G\T Y OF
PISMO BEACH CITY COUNCIL STAFF REPORT
A�syo��Po� Agenda Item #9.G
Meeting Date: November 19, 2024
TITLE:
Authorization for Agreement with Wallace Group for Design of the Shell Beach Road Shared Use Path Extension Phase 2 Project; Related Budget Adjustments RECOMMENDATION:
Adopt a Resolution:
1. Authorizing the City Manager to enter into a Professional Services Agreement with Wallace Group in the amount of $926,857 for engineering design services for the Shell Beach Road Shared Use Path Extension Phase 2 Project; and
2. Accepting $1,008,000 in grant funding and appropriating related budget adjustments in Fiscal Year 2025.
DISCUSSION:
The current Shell Beach Road Shared Use Path (SBSUP) Extension project includes Phase 2 (from Avila Beach Drive to Spyglass Drive) and Phase 3 (Spyglass Drive to Terrace Avenue). The California Transportation Commission (CTC) awarded San Luis Obispo Council of Governments (SLOCOG) $65 million from the Trade Corridor Enhancement Program (TCEP) for the overall Five Cities Multimodal Transportation Network Enhancement Project (FCMTEP). The overall FCMTEP project includes the US 101 southbound managed lane project, a park-and-ride lot on Price Street south of Mattie Road, and the SBSUP Extension Phase 2 project. The TCEP funding includes $508,000 for design of the SBSUP Phase 2 project.
On October 1, 2024, the City Council authorized, by Resolution R-2024-060, multiple agreements relating to the project, including a Baseline Agreement between the City, Caltrans, SLOCOG, and the CTC for implementation of Phase 2 of the SBSUP project; a Program Supplement Agreement to the Administering Agency-State Master Agreement for the allocation of the TCEP funds; and Amendment #1 to the Cooperative Agreement with SLOCOG for allocation of $500,000 in Surface Transportation Block Grant Program (STBGP) funds.
On September 26, 2024 staff issued a formal Request for Proposals (RFP) for engineering design services to prepare preliminary and final design plans and all necessary construction documents for construction of the SBSUP Phase 2 project. On October 17, 2024 five proposals were received and were evaluated by a review panel, and on October 29, 2024 three firms were interviewed. Wallace Group was selected to perform the work based on the following:
• Understanding of the Scope of Work to be Performed • Methods, Schedule and Procedures to be Used
• Management, Personnel and Experience
Council Agenda 11-19-2024 9.G-1
• Consultation and Coordination with the City of Pismo Beach Wallace Group's cost proposal for engineering design services is provided as Attachment 1.A.
Conclusion and Recommendation
Staff recommends the Council adopt a Resolution (Attachment 1) authorizing the City Manager to enter into a Professional Services Agreement (Attachment 2) with Wallace Group in the amount of $926,857 for engineering design services for the Shell Beach Road Shared Use Path Extension Phase 2 Project; accepting $1,008,000 in grant funding; and appropriating related budget adjustments in Fiscal Year (FY) 2025.
FISCAL IMPACT:
The fiscal impact of adopting the subject Resolution includes $1,008,000 of SLOCOG grant revenues and $926,857 of expenditures for the engineering design phase of the project plus $81,143 in contingency costs. To date the City has been granted a total of $508,000 in TCEP funds and $500,000 in Surface Transportation Block Grant Program (STBGP) funds from SLOCOG.
Staff recommends accepting the $508,000 in TCEP funds and $500,000 in STBGP funds from SLOCOG. Staff also recommends that Council appropriate $1,008,000 in the Capital Projects Fund, Shell Beach Road Shared Use Path Extension Phase 2 project, Public Works Department, Facilities Division, Streets activity transportation fund grant from San Luis Obispo County grant revenues and corresponding expenditures in the Capital Projects Fund, Shell Beach Road Shared Use Path Extension Phase 2 project, Public Works Department, Facilities Division, Streets activity, professional services account, in FY 2025.
The estimated project costs are show in Table 1 below.
Table 1. FY 2025 Project Funding
Description — Capital Projects Fund Amount
Revenues: SLOCOG Grant Revenues
Trade Corridor Enhancement Program $508,000
Surface Transportation Block Grant Program funds 500,000 Total SLOCOG Grant Revenues $$1,008,000
Expenditures:
Wallace Group Design Contract $926,857
Contingency 81,143
Total Expenditures $1,008,000
Net Revenues less Expenditures $0
Council Agenda 11-19-2024 9.G-2
ATTACHMENTS:
1. Resolution
1.A Exhibit A to Resolution: Wallace Group Cost Proposal
2. Wallace Group Professional Services Agreement
Prepared by:
Erin Olsen, Senior Management Analyst
Submitted by: Mike James, Assistant City Manager/Acting Director of Public Works City Manager Approval:
Council Agenda 11-19-2024 9.G-3
Attachment 1
RESOLUTION NO. R-2024-XXX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF PISMO BEACH, CALIFORNIA 1. AUTHORIZING THE CITY MANAGER TO ENTER INTO A
PROFESSIONAL SERVICES AGREEMENT WITH WALLACE GROUP IN THE AMOUNT OF $926,857 FOR ENGINEERING DESIGN SERVICES FOR THE SHELL BEACH ROAD SHARED USE PATH EXTENSION PHASE 2 PROJECT; AND
2. ACCEPTING $1,008,000 IN GRANT FUNDING AND APPROPRIATING RELATED BUDGET ADJUSTMENTS IN FISCAL YEAR 2025
WHEREAS, the current Shell Beach Road Shared Use Path (SBSUP) Extension project includes Phase 2 (from Avila Beach Drive to Spyglass Drive) and Phase 3 (Spyglass Drive to Terrace Avenue); and
WHEREAS, on October 1, 2024, the City Council authorized multiple agreements relating to the project, including a Baseline Agreement between the City, Caltrans, SLOCOG, and the CTC for implementation of Phase 2 of the SBSUP project; and WHEREAS, staff issued a formal Request for Proposals for engineering design services to prepare preliminary and final design plans and all necessary construction documents for construction of the SBSUP Phase 2 project; and
WHEREAS, on October 17, 2024 five proposals were received and were evaluated by a review panel, and on October 29, 2024 three firms were interviewed; and WHEREAS, Wallace Group was selected to perform the work based on the following:
• Understanding of the Scope of Work to be Performed
• Methods, Schedule and Procedures to be Used
• Management, Personnel and Experience; and
WHEREAS, to date the City has been granted a total of $508,000 in Trade Corridor Enhancement Program funds and $500,000 in Surface Transportation Block Grant Program funds for design of the SBSUP Phase 2 project.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Pismo Beach hereby authorizes the City Manager to enter into a Professional Services Agreement with Wallace Group in the amount of $926,857 for engineering design services for the Shell Beach Road Shared Use Path Extension Phase 2 Project (cost proposal provided as Exhibit A).
