, CONSULTANT may request the United States to enter into such litigation to protect the interests of the United States.

APPENDIX B

CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY
The following clauses will be included in deeds effecting or recording the transfer of real property, structures, or improvements thereon, or granting interest therein from the United States pursuant to the provisions of Assurance 4:

NOW THEREFORE, the U.S. Department of Transportation as authorized by law and upon the condition that the recipient will accept title to the lands and maintain the project constructed thereon in accordance with Title 23 U.S.C., the regulations for the administration of the preceding statute, and the policies and procedures prescribed by the FHWA of the U.S. Department of Transportation in accordance and in compliance with all requirements imposed by Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally-assisted programs of the U.S. Department of Transportation pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. § 2000d to 2000d-4), does hereby remise, release, quitclaim and convey unto the recipient all the right, title and interest of the U.S.

Department of Transportation in and to said lands described in Exhibit A attached hereto and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto the recipient and its successors forever, subject, however, to the covenants, conditions, restrictions and reservations herein contained as follows, which will remain in effect for the period during which the real property or structures are used for a purpose for which Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits and will be binding on the recipient, its successors and assigns. The recipient, in consideration of the conveyance of said lands and interest in lands, does hereby covenant and agree as a covenant running with the land for itself, its successors and assigns, that (1) no person will on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination with regard to any facility located wholly or in part on, over, or under such lands hereby conveyed [,] [and]* (2) that the recipient will use the lands and interests in lands and interest in lands so conveyed, in compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally-assisted programs of the U.S. Department of Transportation, Effectuation of Title VI of the Civil Rights Act of 1964, and as said Regulations and Acts may be amended [, and (3) that in the event of breach of any of the above- mentioned non-discrimination conditions, the Department will have a right to enter or re-enter said lands and facilities on said lands, and that above described land and facilities will thereon revert to and vest in and become the absolute property of the U.S. Department of Transportation and its assigns as such interest existed prior to this instruction].*

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(*Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to make clear the purpose of Title VI.)

APPENDIX C

CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED UNDER THE

ACTIVITY, FACILITY, OR PROGRAM
The following clauses will be included in deeds, licenses, leases, permits, or similar instruments entered into by the recipient pursuant to the provisions of Assurance 7(a):

A. The (grantee, lessee, permittee, etc. as appropriate) for himself/herself, his/her heirs, personal representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby covenant and agree [in the case of deeds and leases add “as a covenant running with the land”] that:

1. In the event facilities are constructed, maintained, or otherwise operated on the property described in this (deed, license, lease, permit, etc.) for a purpose for which a U.S.

Department of Transportation activity, facility, or program is extended or for another purpose involving the provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.) will maintain and operate such facilities and services in compliance with all requirements imposed by the Acts and Regulations(as may be amended) such that no person on the grounds of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities.

B. With respect to licenses, leases, permits, etc., in the event of breach of any of the above Non- discrimination covenants, the recipient will have the right to terminate the (lease, license, permit, etc.) and to enter, re-enter, and repossess said lands and facilities thereon, and hold the same as if the (lease, license, permit, etc.) had never been made or issued.* C. With respect to a deed, in the event of breach of any of the above Non-discrimination covenants, the recipient will have the right to enter or re-enter the lands and facilities thereon, and the above described lands and facilities will there upon revert to and vest in and become the absolute property of the recipient and its assigns.* (*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make clear the purpose of Title VI.)

APPENDIX D

CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY ACQUIRED UNDER THE

ACTIVITY, FACILITY OR PROGRAM
The following clauses will be included in deeds, licenses, permits, or similar instruments/agreements entered into by the recipient pursuant to the provisions of Assurance 7(b):

A. The (grantee, licensee, permittee, etc., as appropriate) for himself/herself, his/her heirs, personal representatives, successors in interest ,and assigns, as a part of the consideration hereof, does hereby covenant and agree (in the case of deeds and leases add, “as a covenant running with the land”) that (1) no person on the ground of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities, (2) that in the construction of any improvements on,

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A&E Boilerplate Agreement Language
over, or under such land, and the furnishings of services thereon, no person on the ground of race, color, or national origin, will be excluded from participation in, denied the benefits or, or otherwise be subjected to discrimination, (3) that the (grantee, licensee, lessee, permittee, etc.) will use the premises in compliance with all other requirements imposed by or pursuant to the Acts and Regulations, as amended, set forth in this Assurance.

B. With respect to (licenses, leases, permits, etc.) in the event of breach of any of the above of the above Non-discrimination covenants, the recipient will have the right to terminate the (license, permits, etc., as appropriate) and to enter or re-enter and repossess said land and the facilities thereon, and hold the same as if said (license, permit, etc., as appropriate) had never been made or issued.*
C. With respect to deeds, in the event of breach of any of the above Non-discrimination covenants, the recipient will there upon revert to and vest in and become the absolute property of the recipient and its assigns.

APPENDIX E
During the performance of this contract, the CONSULTANT, for itself, its assignees, and successors in interest (hereinafter referred to as the “CONSULTANT”) agrees to comply with the following non- discrimination statutes and authorities, including, but not limited to:

Pertinent Non-Discrimination Authorities:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part 21. • The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects); • Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), prohibits discrimination on the basis of sex;
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits discrimination on the basis of disability); and 49 CR Part 27; • The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), prohibits discrimination on the basis of age);
• Airport and Airway Improvement Act of 1982, (49 U.S.C. § 471, Section 47123), as amended, (prohibits discrimination based on race, creed, color, national origin, or sex); • The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all of the programs or activities of the Federal-aid recipients, sub-recipients and contractors, whether such programs or activities are Federally funded or not);
• Titles II and III of the Americans with Disabilities Act, which prohibit discrimination of the basis of disability in the operation of public entities, public and private transportation systems, places of

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public accommodation, and certain testing entities (42 U.S.C. §§ 12131 – 12189) as implemented by Department of Transportation regulations 49 C.F.R. parts 37 and 38; • The Federal Aviation Administration’s Non-discrimination statute (49 U.S.C. § 47123) (prohibits discrimination on the basis of race, color, national origin, and sex); • Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, which ensures discrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations; • Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin discrimination includes discrimination because of Limited English Proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100);
• Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education programs or activities (20 U.S.C.1681 et seq).

ARTICLE XXXIII NOTIFICATION
All notices hereunder and communications regarding interpretation of the terms of this AGREEMENT and changes thereto, shall be effected by the mailing thereof by registered or certified mail, return receipt requested, postage prepaid, and addressed as follows:

CONSULTANT:
(CONSULTANT)
(NAME) ,Project Manager
(ADDRESS)
LOCAL AGENCY:
(LOCAL AGENCY)
(NAME) , Contract Administrator
(ADDRESS)

ARTICLE XXXIV CONTRACT
The two parties to this AGREEMENT, who are the before named CONSULTANT and the before named LOCAL AGENCY, hereby agree that this AGREEMENT constitutes the entire AGREEMENT which is made and concluded in duplicate between the two parties. Both of these parties for and in consideration of the payments to be made, conditions mentioned, and work to be performed; each agree to diligently perform in accordance with the terms and conditions of this AGREEMENT as evidenced by the signatures below.

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ARTICLE XXXV SIGNATURES
(Name of LOCAL AGENCY) (Name of CONSULTANT)
(Signature)
(Name of Signer)
(Signature)
(Name of Signer)
Date: Date:

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APPENDIX C
FORMS

Vendor Application Form
Ex Parte Communications Certification
Disclosure of Government Positions
Disqualification Questionnaire
Company Profile & References
Bidder/Applicant/Contractor Campaign Contribution

360

VENDOR APPLICATION FORM
FOR
RFP No. 25-04 SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS (FEDERAL PROJECT NO. HSIPL-5312(107))

TYPE OF APPLICANT:  NEW  CURRENT VENDOR
Legal Contractual Name of Corporation: ______________________________________ Contact Person for Agreement: _____________________________________________ Title: ______________________________ E-Mail Address: ______________________ Business Telephone: _________________________ Business Fax: ________________ Corporate Mailing Address: ________________________________________________ City, State and Zip Code: __________________________________________________ Contact Person for Proposals: ______________________________________________ Title: ______________________________ E-Mail Address: ______________________ Business Telephone: _________________________ Business Fax: ________________ Is your business: (check one)
 NON PROFIT CORPORATION  FOR PROFIT CORPORATION Is your business: (check one)
 CORPORATION  LIMITED LIABILITY PARTNERSHIP
 INDIVIDUAL  SOLE PROPRIETORSHIP
 PARTNERSHIP  UNINCORPORATED ASSOCIATION

361

Names & Titles of Corporate Board Members
(Also list Names & Titles of persons with written authorization/resolution to sign contracts)

Names Title Phone
___________________________________ ___________________________________

___________________________________ ___________________________________

___________________________________ ___________________________________

___________________________________ ___________________________________

___________________________________ ___________________________________

___________________________________ ___________________________________

Federal Tax Identification Number: __________________________________________

City of Costa Mesa Business License Number: ________________________________________ (If none, you must obtain a Costa Mesa Business License upon award of contract.)

City of Costa Mesa Business License Expiration Date: ________________________________

362

EX PARTE COMMUNICATIONS CERTIFICATION
Please indicate by signing below one of the following two statements. Only sign one statement.

I certify that Proposer and Proposer’s representatives have not had any communication with a City Councilmember concerning informal RFP No. 25-04 SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS (FEDERAL PROJECT NO. HSIPL-5312(107)) at any time after August 27, 2024.

________________________________ Date: _______________________ Signature

________________________________
Print

OR

I certify that Proposer or Proposer’s representatives have communicated after August 27, 2024 with a City Councilmember concerning informal RFP No. 25-04 SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS (FEDERAL PROJECT NO. HSIPL-5312(107)). A copy of all such communications is attached to this form for public distribution.

________________________________ Date: _______________________ Signature

________________________________
Print

363

DISQUALIFICATION QUESTIONNAIRE
The Contractor shall complete the following questionnaire:

Has the Contractor, any officer of the Contractor, or any employee of the Contractor who has proprietary interest in the Contractor, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or safety regulation?
Yes _____ No _____
If the answer is yes, explain the circumstances in the following space.

364

DISCLOSURE OF GOVERNMENT POSITIONS
Each Proposer shall disclose below whether any owner or employee of Contractor currently hold positions as elected or appointed officials, directors, officers, or employees of a governmental entity or held such positions in the past twelve months. List below or state "None."

365

COMPANY PROFILE & REFERENCES

Company Legal Name:

Company Legal Status (corporation, partnership, sole proprietor etc.):

Active licenses issued by the California State Contractor’s License Board:

Business Address:

Website Address:

Telephone Number: Facsimile Number:

Email Address:

Length of time the firm has been in business:

Length of time at current location:

Is your firm a sole proprietorship doing business under a different name: ___Yes ___No

If yes, please indicate sole proprietor’s name and the name you are doing business under:

Federal Taxpayer ID Number:

Regular Business Hours:

Regular holidays and hours when business is closed:

Contact person in reference to this solicitation:

Telephone Number: Facsimile Number:

Email Address:

Contact person for accounts payable:

Telephone Number: Facsimile Number:

Email Address:

Name of Project Manager:

Telephone Number: Facsimile Number:

Email Address:
366

COMPANY PROFILE & REFERENCES (Continued)

Submit the company names, addresses, telephone numbers, email, contact names, and brief contract descriptions of at least three clients, preferably other municipalities for whom comparable projects have been completed or submit letters from your references which include the requested information.

Company Name:

Contact Name:

Contract Amount:

Email:

Address:

Brief Contract Description:

Company Name:

Telephone Number:

Contact Name:

Contract Amount:

Email:

Address:

Brief Contract Description:

Company Name:

Telephone Number:

Contact Name:

Contract Amount:

Email:

Address:

Brief Contract Description:

Company Name:

Telephone Number:

Contact Name:

Contract Amount:

Email:

Address:

Brief Contract Description:

Company Name:

Telephone Number:

Contact Name:

Contract Amount:

Email:

Address:

Brief Contract Description:

367

BIDDER/APPLICANT/CONTRACTOR CAMPAIGN CONTRIBUTION

DISCLOSURE FORM
Proposer/Consultant/Applicant is required to identify any campaign contribution or cumulative contributions greater than $249 to any city council member in the twelve months prior to submitting an application, proposal, statement of qualifications or bid requiring approval by the City Council.

Date

Name of Donor
Company/Business
Affiliation
Name of
Recipient

Amount

Except as described above, I/we have not made any campaign contribution in the amount of $250 or more to any Costa Mesa City Council Member in the twelve months preceding this Application/Proposal.

I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.

Bidder/Applicant/Proposer

Date

368
I
Local Assistance Procedures Manual EXHBIT 10-1
Notice to Proposers DBE Information
EXHIBIT 10-1 NOTICE TO PROPOSERS DBE INFORMATION
(Federally funded projects only)
The Agency has established a DBE goal for this Contract of _____

1. 2.

3. 4.

TERMS AS USED IN THIS DOCUMENT
• The
term "Disadvantaged Business Enterprise" or "DBE" means a for-profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Code of Federal Regulations (CFR), Part 26.5.
• The term "Agreement" also means "Contract."
• Agency also means the local entity entering into this contract with the Contractor or Consultant. • The term "Small Business" or "SB" is as defined in 49 CFR 26.65.

AUTHORITY AND RESPONSIBILITY
A. DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs").

The Consultant must ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer must not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts.

B. Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs.

SUBMISSION OF DBE INFORMATION
If there is a DBE goal on the contract, Exhibit 10-01 Consultant Proposal DBE Commitment must be included in the Proposal. In order for a proposer to be considered responsible and responsive, the proposer must make good faith efforts to meet the goal established for the contract. If the goal is not met, the proposer must document adequate good faith efforts. All DBE participation will be counted towards meeting the contract goal; therefore, all DBE participation shall be collected and reported.

Exhibit 10-02 Consultant Contract DBE Information must be included in best qualified consultant's executed consultant contract. Even if no DBE participation will be reported, the successful proposer must execute and return the form.

DBE PARTICIPATION GENERAL INFORMATION
It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the Department's DBE program developed pursuant to the regulations. Particular attention is directed to the following:

A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through the California Unified Certification Program (CUCP).

B. A certified DBE may participate as a prime consultant, subconsultant, joint venture partner, as a vendor of material or supplies, or as a trucking company.

C. A DBE proposer not proposing as a joint venture with a non-DBE, will be required to document one or a combination of the following:

1. The proposer is a DBE and will meet the goal by performing work with its own forces.

2. The proposer will meet the goal through work performed by DBE subconsultants, suppliers or trucking companies.

3. The proposer, prior to proposing, made adequate good faith efforts to meet the goal.

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D. A DBE joint venture partner must be responsible for specific contract items of work or clearly defined portions thereof. Responsibility means actually performing, managing, and supervising the work with its own forces. The DBE joint venture partner must share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest.

E. A DBE must perform a commercially useful function pursuant to 49 CFR 26.55, that is, a DBE firm must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing and supervising the work.

F. The proposer shall list only one subconsultant for each portion of work as defined in their proposal and all DBE subconsultants should be listed in the bid/cost proposal list of subconsultants.

G. A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the DBE participation except that portion of the work to be performed by non-DBE subconsultants.

5. RESOURCES
A. The CUCP database includes the certified DBEs from all certifying agencies participating in the CUCP.

If you believe a firm is certified that cannot be located on the database, please contact the Caltrans Office of Certification toll free number 1-866-810-6346 for assistance.

B. Access the CUCP database from the Department of Transportation, Office of Civil Rights website

1. Click on the link titled Disadvantaged Business Enterprise;

2. Click on Search for a DBE Firm link;

3. Click on Access to the DBE Query Form located on the first line in the center of the page.

Searches can be performed by one or more criteria. Follow instructions on the screen.

6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS THE DBE GOAL UNDER THE FOLLOWING CONDITIONS:

A. If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies. A DBE manufacturer is a firm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment required under the Contract and of the general character described by the specifications.

B. If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies. A DBE regular dealer is a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a DBE regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. A person may be a DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a place of business provided in this section.

C. If the person both owns and operates distribution equipment for the products, any supplementing of regular dealers' own distribution equipment shall be, by a long-term lease agreement and not an ad hoc or Agreement-by-Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not DBE regular dealers within the meaning of this section.

D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on the job site, provided the fees are reasonable and not excessive as compared with fees charged for similar services.

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EXHIBIT B

CONSULTANT’S PROPOSAL
371
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
1100 W Town & Country Road
Suite 700
Orange, CA 92868
TEL 714.939.1030
City of Costa Mesa  TRCALAD001992.2024
1 1. COVER LETTER
September 19, 2024
Costa Mesa City Hall
77 Fair Drive
Costa Mesa, CA 92626
RE: PROPOSAL FOR SIGNAL MODERNIZATION FOR

SYSTEMIC SAFETY IMPROVEMENTS (FEDERAL PROJECT
NO. HSIPL-5312(107)) – RFP No. 25-04
Dear Members of the Selection Committee:

The City of Costa Mesa (City) is seeking a trusted and
knowledgeable consultant to prepare plans, specifications, and estimates (PS&E) for implementation of traffic safety enhancements at 129 intersections throughout the City. To successfully deliver this project, the City will benefit most from a consultant who is already familiar with the project, has a proven track record with similar initiatives, and offers a cohesive and skilled team. Kimley-Horn is that consultant.

We have thoroughly reviewed and understand all aspects of this Request for Proposal (RFP) and are prepared to offer the following advantages:

Pre-Existing Knowledge. Kimley-Horn has a deep understanding of the project due to our previous work preparing the City’s corresponding Highway Safety Improvement Program (HSIP) application and developing your Local Roadway Safety Plan (LRSP).

As such, we are already well-acquainted with the City’s vision for the anticipated signal improvements at each intersection. Our familiarity with the City’s expectations and standards means there will be no learning curve. With Kimley-Horn, you can expect us to hit the ground running, saving you valuable time.

Extensive Caltrans and HSIP Experience. Kimley-Horn has completed numerous Caltrans HSIP projects, ranging from single intersections to multiple intersection corridors. We understand that familiarity with the coordination of the approval process is key to the timely completion of these projects. Additionally, Kimley- Horn has a successful track record of completing HSIP and traffic projects for clients in District 12, including the following:
•
City of Maywood, T
raffic Signal Improvements at 12
Intersections, HSIP Cycle 11
• City of Pico Rivera, Traffic Improvements a
t 47
intersections, HSIP Cycle 11
• City of Downey, Paramount Boulevard
Traffic Signal Upgrade
and Fiber-Optic Communication System
• City of West Covina, Preliminar
y Engineering Phase Services,
HSIP Cycle 10 Improvements
• City of Santa Clarita, Wiley Can
yon Road at Orchard
Village Road and Newhall Avenue at Railroad Avenue
Intersection Improvement
• City of Norwalk, Final Design Services for Traffic Signal Improvements Along Studebaker Road
• City of Norwalk, Design Services for
Traffic Signal
Improvements Along Alondra Boulevard
A Tailor-Made Team. As project manager, Jean Fares, PE
will lead our team and be responsible for providing the scope of services listed in the RFP . Jean brings over 35 years of experience in the transportation engineering field and has worked closely with numerous local municipalities on various traffic signal modification projects. Jean will be supported by a skilled team of engineers, planners, and analysts with experience in traffic signal plans, traffic signal timing, bidding/construction support, and more. We have supplemented our in-house team with trusted subconsultants Avant-Garde (Environmental and Caltrans LAPM), LIN
Consulting (Traffic Signal support) and AET (Traffic Signal and Timing Sheet support). Our proposed project team regularly works together on similar HSIP projects, allowing us to collaborate with the City efficiently and effectively while completing all tasks under this contract on time and within budget. Our partners will bring the institutional knowledge necessary to seamlessly incorporate recent project improvements at the City to avoid duplicate and conflicting work. This coordination is necessary to maintain efficiency for the project timeline.