BE IT FURTHER RESOLVED that the City Council of the City of Pismo Beach hereby accepts $1,008,000 in SLOCOG grant funding for the project.
BE IT FINALLY RESOLVED that the City Council of the City of Pismo Beach hereby appropriates $1,008,000 in the Capital Projects Fund, Shell Beach Road Shared Use Council Agenda 11-19-2024 9.G-4
Attachment 1
Path Extension Phase 2 project, Public Works Department, Facilities Division, Streets activity transportation fund grant from San Luis Obispo County grant revenues and corresponding expenditures in the Capital Projects Fund, Shell Beach Road Shared Use Path Extension Phase 2 project, Public Works Department, Facilities Division, Streets activity, professional services account, in Fiscal Year 2025.
UPON MOTION OF Council Member , seconded by Council Member , the foregoing resolution was adopted by the City Council of the City of Pismo Beach this 19'" day of November 2024, by the following vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
RECUSED:
Approved: Attest:
Ed Waage, Mayor Erica Inderlied, City Clerk
IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the City of Pismo Beach, California, on
Erica Inderlied, City Clerk
Council Agenda 11-19-2024 9.G-5
Attachment 1.A
Local Assistance Procedures Manual EXHIBIT 10-H1 Cost Proposal
EXHIBIT 10-H COST PROPOSAL Page I of3
ACTUAL COST-PLUS-FIXED FEE CONTRACTS
(DESIGN,ENGINEERING,AND ENVIRONMENTAL STUDIES)
Consultant: Wallace Group,a California Corporation Prime Consultant Subconsultant F-1 2nd Tier Subconsultant Project No. TBD Contract No. TBD Date:
Direct Labor
Classification/Title Name Hours Hourly Rate Total -Principal 319.0 $116.00 $37,004.00
Director Staff 143.0 $80.00 $11,440.00
Senior Engineer II-III Staff 82.0 $79.00 $6,478.00 Senior Engineer I Staff 502.0 $67.00 $33,634.00 Civil Engineer IV Staff 28.0 $54.00 $1,512.00 Civil Engineer II-III Staff 1040.0 $52.00 $54,080.00 Civil Engineer I Staff
Associate Engineer III Staff 1154.0 $44.00 $50,776.00 Associate Engineer I-II Staff
Director of Surve in Staff
Sr Land Surve or B Staff
Land Surveyor 11-III Staff 126.0 $60.00 $7,560.00 Survey Technician I-BI Staff 182.0 $48.00 $8,736.00 **Party Chief(PW) Staff 160.0 $100.00 $16,000.00 **htst.Person(PW) Staff 160.0 $60.00 $9,600.00 Sr Envir Compliance Sp UI Staff 42.0 $51.00 $2,I42.00 DirectorofLA Staff 122.0 $68.00 $8,296.00 Sr Landscape Architect H-III Staff
Landscape Architect RI-IV Staff 138.0 $48.00 $6,624.00 Landscape Desi aStaff 234.0 $33.00 $7,722.00 Pro'ect Assistant I-III Staff 38.0 $40.00 $1,520.00 4,470.0 $263,124.00
LABOR COSTS
a)Subtotal Direct Labor Costs $263,124.00
b)Anticipated Salary Increases $1,791.87
c)TOTAL DIRECT LABOR COSTS[(a)+(b) $264,915.87
INDIRECT COSTS
d)Fringe Benefits(Rate): 49.33% e)Total Fringe Benefits[(c)x(d)] $130,683.00 f)Overhead(Rate w/FCCM): 96.04% g)Overhead [(c)x(t)] $254,425.21 h)General and Administrative(Rate): i)Gen&Admin[(c)x(h)] j)TOTAL INDIRECT COSTS [(e)+(g)+(i)] $385,108.21
TOTAL FIXED PROFIT
FIXED FEE k) [(c)+0)]x Fixed Fee 10% $65,002.41 1)CONSULTANT'S OTHER DR2ECT COSTS(ODC)-ITEMIZE(Add additional pages if necessary) Description Quantity Unit Unit Cost Total
Travel/Potilea eCosts 400 MI $0.670 $268.00 Reproduction/Mailing Reproduction/Mailing Costs 1 LS $800.00 $800.00 1)TOTAL OTHER DIRECT COSTS $1,068.00
m) SUBCONSULTANT'S COSTS(add additional pages if necessary) Subconsultant 1: Ashley Vance $34,330.00
Subconsultant 2: DKS $95,585.51
Subconsultant 3: Earth Systems $50,728.43
Subconsultant 4: Rincon $30,119.00
Subconsultant 5:
Subconsultant 6:
Subconsultant 7:
m)TOTAL 2nd TIER SUBCONSULTANT'S COSTS $210,762.94
n)TOTAL OTHER DIRECT COSTS INCLUDING 2nd TIER SUBCONSULTANTS[(1)+(m)] $211,831 TOTAL COST[(c)+0)+(k)+(n)] $926,857
NOTES:
• Key Personnel must be marked with an asterisk(*)and employees that are subject to prevailing wage requirements must be marked with two asterisks(**).All costs most comply with the Federal Cost Principles.Subconsultants will provide their own cost proposals. •The cost proposal format shall not be amended.Indirect cost rates shall be updated on an annual basis in accordance with the consultant's annual accounting period and established by a cognized agency or accepted by Caltrans. •Anticipated salary increases calculation(page 2)most accompany.
January 2018
Council Agenda 11-19-2024 9.G-6
Attachment 2
CITY OF PISMO BEACH CITY.Should this AGREEMENT be extended pursuant to Section II,VENDOR's fee may be VENDOR AGREEMENT FOR PROFESSIONAL SERVICES adjusted upon the written agreement of the parties,in the form of an amendment to this AGREEMENT.
This Vendor Agreement for Professional Services("AGREEMENT")is made and entered into as of the date the AGREEMENT is fully executed by all parties(the"Effective Date'),by and between the B. Schedule of Payment City of Pismo Beach,a municipal corporation("CITY"),and Wallace Group("VENDOR").In consideration of the mutual covenants and conditions set forth herein,the parties agree as follows: VENDOR will submit invoices monthly for actual services performed and associated expenses.
Invoices shall be submitted on or about the first business day of each month,or as soon RECITALS: thereafter as practical,for services provided in the previous month.Payment shall be made within thirty(30)days of receipt of each invoice as to all non-disputed fees.If CITY disputes CITY wishes to retain the services of an experienced and qualified VENDOR to provide the following any of VENDOR's fees it shall give written notice to VENDOR within thirty(30)days of receipt services: of an invoice of any disputed fees set forth on the invoice.Any final payment under this AGREEMENT shall be made within forty-five(45)days of receipt of an invoice therefor.
Engineering Design Services for the Shell Beach Road Shared Use Path Phase 2—Spyglass Additional requirements are set forth in Article XXXI of Exhibit 10-R attached hereto.
Drive to Avila Beach Drive project,more particularly described in attached Exhibit A.
IV. TERMINATION OF AGREEMENT
VENDOR represents and warrants that it is qualified to perform those services.
A. CITY may at any time,for any reason,with or without cause,suspend or terminate this AGREEMENT: AGREEMENT,or any portion hereof,by serving upon VENDOR at least ten(10)days'prior written notice.Upon receipt of said notice,VENDOR shall immediately cease all work under I. SERVICES TO BE PERFORMED BY VENDOR this AGREEMENT,unless the notice provides otherwise.If CITY suspends or terminates a portion of this AGREEMENT,such suspension or termination shall not make void or invalidate VENDOR will provide the services listed in the Scope of Services attached hereto as Exhibit A. the remainder of this AGREEMENT.
VENDOR warrants that all work and services set forth in the Scope of Services will be performed in a competent,professional and satisfactory manner.Extra work beyond that described in the Scope of B. In the event this AGREEMENT is terminated pursuant to this Section,CITY shall pay to Services is not authorized without the express written approval of CITY.VENDOR shall request and VENDOR the actual value of the work performed up to the time of termination,provided that receive written approval prior to performing any extra work.Any work beyond that reflected in the the work performed is of value to CITY.Upon termination of the AGREEMENT pursuant to this approved Scope of Services shall not be compensated by CITY unless prior written approval was Section,VENDOR will submit an invoice to CITY pursuant to Section III. provided under this paragraph.To the extent that Exhibit A is a proposal from VENDOR,such proposal is incorporated only for the description of the Scope of Services and no other terms and V. FORCE MAJEURE conditions from any such proposal shall apply to this AGREEMENT unless specifically agreed to by CITY in writing.The terms of this Agreement also include the terms and conditions set forth in Exhibit If any party fails to perform its obligations because of strikes,lockouts,labor disputes,embargoes, 10-R A&E Boilerplate Agreement Language for State-Only Funded Projects,attached hereto and "acts of God,"inability to obtain labor or materials or reasonable substitutes for labor or materials, incorporated by reference herein. governmental restrictions,governmental regulations,governmental control,judicial orders,enemy or hostile governmental action,civil commotion,fire or other casualty,or other causes beyond the II. TERM reasonable control of the party obligated to perform,then that party's performance shall be excused for a period equal to the period of such cause for failure to perform.
Unless earlier terminated in accordance with Section IV below,or unless the Scope of Services are substantially completed,the AGREEMENT will continue in full force and effect from the Effective Date VI. RETENTION OF FUNDS through December 31,2026.Upon mutual written agreement,the term of this AGREEMENT can be extended annually under the same terms for an additional one(1)year period,or longer as the parties VENDOR authorizes CITY to deduct from any amount payable to VENDOR(whether or not arising agree in writing. out of this AGREEMENT)any amounts the payment of which may be in dispute or that are necessary to compensate CITY for any losses,costs,liabilities,or damages suffered by CITY,and all amounts III. COMPENSATION for which CITY may be liable to third parties,by reason of VENDOR's acts or omissions in performing or failing to perform VENDOR's obligations under this AGREEMENT.In the event that any claim is A. VENDOR's Fee made by a third party,the amount or validity of which is disputed by VENDOR,or any indebtedness exists that appears to be the basis for a claim of lien,CITY may withhold from any payment due, For services rendered pursuant to this AGREEMENT,VENDOR will be paid in accordance without liability for interest because of the withholding,an amount sufficient to cover the claim.The with the Compensation Schedule attached hereto as Exhibit B.However,in no event will the failure of CITY to exercise the right to deduct or to withhold will not,however,affect the obligations of total amount of money paid VENDOR,for services initially contemplated by this AGREEMENT VENDOR to insure,indemnify,and protect CITY as elsewhere provided in this AGREEMENT. and associated expenses,exceed the sum of nine hundred twenty-six thousand eight hundred fifty-seven dollars($926,857.00),unless otherwise first approved in writing by 1of12 2of12
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Attachment 2
VII. CITY REPRESENTATIVE services to be performed pursuant to this AGREEMENT shall become the sole property of CITY and may be used,reused,or otherwise disposed of by CITY without the permission of The City Engineer is designated as the"City Representative,"authorized to act in its behalf with VENDOR.With respect to computer files,VENDOR shall make available to CITY,at respect to the work and services specified in this AGREEMENT and to make all decisions in VENDOR's office and upon reasonable written request by CITY,the necessary computer connection with this AGREEMENT.Whenever approval,directions,or other actions are required by software and hardware for purposes of accessing,compiling,transferring,copying and/or CITY under this AGREEMENT,those actions will be taken by CITY Representative,unless otherwise printing computer files.VENDOR hereby grants to CITY all right,title,and interest,including stated.CITY's City Manager has the right to designate another CITY Representative at any time,by any copyright,in and to the documents,designs,drawings,maps,models,computer files, providing notice to VENDOR. surveys,notes,and other documents prepared by VENDOR in the course of providing the services under this AGREEMENT.