Thank you for considering our proposal. Kimley-Horn is confident that no other consultant matches our qualifications and the unique knowledge of the City that we bring. We look forward to the opportunity to work on this project. Should you have any questions related to our proposal, please contact project manager Jean Fares, PE directly at [email protected],
818.970.2048, or at the address listed above.

Sincerely,
KIMLEY-HORN AND ASSOCIATES, INC.

Jean Fares, PE*
Project Manager/Senior Vice President
*Jean Fares is authorized by Kimley-Horn to bind
the firm to the terms of the proposal.

Table of Contents

1. Cover Letter ............................................................. 1

2. Background and Project Summary Section ................ 2

3. Project Approach and Methodolog
y ........................... 3

4. Qualifications & Experience of the Firm ...................... 8

5. Financial Capacity .................................................. 10

6. Key Personnel ........................................................ 10 372
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
2 2. BACKGROUND AND PROJECT SUMMARY SECTION
Understanding of the City, Project, and Objectives
The City of Costa Mesa (City) is looking to improve safety and operability through the installation of retroreflective signal heads, 12” vehicle heads, pedestrian countdown signal heads, amd Leading Pedestrian Interval (LPI) timing at 129 existing signalized intersections in various locations throughout the City. The City is also looking to install high-visibility pedestrian crossings at certain intersections. Per the City’s RFP , the project will be funded at 90%, with HSIP funding for 129 total intersections.

The City has compiled collision data history from 2015 to 2019; of the total 1,545 collisions, 149 included pedestrians and cyclists.

The Caltrans LRSM outlines a systemic approach of proven safety countermeasures to address systemwide safety issues. The LRSM provides steps to calculate Benefit to Cost ratios (BCR) to determine which low-cost countermeasures could be implemented to high crash locations. Based on the collision data history and BCRs, the City has determined three countermeasures to increase safety and reduce the number of collisions.

The first countermeasure, S2: Improve Signal Hardware: Lenses, Back-Plates with Retroreflective Borders, Mounting Size, and Number of Signal Heads, consists of improvements in safety for signalized intersections by installing new LED lighting, signal back plates, retro reflective tape outline on the back plates, or visors to increase signal visibility, larger signal heads, relocation of signal heads, or additional signal heads. The LRSM states that the S2 countermeasure provides better daytime and nighttime visibility and clarity of signals and also reduces rear-end and right-angle collisions associated with drivers who are unable to see traffic signals sufficiently in advance of an intersection. Upgrading all vehicle head lenses to 12” LED vehicle heads and all back-plates with retroreflective borders and mountings has the potential to reduce crashes by 15 percent, as documented in the LRSM and RFP .

The second countermeasure, S17PB: Install Pedestrian Countdown Signal Heads, focuses on improving safety for pedestrians by installing a timer display to let pedestrians know how much time they have left to safely cross a street. The implementation of pedestrian countdown signal heads will reduce crashes by 25 percent, as documented in the LRSM and RFP .

The third countermeasure, S21PB: Modify Signal Phasing to Implement a LPI, allows pedestrians a head start to cross the crosswalk, increases visibility for drivers completing a turning movement, allows pedestrians to have the right-of-way, and reduces conflict between pedestrians and vehicles. The LPI will reduce collisions by 59 percent, as documented in the LRSM.

Countermeasures S2, S17PB, and S21PB will have a combined BCR of 39.24. The implementation of these countermeasures is an effective method to improve overall intersection safety through enhancements to visibility. Specific improvements are further discussed in Section 3.2.

Grant administration is a key element to confirm that the City follows through with procurement. When agencies are appropriated funding, it is their responsibility to work with the administering agencies to submit required documents and reimbursements requests. Funding administration involves various steps, such as tracking eligible and non-eligible expenditures through a project’s lifespan, providing guidancedt on programmatic changes and updates, and building relationships with each agency granting or administering the funding. Kimley-Horn is thoroughly familiar with the processes pursuant to Caltrans LAPM funding administration procedures.

In addition to the design and integration of this project, Kimley-Horn understands the importance of coordination with Caltrans District 12 for successful implementation. Our team will verify that our submittals are complete to meet Caltrans LAPM requirements for each submission. It is further understood that the project is funded by federal funds and is subject to the state’s process for federally funded HSIPs.

We have included one project sample for the City of Maywood on the right, which provided enough context for the design and conveyed the information to the contractors. We drew the existing right-of-way, curb, and centerlines as a base for the design and upgraded vehicle heads and installed retroreflective backplates, APS, controllers, BBS, and countdown pedestrian signals. 373
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
3 3. PROJECT APPROACH AND METHODOLOGY

3.1 Understanding of the Project
The scope of the project encompasses several key phases, beginning with a detailed inventory of the existing traffic signals. This inventory will inform the preliminary design, which will be followed by environmental approval to meet CEQA/NEPA requirements. The final phase involves developing comprehensive (PS&E) for construction. This modernization effort aims to improve visibility, compliance, and safety for all road users, aligning with both state and federal standards. The City has set a 120-day completion timeline for this project, which also includes specific requirements for Disadvantaged Business Enterprise (DBE) participation and adherence to federal-aid provisions.

3.2 Detailed Description of Efforts
Phase 1: Detailed Citywide Traffic Signal Inventory
The Kimley-Horn team will attend a pre-design (kick-off) meeting with City staff after the award of contract to conduct introductions, discuss scope of work, go over the HSIP application and other information needed from various City departments, overall schedule, and the implementation process.

Our team will conduct field investigations at each of the intersections to document locations of pedestrian signal heads without countdown capabilities, locations of 8” signal heads at the intersections, brand/manufacturer, type (3-section, 4-section, etc.) and condition of each signal head, including whether it needs maintenence. It is assumed that the brand/manufacturer is written clearly on existing vehicle heads. It is also assumed that the determination of vehicle head maintenance will be for vehicle heads that have extremely faded backplates, bent backplates, or dull bulbs.

Cabinet inventory will take place to determine existing controllers at each of the intersections and conduit sizes coming into each controller cabinet.
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Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
4 We will open the pull boxes at up to 30 intersections where proposed EVP equipment will be installed. Conduit fill calculations will be performed to verify if existing conduits have adequate space for the additional EVP cable. It is assumed that pull boxes only labeled “Traffic Signal” will be opened. Any inaccessible pull boxes (e.g., damaged or screwed shut lids, inaccessible on sidewalk or median, requiring unreasonable force to open, etc.) will be documented.

Field data of the existing conditions of vehicle heads, pedestrian heads, signal controllers, and conduit fill will be compiled in a detailed table using Microsoft Excel.

For the City of Menifee, we conducted field investigations that showed locations of signal heads, pedestrian countdown/non- countdown, and signal equipment. The image on the previous page shows an example of these field notes and photos taken to show all signal heads in each direction for reference.

Phase 1 Deliverables:

 Attendance a t project kick-off meeting
 Field Notes in PDF f
ormat
 Field Da ta Table in Excel format
Phase 2: Preliminary Design
Kimley-Horn will review base data documents, including as-built improvement plans, utility information, survey information, and other available record data. Kimley-Horn will refine the field data table created in Phase 1 to include proposed improvements such as BBS and EVP and remain consistent with the HSIP grant application to create the Traffic Signal Inventory Table of Proposed Improvements.

We will prepare preliminary engineering plans for the following four scenarios:

1. Loca
tion 1: Countermeasures S02, S17PB, and S21PB

2. Loca
tion 2: Countermeasures S02, S17PB

3. Loca
tion 3: Countermeasures S02, S21PB

4. Loca
tion 4: Countermeasure S02
The preliminary engineering plans for the scenarios above will include traffic signal upgrades necessary for the upgraded traffic signal operations, such as retroreflective backplates, replacing 8” vehicle heads, countdown pedestrian heads, LPI, BBS, and EVP .

These plans will be an example for the 129 intersection plans that will be developed in Phase 4. The design will be in compliance with the latest editions of the California Manual on Uniform Traffic Control Devices (CA MUTCD), state and federal standards, and City of Costa Mesa standards.

It is assumed there will be one virtual meeting to discuss the preliminary design.

Phase 2 Deliverables:

 Attendance at one virtual meeting
 T
raffic Signal Inventory Table of Proposed Improvements
in .xlsx format
 Preliminar y Design Plans (4 sheets) in PDF format
Phase 3: Environmental Approval
 Phase 3.1 C EQA Categorical Exemption
The project requires compliance with the California Environmental Quality Act (CEQA). The City is expected to act as the Lead Agency under CEQA. It is assumed that a Categorical Exemption (CE) would be the appropriate level of CEQA documentation.

Based on the information provided, the Kimley-Horn team assumes that the project will be covered under CEQA Guidelines Section 15301, which allows a CE for projects that have been determined not to have a significant effect on the environment. The Kimley-Horn team will prepare the State Clearinghouse (SCH) Notice of Exemption (NOE) Form, along with a memorandum which summarizes and documents how the City will meet its Lead Agency responsibilities under CEQA. The memorandum will include responses to topic areas specified in CEQA Guidelines Section 15300.2 that would negate the exemption by an exception. Once these documents have been approved by the City, the Kimley-Horn team will file the NOE Form with the County Clerk’s Office and the SCH. If it is ultimately determined that the project would be exempt under SB 922, the Kimley-Horn team will also file the NOE Form with the County Clerk and SCH as required.
 Phase 3.2 NEP
A Categorical Exclusion
Environmental documentation pursuant to the National Environmental Policy Act (NEPA) is required and Caltrans would be the NEPA Lead Agency. The project would be processed through Caltrans’ Local Assistance Program. The Kimley-Horn team assumes that the project would be categorically excluded under the provisions of NEPA; technical studies would be required to support this determination. 375
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
5  Phase 3.3 Technical Studies in Support of CEQA/NEPA Documentation: Preliminary Environmental Study (PES) and Caltrans Checklist
The Kimley-Horn team will initiate the Caltrans environmental review process through completion of the Preliminary Environmental Study (PES), a Caltrans checklist that helps with identifying the appropriate level of environmental review. The PES will also identify federal, state and local agencies from which discretionary approval actions or permits would be required, identify efforts to comply with NEPA, and identify the anticipated NEPA pathway and rationale. After approval of the PES by the City and Caltrans, the Kimley-Horn team will prepare the required technical studies. Based on preliminary research, technical studies related to cultural resources are anticipated, and are included in this scope of work. Technical studies required for NEPA approval would be completed in accordance with the Caltrans’ Standard Environmental Reference (SER) guidelines and Local Assistance Procedures Manual (LAPM).

The PES Form will be completed pursuant to Caltrans’ SER and LAPM. The Kimley-Horn team will submit the Draft PES to the City for review and approval. Once the Draft PES has been approved by the City, the Kimley-Horn team will finalize the revisions, submit the PES to Caltrans. Once comments are received, the Kimley-Horn team will revise the PES and resubmit the Final PES to Caltrans.

The Kimley-Horn team will complete a desktop review and complete the PES Form.

The Kimley-Horn team will respond to one round of consolidated comments from the City and Caltrans for each form and technical report.

It is assumed there will be one virtual meeting to discuss the environmental documentation.

Phase 3 Deliverables:

 Attendance a t one virtual meeting
 One electronic copy of the Draft and Final NOE Form
and CE Memorandum
 One electronic cop y of the Draft and Final PES
Phase 4: Final Design Plans, Specifications, and Estimates (PS&E)  T ask 4.1: 60% Plans and Estimate Package
Based on receiving the Categorical Exemption/Categorical Exclusion, Kimley-Horn will advance the construction documents to a 60% level of design. Kimley-Horn will adjust the design plans based on City comments from the preliminary design and incorporate proposed elements from the field data table.

Additional annotation will be added to the traffic signal plans based on the comments received by the City.

An engineer’s Opinion of Probable Construction Cost (OPCC) will be developed in Microsoft Excel. A project contingency will be added the OPCC to provide for cost increases and unknown issues that may arise but cannot be specifically identified at this stage.

Because Kimley-Horn has no control over the cost of labor, materials, equipment or services furnished by others, over methods of determining price, or over competitive bidding or market conditions, Kimley-Horn does not guarantee that proposals, bids, or actual costs will not vary from the opinion on costs.

Plans will be completed in AutoCAD Version 2024 and will be presented with four intersections per plan sheet at scale 1”=40’.

We anticipate the following plan sheet counts for the project:
•
T
itle Sheet: 1 sheet
• Index Ma
p with Traffic Signal Inventory Table of Proposed
Improvements: 1 sheet
• General Notes and Project Specific Notes:
1 sheet
• T
raffic Signal Improvement Plans: 33 sheets
• Estima
ted Total Sheets: 36 sheets
We do not anticipate the following sheets to be part of the design at any stage of the project:w •
Signing and Striping Plans
• Civil Improvements
• Communica
tion Plans
• Street Lighting Plans
It is assumed there will be one virtual meeting to discuss the project’ s progress.
 T
ask 4.2: 90% PS&E Package
Based on one set of non-conflicting comments on the 60% plans, Kimley-Horn will advance the construction documents to a 90% level of design. Kimley-Horn will adjust the design plans based on City comments.

Kimley-Horn will prepare a comment response matrix to be submitted with the 90% submittal. The comment response matrix will include the original comments, Kimley-Horn’s responses to the comments, and final resolution. Additional annotation will be added to the traffic signal plans based on the comments received by the City. 376
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
6 The engineer’s OPCC will be updated based on the City’s comments.

Special provisions consistent with the City’s format and SPPWC “Greenbook” APWA current edition will be prepared.

It is assumed there will be one virtual meeting to discuss the project’s progress.  T
ask 4.3: 100% PS&E Package
Based on one set of non-conflicting comments from the 90% PS&E comments, Kimley-Horn will advance the PS&E to the 100% level of design. It is expected that the comments will not result in a major change in design. Kimley-Horn will adjust the plans, OPCC, and technical specifications based on the City comments accordingly. Kimley-Horn will prepare a comment response matrix to be submitted with the final submittal, including the original comments, Kimley-Horn responses to the comments, and final resolution.

A licensed professional engineer will conduct a peer review and QC/QA of the design plans, OPCC, and technical specifications. A licensed professional engineer will stamp and sign all plan sheets and specifications for this submittal.

It is assumed there will be one virtual meeting to discuss the project’s progress.  T
ask 4.4: Leading Pedestrian Interval (LPI) Timing Sheets Kimley-Horn will prepare timing sheets with LPI after the 100% PS&E package has been completed. This will be included in the construction phase for the contractor to implement during construction. Our team will prepare updated traffic signal timing sheets at 49 intersections across the city.

We will do a quick review of the coordination so that the added walk time does not break any coordination minimum split rules. It is assumed that all existing timing sheets and turning movement count data will be provided by the City.  T
ask 4.5: Right-of- Way
Kimley-Horn understands the project will be completed within the public right-of-way. The project will not require any utility relocation or right-of-way acquisition or easements. If any other work will occur outside of the right-of-way in addition to what is anticipated in this scope of work, additional scope and fee would be required.

Kimley-Horn will fill out Caltrans LAPM Exhibit 13-A for the City to submit to the Caltrans District 12 Right-of-Way office. This will be completed after the 90% PS&E submittal.
 T
ask 4.6: Request for Authorization to Proceed with Construction (RFA for CON) For the project to go out to bid, an E-76 Construction Authorization is required for federally funded projects. Kimley-Horn will prepare the Request for Authorization for Construction (RFA for CON) forms consistent with LAPM Chapter 3. Kimley-Horn will coordinate with District 12 Local Assistance office to prepare all exhibits and authorization forms to request the E-76 for CON per Caltrans federal funding requirements.

Kimley-Horn will begin this process after the 100% PS&E submittal.  T
ask 4.7 Processing and Approvals
The Kimley-Horn team will prepare 2 Caltrans reimbursement requests based on paid invoices to maintain project activity and reimburse the agency.

Task 4 Deliverables
 Attendance a t virtual meetings
 60%,
90%, & 100% plans and OPCC in PDF format
 Special & technical specifica
tions & Bid List in PDF format
 Upda ted traffic signal timing sheets in Excel and PDF formats  Right-of-wa
y and RFA for CON packages
 Submitting invoices to Caltrans
Additional Services
Any services not specifically described in the above scope, as well as any changes in the scope the Client requests, will be considered Additional Services.
•
A
vailable record plans and documents shall be
provided by the City.
• Utility compan
y’s fees, and the City’s and other Agencies’
permit fees are excluded.
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Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
7 • T opographic survey is not included.
• T
raffic Control or Civil Improvement plans are not included. • Bidding and Construction Support are not included.
• As Builts (Record Dra
wings) are not included.

3.3 Project Schedule
Our draft project schedule, highlighting project tasks, durations, start and completion dates, and time allocations for City and other agency review, is provided below. This schedule assumes completion of the project within 120 days of the City’s Notice to Proceed (NTP) as requested in the RFP . It is our intent to review this schedule with the City at the start of the project and make any desired adjustments and track the project work as a progress schedule by providing regular updates.

Months from Notice to Proceed
1 2 3 4 Until Project Completion
Phase 1: Detailed Citywide Traffic Signal Inventory ◆◆
Phase 2: Preliminary Design
Phase 3: Environmental Approval
Phase 4: Final Design

4.1 60% Plans
◆◆

4.2 90% Plans ◆◆

4.3 100% Plans ◆◆

4.4 LPI Timing Sheets

4.5 Right of Way

4.6 RFA for CON

4.7 Processing and Approvals
◆◆ Project Meeting Kimley-Horn effort Caltrans Review Period City Review Period

3.4 Potential Issues and Responses
Issue: Communication
Paramount to a project’s success is a continuous partnership that adapts as necessary to unforeseen circumstances. We will include critical decision-making points in our work plan so the project team and the City can agree upon the best course of action to keep the project on track. There will always be unexpected challenges unique to any given project; it is critical that an approach be developed to control what can be controlled and factor in mechanisms for dealing with the unexpected.

Our experience has shown that there really is no such thing as “over-communication” between the client and the design team. For this reason, we recommend the use of the following communication protocol, which we have employed successfully on numerous projects:
•
A bi-weekl
y conference call between the planning team (with client participation, as needed) to discuss progress and schedule. • A monthl
y progress report summarizing, at a minimum, the following information:
• Research and da
ta source updates
• Milestone list,
with anticipated and actual
• Upcoming tasks and associa
ted required preparation
• Anticipa
ted project issues and strategies for solutions
Issue: Schedule Control
Schedule control begins with the preparation of a detailed schedule that includes milestone completion dates for specific tasks and the overall project. We will develop a work plan that allocates personnel commitments for each task. Twice a month, our integrated Management Information System (MIS) generates a Project Effort Report displaying the actual effort expended by task, which allows us to make, on a timely basis, any adjustments necessary to maintain schedule and stay within budget. Equally important are open lines of communication between City staff, our subconsultants, and permitting agencies. Our schedule process includes these factors, building into our timelines when the schedule is adjusted. We follow our mandate, seeking always to deliver on-time results regardless of ongoing or unexpected challenges.
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Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
8 Issue: Construction Costs
We understand that the largest costs to our clients are those related to construction. We are committed to preparing thorough plans and specifications that accurately define project requirements. Each project deliverable undergoes a rigorous quality review prior to finalization. We break down our project designs into discrete pay items with specific descriptions to avoid misunderstandings by the contractor during bidding and construction. We carefully monitor contractor progress during construction and assist them in interpreting the contract requirements whenever a question arises. We also review proposals from the contractor to modify elements of construction that may offer cost or schedule benefits to the client.

We are proactive and adept at mitigating construction issues. We apply conflict mitigation techniques to handle claim issues properly. We have the experience and expertise to analyze time and cost impacts and propose recommendations. Communication and coordination efforts are essential for resolving issues before they become project setbacks. Project records will be maintained for any potential impacts involving changed conditions, extra work, unforeseen conditions, and delays. As the project nears full completion, our team will follow up on the contractor’s punch list and review it against any pertinent closeout items and project requirements. Kimley-Horn will share this information with the City along with the final project files.

4. QUALIFICATIONS & EXPERIENCE OF THE FIRM

4.1 Kimley-Horn Qualifications and Experience
Founded in 1967, Kimley-Horn is a privately held corporation that has grown into a leading engineering consulting firm offering comprehensive and innovative multi-disciplinary services to public and private agencies throughout the United States. We employ more than 7,700 personnel in 133 offices nationwide, including 13 offices in California—our local Orange office is less than 12 miles from the City’s offices—and we staff over 800 engineers, planners, analysts, and administrative staff. Our growth is the result of the firm’s commitment to integrity and dedication to providing quality services—in fact, more than 90 percent of our work comes from repeat clients, including the City of Costa Mesa. We provide our clients with the local knowledge and responsiveness of a small firm, backed by the depth of resources only a national firm can offer.

Technical Expertise and Relevant Services Offered
As a recognized nationwide leader in engineering consulting services, Kimley-Horn’s professionals understand the complexities of HSIP projects and can develop informed solutions tailored to your specific needs. We have an extensive history of successfully completing similar traffic signal network upgrade projects on time and within budget. Our technical qualifications and strengths cover a wide variety of project types and requirements, which will be utilized as determined at each project site. Some of our principal practice areas include:
 Si
gnal Timing Analysis and Signal System Design
For the past five decades, we have developed and implemented signal synchronization timing, created signal system plans, and built dozens of systems for numerous agencies.

We have been responsible for virtually every aspect of traffic systems, including signal timing and coordination; plans, specifications, and estimates (PS&E); conceptual designs; operational feasibility; communication architecture; system design; software development; and deployment and implementation plans.  Cal
trans Experience
The City has received funding grants through the Caltrans Call for Projects for the federal HSIP Cycle 11. Kimley-Horn has completed numerous HSIPs, ranging from single intersections to multiple-intersection corridors. We understand that familiarity with the coordination and approval process is key to the timely completion of these projects.  Bi
dding and Construction Support
Kimley-Horn routinely serves clients during the construction phases of their projects, providing bidding and construction support services to ensure project success from beginning to end. We can assist in preparing and distributing bid documents for the City, reviewing contractor bids, and preparing bid tabulations and contractor recommendations. Our years of experience with Collectively, our team members have completed traffic signal timing and synchronization for over 2,000 traffic and interconnect signals, as well as traffic signal design for more than 5,000 signals, 550 Closed-Circuit Television (CCTV) designs, 30 Changeable Message Signs (CMS) designs, and over 2,000 miles of interconnect design plans and integration. 379
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
9 construction contract administration have made our designs more cost-effective and practical, and have given us a unique ability to problem-solve in the field during construction.

Subconsultant Partners
 Lin Consulting, Inc. (LCI) – Traffic Signal Plans
Founded in 1997, LCI is a certified SBE, UDBE, MBE, CBE, and SB-Micro-business enterprise.For over 27 years, LCI has been well- regarded for their traffic and electrical engineering services for traffic signal and safety improvements projects throughout Southern California. LCI has consistently produced quality designs in accordance with agency guidelines under tight time constraints and has a working relationship in the City of Costa Mesa. LCI has teamed up with Kimley-Horn for over 20 years.

Avant-Garde – Environmental and Caltrans LAPM
Avant-Garde has built a strong reputation for providing innovative and successful solutions for a number of public agencies throughout Southern California. Avant-Garde was incorporated in September 2002 and is a 100% woman-owned California Corporation. Avant-Garde is also a certified MBE, WBE, DBE, SBE). Their staff are experts in program management, compliance management, grant writing, and funding identification and administration.

AET & Associates, Inc. (AET) –
Traffic Signal Timing Sheet Support
AET is a certified DBE, SBE and CBE firm, providing a wide range of system engineering, traffic engineering, ITS design, and transportation planning consulting services throughout Southern California. They are recognized locally for their ITS, implementation, networking, and integration expertise. AET engineers and planners have extensive expertise in traffic signal design, traffic signal timing, traffic management center (TMC), systems planning, traffic management, network engineering, systems engineering, and system implementation.

4.2 Proposed Team Members
Kimley-Horn understands that when you choose a consulting firm, you are really choosing the people who will bring you technical expertise, hands-on experience with similar projects, and a commitment to timely, high-quality deliverables and client service. Our project team is unsurpassed in local knowledge and relevant experience and has been structured to provide strong support to the City.

Resumes of our proposed team members have been included in Section 6 – Key Personnel.

4.3 Team Organization
The organization chart below delineates the roles and responsibilities of both Kimley-Horn’s key personnel and all subconsultant staff.

Notably, our team will be led by Jean Fares, PE, a successful Kimley-Horn project manager with over 35 years of specialized experience in transportation engineering. Our proposed team consists of individuals with extensive experience working together to provide professional engineering services to similar agencies.

Environmental and Caltrans LAPM
Lissette Montoya 1
Keith LeNoue 1
Traffic Signal Plans
Vivian Chong, PE
William Sun, PE, TE 2
Tracy Moriya 2
Rebecca Ung, EIT
Nathan Le, EIT
Kenny Chao, IMSA 3
Glenn Evangelista, PE 3
Principal-in-Charge
Darryl dePencier, AICP , GISP , RSP2B
QC/QA Manager
Jason Melchor, PE
City of
Costa Mesa
Project Manager
Jean Fares, PE
Subconsultants:

1. Avant-Garde

2. LIN Consulting, Inc.

3. AET & Associates, Inc.

Bold = Key Team Members
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Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
10 4.4 Project Manager Experience and Commitment
Proposed project manager Jean Fares, PE has been leading HSIP projects throughout Southern California for XX years. His decades of relevant experience and commitment to the City make him very well suited to managing this project and our proposed team. Jean will commit 45% of his time to managing this project.

4.5 Depth of Team Resources
The members of our project team were selected using three criteria: their experience with similar projects, their working relationship with the proposed team, and their availability to assume the technical responsibilities requested in the RFP . In order to confirm our team members’ availability, Kimley-Horn uses a proactive management system known as “castaheads” to detail every project’s personnel needs and determine each staff person’s availability. This system forecasts our workload over a six-month period and helps to avoid work overload and shortfalls for each office and discipline.

4.6 Firm Structure – Corporation
Name: Kimley-Horn and Associates, Inc.

Incorporated: February 10, 1967
Corporate Office: 421 Fayetteville Street, Suite 600
Raleigh, NC 27601
Local Office: 1100 Town and Country Road, Suite 700
Orange, CA 92868
Date Local Office Opened: 1988
Kimley-Horn is not a partnership or joint venture.

4.7 Current and Previous Project Experience
Kimley-Horn has more than five decades of consecutive experience performing similar signalized intersection work for public agencies throughout Southern California. We have included descriptions of our relevant project experience as a team and a matrix summarizing our team’s extensive experience with similar projects on the following pages.

5. FINANCIAL CAPACITY
Audited Financials
Per the City’s RFP , we have provided copies of audited financials from the past three years within the Appendix. Please note that this information is confidential and is not subject to public disclosure.

6. KEY PERSONNEL
The table below identifies the members of staff who will be assigned to act in key management positions – please refer to the organization chart on page 9 for a complete list of additional support staff as well.

Resumes for each proposal staff member—including name, positions, phone number, email address, education, and years and type of relevant experience—are provided starting on the following page.

Key Staff Name and Role Project Function
Jean Fares, PE, Project Manager
• Main point of contact f
or City staff
• Guide the project team on all tasks.
oversee and manage
subconsultant effort, etc.

Darryl dePencier, AICP , GISP , RSP2B , Principal-in-Charge • Guide the team through Caltrans LAPM requirements Jason Melchor
, PE, QC/QA Manager • Provide independent quality assurance • Review of project documents and supporting da
ta
Vivian Chong, PE, Traffic Signal Plans • Production of PS&E Packa ges
• Develop LPI
Timing Sheets
Lissette Montoya and Kevin LeNoue (Avant-Garde),
Environmental and Caltrans LAPM
•
Caltrans coordina
tion
• Complete Caltrans documentation
William Sun, PE and Tracy Moriya (LIN Consulting),
Traffic Signal Plans • Production of PS&E Packa
ges
381
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107) City of Costa Mesa  TRCALAD001992.2024
11 Client, Project Name, Location Reference Information Description of Work and Responsibilities City of West Covina Preliminary Engineering
Services (PE) Phase Services, HSIP Cycle 10
Improvements, West Covina, CA
Name: Okan Demirci
Title: City Consultant
Project Duration: 01/2023 – Ongoing
Phone: 626.939.8425
Kimley-Horn was recently selected by the City of West Covina to provide design services for multiple traffic signals across the city. Preparation for this project included coordinating with local utility companies to obtain record base maps of utility lines in the area. Our team will coordinate with utility companies until the start of construction to facilitate adjustment and facility relocation. During the preliminary engineering phase, Kimley-Horn reviewed all available right-of-way maps, assessor parcel maps, easement information, as-built improvement plans, utility information, and survey information. Our team also conducted field investigations at each intersection location and prepared preliminary engineering plans to show tentative traffic signal improvements. Following City review and comments, our team will prepare 60%, 90%, and 100% complete PS&E construction documents to submit to the City for review. Once the project moves into the bidding phase, Kimley-Horn will assist the City staff with answering pre-bid questions and preparing responses to requests for information. Our team will also assist with coor dination and support during the construction stages of the project. Finally, we will prepare updated traffic signal timing sheets for the intersections covered in the project and record drawing as-builts following completion of construction.

City of South El Monte, Design Services
for Traffic Signal Improvements at Various
Signalized Intersections, South El Monte, CA
Name: Okan Demirci
Title: City Consultant
Project Duration: 09/2022 – Ongoing
Phone: 626.939.8425
Kimley-Horn is working with the City of South El Monte to improve the safety and operability of 11 signalized intersections throughout the City. The City compiled collision data history and guidance from the Caltrans Local Roadway Safety Manual (LRSM) to develop two countermeasures: improve signal hardware and install pedestrian countdown signal heads. Our team is working with the City to evaluate each project site to determine the upgrades and improvements needed and provide preliminary environmental studies, plans, specifications & estima
tes (PS&E), bidding and construction support, and record drawings as-builts.

City of South El Monte, Traffic Signal
Improvements at Lee Avenue/Garvey
Avenue and Durfee Avenue/Peck Road,
South El Monte, CA
Name: Okan Demirci
Title:

City Consultant
Project Duration: 01/2023 – Ongoing
Phone: 626.939.8425
Kimley-Horn is working with the City of South El Monte to design safety improvements at two signalized intersections: Lee Avenue and Garvey A venue and Durfee Avenue and Peck Road–Michael Hunt Drive. Our team is providing left turn phasing; signal hardware improvements to the traffic signal lenses; backplates with retroreflective borders, mounting, size, and number; and installation of pedestrian countdown signal heads with audible push button display. Kimley-Horn is partnered with A vant-Garde, who is preparing the Categorical Exception documents and coordinating with the City to receive approval.

City of Monterey Park, Various Signalized
Intersections along Garfield Avenue Between
the Northern and Southern City Limits,
Monterey Park, CA
Name: Anthony Bendezu
Title: Civil Engineering Associate
Project Duration: 06/2022 – Ongoing
Phone: 626.307.1283
Nine intersections along Garfield
Avenue underwent improvements through HSIP Cycle 9 funding. Kimley-Horn worked with the City to upgrade vehicle signal heads and install retroreflective borders on backplates and countdown pedestrian heads. The team coordinated with Caltrans to submit all necessary documentation, such as Local Assistance Procedures Manuals (LAPM) forms, environmental categorical exemption documents, right-of-way forms, and request for authorization for construction.

City of Maywood, Engineering Services for
the Preparation of PS&E for HSIP Cycle 11
Traffic Signal Improvements at Various
Locations, Maywood, CA
Name: Mohammad Mostahkami
Title: Director of Public Works
Project Duration: 10/2023 – Ongoing
Phone:323.563.9512
Kimley-Horn is currently working with the City to improve safety and operability at 12 existing signalized intersections through the installation of retroreflective signal heads, 12” vehicle heads, Leading Pedestrian Interval (LPI), and pedestrian countdown signal heads. Additional improvements include installing high-visibility pedestrian crossings at several intersections. This project received the majority of its funding from the HSIP program and our team worked closely with City staff to ensure the proper documentation was filed with Caltrans.

City of Norwalk, Norwalk Blvd Final
Design Services for Traffic Signal
Improvements, Norwalk, CA
Name: Okan Demirci
Title: City Consultant
Project Duration: 09/2022- Ongoing
Phone: 626.939.8425
Kimley-Horn provided engineering services to the City of Norwalk for traffic signal improvements, ITS improvements, and signal timing coordination along Norwalk Boulevard.

The project consists of left turn phasing improvements at six intersections, various other traffic signal upgrades, fiber-optic installation, communication equipment installation and upgrades, signing and striping upgrades, and curb ramp design. CEQA/environmental documentation is also required in support of a Categorical Exemption (CE) to submit to Caltrans for approval. Kimley-Horn’s services include PS&E, field review, research of relevant design standards and existing data, utility coordination, traffic count data collection, and development of signal timing coordination plans for AM, midday, PM, and weekend peak periods.

City of San Bernardino, Upgrade of Various
Signal Hardware on 224 Signalized
Intersections on Various Arterials,
San Bernadino, CA
Name: Azzam Jabsheh
Title: Traffic Engineer
Project Duration: 03/2020 – Ongoing
Phone: 909.384.7251
Through HSIP Cycle 9 funding, the City of San Bernardino received funding to upgrade various signal hardware for 224 signalized intersections throughout the city. Proposed improvements at the intersections include upgrades to signal hardware components, including traffic signal heads, push buttons, and pedestrian signal heads. Most of the traffic signal hardware at the study intersections had been installed decades ago and required equipment upgrades to bring signal hardware component operations up to date to meet minimum ADA and California Manual on Uniform Traffic Control Devices (CA MUTCD) requirements. Kimley-Horn is providing PS&E services and assisting the City in updating outdated and damaged traffic signal hardware, installing new hardware where necessary, and improving safety by implementing or replacing traffic signal head components, pedestrian signal heads, and pedestrian push buttons. Kimley-Horn is providing civil, traffic, and environmental services, which include the PES and CEQA/NEPA documents.

City of Culver City, Signal Upgrade and Left
Turn Phasing Project, No. HSIPL 5240 (035),
Culver City, CA
Name: Andrew Maximous
Title: Mobility and Traffic
Engineering Manager
Project Duration: 08/2018 – Ongoing
Phone: 310.253.5634
Kimley-Horn was selected by the City of Culver City to provide designs for 12 signalized intersections in the city. Our services include field review and survey, utility research, ADA curb ramp design, the preparation of construction drawings for traffic signal modification design, and the installation of left turn phasing. 382
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Professional Credentials/Affiliations
• Bachelor of Science,
California State
Polytechnic University, Pomona
•
Professional Engineer in
Calif
ornia #2097
•
Institute
of Transportation
Engineers (ITE), Member
Jean has 35 years of experience with the planning and
design of traffic and transportation projects throughout California and the western U.S. As a registered Professional Engineer in California, he has provided traffic signal timing at over 2,500 locations, traffic signal design at over 2,000 locations, and signal system design at over 1,500 locations, and has wide-ranging experience with traffic operations, signing and marking plans preparation, Transportation Management Plans (TMPs), and traffic control plans. Jean also has extensive expertise in applying traffic engineering, ITS technologies, and communications infrastructure design to leading design-build transportation and transit projects.

RELEVANT EXPERIENCE
• City of W est Covina, Preliminary Engineering Phase Services, HSIP Cycle 10 Improvements, West Covina, CA – Project Manager
• City of South El Monte,
Design Services for Traffic Signal Improvements at Various Signalized Intersections, HSIP , South El Monte, CA – Project Manager
• City of Monterey P
ark, Design Engineering Services for Various Signalized Intersections Along Garfield Avenue, HSIP , Monterey Park, CA – Project Manager
• City of P
alm Springs, Traffic Signal Improvements, HSIP , Palm Springs, CA – Project Manager • City of Culver City
, Signal Upgrade and Left Turn Phasing, HSIP , Culver City, CA – Project Manager • City of San Bernardino,
Upgrade of Various Signal Hardware on 224 Signalized Intersections on Various Arterials, HSIP , San Bernardino, CA – Project Manager
• City of W
est Hollywood, Civil Engineering Design Services for Sunset/Santa Monica Fiber Loop, HSIP , West Hollywood, CA – Project Manager
• City of Downey
, Paramount Boulevard Traffic Signal Upgrade and Fiber-Optic Communication System, HSIP , Downey, CA – Project Manager
• City of Santa Clarita,
Wiley Canyon Road at Orchard Village Road and Newhall Avenue at Railroad Avenue Intersection Improvement, HSIP , Santa Clarita, CA – Deputy Project Manager • City of Santa Monica,
Transit Priority System Phase 2 and ATMS, Phase 3, Santa Monica, CA – Project Manager • Coachella V
alley Association of Governments, Traffic Signal Synchronization Project (TSSP), Coachella Valley, CA – Project Manager
• City of Thousand Oaks,
Rancho Road Sidewalks and Bike Lanes, HSIP , Thousand Oaks, CA – Project Manager • County of Los Angeles,
Woodruff Avenue TSSP , Los Angeles County, CA – Project Manager • City of Glendale,
Smart Corridor—San Fernando Road, Glendale, CA – Project Manager • City of Santa Clarita,
San Fernando Road Improvements, Santa Clarita, CA – Project Manager • City of Downey
, Imperial Highway Traffic Signal Fiber-Optic Communication System and Upgrades Project, Downey, CA – Project Manager
• County of Los Angeles,
On-Call Traffic Design Services, Los Angeles County, CA – Project Manager • City of Downey
, On-Call Traffic Engineering Services, Downey, CA – Project Manager • City of Long Beach,
On-Call Traffic Engineering Services, Long Beach, CA – Project Manager • City of Arcadia,
Santa Anita Avenue Corridor Traffic Signal Improvement Design, Arcadia, CA – Project Manager • City of Glendale,
Consultant Services for Traffic Engineering and Fiber-Optic Communication Design, Glendale, CA – Project Manager
• City of Burbank,
TSSP for 18 Intersections Along Hollywood Way, Burbank, CA – Project Manager Jean Fares, PE
Project Manager; Bidding/Construction Support
383
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Jean Fares, PE
(Cont.)
• City of Burbank, San F ernando Road ITS Project, Burbank, CA – Project Manager • City of Manhattan Beach, Adv
anced Traffic Signal System Project, Manhattan Beach, CA – Project Manager • City of Santa Monica, T
raffic Signal Timing Plans, Phase IV, Santa Monica, CA – Principal-in-Charge • City of Agoura Hills, ITS Planning and Computerized T raffic Signal Synchronization, Agoura Hills, CA
– Project Manager
• City of Santa Clarita, Sierra Highway T
raffic Signal Interconnect and Adaptive System, Santa Clarita, CA – Project Manager
384
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Darryl has more than 15 years of experience in leading
transportation and safety planning projects. He uses
data-driven approaches to assess transportation system
performance for operations, safety, equity, and other factors as needed. As a GIS Professional, Darryl uses GIS to efficiently assess existing conditions and analyze project alternatives. He has supported the development and implementation of GIS analysis methods for traffic performance assessment, traffic safety analysis, ADA transition plans, and other transportation planning functions. He is experienced in creating and applying adjustment factors and elasticities to evaluate Vehicle Miles Traveled (VMT) impacts of projects or developments that are typically not handled by travel demand models. He has worked on studies at the statewide, regional, local, and site-specific levels that include guidance documents, LRSPs, safety thresholds and audits, and local countermeasure recommendations.