Vill. VENDOR REPRESENTATIVE(S)
C. All plans,studies,sketches,drawings,reports,and specifications as herein required are the The person(s)employed by VENDOR whose name(s)are set forth immediately following the property of CITY,whether the work for which they are made be executed or not.In the event signatures of the parties executing this AGREEMENT are designated as being the representative(s) this AGREEMENT is terminated,and at the end of the term of this AGREEMENT,all such of VENDOR authorized to act on its behalf with respect to the work specified in this AGREEMENT plans,studies,sketches,drawings,electronic documentation,reports,and specifications shall and make all decisions in connection with this AGREEMENT. be delivered immediately to CITY.VENDOR may retain one copy of each document for VENDOR'S records,but shall have no proprietary rights to them.CITY agrees to indemnify IX. INDEPENDENT CONTRACTOR VENDOR against any damages caused by the unauthorized re-use of said documents.
VENDOR is,and at all times will remain as to CITY,a wholly independent contractor.Neither CITY XIII. INDEMNIFICATION nor any of its elected officials,officers,employees or agents will have control over the conduct of VENDOR or any of VENDOR's employees,except as otherwise set forth in this AGREEMENT and A. Non-design,non-construction Professional Services:
then only as to the results to be accomplished and not the method by which VENDOR provides the To the fullest extent permitted by law(including,but not limited to California Civil Code Scope of Services.VENDOR may not,at any time or in any manner,represent that it or any of its Sections 2782 and 2782.8),VENDOR shall indemnify,defend,and hold harmless CITY,and agents or employees are in any manner agents or employees of CITY. its elected officials,officers,employees,volunteers,and agents("CITY Indemnitees"),from and against any and all causes of action,claims,liabilities,obligations,judgments,or X. BUSINESS LICENSE damages,including reasonable legal counsels'fees and costs of litigation("claims"),arising out of VENDOR's performance or VENDOR's failure to perform its obligations under this VENDOR must obtain a CITY business license prior to the start of work under this AGREEMENT, AGREEMENT or out of the operations conducted by VENDOR,including CITY's active or unless VENDOR is qualified for an exemption. passive negligence,except for such loss or damage arising from the sole negligence or willful misconduct of CITY.In the event CITY Indemnitees are made a party to any action,lawsuit,or XI. OTHER LICENSES AND PERMITS other adversarial proceeding arising from VENDOR's performance of this AGREEMENT, VENDOR shall provide a defense to CITY Indemnitees or at CITY's option,reimburse CITY VENDOR warrants that it has all professional,contracting and other permits and licenses required to Indemnitees their costs of defense,including reasonable legal fees,incurred in defense of undertake the work contemplated by this AGREEMENT. such claims.
XII. VENDOR'S ACCOUNTING RECORDS;OTHER PROJECT RECORDS B. Non-design,construction Professional Services:
To the extent the Scope of Services involve a"construction contract"as that phrase is used in A. VENDOR shall maintain complete and accurate records with respect to sales,costs, Civil Code Section 2783,this paragraph shall apply in place of paragraph A.To the fullest expenses,receipts,and other such information required by CITY that relate to the extent permitted by law(including,but not limited to California Civil Code Sections 2782 and performance of services under this AGREEMENT.VENDOR shall maintain adequate records 2782.8),VENDOR shall indemnify,defend,and hold harmless the CITY,and its elected of services provided in sufficient detail to permit an evaluation of services. officials,officers,employees,volunteers,and agents("CITY Indemnitees"),from and against any and all causes of action,claims,liabilities,obligations,judgments,or damages,including B. All such records shall be maintained in accordance with generally accepted accounting reasonable legal counsels'fees and costs of litigation("claims'),arising out of VENDOR's principles and shall be clearly identified and readily accessible.VENDOR shall provide free performance or VENDOR's failure to perform its obligations under this AGREEMENT or out of access to the representatives of CITY or its designees at reasonable times to such books and the operations conducted by VENDOR,except for such loss or damage arising from the active records;shall give CITY the right to examine and audit said books and records;shall permit negligence,sole negligence or willful misconduct of CITY.In the event CITY Indemnitees are CITY to make transcripts or copies therefrom as necessary;and shall allow inspection of all made a party to any action,lawsuit,or other adversarial proceeding arising from VENDOR's work,data,documents,proceedings,and activities related to this AGREEMENT.Such performance of this AGREEMENT,VENDOR shall provide a defense to CITY Indemnitees or records,together with supporting documents,shall be maintained for a period of three(3) at CITY's option,reimburse CITY Indemnitees their costs of defense,including reasonable years after receipt of final payment.Upon completion of,or in the event of termination or legal fees,incurred in defense of such claims. suspension of this AGREEMENT,all original documents,designs,drawings,maps,models, computer files,surveys,notes,and other documents prepared in the course of providing the 3of12 4of12
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Attachment 2
C. Design Professional Services: 4. VENDOR shall submit to CITY,along with the certificate of insurance,a Waiver of In the event VENDOR is a"design professional,"and the Scope of Services require VENDOR Subrogation endorsement in favor of CITY,its officers,agents,employees,and to provide"design professional services'as those phrases are used in Civil Code Section volunteers. 2782.8,this paragraph shall apply in place of paragraphs A or B.To the fullest extent 5. Errors and Omissions/Professional Liability.VENDOR shall maintain a policy of permitted by law(including,but not limited to California Civil Code Sections 2782 and 2782.8) professional liability insurance written on a claims-made basis in an amount not less VENDOR shall indemnify,defend and hold harmless CITY and its elected officials,officers, than$1,000,000.VENDOR shall also procure and pay for appropriate tail coverage for employees,volunteers and agents("City Indemnitees"),from and against all claims,damages, a minimum of three years following completion of the Scope of Services to cover any injuries,losses,and expenses including costs,attorney fees,expert consultant and expert errors or omissions occurring during the Term.In the alternative,VENDOR may elect witness fees arising out of,pertaining to or relating to,the negligence,recklessness or willful to obtain equivalent coverage on an occurrence basis.CITY's Risk Manager or City misconduct of VENDOR,except to the extent caused by the sole negligence,active Attorney may waive the requirement of professional liability insurance if he/she negligence or willful misconduct of CITY.In no event shall the cost to defend charged to determines that such a policy is not commercially available to VENDOR.If such a VENDOR under this paragraph exceed VENDOR's proportionate percentage of fault. policy is commercially available,additional cost to VENDOR in obtaining such a policy However,notwithstanding the previous sentence,in the event one or more defendants is shall not be a basis upon which the insurance requirement will be waived. unable to pay its share of defense costs due to bankruptcy or dissolution of the business, VENDOR shall meet and confer with other parties regarding unpaid defense costs. B. Other provisions or requirements:
D. Payment by CITY is not a condition precedent to enforcement of the indemnities in paragraph 1. Proof of insurance.VENDOR shall provide certificates of insurance to CITY as A,B,or C.The provisions of this Section 13 shall survive completion of VENDOR's services or evidence of the insurance coverage required herein,along with a waiver of subrogation the termination of this AGREEMENT. endorsement for workers'compensation.Insurance certificates and endorsements XIV. NON-LIABILITY OF CITY OFFICERS AND EMPLOYEES must be approved by CITY's Risk Manager prior to commencement of performance.