RELEVANT EXPERIENCE
• City of Maywood, LRSP , Maywood, CA – Project Manager • Caltrans, California Strategic Highway Safety Plan (SHSP) Update and Implementation, Statewide, C
A – Project Planner
• Caltrans, Safety Performance Measure T
arget Setting Analysis, Statewide, CA – Project Planner • City of Ventura, Systemic Safety Analysis Report Program (SSARP), Ventura, CA – Project Planner
• City of Lancaster, SSARP
, Lancaster, CA – Project Manager
• City of Santa Clarita, Citywide Analysis of Pedestrian and Bic ycle Collisions SSARP , Santa Clarita, CA – Project Planner • County of Ventura, LRSP
, Ventura County, CA – Project Manager
• City of Artesia, LRSP ,
Artesia, CA – Project Manager
• City of Artesia, Active Transportation Plan,
Artesia, CA – Project Advisor
• City of Anaheim, LRSP ,
Anaheim, CA – Project Planner
• City of Seal Beach, LRSP ,
Seal Beach, CA – Project Planner
• City of Eastvale, Systemic Safety Analysis Report (SSAR), Eastvale, CA – Project Manager
• City of Perris, LRSP
, Perris, CA – Project Manager
• City of Palm Desert, LRSP
, Palm Desert, CA – Project Planner
• City of La Quinta, SSAR, La Quinta,
CA – Project Planner
• Orange County Transportation Authority (OCTA),
Santa Ana Transit Cooperative Study, Santa Ana, CA – Project Planner • City of Goleta, Traffic Safety Study for the SSAR/LRSP , Goleta, CA – Project Planner
• City of Imperial Beach, LRSP ,
Imperial Beach, CA – Project Planner
• County of Imperial, SSAR for Varied Roadways,
Imperial County, CA – Project Planner
• Santa Cruz County Transportation Commission (SCCRTC), Unified Corridor Investment Study, Santa Cruz, CA
– Project Planner
• San Benito Council of Governments (SBCOG), SR 25 Corridor T ransit Alternatives Analysis, Hollister, CA – Project Planner • Merced County Association of Governments, Regional T
ransportation Plan (RTP)/Sustainable Communities
Strategy (SCS) 2018, Merced, CA – Project Planner
• City of Monterey, VMT Assessment and Mitigation Strategies for General Plan Implementation , Monterey, CA
– Project Planner
• Stanislaus Council of Governments (StanCOG), Preparation of the 2018 R TP , SCS, and Environmental Impact Report
(EIR), Modesto, CA – Project Planner
Darryl dePencier, AICP , GISP , RSP2B
Principal-in-Charge
Professional Credentials/Affiliations
• Master of Urban Spatial Anal
ytics,
University of Pennsylvania
• Bachelor of Arts, Geog
raphy, Carleton
University, Ottawa
• American Institute of Certified
Planners #026552
• Geographic Inf
ormation Systems
Professional #59317
• Roadway Safety Professional (RSP1) #279
• Roadway Safety Professional (RSP2B) #17
• American Society of Landscape
Architects, Member
•
U.S. Green Building Council—National
Ca
pital Region, Member
• Cal Poly San Luis Obispo Landscape
Architecture Department,
Advisory Board
385
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Professional Credentials/Affiliations
• Bachelor of Science,
Civil Engineering,
University of California, Irvine
• Professional Engineer in
Calif
ornia #65218
• Institute
of Transportation
Engineers (ITE), Member
• Orange County
Traffic Engineering
Council (OCTEC), Member
Jason has over 25 years of experience in the management, design, and review of traffic engineering projects in
California and has worked with clients in Los Angeles,
Orange, Riverside, San Bernardino, Santa Barbara, and San Diego counties. His traffic engineering experience includes traffic signal design, signing and striping, traffic control, street lighting, signal interconnect and ITS design plans, and he has served as a key staff member on many transportation studies, safety studies, traffic and civil engineering design, and active transportation projects.

RELEVANT EXPERIENCE
• City of South El Monte, Design Services for Traffic Signal Improvements at Various Signalized Intersections, South El Monte, CA – Task Lead, Traffic Signal Plans
• City of Monterey P
ark, Design Engineering Services for Various Signalized Intersections Along Garfield Avenue, Monterey Park, CA – Project Engineer
• City of P
alm Springs, Traffic Signal Improvements, Palm Springs, CA – Project Engineer • City of Culver City
, Signal Upgrade and Left Turn Phasing, Culver City, CA – QC/QA Reviewer • City of San Bernardino,
Upgrade of Various Signal Hardware on 224 Signalized Intersections on Various Arterials (HSIP), San Bernardino, CA – Project Engineer
• City of W
est Hollywood, Civil Engineering Design Services for Sunset/Santa Monica Fiber Loop, West Hollywood, CA – Project Engineer
• City of Downey
, Paramount Boulevard Traffic Signal Upgrade and Fiber-Optic Communication System, Downey, CA – Project Engineer
• City of Santa Clarita,
Wiley Canyon Road at Orchard Village Road and Newhall Avenue at Railroad Avenue Intersection Improvement, Santa Clarita, CA – Project Engineer • City of Orange,
Traffic Engineering Services, South Glassell Street at Palmyra Avenue, New Traffic Signal Project (HSIP), Orange, CA – Project Manager
• City of Santa Monica,
Transit Priority System Phase 2 and ATMS, Phase 3, Santa Monica, CA – Project Engineer • City of Goleta,
Citywide Traffic Signal Upgrade Project (HSIP), Goleta, CA – Project Manager • City of Buena P
ark, Auto Center Drive Traffic Signal and Median Design, Buena Park, CA – Project Manager • City of Anaheim,
Protected Left Turn Signal at Four Intersections (HSIP), Anaheim, CA – Project Manager • City of Anaheim,
Anaheim Boulevard at Santa Ana Street Traffic Signal Modification, Anaheim, CA – Project Manager • City of Orange,
Traffic Engineering Services, Glassell Street, Orange, CA – Project Manager • City of Orange,
Glassell Avenue Left Turn Lanes at Meats and Collins Avenue (HSIP), Orange, CA – Project Manager • City of Fountain V
alley, Euclid Street Traffic Signal Design, Fountain Valley, CA – Project Engineer • City of Ir
vine, Design for Kazan/Walnut Traffic Signal Improvements, Irvine, CA – Project Engineer • City of Newport Beach,
East Coast Highway Signal Rehabilitation (10 intersections), Newport Beach, CA – Project Manager
• OCT
A, Traffic Signal Synchronization Master Plan 2020 Update, Orange County, CA – Project Engineer • OCT
A, Chapman Avenue Traffic TSSP , Orange County, CA – Project Engineer • OCT
A, Crown Valley Parkway TSSP , Orange County, CA – Project Engineer • City of Chino,
Euclid Street Traffic Signal Design, Chino, CA – Project Engineer • City of Rancho Mirage,
Traffic Signal Interconnect Improvements, Rancho Mirage, CA – Project Engineer • City of Jurupa V
alley, Pedley Road at Jurupa Road Intersection Improvements, Jurupa Valley, CA Jason Melchor, PE
QC/QA Manager
386
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Jason Melchor, PE
(Cont.)
– Project Manager
• City of Jurupa Valley
, Preparation of Traffic Signal Warrants and Design of Traffic Control Devices, Limonite Avenue and Marlatt Street, Jurupa Valley, CA – Project Manager • City of Rancho Cucamonga, Base Line Road T
raffic Signal Interconnect and Signal Coordination,
Rancho Cucamonga, CA – Project Engineer
• City of Moreno Valley
, On-Call Traffic and Transportation Plan Review Services, Moreno Valley, CA – Project Engineer
• City of Palm Desert,
Traffic Operations and Capacity Improvements, Palm Desert, CA – Project Engineer 387
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Ms. Montoya has more than 20 years of comprehensive
expertise in project management and analysis, funding
management, grant administration, and community
outreach programs. She is experienced in issues impacting City governments and contract administration. Ms. Montoya is the Vice-President and CFO of Avant-Garde. She has experience in identifying federal and state fund allocation balances, programming funds, and administers long-and-short range programs consistent with the economic capabilities of the City. Ms. Montoya directs the Program Management team to ensure that projects are developed in accordance with policy and procedural requirements, assists in determining eligible projects for various funding sources, and manages development and capital improvement programs/projects from conception to completion. Ms. Montoya has assisted various agencies in performing a variety of analyses and studies to identify State and Federal funding options; performed time-critical and confidential studies related to fiscal and administrative requirements of grant programs; assisted in the grants solicitation process; planned and coordinated the implementation of awarded grants to ensure that the City was in compliance with applicable laws and regulations, and monitored and audited grant expenses. Under her direction, our team has successfully monitored federal and state funding for municipal agencies throughout Southern California and written grants to secure over $483.1 million in funding for government agencies.

RELEVANT EXPERIENCE
• City of Bell Gardens, HSIP Cyc le 8, Bell Gardens, CA – Funding Manager • City of Commerce, HSIP Cyc
le 7, Commerce, CA – Funding Manager
• City of Lynwood,
HSIP Cycle 5, Lynwood, CA – Funding Manager
• City of Manhattan Beach, HSIP Cyc
le 5, Manhattan Beach, CA – Funding Manager
• City of Monterey Park,
HSIP Cycle 9, Monterey Park, CA – Funding Manager
• City of South El Monte, HSIP Cyc
le 9, South El Monte, CA – Funding Manager
• City of Industry
, SR-57/60 Confluence, Industry, CA – Project/Funding Manager • City of Industry
, Local Highway Bridge Program, Industry, CA – Project/Funding Manager • City of Industry
, Lemon Ave Interchange, Industry, CA – Project/Funding Manager • City of La Mirada, Alondra/V
alley View Improvements, La Mirada, CA – Project/Funding Manager • City of Temple City
, Rosemead Blvd Beautification & Enhancements, Temple City, CA – Funding Manager • Caltrans Local Assistance Process for various projects and v arious agencies including: Alhambra, Bell Gardens,
Carson, Culver City, Commerce, El Monte, La Canada Flintridge, Lynwood, Manhattan Beach, Montebello, Monterey Park, Norwalk, Rosemead, South El Monte, Temple City, Ventura, and West Covina Lissette Montoya
Environmental and Caltrans LAPM
Professional Credentials/Affiliations
• Masters,
Business Administration,
California State Polytechnic
University, Pomona
• Bachelor of Arts,
Business
Management, California State
Polytechnic University, Pomona
388
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Mr. LeNoue has over three years of experience in
administrative and municipal program services and contract administration. As a Program Coordinator, Mr. LeNoue’s
main responsibilities include fund administration, grant research and writing, community outreach support, and program management services. He has worked in conjunction with the project managers of the company and served as a liaison to provide support on various projects.

Mr. LeNoue assists clients by identifying federal and state fund allocation balances, assisting in determining eligible projects, and providing advisement of program requirements. He is experienced in issues impacting City governments and has developing expertise in contract administration. His responsibilities have included interfacing with Federal, State and Local Agencies to define, develop, and manage project scopes, schedules, cooperative agreements and overall project management to ensure projects are delivered on time and on schedule. Mr. LeNoue has experience in preparing documents in accordance with the Local Assistance Procedures Manual for federally funded projects. He assists with processing documentation for projects to obtain Caltrans authorizations and reimbursement requests.

RELEVANT EXPERIENCE
• City of Bell Gardens, HSIP Cyc le 8, Bell Gardens, CA – Funding Coordinator • City of Commerce, HSIP Cyc
le 7, Commerce, CA – Funding Coordinator
• City of Commerce, HSIP Cyc
le 8, Commerce, CA – Funding Coordinator
• City of Lynwood,
HSIP Cycle 9, Lynwood, CA – Funding Coordinator
• City of Manhattan Beach, HSIP Cyc
le 5, Manhattan Beach, CA – Funding Coordinator
• City of Monterey Park,
HSIP Cycle 7, Monterey Park, CA – Funding Coordinator
• City of Monterey Park,
HSIP Cycle 4, Monterey Park, CA – Funding Coordinator
• City of Monterey Park,
HSIP Cycle 9, Monterey Park, CA – Funding Coordinator
• City of La Mirada, Alondra/V
alley View Improvements, La Mirada, CA – Funding Coordinator • City of Norwalk, HSIP Cyc
le 6, Norwalk, CA – Funding Coordinator
• City of Norwalk, HSIP Cyc
le 7, Norwalk, CA – Funding Coordinator
• City of Norwalk, HSIP Cyc
le 8, Norwalk, CA – Funding Coordinator
• City of South El Monte, HSIP Cyc
le 7, South El Monte, CA – Funding Coordinator
• City of South El Monte, HSIP Cyc
le 9, South El Monte, CA – Funding Coordinator
• City of Industry
, Local Highway Bridge Program, Industry, CA – Project/Funding Coordinator • City of Montebello, Montebello W
ay Traffic Signal Improvement HSIP , Montebello, CA – Funding Coordinator • City of Montebello, Montebello Blvd Impro
vements ATP , Montebello, CA – Funding Coordinator
• City of Montebello, Arroyo Drive Impro
vements, Montebello, CA – Funding Coordinator
• City of El Monte, Santa Anita A
ve Active Transportation CIP , El Monte, CA – Funding Coordinator • City of El Monte, Ramona/V
alley Intersection Improvements, El Monte, CA – Funding Coordinator • City of El Monte, Ramona Boulev
ard Resurfacing, El Monte, CA – Funding Coordinator
• Caltrans Local Assistance Process for various projects and v arious agencies including: Alhambra, Bell Gardens,
Carson, Culver City, Commerce, El Monte, La Canada Flintridge, Lynwood, Manhattan Beach, Montebello, Monterey Park, Norwalk, Rosemead, South El Monte, Temple City, Ventura, and West Covina Keith LeNoue
Environmental and Caltrans LAPM
Professional Credentials/Affiliations
• Masters,
Business Administration,
Azusa Pacific University
• Bachelor of Arts,
Business
Management, Azusa Pacific University
389
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Professional Credentials/Affiliations
• Bachelor of Science, Civil and
Environmental Eng
ineering, University
of California, Los Angeles
•
Professional Engineer in
Calif
ornia #95833
Vivian is a civil engineer and has led and managed projects involving signal design, fiber-optic design, signing and striping, ADA curb ramp design, and traffic control for multiple jurisdictions throughout her career at Kimley-Horn. She has a strong background in projects involved with increasing safety for pedestrians and bicyclists, delivered on multiple projects with strict schedules, and familiar with HSIP , ATP , and SS4A grant funding requirements.

She has extensive experience at every step of a project, such as executing site visits, producing plans, specifications, and estimate packages, managing budgets, keeping the project on schedule, coordinating with various jurisdictions, subconsultants, and utility companies, and providing support during the bidding and construction phases.

RELEVANT EXPERIENCE
• County of Los Angeles, Eastern Ave Traffic Signal Synchronization Project, Los Angeles County, CA – Project Engineer
• County of Los Angeles,
Rosecrans Ave Traffic Signal Synchronization Project, Los Angeles County, CA – Project Engineer
• County of Los Angeles,
Woodruff Ave Traffic Signal Synchronization Project, Los Angeles County, CA – Project Analyst
• City of P
alm Desert, Traffic Operations and Capacity Improvements Project, Palm Desert, CA – Project Analyst • City of Maywood,
Traffic Signal Improvements at Various Signalized Intersections HSIP Cycle 11 Improvements, Maywood, CA – Project Manager
• City of Menifee,
Citywide Traffic Signal Safety Improvement Design Services, Menifee, CA – Project Manager • City of W
est Covina Preliminary Engineering Services (PE) Phase Services, HSIP Cycle 10 Improvements, West Covina, CA – Project Manager
• City of South El Monte,
Traffic Signal Improvements at Various Signalized Intersections HSIP Cycle 9 Project, South El Monte, CA – Project Manager
• City of South El Monte,
Traffic Signal Improvements at Lee Ave & Garvey Ave and Durfee Ave & Peck Rd HSIP Cycle 10 Project, South El Monte, CA – Project Manager
• City of Monterey P
ark, Design Engineering Services for Various Signalized Intersections Along Garfield Ave HSIP Cycle 9 Project, Monterey, CA – Project Manager
• City of Culver City
, MOVE Culver City 2023, Culver City, CA – Project Engineer • County of V
entura, Las Posas Rd and 5th St Intersection Improvements, Ventura, CA – Project Manager • City of Manhattan Beach,
Manhattan Beach Advanced Traffic Signal Project, Manhattan Beach, CA – Project Analyst • City of Inglewood,
Intelligent Transportation Systems (ITS) Gap Closure Part II, Inglewood, CA – Project Analyst • City of Santa Clarita,
Slurry Seal Signing and Striping Project, Santa Clarita, CA – Project Manager • City of Santa Clarita,
Newhall Bike Boulevard, Santa Clarita, CA – Project Engineer • City of Santa Clarita,
Copper Hill Drive Traffic Signal and Interconnect, Santa Clarita, CA – Project Analyst • City of Thousand Oaks,
Thousand Oaks Boulevard Pedestrian Crossing, Thousand Oaks, CA – Project Analyst • City of P
alm Springs, Citywide Engineering and Traffic Survey (E&TS), Palm Springs, CA – Project Analyst Vivian Chong, PE
Traffic Signal Plans; Bidding/Construction Support
390
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Mr. Sun has over 30 years of traffic engineering and
transportation planning experience working as a
consultant with various agencies throughout California.

His extensive design experience includes the design of Traffic, Electrical and Intelligent Transportation System (ITS) including traffic signal systems, signal interconnect and fiber optic communication systems, ramp metering systems, traffic monitoring systems, closed circuit television systems, roadway lighting, signing/striping, worksite traffic control plans, detour plans, traffic operation and analysis, and Transportation Management Plans (TMP). Mr. Sun has provided his expertise on several major highway and multimodal projects for various agencies throughout California including Caltrans, metropolitan authorities, counties, and local cities. Mr. Sun has managed a number of design-build projects including Metro I-10/I-110 ExpressLanes, Exposition LRT/Mid-City Phase 1, Westside Purple Line Segment 2 and 3, and North Hollywood Station Underpass. His experience combined with his knowledge of current standards and best practices provide his clients with effective design solutions and well-prepared construction documents.

RELEVANT EXPERIENCE
• Los Angeles County Metropolitan Transportation Authority (LACMT A), Westside Purple Line Extension, Section 3 Tunnels Project – Design/Build, Los Angeles, CA – Principal-in-Charge • LACMTA,
Westside Purple Line Extension, Section 3 Stations Project - Design/Build, Los Angeles, CA – Principal-in-Charge
• LACMTA,
Westside Purple Line Extension, Section 2, Los Angeles, CA – Project Manager • City of Irvine,
Jamboree Road/Michelson Drive Pedestrian Bridge, Irvine, CA – Principal-in-Charge • City of Moreno Valley
, Alessandro-Elsworth Intersection Improvements, Moreno Valley, CA – Principal-in-Charge and Project Manager
• City of Ventura,
Traffic Signal at Telegraph Road and Claremont Way Intersection, Ventura, CA – Principal-in-Charge
• San Gabriel Valley Council of Go
vernments (SGVCOG), Montebello Avenue Grade Separation Traffic Study, Montebello, CA – Principal-in-Charge
• LACMTA,
LA County Grade Crossing and Safety Program, Los Angeles, CA – Principal-in-Charge • City of Fontana, I-15/Duncan Can
yon Road Interchange, Fontana, CA – Task Manager
• LACMTA,
Raymer to Bernson Double Track, Los Angeles, CA – Project Manager • SGVCOG, Puente A
venue Grade Separation Project, Industry, CA & Unincorporated Los Angeles County, CA – Task Manager
• LACMTA,
Countywide Metro Rapid Signal Priority Expansion Project (Phase II), Los Angeles County, CA – Project Engineer
William Sun, PE, TE
Traffic Signal Plans
Professional Credentials/Affiliations
• Bachelor of Arts,
Civil Engineering,
University of California, Berkeley
• Professional Civil Engineer in
California #57664
• Professional T
raffic Engineer in
California #2197
• Institute of T
ransportation
Engineers, Member
• American Society of Civil
Engineers,
Member
391
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Tracy Moriya has over 36 years of experience in
management and design of traffic engineering and
transportation projects. His professional experience
includes design of transportation systems, traffic signals, Intelligent Transportation Systems (ITS), guardrail design, CCTV video communication design, roadway and highway lighting, traffic signal system design, signing and striping, stage construction/handling, traffic control. He is an expert in developing design plans, as well as municipal engineering for traffic signal systems, fiber optic interconnect, traffic control, signing and striping projects, street lighting design street lighting design projects. Through his career, he has been involved in over 700 traffic signal design and coordination projects, ranging from minor modification of controller upgrades to installations /modifications of corridors with over 60 intersections. Tracy has worked with numerous agencies including the City of Los Angeles, Los Angeles County, Caltrans District 7, 8, & 12, Cities of Santa Monica, San Fernando, Long Beach, Inglewood, Norwalk, Brea, South Gate, Redondo Beach, Downey, Bell Gardens, Santa Fe Springs, Santa Clarita, Diamond Bar, Huntington Beach, Pomona, Anaheim, Irvine, Santa Ana, Corona, Tustin, Costa Mesa, Orange, San Marcos, Riverside, Moreno Valley, Cathedral City, Palm Springs, Chino, Chino Hills, Colton, Rancho Cucamonga, Ontario, Upland, Rialto, Fontana, Redlands, San Bernardino, San Bernardino County, Highland, Yucaipa and the Port of Long Beach, Port of Oakland and Los Angeles World Airports.

RELEVANT EXPERIENCE
• City of Fontana, Foothill Blvd from hemlock Avenue to Almeria Avenue Street Improvement, Fontana, CA – Project Manager
• City of Rancho Cucamonga,
Etiwanda Grade Separation, Rancho Cucamonga, CA – Project Manager • City of San Bernardino,
PS&E for Upgrading Various Signal Hardware on 224 Signalized Intersections, San Bernardino, CA – Project Manager
• City of Lancaster
, Lancaster Avenue I and 17th Street West Bus Stop Improvement, Lancaster, CA – Project Manager
• City of Santa Clarita,
Circulation Improvement Phase II & III, Santa Clarita, CA – Project Manager • SBCT
A, I-215 Bi-County Landscape, San Bernardino County, CA – Project Manager • LACMT
A, Whittier Blvd Intersection Improvement, Whittier, CA – Project Manager Tracy Moriya
Traffic Signal Plans
Professional Credentials/Affiliations
• Calif
ornia State University Long
Beach, Mathematics
• University of Ir
vine, Mathematics
• Institute of
Transportation Studies (ITS)
Extension, Traffic signal design
• University of Calif
ornia Extension,
Street lighting design
• Northwestern University
T
raffic Institute, Intersection &
Channelization Design
• W
estech College, Microstation
Intergraph PC Graphics and Computer
• Aided Drafting (CAD)
• President- Riverside/San
Bernardino ITE (RSBITE)
•
Member
, Institute of Transportation
Engineers (ITE)
392
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Rebecca Ung, EIT
Traffic Signal Plans
Professional Credentials/Affiliations
• Bachelor of Science, Civil Eng
ineering,
University of California, Irvine
• Engineer
-in-Training, NCEES, #176402
• American Society of Civil Engineers
(ASCE), Student Cha
pter
Rebecca is a transportation analyst that has experience in signing and striping design, traffic signal modifications, traffic mitigation efforts, and traffic operations. She has experience in AutoCAD, Microsoft Excel, and Synchro. Also, Rebecca has worked on HSIP projects, opinions of probable costs, and encroachment permit applications for multiple local jurisdictions.

RELEVANT EXPERIENCE
• City of Santa Clarita, Newhall Bike Boulev ard, Santa Clarita, CA – Project Analyst • City of Culver City,
Overland Avenue Bike Lane, Pedestrian, and High Friction Surface Treatment (HFST) Improvement Project, Culver City, CA – Project Analyst
• City of West Co
vina Preliminary Engineering Services (PE) Phase Services, HSIP Cycle 10 Improvements, HSIPL-5259 (030), West Covina, CA – Project Analyst
• City of Inglewood, Intelligent T
ransportation Systems (ITS) Gap Closure Part II, Inglewood, CA – Project Analyst 393
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Nathan Le, EIT
Traffic Signal Plans
Professional Credentials/Affiliations
• Bachelor of Science,
Civil Engineering,
University of California, Davis
• Eng
ineer-in-Training in
California, #179054
Nathan is a transportation analyst experienced in traffic signal design, signing and striping design, and traffic operations. He has worked on design specifications,
opinions of probable costs, utility plans, data collection and field review for multiple local jurisdictions. He has experience in AutoCAD and BlueBeam Revu.

RELEVANT EXPERIENCE
• City of Culver City , Overland Avenue Bike Lane, Pedestrian, and High Friction Surface Treatment (HFST) Improvement Project, Culver City, CA – Project Analyst
• City of Riverside,
Local Road Safety Plan, Riverside, CA – Project Analyst • City of Inglewood,
Intelligent Transportation Systems (ITS) Gap Closure Part II, Inglewood, CA – Project Analyst • Culver City
, MOVE Culver City Independent Data Validation, Culver City, CA – Project Analyst 394
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Kenny is a traffic and ITS engineer with 22 years of
experience who skillfully meets challenges and creates
positive change. He has managed and designed projects
for various local agencies and CAltrans in the design of traffic signals, roadway lighting, fiber optic communication networks, CCTV systems, signing, striping, construction staging, and temporary traffic control.

Kenny has designed more than 750 traffic signals, 500 miles of fiber optic, and 100 roadway lighting systems. He has hands-on experience with the roadside equipment and the technologies needed to successfully implement and integrate numerous advanced traffic signal controller software and equipment systems.

RELEVANT EXPERIENCE
• City of Costa Mesa, Baker-Placentia-Victoria-19th Street Regional Traffic Signal Synchronization Project, Orange County, CA – Project Manager
• Orange County T
ransportation Authority (OCTA), OCTA Regional Traffic Signal Synchronization Program (TSSP), Orange County, CA – Various Roles
• OCT
A, Westminster/17th Street (TSSP), CA – Deputy Project Manager, Technical Advisor, And Task Lead • OCT
A, Magnolia Street (TSSP), CA – Principal-in-Charge, Task Lead For PS&E And Construction & System Integration • OCT
A, Olympiad/Felipe (TSSP), Mission Viejo, CA – Principal-in-Charge, Task Lead, And Technical Advisor • OCT
A, State College Boulevard (TSSP), Anaheim, CA – Project Manager • OCT
A, Fairview Road, Costa Mesa, CA – Task Lead
• OCT
A, Avenida Pico and El Camino Real (TSSP), San Clemente, CA – Design Engineer • OCT
A, Barranca Parkway, Von Karman Avenue, Irvine Center Drive, Macarthur Boulevard Signal Coordination Projects, Irvine, CA – Project Engineer
• City of Ir
vine/Caltrans District 12 Citv and Fiber Optic Design, Irvine, CA – Project Manager • Caltrans District 12/OCT
A, Beach Boulevard Traffic Light Synchronization Project (TSSP), CA – Lead Designer • OCT
A, Westminster/17th Street TSSP , Cities of: Santa Ana, Westminster, Huntington Beach, CA – Deputy Project Manager, Technical Advisor, And Task Lead
• OCT
A, Magnolia Street TSSP , Cities of: Huntington Beach, Westminster, Garden Grove, Cypress, CA – Principal-In- Charge, Task Lead for PS&E And Construction & System Integration • F
airview Road, Costa Mesa, CA – Task Lead
• City of Anaheim,
City and ITS, and Fiber-Optic Communications System Design, Anaheim, CA – Project Manager Kenny Chao, IMSA
Senior Engineer
Professional Credentials/Affiliations
• Executive Master in Business
Administra
tion, Chapman University
• Bachelor of Science,
Civil Engineering,
California State Polytechnic
University, Pomona
•
International Municipal
Signal Associa
tion #AA
111992 & ZZ 111992
395
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
Glenn is a Civil Engineer with sixteen years of experience in transportation/traffic engineering in Plans, Specifications, and Estimates (PS&E) for numerous local, state, and federal agencies. His relevant experience includes horizontal/vertical alignment design, roadway widening and rehabilitation, signing & striping design, signal design, railroad at-grade crossing signal design, plan production, utility mapping, field verification/study, drafting, traffic impact analysis, technical writing, and project management. Glenn is familiar with the California MUTCD, CAltrans Standard Plans, AASHTO Green Book, and various city agency drafting/design standards.

Glenn is proficient in drafting using AutoCAD Civil 3D, MicroStation, and various software.

RELEVANT EXPERIENCE
• Caltrans District 8, San Bernardino County Transportation Authority (SBCT A), City of Redlands - I-10 / University Street, Redlands, CA – Design Engineer
• City of Los Angeles, Complete Streets Program (TOS 38), Los Angeles, CA – Design Engineer And Project Lead
• City of Los Angeles, Los Angeles Riverway Project, Los Angeles, CA – Project Lead and Design Engineer
• City of Pasadena, Mountain Street Complete Streets,
Pasadena, CA – Project Lead and Design Engineer
• City of Compton, Wilmington Avenue Safe Street P
edestrian/Bicycle Improvement Project, Compton, CA
– Design Engineer
• City of Los Angeles, Glendale-Hyperion Complex of Bridges Impro vement Project, Los Angeles, CA – Design Engineer
• City of Torrance, Crensha
w Boulevard Rehabilitation (182nd Street to Redondo Beach Boulevard), Torrance, CA – Design Engineer
Glenn Evangelista, PE
Senior Engineer
Professional Credentials/Affiliations
• Bachelor of Science, Civil Engineering,
Calif
ornia State University, Long Beach
• Professional Engineer in
California # 94231
396
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
12 COST PROPOSAL
Per the City’s RFP , we have provide our cost proposal as a separate PDF attachment on PlanetBids.

DISCLOSURE
Kimley-Horn does not have any past or current business or personal relationships with any current Costa Mesa elected/appointed officials, City employees, or family members of Costa Mesa officials/staff.

SAMPLE PROFESSIONAL SERVICE AGREEMENT
Kimley-Horn has reviewed the sample Professional Services Agreement and would like to discuss the following modifications with the City that are congruent with previously negotiated terms.

1.0 Services Pro
vided by Consultant

1.2 Professional Practices.

All professional services to be provided by Consultant pursuant to this Agreement shall be provided by personnel experienced in their respective fields and in a manner consistent with the standards of care, diligence and skill ordinarily exercised by professional consultants in similar fields and circumstances in accordance with sound professional practices. Consultant also warrants that it is familiar with all laws that may affect its performance of this Agreement and shall advise City of any changes in any laws that may affect Consultant’s performance of this Agreement.

1.4 Warranty. Consultant warrants that it shall exercise the professional standard of care to perform the services required by this Agreement in compliance with all applicable Federal and California employment laws, including, but not limited to, those laws related to minimum hours and wages; occupational health and safety; fair employment and employment practices; workers’ compensation insurance and safety in employment; and all other Federal, State and local laws and ordinances applicable to the services required under this Agreement. Consultant shall indemnify and hold harmless City from and against all claims, demands, payments, suits, actions, proceedings, and judgements of every nature and description including attorneys’ fees and costs, presented, brought, or recovered against City for, or on account of any liability under any of the above-mentioned laws, which may be incurred by reason of Consultant’s negligent performance under this Agreement.

5.0. Insurance

5.1. Minimum Scope and Limits of Insurance.
(d) Professional errors and omissions (“E&O”) liability insurance with policy limits of not less than One Million Dollars ($1,000,000.00), combined single limits,
per occurrence and aggregate. Architects’ and engineers’ coverage shall be endorsed to include contractual liability. If the policy is written as a “claims made” policy, the retro date shall be prior to the start of the contract work. Consultant shall obtain and maintain, said E&O liability insurance during the life of this Agreement and for three years after completion of the work hereunder.

6.0. General Provisions

6.9. Indemnification and Hold Harmless.

Consultant agrees to defend, indemnify, hold free and harmless the City, its elected officials, officers, agents and employees, at Consultant’s sole expense, from and against any and all claims, actions, suits or other legal proceedings brought against the City, its elected officials, officers, agents and employees to the extent arising out of the negligent performance of the Consultant, its employees, and/or authorized subcontractors, of the work undertaken pursuant to this Agreement. The defense obligation provided for hereunder shall apply without any advance showing of negligence or wrongdoing by the Consultant, its employees, and/or authorized subcontractors, but shall be required whenever any claim, action, complaint, or suit asserts as its basis the negligence, errors, omissions or misconduct of the Consultant, its employees, and/or authorized subcontractors, and/or whenever any claim, action, complaint or suit asserts liability against the City, its elected officials, officers, agents and employees based upon the work performed by the Consultant, its employees, and/or authorized subcontractors under this Agreement, whether or not the Consultant, its employees, and/or authorized subcontractors are specifically named or otherwise asserted to be liable. Notwithstanding the foregoing, the Consultant shall not be liable for the defense or indemnification of the City for claims, actions, complaints or suits arising out of the sole active negligence or willful misconduct of the City. This provision shall supersede and replace all other indemnity provisions contained either in the City’s specifications or Consultant’s Proposal, which shall be of no force and effect.
397
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024

FORMS TO ACCOMPANY PROPOSAL
Per the City’s RFP , we have included the following forms starting on the next page:

1. Vendor Application Form

2. Company Profile & References

3. Ex Parte Communications Certificate

4. Disclosure of Government Positions

5. Disqualifications Questionnaire

6. Bidder/Applicant/Contractor Campaign
Contribution
398

VENDOR APPLICATION FORM
FOR
RFP No. 25-04 SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS (FEDERAL PROJECT NO. HSIPL-5312(107))
TYPE OF APPLICANT:  NEW  CURRENT VENDOR
Legal Contractual Name of Corporation: ______________________________________ Contact Person for Agreement: _____________________________________________ Title: ______________________________ E-Mail Address: ______________________ Business Telephone: _________________________ Business Fax: ________________ Corporate Mailing Address: ________________________________________________ City, State and Zip Code: __________________________________________________ Contact Person for Proposals: ______________________________________________ Title: ______________________________ E-Mail Address: ______________________ Business Telephone: _________________________ Business Fax: ________________ Is your business: (check one)
 NON PROFIT CORPORATION  FOR PROFIT CORPORATION
Is your business: (check one)
 CORPORATION  LIMITED LIABILITY PARTNERSHIP
 INDIVIDUAL  SOLE PROPRIETORSHIP
 PARTNERSHIP  UNINCORPORATED ASSOCIATION
Kimley-Horn and Associates, Inc.

Senior Vice President
[email protected]
714.939.1030
N/A
1100 W. Town and Country Rd, Ste. 700
Orange, CA 92868
Vivian Chong, PE
Project Manager
[email protected]
N/A
213.354.9396
Jean B. Fares, PE
399
Names & Titles of Corporate Board Members
(Also list Names & Titles of persons with written authorization/resolution to sign contracts) Names Title Phone
___________________________________ ___________________________________ ___________________________________ ___________________________________ Richard N. Cook, Senior Vice President, Secretary___________________________________ ___________________________________ Tammy L. Flanagan, CFO, Senior Vice President___________________________________ ___________________________________ David L. McEntee, Vice President, Treasurer, Assistant Secretary___________________________________ ___________________________________ ___________________________________ ___________________________________ 56-0885615Federal Tax Identification Number: __________________________________________ City of Costa Mesa Business License Number: ________________________________________ (If none, you must obtain a Costa Mesa Business License upon award of contract.) City of Costa Mesa Business License Expiration Date: ________________________________ January 31, 2025 60170
919.677.2000
919.677.2000
919.677.2000
703.674.1300
919.677.2000
Steven E. Lefton, CEO, President
Barry L. Barber, Chairman
400

EX PARTE COMMUNICATIONS CERTIFICATION
Please indicate by signing below one of the following two statements. Only sign one statement.

I certify that Proposer and Proposer’s representatives have not had any communication with a City Councilmember concerning informal RFP No. 25-04 SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS (FEDERAL PROJECT NO. HSIPL-5312(107)) at any time after August 27, 2024.
________________________________ Date: _______________________ Signature
Print
OR
I certify that Proposer or Proposer’s representatives have communicated after August 27, 2024 with a City Councilmember concerning informal RFP No. 25-04 SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS (FEDERAL PROJECT NO. HSIPL-5312(107)). A copy of all such communications is attached to this form for public distribution. ________________________________ Date: _______________________ Signature
________________________________
Print
______Jean B. Fares, _______P__________E, Senior Vice President_________ September 19, 2024
401

DISQUALIFICATION QUESTIONNAIRE
The Contractor shall complete the following questionnaire:

Has the Contractor, any officer of the Contractor, or any employee of the Contractor who has proprietary interest in the Contractor, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or safety regulation?
Yes _____ No _____
If the answer is yes, explain the circumstances in the following space.