Current certification of insurance shall be kept on file with CITY at all times during the No elected official,officer,employee,or agent of CITY will be personally liable to VENDOR,in the term of this contract.CITY reserves the right to require complete,certified copies of all event of any default or breach by CITY or for any amount that may become due to VENDOR. required insurance policies,including endorsements to such policies,at any time.
2. Duration of coverage.VENDOR shall procure and maintain for the duration of the XV. INSURANCE AGREEMENT insurance against claims for injuries to persons or damages to property, which may arise from or in connection with the performance of the work hereunder by A. Without limiting VENDOR's indemnification of CITY,and prior to commencement of the Scope VENDOR,its agents,representatives,employees,or subconsultants. of Services,VENDOR shall obtain,provide and maintain at its own expense during the term of 3. Primary/noncontributing.Coverage provided by VENDOR shall be primary and any this AGREEMENT,policies of insurance of the type and amounts described below and in a insurance or self-insurance procured or maintained by CITY shall not be required to form that is satisfactory to CITY. contribute with it.The limits of insurance required herein may be satisfied by a combination of primary and umbrella or excess insurance.Any umbrella or excess
1. General liability insurance.VENDOR shall maintain commercial general liability insurance with coverage at least as broad as Insurance Services Office(ISO)form CG insurance shall contain or be endorsed to contain a provision that such coverage shall also apply on a primary and non-contributory basis for the benefit of CITY before 00 01,in an amount not less than$1,000,000 per occurrence,$2,000,000 general CITY's own insurance or self-insurance shall be called upon to protect it as a named aggregate,for bodily injury,personal injury,and property damage.The policy must insured.
include contractual liability that has not been amended.Any endorsement restricting standard ISO"insured contract"language will not be accepted. 4. CITY's rights of enforcement.In the event any policy of insurance required under this
2. Automobile liability insurance.If VENDOR owns vehicles used in performing the Scope AGREEMENT does not comply with these specifications or is canceled and not of Services in any manner,VENDOR shall maintain automobile insurance at least as replaced,CITY has the right but not the duty broad as Insurance Services Office(ISO)form CA 00 01 covering bodily injury and necessary and any premium paid by CITY willll obtain the insurance it deems promptly reimbursed by VENDOR or
property damage for all activities of VENDOR arising out of or in connection with any CITY will withhold amounts sufficient to pay premium ium from VENDOR payments.In the
alternative,CITY may terminate this AGREEMENT as provided in paragraph IV. work to be performed under this AGREEMENT,including coverage for any owned, hired,non-owned or rented vehicles,in an amount not less than$1,000,000 combined 5. Acceptable insurers.All insurance policies shall be issued by an insurance company single limit for each accident. currently authorized by the Insurance Commissioner to transact business of insurance
3. Workers'compensation insurance.VENDOR shall maintain Workers'Compensation or is on the List of Approved Surplus Line Insurers in the State of California,with an assigned policyholders'Rating of A-(or st higher)and Financial Size Category Class VII Insurance(Statutory Limits)and Employer's Liability Insurance(with limits of at least (or larger)in accordance with the latest edition of Best's Key Rating Guide,unless $1,000,000),as required by law.
otherwise approved by CITY's Risk Manager.
6. Waiver of subrogation.All insurance coverage maintained or procured pursuant to this AGREEMENT shall be endorsed to waive subrogation against CITY,its elected or 5of12 6of12
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Attachment 2
appointed officials,agents,officers,employees,and volunteers or shall specifically coverage and assumes all responsibility for ensuring that such coverage is provided in allow VENDOR or others providing insurance evidence in compliance with these conformity with the requirements of this section.VENDOR agrees that upon request, specifications to waive their right of recovery prior to a loss.VENDOR hereby waives all AGREEMENTS with consultants,subcontractors,and others engaged in performing its own right of recovery against CITY,and shall require similar written express waivers work under the Scope of Services will be submitted to CITY for review. and insurance clauses from each of its subconsultants. 14. CITY's right to revise specifications.CITY reserves the right at any time during the term
7. Enforcement of contract provisions(non-estoppel).VENDOR acknowledges and of the contract to change the amounts and types of insurance required by giving agrees that any actual or alleged failure on the part of CITY to inform VENDOR of non- VENDOR ninety(90)days'advance written notice of such change.If such change compliance with any requirement imposes no additional obligations on CITY nor does it results in substantial additional cost to VENDOR,CITY and VENDOR may renegotiate waive any rights hereunder. VENDOR's compensation.