Jean B. Fares, PE, Senior Vice
President Kimley-Horn and Associates,
Inc.

X
402

DISCLOSURE OF GOVERNMENT POSITIONS
Each Proposer shall disclose below whether any owner or employee of Contractor currently hold positions as elected or appointed officials, directors, officers, or employees of a governmental entity or held such positions in the past twelve months. List below or state "None." None.

Jean B. Fares, PE, Senior Vice President
September 19, 2024
403

COMPANY PROFILE & REFERENCES
Company Legal Name:

Company Legal Status (corporation, partnership, sole proprietor etc.):

Active licenses issued by the California State Contractor’s License Board:

Business Address:

Website Address:

Telephone Number: Facsimile Number:

Email Address:

Length of time the firm has been in business:

Length of time at current location:

Is your firm a sole proprietorship doing business under a different name: ___Yes ___No If yes, please indicate sole proprietor’s name and the name you are doing business under:

Federal Taxpayer ID Number:

Regular Business Hours:

Regular holidays and hours when business is closed:

Contact person in reference to this solicitation:

Telephone Number: Facsimile Number:

Email Address:

Contact person for accounts payable:

Telephone Number: Facsimile Number:

Email Address:

Name of Project Manager:

Telephone Number: Facsimile Number:

Email Address:

Kimley-Horn and Associates, Inc.

Corporation
N/A
1100 W. Town and Country Rd, Ste. 700, Orange, CA 92868 www.kimley-horn.com
213.354.9402
N/A
[email protected]
57 years
26 years
X
56-0885615
Monday - Thursday 7:30 a.m. - 5:30 p.m., Friday 7:30 a.m. - 11:30 a.m.

Closed on New Year's Day, Memorial Day,
Independece Day, Labor Day, Thanksgiving Day,
Christmas Day
Vivian Chong, PE
213.354.9396
[email protected]
[email protected]
213.354.9396
Vivian Chong, PE
N/A
N/A
N/A
Mitchell Wong
[email protected]
714.786.6307
404
COMPANY PROFILE & REFERENCES (Continued)
Submit the company names, addresses, telephone numbers, email, contact names, and brief c
ontract descriptions of at least three clients, preferably other municipalities for whom comparable projects have been completed or submit letters from your references which include the requested information.

Company Name: City of Anaheim
T
elephone Number: 714.765.4991
Contact Name: Rafael Cobian, City Traffic Engineer
Contract Amount: $109,873
Email: [email protected]
Address: 200 S. Anaheim Boulevard. Anaheim, CA 92805
Brief Contract Description: City of Anaheim, Protected Left-Tur n Signal Improvement Project at 4 Intersections (HSIPL-5055 (196)) The City selected Kimley-Horn to assist with the Protected Left Turn Signal Improvement project.

The project includes traffic signal modifications to four existing intersections to provide protected left-turn phasing. These improvements were part of the HSIP Cycle 10 grant from Caltrans. The presence of a significant number of broadside collisions at these four intersections demonstrated a need to implement safety countermeasures. Kimley-Horn’s scope of work includes project management, utility coordination, preliminary engineering, PS&E, and bid and construction support.

C
ompany Name: City of Culver City
T
elephone Number: 310.253.5634
Contact Name: Andrew Maximous, Mobility and Traffic Engineering Manager Contract Amount: $54,285
Email: [email protected]
Address: 9770 Culver Boulevard, Culver City, CA 90232
Brief Contract Description: C
ity of Culver City, Signal Upgrade and Left Turn
Phasing, Culver City, CA [HSIP] Kimley-Horn was selected by the City of Culver City to provide designs for 12 signalized intersections in the City. Our duties include field review and survey, utility research, ADA curb ramp design, and the preparation of construction drawings for traffic signal modification design and the installation of left-turn phasing at the intersections.

C
ompany Name: City of Monterey Park
T
elephone Number: 626.307.1283
Contact Name: Anthony Bendezu, Civil Engineering Associate Contract Amount: $51,505
Email: [email protected]
Address: 320 West Newmark Avenue, Monterey Park, CA 91754 405
Brief Contract Description: City of Monterey Park, Design Engineering Services for Various Signalized Intersections Along Garfield Avenue, HSIP Cycle 9, Monterey Park, CA [HSIP] Nine intersections along Garfield Avenue underwent improvements through HSIP Cycle 9 funding. Kimley-Horn worked with the City to upgrade vehicle signal heads and install retroreflective borders on backplates and countdown pedestrian heads. The team coordinated with Caltrans to submit all necessary documentation, such as Local Assistance Procedures Manuals (LAPM) forms, environmental categorical exemption documents, right-of-way forms, and request for authorization for construction.

C
ompany Name: City of West Covina
T
elephone Number: 626.939.8425
Contact Name: Okan Demirci, PE
Contract Amount: $194,123
Email: [email protected]
Address: 1415 North Santa Anita Avenue, South El Monte, CA 91733 Brief Contract Description: C ity of West Covina, Preliminary Engineering Phase Services, HSIP Cycle 10 Improvements, West Covina, CA [HSIP] Kimley- Horn was recently selected by the City of West Covina to provide design services for multiple traffic signals across the city. Preparation for this project included coordinating with local utility companies to obtain record base maps of utility lines in the area. Our team will coordinate with utility companies until the start of construction to facilitate adjustment and facility relocation. During the preliminary engineering phase, Kimley-Horn reviewed all available right-of-way maps, assessor parcel maps, easement information, as-built improvement plans, utility information, and survey information. Our team also conducted field investigations at each intersection location and prepared preliminary engineering plans to show tentative traffic signal improvements. Following City review and comments, our team will prepare 60%, 90%, and 100% complete PS&E construction documents to submit to the City for review. Once the project moves into the bidding phase, Kimley-Horn will assist the City staff with answering pre-bid questions and preparing responses to requests for information. Our team will also assist with coordination and support during the construction stages of the project. Finally, we will prepare updated traffic signal timing sheets for the intersections covered in the project and record drawing as-builts following completion of construction.

C
ompany Name: City of Santa Clarita
T
elephone Number: 661.259.2489
Contact Name: Cesar Romo, Traffic Signal System Administrator Contract Amount: $124,000
Email: [email protected]
Address: 23920 Valencia Boulevard, Suite 300, Valencia, CA 91355 Brief Contract Description: Cit y of Santa Clarita, Copper Hill Drive Traffic Signal and Interconnect Kimley-Horn completed design work for the City of Santa 406
Clarita for the intersection of Copper Hill Drive at Deer Springs Drive as well as a traffic signal interconnect system that allows for traffic signal coordination along Copper Hill Drive. Plans were developed to utilize as-built street improvements, striping, and traffic signal plans provided by the City and supplemented with findings from a detailed field review. Our staff coordinated with local utility companies during the design phase to identify design controls and considerations for plan preparation and approvals. The traffic signing/striping and traffic signal and interconnect plans were prepared with right-of-way, roadway features, and traffic control devices relevant to the design clearly identified.

Throughout the design process, plans at the 30%, 60%, 90% and 100% stages were submitted to the City for review and approval. Once plans were prepared and approved, Kimley-Horn prepared an OPCE and technical provisions per Green Book and supplemented with the Caltrans Standard Specifications.

Construction specifications were prepared to the specific project and in line with the City format. Finally, the Kimley-Horn team prepared an itemized construction bid schedule and OPCE.
407

BIDDER/APPLICANT/CONTRACTOR CAMPAIGN CONTRIBUTION

DISCLOSURE FORM
Proposer/Consultant/Applicant is required to identify any campaign contribution or cumulative contributions greater than $249 to any city council member in the twelve months prior to submitting an application, proposal, statement of qualifications or bid requiring approval by the City Council.

Date Name of Donor
Company/Business
Affiliation
Name of
Recipient Amount
Except as described above, I/we have not made any campaign contribution in the amount of $250 or more to any Costa Mesa City Council Member in the twelve months preceding this Application/Proposal.

I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.

N/A
Bidder/Applicant/Proposer
Date
Jean B. Fares, PE,
Senior Vice President
September 19, 2024
408
Local Assistance Procedures Manual Exhibit 10-O1
Consultant Proposal DBE Commitment
LPP 18-01 Page 1 of 2
January 2019
EXHIBIT 10-O1 CONSULTANT PROPOSAL DBE COMMITMENT

1. Local Agency City of Costa Mesa 2. Contract DBE Goal: 20%

3. Project Description: SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS

4. Project Location: Costa Mesa, CA

5. Consultant's Name: Kimley-Horn and Associates, Inc. 6. Prime Certified DBE: 

7. Description of Work, Service, or Materials
Supplied

8. DBE
Certification
Number

9. DBE Contact Information 10. DBE %
Environmental Documentation and Caltrans
LAPM documentation 36060
Advanced Avant-Garde Corporation
3670 W Temple Ave, Ste. 278
Pomona, CA 91768
Ana Marie Lenoue / 909-979-6586

8.68%
Traffic Signal 49778
Architectural Engineering Technologies, DBA
AET & Associates, Inc.
5132 Stone Canyon Avenue
Yorba Linda, CA 92886
Uyen Pham / 714-837-2177

7.31%
Traffic Signal Planning 28897
LIN Consulting, Inc.
21660 Copley Dr. # 270 Diamond Bar, CA 91765
Denwun Lin / 909-396-6850

10.61%
Local Agency to Complete this Section

11. TOTAL CLAIMED DBE PARTICIPATION 26.60%

17. Local Agency Contract Number:

18. Federal-Aid Project Number:

19. Proposed Contract Execution Date:

20. Consultant’s Ranking after Evaluation: __________________________ Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate.

IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Written confirmation of each listed DBE is required.
9/18/2024

21. Local Agency Representative's Signature 22. Date 12. Preparer's Signature 13. Date Jean B. Fares, PE 213.354.9402

23. Local Agency Representative's Name 24. Phone 14. Preparer's Name 15. Phone Senior Vice President

25. Local Agency Representative's Title 16. Preparer's Title DISTRIBUTION: Original – Included with consultant’s proposal to local agency. 409
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Business & Contact Information
BUSINESS NAME Architectural Engineering Technologies, DBA AET & Associates, Inc.

OWNER Ms. Uyen Pham
ADDRESS 5132 Stone Canyon Avenue
Yorba Linda, CA 92886 [map]
PHONE 714-837-2177
EMAIL [email protected]
WEBSITE http://www.aetandassociates.com
ETHNICITY Asian-Pacific American
GENDER Female
COUNTY Orange (CA)
Certification Information
CERTIFYING AGENCY Los Angeles County Metropolitan Transportation Authority CERTIFICATION TYPE DBE - Disadvantaged Business Enterprise CERTIFIED BUSINESS DESCRIPTIONPlanning, design, intellectual transportation system, CAD, traffic systems Commodity Codes
Code Description
NAICS 541430 Graphic design services
NAICS 541340 Drafting services
NAICS 541490 Other Specialized Design Services
NAICS 541611 Administrative Management and General Management Consulting Services Additional Information
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WORK DISTRICTS/REGIONS All work districts/regions

CUCP PUBLIC DIRECTORY

CERTIFICATION NUMBER
49778
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Business & Contact Information

BUSINESS NAME ADVANCED AVANT-GARDE CORPORATION
OWNER Ms. Ana Marie Lenoue
ADDRESS 3670 W TEMPLE AVE, STE. 278
POMONA, CA 91768 [map]
PHONE 909-979-6586
FAX 909-979-6580
EMAIL [email protected]
WEBSITE http://www.agi.com.co
ETHNICITY Hispanic American
GENDER Female
COUNTY Los Angeles (CA)
Certification Information
CERTIFYING AGENCY City of Los Angeles
CERTIFICATION TYPE DBE - Disadvantaged Business Enterprise

CERTIFIED BUSINESS DESCRIPTION
Commodity Codes
Code Description
CA WCC I7336 COMMERICAL ART AND GRAPHIC DESIGN
CA WCC I8740 MANAGEMENT & PUBLIC RELATIONS
NAICS 541430 Graphic design services
NAICS 541611 Administrative Management and General Management Consulting Services NAICS 541613 Marketing consulting services
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Additional Information
WORK DISTRICTS/REGIONS Los Angeles, Orange, Riverside, San Bernardino, San Diego, Santa Barbara, Ventura

CUCP PUBLIC DIRECTORY

CERTIFICATION NUMBER
36060
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Business & Contact Information
BUSINESS NAME LIN Consulting, Inc.

OWNER Mr. Denwun Lin
ADDRESS 21660 COPLEY DR. # 270
DIAMOND BAR, CA 91765 [map]
PHONE 909-396-6850
FAX 909-396-8150
EMAIL [email protected]
WEBSITE http://www.linconsulting.com
ETHNICITY Asian-Pacific American
GENDER Male
COUNTY Los Angeles (CA)
Certification Information
CERTIFYING AGENCY Los Angeles County Metropolitan Transportation Authority CERTIFICATION TYPE DBE - Disadvantaged Business Enterprise CERTIFIED BUSINESS DESCRIPTIONCivil and traffic engineering consulting Commodity Codes
Code Description
NAICS 541330 Engineering services
Additional Information
WORK DISTRICTS/REGIONS Los Angeles

CUCP PUBLIC DIRECTORY

CERTIFICATION NUMBER
28897
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EXHIBIT C

CONSULTANT’S COST PROPOSAL

415
Proposal for SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS FEDERAL PROJECT NO. HSIPL-5312(107)
City of Costa Mesa  TRCALAD001992.2024
2 Cost Proposal
September 19, 2024
Costa Mesa City Hall
77 Fair Drive
Costa Mesa, CA 92626
1100 W Town & Country Road
Suite 700
Orange, CA 92868
TEL 714.939.1030
RE: COST PROPOSAL FOR SIGNAL MODERNIZATION FOR SYSTEMIC SAFETY IMPROVEMENTS (FEDERAL PROJECT NO.

HSIPL-5312(107)) – RFP No. 25-04
Dear Members of the Selection Committee:

As instructed by the City’s RFP, we have provided our cost proposal.

We welcome the opportunity to discuss our fee with the City and are flexible to adjustments and refinements as necessary to better accommodate your needs on this project.

Thank you for considering our proposal. Kimley-Horn is confident that no other consultant matches our qualifications and the unique knowledge of the City that we bring. We look forward to the opportunity to work on this project. Should you have any questions related to our proposal, please contact project manager Jean Fares, PE directly at [email protected], 818.970.2048, or at the address listed above.

Sincerely,
KIMLEY-HORN AND ASSOCIATES, INC.

Jean Fares, PE*
Project Manager/Senior Vice President
*Jean Fares is authorized by Kimley-Horn to bind the firm to the terms of the proposal. 416
196.54% Overhead% Name
Darryl
dePencier
Jason
Melchor
Jean
Fares
195.57% Overhead% w/o FCCM Category/Title Principal-in- Charge
QC/QA
Manager
Project
Manager
10% Fee% Direct Rate $76.54 $97.60 $125.64 $66.80 $55.08 $47.65 Billing Rate $249.59 $318.27 $409.71 $217.83 $179.61 $155.39 Phase 1 1 6 80 80 167 $ 28,516.66
1 1 2 $ 627.54
60 60 120 $ 20,099.97
20 20 40 $ 6,699.99
5 5 $ 1,089.16
Phase 2 10 7 21 40 41 119 $ 24,180.52
1 1 1 3 $ 782.93
5 5 10 20 20 60 $ 12,518.21
5 1 10 20 20 56 $ 10,879.38
Phase 3 $ -
$ -
$ -
Phase 4 20 36 28 113 340 303 840 $ 160,687.13

4.1 10 12 8 41 120 121 312 $ 58,879.32
1 1 1 3 $ 782.93
10 10 5 40 100 100 265 $ 49,940.45
2 2 20 20 44 $ 8,155.95

4.2 5 12 10 41 120 101 289 $ 55,343.06
1 1 1 3 $ 782.93
5 5 5 20 80 80 195 $ 36,044.48
2 2 20 20 44 $ 8,155.95
5 2 20 20 47 $ 10,359.71

4.3 5 12 10 31 100 81 239 $ 46,464.75
1 1 1 3 $ 782.93
5 5 5 10 60 60 145 $ 27,166.16
2 2 20 20 44 $ 8,155.95
5 2 20 20 47 $ 10,359.71

4.4 $ -

4.5 $ -

4.6 $ -

4.7 $ -
20 46 36 140 460 424 1,126
$4,991.89 $14,640.45 $14,749.50 $30,496.59 $82,622.54 $65,883.33 $ 213,384.31 $ 87,345.44
$ 5,345.81
$ 2,000.00
DBE $ 21,990.81
DBE $ 26,095.11
DBE $ 31,913.71
$ 300,729.75 TOTAL COST:

Preliminary Engineering
Progress Meeting
Traffic Signal Inventory Table
Develop Field Data Table
90% Special Provisions (Greenbook)
100% PS&E Package
100% Plans
Progress Meeting
60% Plans
60% Estimate
90% PS&E Package
90% Plans
90% Estimate
Invoice Coordination
Preliminary Design Plans (4 Sheets)
Environmental Approval
Final Design Plans, Specifications, and Estimates (PS&E) 60% PS&E Package

CITY OF COSTA MESA
Signal Modernization for Systemic Safety Improvements
(Federal Project No. HSIPL-5312(107))
Kimley-Horn and Associates, Inc.

TOTAL
HOURS
TOTAL
COST
Professional I Analyst II Analyst I
Detailed Citywide Traffic Signal Inventory
Kick Off Meeting
Field Visit

TOTAL HOURS
Subtotal Labor:

Other Direct Costs
Labor Escalation
Travel/Mileage
Avant Garde Inc.

LIN Consulting, Inc.

AET & Associates, Inc.

Environmental Clearance (PES) - Avant Garde
Caltrans LAPM Forms for PSE Certification and E-76 Construction Authorization - Avant Garde Invoice Coordination - Avant Garde
Request for Authorization to Proceed with Construction (RFA for CON) - Avant Garde Progress Meeting
Progress Meeting
Processing and Approvals
100% Estimate
100% Special Provisions (Greenbook)
Leading Pedestrian Interval (LPI) Timing Sheets - AET
Right of Way Clearance - Avant Garde
417
120.00% Overhead % Category/Title
10% Fee% Direct Rate $95.75 $84.76
Billing Rate $231.72 $205.12
Phase 1 $ -
Phase 2 $ -
Phase 3 $ -
Phase 4 20 80 100 $ 21,044.00

4.1 $ -
$ -
$ -
$ -

4.2 $ -
$ -
$ -
$ -
$ -

4.3 $ -
$ -
$ -
$ -
$ -

4.4 20 80 100 $ 21,044.00

4.5 $ -

4.6 $ -

4.7 $ -
20 80 100
$4,634.40 $16,409.60 $ 21,044.00
$ 946.98
$ 946.98
$ 21,990.98 TOTAL COST:

Sr. Engineer III Sr. Engineer I
Environmental Approval
Subtotal Labor:

Other Direct Costs
Labor Escalation

TOTAL HOURS
Progress Meeting
100% Plans
100% Special Provisions (Greenbook)
Request for Authorization to Proceed with Construction (RFA for CON) Processing and Approvals
100% Estimate
Leading Pedestrian Interval (LPI) Timing Sheets
Right of Way Clearance - Avant Garde
60% Estimate
90% PS&E Package
Progress Meeting
90% Estimate
90% Special Provisions (Greenbook)
100% PS&E Package
90% Plans
Final Design Plans, Specifications, and Estimates (PS&E) 60% PS&E Package
Progress Meeting
60% Plans
Preliminary Engineering
Total
Costs
Detailed Citywide Traffic Signal Inventory

CITY OF COSTA MESA
Signal Modernization for Systemic Safety Improvements
(Federal Project No. HSIPL-5312(107))
AET & Associates, Inc.

Total
Hours
418
Name
Lissette
Montoya
Nadine El
Sankari Keith LeNoue Alyssa
Maldonado
120.00% Overhead % Category/Title
Program
Director
Program
Manager
Program
Manager
Program
Assistant
10% Fee% Direct Rate $128.65 $50.00 $38.50 $25.00
Billing Rate $311.33 $121.00 $93.17 $60.50
Phase 1 $ -
Phase 2 $ -
Phase 3 10 48 68 30 156 $ 17,071.89
4 16 38 18 76 $ 7,810.79
2 14 6 22 $ 2,290.05
4 32 16 6 58 $ 6,971.05
$ -
Phase 4 4 32 26 14 76 $ 8,386.75

4.1 $ -
$ -
$ -
$ -

4.2 $ -
$ -
$ -
$ -
$ -

4.3 $ -
$ -
$ -
$ -
$ -

4.4 $ -

4.5 2 14 6 22 $ 2,290.05

4.6 2 32 12 8 54 $ 6,096.71

4.7 $ -
14 80 94 44 232
$4,358.66 $9,680.00 $8,757.98 $2,662.00 $ 25,458.64 $ 636.47
$ 636.47
$ 26,095.11 TOTAL COST:

Leading Pedestrian Interval (LPI) Timing Sheets
Right of Way Clearance
90% Plans
100% Plans

TOTAL HOURS
Subtotal Labor:

Other Direct Costs
Labor Escalation
Progress Meeting
100% Estimate
100% Special Provisions (Greenbook)
Request for Authorization to Proceed with Construction (RFA for CON) Processing and Approvals
60% Estimate
90% PS&E Package
Progress Meeting
90% Estimate
90% Special Provisions (Greenbook)
100% PS&E Package
Invoice Coordination
Plans, Specifications, and Estimate (PS&E) and LPI Timing Sheets 60% PS&E Package
Progress Meeting
60% Plans
Environmental Approval
Task Management
Environmental Clearance (PES)
Caltrans LAPM Forms for PSE Certification and E-76 Construction Authorization Preliminary Engineering
Total
Costs
Detailed Citywide Traffic Signal Inventory

CITY OF COSTA MESA
Signal Modernization for Systemic Safety Improvements
(Federal Project No. HSIPL-5312(107))
Avant Garde Inc.

Total
Hours
419
Name William Sun Tracy Moriya Ryan Woo Steven Hak Samuel Adan 156.74% Overhead % Category/Title Principal Project
Manager
Assist Proj.

Manager
Project
Engineer
Assistant
Engineer
10% Fee% Direct Rate $101.00 $79.00 $53.50 $40.00 $28.00 Billing Rate $285.24 $223.11 $151.09 $112.97 $79.08
Phase 1 20 20 40 $ 3,840.83
$ -
20 20 40 $ 3,840.83
$ -
$ -
Phase 2 $ -
Phase 3 $ -
Phase 4 8 28 36 74 62 208 $ 27,230.36

4.1 5 17 24 44 40 130 $ 16,978.73
$ -
5 16 24 40 40 125 $ 16,303.76
1 4 5 $ 674.97

4.2 2 7 8 16 12 45 $ 6,097.32
$ -
2 6 8 12 12 40 $ 5,422.35
1 4 5 $ 674.97
$ -

4.3 1 4 4 14 10 33 $ 4,154.31
$ -
1 2 4 10 10 27 $ 3,256.23
2 4 6 $ 898.08
$ -

4.4 $ -

4.5 $ -

4.6 $ -

4.7 $ -
8 28 36 94 82 248
$2,281.91 $6,247.00 $5,439.29 $10,618.77 $6,484.23 $ 31,071.19 $ 842.52
$ 621.42
$ 221.10
$ 31,913.71 TOTAL COST:

Preliminary Engineering
Progress Meeting
Leading Pedestrian Interval (LPI) Timing Sheets
Right of Way Clearance
Progress Meeting
Other Direct Costs
Labor Escalation
Mileage

TOTAL HOURS
Subtotal Labor:
100% Estimate
100% Special Provisions (Greenbook)
Request for Authorization to Proceed with Construction (RFA for CON) Processing and Approvals
90% PS&E Package
90% Plans
90% Estimate
90% Special Provisions (Greenbook)
100% PS&E Package
100% Plans
Progress Meeting
Plans, Specifications, and Estimate (PS&E) and LPI Timing Sheets 60% PS&E Package
60% Plans
60% Estimate
Environmental Approval
Detailed Citywide Traffic Signal Inventory
Kick Off Meeting
Field Visit
Develop Field Data Table
Invoice Coordination

CITY OF COSTA MESA
Signal Modernization for Systemic Safety Improvements
Federal Project No. HSIPL-5312(107)
LIN Consulting, Inc.

Total
Hours
Total
Costs
420
COST PROPOSAL 1
Note: Mark-ups are Not Allowed
Consultant
Project No. Contract No. Date 10/9/2024

DIRECT LABOR
Hours
20 46
36 0
0 0
0 140
460
424
0 0

LABOR COSTS
a) Subtotal Direct Labor Costs
b) Anticipated Salary Increases
(see Anticipated Salary Increases page for calculation) c) TOTAL DIRECT LABOR COSTS [(a) + (b)] 67,075.17$

INDIRECT COSTS
d) Fringe Benefits ( Rate: 0.00% ) e) Total Fringe Benefits [(c) x (d)] -$ f) FCCM ( Rate: 0.97% ) 650.63 $
h) Overhead ( Rate: 195.57% ) i) Overhead [(c) x (h)] 131,178.91$ j) TOTAL INDIRET COSTS [(e) + (g) + (i)] 131,829.54$
FIXED FEE k) TOTAL FIXED FEE [(c) + (e) + (i)* fixed fee 10% ] 19,825.41$ Quantity Unit
LS
l) TOTAL OTHER DIRECT COSTS 2,000.00$
Subconsultant 1: 21,990.81$
Subconsultant 2: 26,095.11$
Subconsultant 3: 31,913.71$
Subconsultant 4: $
79,999.63$
81,999.63$
300,729.75$ TOTAL COST [(c) + (j) + (k) + (n)]
LIN Consulting, Inc.
(m) TOTAL SUBCONSULTANS' COSTS
(n) TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS [(l) + (m)] $0.00 - $
m) SUBCONSULTANTS' COSTS
AET & Associates, Inc.

Avant Garde Inc.
$0.00 - $
$0.00 - $
g) FCCM [(c) x (f)
l) CONSULTANT'S OTHER DIRECT COSTS (ODC) - ITEMIZE
Description of Item Unit Cost Total
Travel/Mileage $0.00 2,000.00 $
Project Support TBD $42.24 - $
65,439.19$
1,635.98$
Analyst II TBD $55.08 25,338.33 $
Analyst I TBD $47.65 20,205.42 $
Professional II TBD $78.88 - $
Professional I TBD $66.80 9,352.00 $
Sr. Professional II TBD $105.66 - $
Sr. Professional I TBD $94.09 - $
Project Manager Jean Fares $125.64 4,523.04 $
Sr. Professional III TBD $130.46 - $
Technical Support TBD $29.33 - $
COST PROPOSAL 1

COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (DESIGN, ENGINEERING AND ENVIRONMENTAL STUDIES)
Kimley-Horn and Associates, Inc.

Principal-in-Charge Darryl dePencier $76.54 1,530.80 $
QC/QA Manager Jason Melchor $97.60 4,489.60 $
HSIPL-5312(107)
Classification/Title Name Actual Hourly Rate Total
Prime Consultant
Subconsultant
2nd Tier Subconsultant

421
COST PROPOSAL 1

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
$ 65,439.19 / 1126 = $58.12 Year 1 Avg Hourly Rate

2. Calculate hourly rate for all periods (Increase the Average hourly rate for a period by proposed escalation %) Avg Hourly
Rate
Proposed
Escalation
Year 1 $58.12 + 5% = $61.02
Year 2 $61.02 + 5% = $64.07
Year 3 $64.07 + 5% = $67.28 Year 4 Avg Hourly Rate
Year 4 $67.28 + 5% = $70.64 Year 5 Avg Hourly Rate
Estimated %
Completed
Each Period
Total Hours
per Cost
Proposal
Total Hours
per Period
Year 1 50.00% * 1126 = 563 Estimated Hours Year 1
Year 2 50.00% * 1126 = 563 Estimated Hours Year 2
Year 3 0.00% * 1126 = 0 Estimated Hours Year 3
Year 4 0.00% * 1126 = 0 Estimated Hours Year 4
Year 5 0.00% * 1126 = 0 Estimated Hours Year 5
Total 100% Total = 1126

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 $58.12 * 563 = $32,719.60 Estimated Hours Year 1 Year 2 $61.02 * 563 = $34,355.58 Estimated Hours Year 2 Year 3 $64.07 * 0 = $0.00 Estimated Hours Year 3
Year 4 $67.28 * 0 = $0.00 Estimated Hours Year 4
Year 5 $70.64 * 0 = $0.00 Estimated Hours Year 5
= $67,075.17
= $65,439.19
= $1,635.98 Transfer to Page 1
Period 1 = Contract inception through 6/30/25 Period 2 = 7/1/25 through 6/30/26 Period 3 = 7/1/26 through 6/30/27 Period 4 = 7/1/27 through 6/30/28 Period 5 = 7/1/28 through 6/30/29 Total Direct Labor Cost with Escalation
Direct Labor Subtotal before escalation
Estimated total of Direct Labor Salary

3. Calculate estimated hours per year (Multiply estimate % each period by total ho Cost
Per Period
5 Year
Contract Duration
Year 2 Avg Hourly Rate
Year 3 Avg Hourly Rate
COST PROPOSAL 1

COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (CALCULATIONS FOR ANTICIPATED SALARY INCREASES)

422
COST PROPOSAL 1
Name: Title*:

Signature: Date of Certification (mm/dd/yyyy): 10/9/ 2024 Email: Phone Number:

Address:

List services the consultant is providing under the proposed contract:
[email protected] 714-939-1030
1100 W Town & Country Road, Suite 700, Orange, CA 92868 *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.

Engineering Services

5. 23 Code of Federal Regulations Part 172
- Procurement, Management, and Administration of

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 Prime Consultant or Subconsultant Certifying:

Anthony Podegracz Vice President
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

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 COST PROPOSAL 1

423
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 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 theto 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 costprinciples 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 48CFR Part 31• The accounting treatment and billing of prevailing wage delta costs are consistent with our prevailing wagepolicy as either direct labor, indirect costs, or other direct costs on all federally-funded A&E ConsultantContracts.•I am providing the required and applicable documents as instructed on the Financial Document Review Request form. Financial Management System: 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. • Account numbers identifying allowable direct, indirect, and unallowable cost accounts;• Ability to accumulate and segregate allowable direct, indirect, and unallowable costs into separate costaccounts;1 Kimley-Horn and Associates, Inc.195.57 174.120.9701/01/2023 - 12/31/2023 424
• Ability to accumulate and segregate allowable direct costs by project, contract and type of cost; •
• 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 requirement 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 & • The number of states in which the consultant does business is • Years of consultant’s experience with 48 CFR Part 31 is •
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**:
establish the indirect cost rate.

Note: Both prime and subconsultants as parties of a contract must complete their own forms. Caltrans will not Audits and Investigations.
2 250,131,769.00
50 25
Tammy Flanagan Chief Financial Officer
[email protected](919) 677-2016
05/20/2024
425
COST PROPOSAL 1
Note: Mark-ups are Not Allowed
Consultant
Project No. Contract No. Date 10/9/2024

DIRECT LABOR
Hours
20 80

LABOR COSTS
a) Subtotal Direct Labor Costs
b) Anticipated Salary Increases (see Anticipated Salary Increases page for calculations) c) Total Direct Labor Costs [(a) + (b)] 9,087.11$

INDIRECT COSTS
d) Fringe Benefits ( Rate: 0.00% ) e) Total Fringe Benefits [(c) x (d)] -$ f) Overhead ( Rate: 120.00% ) 10,904.53 $
h) General and Administrative ( Rate: 0.00% ) i) Gen & Admin [(c) x (h)] -$ j) Total Indirect Costs [(e) + (g) + (i)] 10,904.53$

FIXED FEE
k) TOTAL FIXED FEE [(c) + (j)]* fixed fee 10% ] 1,999.16$ Quantity Unit
l) TOTAL OTHER DIRECT COSTS -$
Subconsultant 1: $
Subconsultant 2: $
Subconsultant 3: $
Subconsultant 4: $
-$
-$
21,990.81$
(n) TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS [(l) + (m)] TOTAL COST [(c) + (j) + (k) + (n)]
m) SUBCONSULTANTS' COSTS (Add additional pages if necessary) (m) TOTAL SUBCONSULTANS' COSTS
$0.00 - $
$0.00 - $
$0.00 - $
$0.00 - $
8,695.80$
391.31$
g) Overhead [(c) x (f)
l) CONSULTANT'S OTHER DIRECT COSTS (ODC) - ITEMIZE (Add additional pages if necessary) Description of Item Unit Cost Total
-$
-$
-$
-$
-$
-$
Sr. Engineer III TBD $95.75 1,915.00 $
Sr. Engineer I TBD $84.76 6,780.80 $
HSIPL-5312(107)
Classification/Title Name Actual Hourly Rate Total
COST PROPOSAL 1

COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (DESIGN, ENGINEERING AND ENVIRONMENTAL STUDIES)
AET & Associates, Inc.

Prime Consultant
Subconsultant
2nd Tier Subconsultant

COST PROPOSAL 1

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
$ 8,695.80 / 100 = $86.96 Year 1 Avg Hourly Rate

2. Calculate hourly rate for all periods (Increase the Average hourly rate for a period by proposed escalation %) Avg Hourly
Rate
Proposed
Escalation
Year 1 $86.96 + 5% = $91.31
Year 2 $91.31 + 5% = $95.87
Year 3 $95.87 + 5% = $100.66 Year 4 Avg Hourly Rate
Year 4 $100.66 + 5% = $105.70 Year 5 Avg Hourly Rate

3. Calculate estimated hours per year (Multiply estimate % each period by total hours) Estimated %
Completed
Each Period
Total Hours
per Cost
Proposal
Total Hours
per Period
Year 1 10.00% * 100 = 10 Estimated Hours Year 1
Year 2 90.00% * 100 = 90 Estimated Hours Year 2
Year 3 0.00% * 100 = 0 Estimated Hours Year 3
Year 4 0.00% * 100 = 0 Estimated Hours Year 4
Year 5 0.00% * 100 = 0 Estimated Hours Year 5
Total 100% Total = 100

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 $86.96 * 10 = $869.58 Estimated Hours Year 1
Year 2 $91.31 * 90 = $8,217.53 Estimated Hours Year 2
Year 3 $95.87 * 0 = $0.00 Estimated Hours Year 3
Year 4 $100.66 * 0 = $0.00 Estimated Hours Year 4
Year 5 $105.70 * 0 = $0.00 Estimated Hours Year 5
= $9,087.11
= $8,695.80
= $391.31 Transfer to Page 1
Direct Labor Subtotal before escalation
Estimated total of Direct Labor Salary Increase
Cost
Per Period
Total Direct Labor Cost with Escalation
Year 2 Avg Hourly
Year 3 Avg Hourly

COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (CALCULATIONS FOR ANTICIPATED SALARY INCREASES)
5 Year
Contract Duration
COST PROPOSAL 1

COST PROPOSAL 1
Name: Title*:

Signature: Date of Certification (mm/dd/yyyy): 10/9/2024 Email: Phone Number:

Address:

List services the consultant is providing under the proposed contract:

4. 48 Code of Federal Regulations Part 31 - Contract Cost Principles and Procedures 18340 Yorba Linda Blvd., Suite 107, Yorba Linda, CA 92886 *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.

Review of 49 timing sheets to implement LPI
Local governments are responsible for applying only cognizant agency approved or Caltrans accepted Indirect Cost Rate(s).

Prime Consultant or Subconsultant Certifying:

Kenny Chao Principal
[email protected] 714.982.0398

5. 23 Code of Federal Regulations Part 172 - Procurement, Management, and Administration of

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.

2. Terms and conditions of the contract

3. Title 23 United States Code Section 112 - Letting of Contracts COST PROPOSAL 1
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)

428
California Safe Harbor Indirect Cost Rate Program
Consultant Firm Certification of Eligibility and Certification of Financial Management System
Consultant Firm Name AET & Associates, Inc. ------�----------------- Local Agency (if applicable)
Contract Number / Federal Project Number
Contract Total $ _2_1 �•9_9_0._9_5 ____________________ _ For Subconsultant Firms - estimated % of work to be performed ________ % Safe Harbor Indirect Cost Rote (SHR): Home: 120% and/or Field: 90% Field SHR will be utilized for contracts where the work deliverables are not completed from the consultant offices (i.e. Construction Inspection, Material Testing, Sources Inspection, others).

Consultant Firm Certification of Eligibility
I, the undersigned, certify that I om eligible to use the Safe Harbor indirect cost rate as I:

1. Am not a Prime Consultant Firm on a Caltrans contract> $3.SM, or Local Government contract> $1 M, regardless of the participation amount.

2. Hove not used SHR for more than three (3) years since entering the program on a state or federally funded contract.

AND

1. Do not have relevant contract cost history to use as a base for developing a Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Port 31 compliant ICR.

2. Do not have a previously accepted ICR by a cognizant agency, or with on audited/accepted octuol lCR, and do not have on existing contract with a provisional rate.

Certification of Financial Management System
I, the undersigned, certify that our financial management system in place for this contract and moving forward meets the standards for the Safe Harbor indirect cost rate requirements and financial reporting, accounting records, internal and budget control as set forth in 2 CFR 200, Subpart D. These standards require consulting firms have an accounting system SHR Form Revised 9/25/2020
429
California Safe Harbor Indirect Cost Rate Program
adequate to accumulate, and track allowable, allocable, and reasonable direct labor and other direct costs by contract; segregate indirect costs and remove unallowable costs.

Print Name Keri:-!i/f-.ao
Signature --'-
�
-1--\,,__--"-c-=---------------
(Electronic Signature Allowed)
-=-
Title Principal
Date Completed 10/09/2024
Note: The certification of this Safe Harbor Rate was made by, and are the responsibility of, the Company's management.

Definition of Terms
Direct Cost is any cost that is identified specifically with a particular cost objective. Direct costs are not limited to items that are incorporated in the end products as material or labor.

Costs identified specifically with a contract are direct costs of that contract. All costs identified with other final cost objectives of the contractor are direct costs of those objectives, 48 CFR 31 .202.