8. Requirements not limiting.Requirements of specific coverage features or limits 15. Self-insured retentions.Any self-insured retentions must be declared to and approved contained in this Section are not intended as a limitation on coverage,limits or other by CITY.CITY reserves the right to require that self-insured retentions be eliminated, requirements,or a waiver of any coverage normally provided by any insurance. lowered,or replaced by a deductible.Self-insurance will not be considered to comply Specific reference to a given coverage feature is for purposes of clarification only as it with these specifications unless approved by CITY. pertains to a given issue and is not intended by any party or insured to be all inclusive, 16. Timely notice of claims.VENDOR shall give CITY prompt and timely notice of claims or to the exclusion of other coverage,or a waiver of any type.If VENDOR maintains made or suits instituted that arise out of or result from VENDOR's performance under higher limits than the minimums shown above,CITY requires and shall be entitled to this AGREEMENT,and that involve or may involve coverage under any of the required coverage for the higher limits maintained by VENDOR.Any available insurance liability policies. proceeds in excess of the specified minimum limits of insurance and coverage shall be available to CITY. 17. Additional insurance.VENDOR shall also procure and maintain,at its own cost and
9. Notice of cancellation.VENDOR agrees to oblige its insurance agent or broker and expense,any additional kinds of insurance,which in its own judgment may be insurers to provide to CITY with a thirty(30)day notice of cancellation(except for necessary for its proper protection and prosecution of the Scope of Services. nonpayment for which a ten(10)day notice is required)or nonrenewal of coverage for XVI. SUBCONTRACTORS each required coverage.In the event VENDOR's policy of insurance cannot be endorsed to provide this notice of cancellation,VENDOR shall provide CITY notice of Before VENDOR retains or hires a subcontractor to provide any work,labor,or services relative to this such cancellation,in writing,not later than 24 hours following the effective time of such AGREEMENT,VENDOR must:
cancellation.
10. Additional insured status.General liability policies shall provide or be endorsed to A. Present the name and identifying information of the subcontractor that will provide any work, provide that CITY and its officers,officials,employees,and agents shall be additional labor,or services to CITY; insureds under such policies.This provision shall also apply to any excess/umbrella liability policies.Each such insurance policy shall contain language substantially similar B. Present to CITY the form of subcontract that will be used with the subcontractor for CITY's to the following clause: approval,which approval will not be unreasonably withheld.Such subcontract agreement must "The City of Pismo Beach,its elected and appointed officials,officers,employees, include an indemnity agreement that is generally in accord with the indemnity obligations and agents are named as additional insureds as respects operations of the named contained in paragraph XI of this AGREEMENT and must specifically name CITY as an insured performed under contract with the City of Pismo Beach." indemnified party;and CITY need not be named as an additional insured on professional liability insurance C. Secure from the subcontractor evidence of insurance coverage that meets with this policies. AGREEMENT including naming CITY as an additional insured as required by this
11. Prohibition of undisclosed coverage limitations.None of the coverages required herein AGREEMENT,unless such requirement is waived in writing by CITY's Risk Manager as will be in compliance with these requirements if they include any limiting endorsement provided in paragraph XXV below. of any kind that has not been first submitted to CITY and approved of in writing by CITY's Risk Manager or City Attorney. XVII. CONFLICT OF INTEREST
12. Separation of insureds.A severability of interests provision must apply for all additional insureds ensuring that VENDOR's insurance shall apply separately to each insured No officer or employee of CITY may have any financial interest,direct or indirect,in this against whom claim is made or suit is brought,except with respect to the insurer's AGREEMENT,nor may any officer or employee participate in any decision relating to the limits of liability.The policy(ies)shall not contain any cross-liability exclusions. AGREEMENT that affects the officer or employee's financial interest or the financial interest of any corporation,partnership,or association in which the officer or employee is directly or indirectly
13. Pass-through clause.VENDOR agrees to ensure that its sub-consultants,sub- interested,in violation of any law,rule or regulation. contractors,and any other party providing any work under the Scope of Services under the direction of VENDOR,provide the same minimum insurance coverage and endorsements required of VENDOR.VENDOR agrees to monitor and review all such 7of12 8of12
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Attachment 2
No person may offer,give,or agree to give any officer or employee or former officer or employee,nor may any officer or employee solicit,demand,accept,or agree to accept from another person,a XX. INTERPRETATION gratuity or an offer of employment in connection with any decision,approval,disapproval, recommendation,preparation or any part of a program requirement or a purchase request,influencing The terms of this AGREEMENT shall be construed in accordance with the meaning of the language the content of any specification or procurement standard,rendering of advice,investigation,auditing, used and shall not be construed for or against either party by reason of the authorship of this or in any other advisory capacity in any way pertaining to any program requirement,contract or AGREEMENT or any other rule of construction that might otherwise apply. subcontract,or to any solicitation or proposal.
XXI. SEVERABILITY
Additional requirements are set forth in Article XIII of Exhibit 10-R attached hereto.
If any part of this AGREEMENT is found to be in conflict with applicable laws,that part will be XVIII. NOTICE inoperative,null and void insofar as it is in conflict with any applicable laws,but the remainder of the AGREEMENT will remain in full force and effect.
All notices,requests,demands,or other communications under this AGREEMENT will be in writing.
Notice will be sufficiently given for all purposes as follows: XXII. TIME OF ESSENCE A. Personal delivery.When personally delivered to the recipient;notice is effective on delivery. Time is of the essence in the performance of this AGREEMENT.
B. First Class mail.When mailed first class to the last address of the recipient known to the party XXIII. GOVERNING LAW;JURISDICTION giving notice;notice is effective three mail delivery days after deposit in a United States Postal Service office or mailbox. This AGREEMENT will be administered and interpreted under the laws of the State of California.
Jurisdiction of and venue for any litigation arising from the AGREEMENT will be in the Superior Court C. Certified mail.When mailed certified mail,return receipt requested;notice is effective on of the San Luis Obispo County,or in the United States District Court for the Central District of receipt,if delivery is confirmed by a return receipt. California.
D. Overnight delivery.When delivered by an overnight delivery service,charges prepaid or XXIV. COMPLIANCE WITH STATUTES AND REGULATIONS charged to the sender's account;notice is effective on delivery,if delivery is confirmed by the delivery service. VENDOR will be knowledgeable of and will comply with all applicable federal,state,county and city statutes,rules,regulations,ordinances and orders.VENDOR and its subcontractor(s)shall not E. Facsimile transmission.When sent by fax to the last fax number of the recipient known to the discriminate against any person in the performance of this AGREEMENT on the basis of race, party giving notice;notice is effective on receipt.Any notice given by fax will be deemed religion,national origin,color,age,sex,sexual orientation,AIDS,HIV status,disability,or any other received on the next business day if it is received after 5:00 p.m.(recipient's time)or on a non- basis protected by state or federal law,and shall comply with applicable federal and state equal business day. employment opportunity laws,ordinances,rules and regulations.