Indirect or overhead cost is any cost that is not directly identified with a single final cost objective but is identified with two or more final cost objectives or with at least one intermediate cost objective, 48 CFR 31. 203.

References
Title 48 Code of Federal Regulations (CFR) Part 31 -Federal cost principles.

Title 48 CFR Chapter 99, Subchapter B - Procurement Practices and Cost Accounting Standards.

Title is 2 CFR 200 Subpart D, Standards for Financial and Program Management.

Title 23 United States Code (U.S.C.), Chapter 1, Section 112 - Letting of Contracts.

Title 23 CFR, Chapter 1, Part 172 - Procurement, Management, and Administration of Engineering and Design Related Services.

American Association of State Highway and Transportation Officials (AASHTO) Uniform Audit & Accounting Guide (2016 Edition).

SHR Form Revised 9/25/2020 2
430
California Safe Harbor Indirect Cost Rate Program
Caltrans Contract
If participating on a Caltrans Contract, also attach a completed copy of the following Safe Harbor Indirect Cost Rate Questionnaire for Evaluating Consultant Firm's Financial Management System.

SHR Form Revised 9/25/2020 3
431
California Safe Harbor Indirect Cost Rate Program
Questionnaire for Evaluating Consultant Firm's Financial Management System
Consultant Firm Name AET & Associates, Inc.------------------------ Firm Headquarters Address 18340 Yorba Linda Blvd., Suite 107 Yorba Linda, CA 92886
Accounting Records
18340 Yorba Linda Blvd., Ste. 107
• Location where Accounting records are held Yorba Linda, CA 92886 •
•
Name and Title Kenny Chao, Principal
Email and Phone [email protected], (424) 392-9188 • Mailing Address 18340 Yorba Linda Blvd., Ste. 107, Yorba Linda, CA 92886 To be eligible for Safe Harbor indirect cost rate (SHR), the Consultant Firm's financial management system must be adequate to accumulate and track direct labor and other direct costs by contract, segregate indirect costs, and remove unallowable costs in accordance with 48 CFR 31 for the different business segments.

Instructions

1. Answer all questions and provide an explanation and additional supporting documentation where requested.

2. If additional space is required, please attach a separate sheet and refer to items being answered by number.

Has the Firm developed an indirect cost rate in the past? If "Yes", you are NOT ELIGIBLE to use the SHR.

DO NOT CONTINUE with this Questionnaire and please complete the AASHTO Appendix B ICQ and provide an ICR Schedule.

Is the Firm a Prime Consultant Firm on a Caltrans contract > $3.5M Or Local Government contract > $1 M, regardless of the participation Amount?
If "Yes", you are NOT ELIGIBLE to use the SHR.

DO NOT CONTINUE with this Questionnaire and please complete the AASHTO Appendix B ICQ and provide an AUDITED ICR Report.

SHR Form Revised 9/25/2020
Yes No X
Yes No X
4 432
California Safe Harbor Indirect Cost Rate Program

1. What form of business entity is the Firm?
Sole Proprietorship_
Other
Partnership __ C Corporation _ S Corporation X

2. What types of services will the Firm provide for this contract? (Select all that apply.) Architectural and Engineering Services
Preliminary Engineering
Surveying
X
Mapping or Architectural Related Services __
Program Management
Design Engineering
Feasibility Studies
Other ---------

3. Does the Firm have prior government contracting experience? Yes X No

4. Does the general ledger contain separate direct and indirect accounts for the following? Labor Yes No X Non-Labor Yes No X

5. Does the company have a system in place to identify and remove form the indirect cost pools all unallowable cost? Yes___x_ No

6. Does the firm assign a unique identification/project number in your accounting system for each contract/project?
Yes X No

7. Is indirect and direct labor separated by contract/project/cost objectives on employee timesheets with unique reporting codes?
Yes No X
SHR Form Revised 9/25/2020 5
433
California Safe Harbor Indirect Cost Rate Program

8. Do you have written policies on the following cost categories? Accounting Yes X No Overtime Yes X No
Billing Yes X No Direct/Indirect Expenses Yes No _L
Timesheet Preparation Yes X No Prevailing Wage Yes No X

9. Bonus Yes _x_ No
What types of employee status will the Firm provide for this contract? Non-exempt __ Exempt-salaried _x_ Exempt-hourly _ Contract Employee_ Other

10. Does the Firm pay overtime for exempt employees?
Yes No __x_
11 . Besides labor, does the Firm normally bill/invoice the following as direct contract/project costs? {Select all that apply)
Vehicle
Computer/CADD
Printing
X
X
Specialty Equipment __
{List below)
Shipping
Lab
Travel
Other {List below)

12. Are mileage logs maintained for all vehicles? If no, please explain below.

Explanation No company vehicle
X
X
Where is the vehicle stored after work? Not Applicable --��------------- Does employee use vehicle for personal use? Yes _________ No __ _ What is the recovery/billing rate used for Firm or personal vehicle mileage reimbursement?
$ 0.655 per mile
SHR Form Revised 9/25/2020 6
434
435
COST PROPOSAL 1
Note: Mark-ups are Not Allowed
Consultant
Project No. Contract No. Date 10/9/2024

DIRECT LABOR
Hours
14 80
94 44

LABOR COSTS
a) Subtotal Direct Labor Costs
b) Anticipated Salary Increases
(see Anticipated Salary Increases page for calculations) c) Total Direct Labor Costs [(a) + (b)] 10,783.10$

INDIRECT COSTS
d) Fringe Benefits ( Rate: ) e) Total Fringe Benefits [(c) x (d)] -$ f) Overhead ( Rate: 120.00% ) 12,939.72 $
h) General and Administrative ( Rate: ) i) Gen & Admin [(c) x (h)] -$ j) Total Indirect Costs [(e) + (g) + (i)] 12,939.72$

FIXED FEE
k) TOTAL FIXED FEE [(c) + (j)]* fixed fee 10% ] 2,372.28$ Quantity Unit
l) TOTAL OTHER DIRECT COSTS -$
Subconsultant 1: $
Subconsultant 2: $
Subconsultant 3: $
Subconsultant 4: $
-$
-$
26,095.11$
(n) TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS [(l) + (m)] TOTAL COST [(c) + (j) + (k) + (n)]
m) SUBCONSULTANTS' COSTS (Add additional pages if necessary) (m) TOTAL SUBCONSULTANS' COSTS
$0.00 - $
$0.00 - $
$0.00 - $
$0.00 - $
10,520.10$
263.00$
g) Overhead [(c) x (f)
l) CONSULTANT'S OTHER DIRECT COSTS (ODC) - ITEMIZE (Add additional pages if necessary) Description of Item Unit Cost Total
-$
-$
-$
-$
Program Manager Keith LeNoue $38.50 3,619.00 $
Program Assistant Alyssa Maldonado $25.00 1,100.00 $
Program Director Lissette Montoya $128.65 1,801.10 $
Program Manager Nadine El Sankari $50.00 4,000.00 $
HSIPL-5312(107)
Classification/Title Name Actual Hourly Rate Total
COST PROPOSAL 1

COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (DESIGN, ENGINEERING AND ENVIRONMENTAL STUDIES)
Avant Garde Inc.

Prime Consultant
Subconsultant
2nd Tier Subconsultant

COST PROPOSAL 1

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
$ 10,520.10 / 232 = $45.35 Year 1 Avg Hourly Rate

2. Calculate hourly rate for all periods (Increase the Average hourly rate for a period by proposed escalation %) Avg Hourly
Rate
Proposed
Escalation
Year 1 $45.35 + 5% = $47.61
Year 2 $47.61 + 5% = $49.99
Year 3 $49.99 + 5% = $52.49 Year 4 Avg Hourly Rate
Year 4 $52.49 + 5% = $55.12 Year 5 Avg Hourly Rate

3. Calculate estimated hours per year (Multiply estimate % each period by total hours) Estimated %
Completed
Each Period
Total Hours
per Cost
Proposal
Total Hours
per Period
Year 1 50.00% * 232 = 116 Estimated Hours Year 1
Year 2 50.00% * 232 = 116 Estimated Hours Year 2
Year 3 0.00% * 232 = 0 Estimated Hours Year 3
Year 4 0.00% * 232 = 0 Estimated Hours Year 4
Year 5 0.00% * 232 = 0 Estimated Hours Year 5
Total 100% Total = 232

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 $45.35 * 116 = $5,260.05 Estimated Hours Year 1
Year 2 $47.61 * 116 = $5,523.05 Estimated Hours Year 2
Year 3 $49.99 * 0 = $0.00 Estimated Hours Year 3
Year 4 $52.49 * 0 = $0.00 Estimated Hours Year 4
Year 5 $55.12 * 0 = $0.00 Estimated Hours Year 5
= $10,783.10
= $10,520.10
= $263.00 Transfer to Page 1
Direct Labor Subtotal before escalation
Estimated total of Direct Labor Salary Increase
Cost
Per Period
Total Direct Labor Cost with Escalation
Year 2 Avg Hourly
Year 3 Avg Hourly

COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (CALCULATIONS FOR ANTICIPATED SALARY INCREASES)
5 Year
Contract Duration
COST PROPOSAL 1

COST PROPOSAL 1
Name: Title*:

Signature: Date of Certification (mm/dd/yyyy): 10/9/ 2024 Email: Phone Number:

Address:

List services the consultant is providing under the proposed contract:
807 S. Lemon Ave., Diamond Bar, CA 91789
*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.

Funding Administration
Local governments are responsible for applying only cognizant agency approved or Caltrans accepted Indirect Cost Prime Consultant or Subconsultant Certifying:

Ana Marie LeNoue CEO / President
[email protected] 714-401-9362

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

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.

COST PROPOSAL 1
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)

California Safe Harbor Indirect Cost Rate Program
Consultant Firm Certification of Eligibility and Certification of Financial Management System
Consultant Firm Name Aolvanc:...c..cl Ave."+ � C-,a� Co ... ror&.1"�r"> Local Agency (if applicable)
Contract Number/ Federal Project Number -reo
Contract Total$ _-r_�_1> _______________________ _
For Subconsultant Firms- estimated% of work to be performed _______ _ % Safe Harbor Indirect Cost Rate (SHR): Home: 120% and/or Field: 90% Field SHR will be utilized for contracts where the work deliverables are not completed from the consultant offices {i.e. Construction Inspection, Material Testing, Sources Inspection, others).

Consultant Firm Certification of Eligibility
L the undersigned, certify that I am eligible to use the Safe Harbor indirect cost rate as l:
l. Am not a Prime Consultant Firm on a Caltrans contract> $3.5M, or Local Government contract> $1M, regardless of the participation amount.

2. Have not used SHR for more than three (3) years since entering the program on a state or federally funded contract.

AND
l. Do not have relevant contract cost history to use as a base for developing a Federal Acquisition Regulations {FAR) of Title 48, Code of Federal Regulations (CFR), Part 31 compliant ICR.

2. Do not have a previously accepted ICR by a cognizant agency, or with an audited/accepted actual ICR, and do not have an existing contract with a provisional rate.

Certification of Financial Management System
L the undersigned, certify that our financial management system in place for this contract and moving forward meets the standards for the Safe Harbor indirect cost rate requirements and financial reporting, accounting records, internal and budget control as set forth in 2 CFR 200, Subpart D. These standards require consulting firms have an accounting system SHR Form Revised 9/25/2020
----- HSIPL-5312(107)
$309,729.75

8.68 439
California Safe Harbor Indirect Cost Rate Program
adequate to accumulate, and track allowable, allocable, and reasonable direct labor and other direct costs by contract; segregate indirect costs and remove unallowable costs.

Print Name . �-)(:;'ove.

Signature
•
��--=---Ji. __ • tj,A__,.__#f----&.-----------(Electronic Signature Allowed) Title '9rt.�1�.t"')r. /c,�o
----=-----=-=---=--.s..., -=-=-------------
Date Completed IO /1 o /-z.O?-'-{ r ,
Note: The certification of this Safe Harbor Rate was made by, and are the responsi bility of, the Company's management.

Definition of Terms
Direct Cost is any cost that is identified specifically with a particular cost objective. Direct costs are not limited to items that are incorporated in the end products as material or labor.

Costs identified specifically with a contract are direct costs of that contract. All costs identified with other final cost objectives of the contractor are direct costs of those objectives, 48 CFR 31.202.

Indirect or overhead cost is any cost that is not directly identified with a single final cost objective but is identified with two or more final cost objectives or with at least one intermediate cost objective, 48 CFR 31. 203.

References
Title 48 Code of Federal Regulations (CFR) Part 31 -Federal cost principles.

Title 48 CFR Chapter 99, Subchapter B - Procurement Practices and Cost Accounting Standards.

Title is 2 CFR 200 Subpart D, Standards for Financial and Program Management.

Title 23 United States Code (U.S.C.), Chapter 1, Section 112 - Letting of Contracts.

Title 23 CFR, Chapter l, Part 172 - Procurement, Managem ent, and Administration of Engineering and Design Related Services.

American Association of State Highway and Transportation Officials (AASHTO) Uniform Audit & Accounting Guide (2016 Edition).

SHR Form Revised 9/25/2020 2
440
California Safe Harbor Indirect Cost Rate Program
Caltrans Contract
If participating on a Caltrans Contract, also attach a completed copy of the following Safe Harbor Indirect Cost Rate Questionnaire for Evaluating Consultant Firm's Financial Management System.

SHR Form Revised 9/25/2020 3
441
California Safe Harbor Indirect Cost Rate Program
Questionnaire for Evaluating Consultant Firm's Financial Management System
Consultant Firm Name AcivCi.t'\t..e.cA A,,;..,.)... - (...,�-cl,.. G 'f• r 4�0,.., Firm Headquarters Address ,S:O-;t S • Lu"n on .Ave..., j),� t""I o"ol 13� -- e,A '\\"1-8-q
Accounting Records
•
•
•
•
Location where Accounting records are held ....:...f_·a,_� __ �_Q. _____ _ Name and Title L.�sse.*1t.. )-,\o,rn,'-1°' , \Jlc..t {n.slch.�/cfo Email and Phone \1'\orm>'\t,i.@, a�, .Co""'• Co /(",1...0) ?n1 -?<:j'?>O Mailing Address '1$0"l S, Lune,... Ate, 'D ,.�.-}. 'fJ .. , C/'r «=, \1?5:0\
To be eligible for Safe Harbor indirect cost rate (SHR), the Consultant Firm's financial management system must be adequate to accumulate and track direct labor and other direct costs by contract, segregate indirect costs, and remove unallowable costs in accordance with 48 CFR 31 for the different business segments.

Instructions
l. Answer all questions and provide an explanation and additional supporting documentation where requested.

2. If additional space is required, please attach a separate sheet and refer to items being answered by number.

Has the Firm developed an indirect cost rate in the past? If "Yes", you are NOT ELIGIBLE to use the SHR.

Yes No "b_
DO NOT CONTINUE with this Questionnaire and please complete the AASHTO Appendix B ICQ and provide an ICR Schedule.

Is the Firm a Prime Consultant
Firm on a Caltrans contract > $3.5M
Or Local Government contract > $1 M, regardless of the participation Amount?
If "Yes", you are NOT ELIGIBLE to use the SHR.

DO NOT CONTINUE with this Questionnaire and please complete the AASHTO Appendix B ICQ and provide an AUDITED ICR Report.

SHR Form Revised 9/25/2020
Yes No�
4 442
California Safe Harbor Indirect Cost Rate Program

1. What form of business entity is the Firm?
Sole Proprietorship_
Other
Partnership __ C Corporation � S Corporation �

2. What types of services will the Firm provide for this contract? (Select all that apply.} Architectural and Engineering Services
Preliminary Engineering
Surveying
Mapping or Architectural Related Services __
Program Management X
Design Engineering
Feasibility Studies
Other funJ -AdM\C\�s,\v..-\i.""

3. Does the Firm have prior government contracting experience? Yes _X__ No

4. Does the general ledger contain separate direct and indirect accounts for the following? Labor Yes No X Non-Labor Yes __ No X

5. Does the company have a system in place to identify and remove form the indirect cost pools all unallowable cost? Yes__)5__ No

6. Does the firm assign a unique identification/project number in your accounting system for each contract/project?
Yesl_ No

7. Is indirect and direct labor separated by contract/project/cost objectives on employee timesheets with unique reporting codes?
Yes..¥.-- No
SHR Form Revised 9/25/2020 5
443
444
California Safe Harbor Indirect Cost Rate Program
I certify that to the best of my knowledge and belief the responses to this questionnaire are accurate.

Print Name • ,4�. �e.

Signature --�---=--�_J.t __ �__,,.__-�---------------
(Electronic Signature Allowed)
Title ,=?f'e.'5iole,nt / C�O
Date Completed IO /1 o / ')A)7,1.f •
Note: The certification of this Safe Harbor Rate was made by, and are the responsibility of, the Company's management.

SHR Form Revised 9/25/2020 7
445
COST PROPOSAL 1
Note: Mark-ups are Not Allowed
Consultant
Project No. Contract No. Date 10/9/2024

DIRECT LABOR
Hours
8 28
36 94
82 LABOR COSTS
a) Subtotal Direct Labor Costs
b) Anticipated Salary Increases
(see Anticipated Salary Increases page for calculations) c) Total Direct Labor Costs [(a) + (b)] 11,222.04$

INDIRECT COSTS
d) Fringe Benefits ( Rate: 35.25% ) e) Total Fringe Benefits [(c) x (d)] 3,955.77$ f) Overhead ( Rate: 76.09% ) 8,538.85 $
h) General and Administrative ( Rate: 45.40% ) i) Gen & Admin [(c) x (h)] 5,094.81$ j) Total Indirect Costs [(e) + (g) + (i)] 17,589.43$

FIXED FEE
k) TOTAL FIXED FEE [(c) + (j)]* fixed fee 10% ] 2,881.15$ Quantity Unit
330 Miles
l) TOTAL OTHER DIRECT COSTS 221.10$
Subconsultant 1: -$
Subconsultant 2: $
Subconsultant 3: $
Subconsultant 4: $
-$
221.10$
31,913.71$
(n) TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS [(l) + (m)] TOTAL COST [(c) + (j) + (k) + (n)]
m) SUBCONSULTANTS' COSTS (Add additional pages if necessary) (m) TOTAL SUBCONSULTANS' COSTS
$0.00 - $
$0.00 - $
Mileage $0.67 221.10 $
$0.00 - $
11,002.00$
220.04$
g) Overhead [(c) x (f)
l) CONSULTANT'S OTHER DIRECT COSTS (ODC) - ITEMIZE (Add additional pages if necessary) Description of Item Unit Cost Total
-$
-$
Assistant Engineer Samuel Adan $28.00 2,296.00 $
-$
Assistant Project Manager Ryan Woo $53.50 1,926.00 $
Project Engineer Steven Hak $40.00 3,760.00 $
Principal William Sun $101.00 808.00 $
Project Manager Tracy Moriya $79.00 2,212.00 $
HISPL-5312 (107)
Classification/Title Name Actual Hourly Rate Total
COST PROPOSAL 1

COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (DESIGN, ENGINEERING AND ENVIRONMENTAL STUDIES)
LIN Consulting, Inc.

Prime Consultant
Subconsultant
2nd Tier Subconsultant