Addresses for purpose of giving notice are as set forth immediately following the signatures of XXV. WAIVER OF BREACH the parties executing this AGREEMENT.
No delay or omission in the exercise of any right or remedy by a nondefaulting party on any default F. Any correctly addressed notice that is refused,unclaimed,or undeliverable because of an act will impair the right or remedy or be construed as a waiver.A party's consent or approval of any act by or omission of the party to be notified,will be deemed effective as of the first date the notice the other party requiring the party's consent or approval will not be deemed to waive or render was refused,unclaimed or deemed undeliverable by the postal authorities,messenger or unnecessary the other party's consent to or approval of any subsequent act.Any waiver by either overnight delivery service. party of any default must be in writing and will not be a waiver of any other default concerning the same or any other provision of this AGREEMENT.
G. Either party may change its address or fax number by giving the other party notice of the change in any manner permitted by this AGREEMENT.Any change in address or fax number XXVI. ATTORNEY'S FEES that is not provided to the other party will not void delivery of any notice under this AGREEMENT,and delivery to the last known address or fax number shall be deemed Except as provided for in paragraph XV,in any dispute,litigation,arbitration,or other proceeding by sufficient for notice under this AGREEMENT. which one party either seeks to enforce its rights under this AGREEMENT(whether in contract,tort or both)or seeks a declaration of any rights or obligations under this AGREEMENT,the prevailing party XIX. PROHIBITION AGAINST ASSIGNMENT AND SUBCONTRACTING will be awarded reasonable attorney's fees,together with any costs and expenses,to resolve the dispute and to enforce any judgment,including post judgment attorney's fees costs and expenses and This AGREEMENT and all exhibits are binding on the heirs,successors,and assigns of the parties. any attorneys'fees or costs incurred on appeal of any judgment.
The AGREEMENT may not be assigned or subcontracted by either CITY or VENDOR without the prior written consent of the other.
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Attachment 2
XXVII. EXHIBITS CITY: VENDOR:
City of Pismo Beach,a Municipal Corporation Wallace Group All exhibits identified in this AGREEMENT are incorporated into the AGREEMENT by this reference.
In the event of any conflict between the terms of this AGREEMENT and the terms of an exhibit,the Signed: Signed:
terms of this AGREEMENT shall control provided,however,that the provisions of Exhibit 10-R shall govern in the event of any such conflict.Notwithstanding the foregoing sentence,the provisions of Name:Mike James Name:
Section XIII of this AGREEMENT shall not be altered,amended,limited or otherwise affected in any Title:Assistant City Manager/Acting Public Works Title:
manner by any language included in an exhibit to this AGREEMENT,even if such exhibit purports to Director affect the provisions of Section XIII. Dated: Dated:
XXVIII.VENDOR'S AUTHORITY TO EXECUTE Signed: Address for giving notice(See Section XVIII):
The persons executing this AGREEMENT on behalf of the VENDOR warrant that:
A. the VENDOR is duly organized and existing under the appropriate State laws; Name:Jorge E.Garcia B. they are duly authorized to execute this AGREEMENT on behalf of the VENDOR; Title:City Manager C. by so executing this AGREEMENT,the VENDOR is formally bound to the provisions of this Dated: Email address for official communications:
AGREEMENT;and
D. entering into this AGREEMENT does not violate any provision of any other AGREEMENT to Address for giving notice(See Section XVIII):
which the VENDOR is bound. 760 Mattie Road,Pismo Beach,CA 93449 Vendor Representative(See Section Vill):
XXIX. INTEGRATION;AMENDMENT ATTEST: Name/Title:
This AGREEMENT represents the entire understanding of CITY and VENDOR as to those matters Signed:
contained in it.No prior oral or written understanding will be of any force or effect with respect to the terms of this AGREEMENT.The AGREEMENT may not be modified or altered except in writing Name:Erica Inderlied signed by both parties. Title:City Clerk
IN WITNESS WHEREOF,the parties hereto have caused this AGREEMENT to be executed the day APPROVED AS TO FORM:
and year last written below.
Signed:
Signatures begin on next page.
Name:David M.Fleishman
Title:City Attorney
Attachments:
Exhibit A:Scope of Service
Exhibit B:Compensation Schedule
Exhibit 10-R:A&E Boilerplate Agreement Language for State-Only Funded Projects 11of12 12of12
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Attachment 2
•• : SCOPE
Exhibit A—Scope of Service
Task 1:Project Management,Meetings,QA/QC
Task 1.1 Project Management
This task consists of project management and coordination throughout the duration of this project,including preparing monthly invoices with written project updates,budget tracking,and establishment of a critical path method project schedule.This task assumes up to a 15-month production schedule to final PS&E deliverable and up to an additional 2 months for bidding support.
Task 1.2 Meetings
Upon authorization of the project,up to three key members of the project team will attend an in-person project kick-off meeting and site visit.This meeting will provide the opportunity for the participants to discuss the City's desires for this project,review key project components,and to confirm project limits as needed for design.We will prepare an agenda,meeting notes afterwards, and will conduct a field walk to review site conditions germane to the design of the project including consideration of existing utilities,traffic and pavement conditions,driveway/access issues,pedestrian and bicycle impacts,emergency access and other issues that may arise during construction of the project.This effort is expected to be completed on the same day as the kickoff meeting;supplemental field visits may be conducted during design as appropriate.
The Wallace Group Project Manager will meet with the City Project Manager on a monthly basis to maintain communication and provide progress updates.Additionally,Wallace Group will coordinate and attend up to(5)review meetings with City staff that are anticipated to occur around key submittal deliveries and/or following the receipt of reconciled written comments from those submittals.These review sessions will solidify our joint understanding and strategy moving forward to the subsequent submittal.In addition to the City specific meetings,Wallace Group will coordinate and attend up to(5)review meetings with the County of San Luis Obispo and Caltrans.We assume that these meetings will be virtual and will be attended by the Wallace Group Project Manager and other key team members as appropriate.Wallace Group will prepare an agenda for each meeting and follow up with relevant notes and action item listings.The project team will also conduct internal coordination meetings at each stage of the design process.
This coordination effort will serve to confirm team members are current in project goals and criteria,as well as apprised of any project adjustments.
Additional meetings related to Public Engagement are discussed and included in Task 4.
WALLACE GROUP I Dedication to Service 33
Council Agenda 11-19-2024 9.G-13
Attachment 2
�.SURVEY LIMITS t
Task 1.3QA/QC FIGURE 1
.ApR SURVEY
Quality Control and Quality Assurance(QA/QC)is an important part of our work products.At each of the major draft design submittals(60%and 90%)deliverables will undergo a QA/QC re- view by senior staff.We also plan to utilize our senior construction management team to provide a r k constructability review of the plans.This overall review task and process is a critical component of � _ 4 a successful project and will ensure that the project team delivers a fully developed and polishedr,� . product to the City.
F�
Deliverables:
Status reports and invoicing
Schedule and updates "o
Meeting agendas and notes
Task 2:Data Collection and Base Mapping , Task 2.1 Record Drawings Research
The Wallace Group team will add to our current records of the corridor,review,and incorporate record drawings,as-built improvement plans,and maps covering the project area.Wallace Group has a substantial library of record drawings for this corridor from our experience on the preliminary design.We anticipate supplementing these files using a Caltrans information request s to obtain additional record drawings along US 101 and at the Spyglass interchange.Utility atlas t maps will also be obtained and incorporated as discussed in Task 2.3.1.Once the topographic drawing is completed,the record drawings,atlas maps,and as-builts will be incorporated into the base map.This is an important step to confirm utility locations and sizes,as well as to pick up Supplemental ground survey within the area shown in Figure 1 will include the location of critical background information that may otherwise go unnoticed.Although no formal deliverable visible surface improvements such as culverts,fences,driveways,roadway signs,and utilities such is anticipated with this task,we will save copies of the as-built drawings with significant informa- as streetlights,utility poles and vaults,fire hydrants,utility maintenance holes,valves,storm and tion highlighted which will also be incorporated into the base file and project plans as sewer structures and spot elevations supplementing the aerial topographic mapping.Known appropriate. underground utilities will be plotted based on a combination of field measurements and record mapping and atlases for utilities within the project limits.The rim and invert elevations of storm Task 2.2 Topographic and Boundary Survey and sewer manhole and inlet structures will be measured and shown on the base map along with Task 2.2.1:Topographic Survey the size,material and direction of flow of the pipes entering and exiting these structures.For Wallace Group will set survey control points for the aerial mapping and photography by Aerotech storm and sewer systems that cross the survey limits we will also locate the up or downstream of the survey limits shown shaded blue in Figure 1.The mapping will include approximately 1.4 structure that is outside the survey limits.Trees greater than 4 inches in diameter measured at linear miles of mapping along Shell Beach Road and will be completed with a 1-foot contour four feet above ground and within the mapping limits shall be located with their truck size and interval at 1"=20'mapping scale.The mapping will show such visible features as edges of drip lines depicted. pavements,dirt road,utility poles and structures,manholes,buildings,brush and vegetation lines. 34 WALLACE GROUP I Dedication to Service 35 Council Agenda 11-19-2024 9.13-14
Attachment 2
Our team will prepare`A'letters informing the utility companies that there is a project proposed in the area.The letter will request utility atlas maps,documentation,any proposed When the conform locations have been established during the design process and at the improvements planned,and information and verification of prior rights.A sample Utility`A'letter direction of the engineering team,we will collect cross section measurements of the roadway at will be prepared and provided to the City for review and approval before our team sends out to these conform locations for a distance of 100 feet on either side of the road conforms and at the various companies.The utility atlas plans and our topographic mapping will serve as a base driveway locations.The cross-section measurements will be collected at an approximate map for a utility plan sheet.We will use an electronic tracking system that can be shared with the interval of every 25 feet at these conform locations.Spot elevations will be shown at the cross- City indicating when the Utility`A'letters were sent,who they were sent to,date of follow up,date section locations with hard surface measurements shown to the nearest 0.01 feet.The road cross of response,if they have facilities at the site,and any remarks.We will maintain a log of existing section mapping will be provided between the hard surface portion of the road.At this time,we utilities that will include:
will also collect additional measurement deemed beneficial and necessary for the design analysis. Utility owner and contact information For budgeting purposes,we have provided up to two additional days of field survey and related Utility type,size,material,estimated age(based on utility provider record information) office resources to complete this task and do not expect/include additional effort beyond this al- Correspondence dates and details location. Apparent conflicts with the proposed construction and potential relocation options The mapping effort for the ADA survey shown shaded yellow in Figure 1 will cover approximately This log will be updated at key utility coordination milestones and can be provided to the City 27 ramps.This will include a cross-section spacing interval of 10 feet.The cross-section detail will upon request. include five(5)feet beyond the edge of sidewalk,assuming no obstruction exists such as buildings or fences.The cross-section detail will also include twenty-five(25)feet beyond the curb return. 2.3.2 Notice to Owner Letters("B"Letters) Utility atlas maps are often 2D only and schematic,lacking precision and detail.We will best fit the Our surveyors will set semi-permanent survey control points outside of the construction path for utility atlas maps into our AutoCAD base files using topographic features.During the future use. development of the design,potential conflict between the proposed design and the existing utilities will be identified.Particularly with high risk utilities we will assume the providers can Task 2.2.2:Right of Way and Easement Mapping use ground penetrating radar or other means to confirm sufficient cover for project activities.If Wallace Group will establish the existing road right of way for the area shaded blue in Figure vertical elevations are required to be provided by the project team,Wallace Group will develop a
1.The lines will be established based on a review of available County of San Luis Obispo record contract amendment and work with the City to include additional scope and budget required for maps,and we will map easements shown on said maps or documents provided by the City.We pothole and more significant utility coordination work.We have had success on recent projects by anticipate locating sufficient monuments to extend the record right of way as shown shaded in having our survey team stake pothole locations as well as reference points from which the under- Blue in Figure 1.Procuring preliminary title reports for the adjacent properties is assumed ground contractor can record horizontal locations and vertical depths for the encountered unnecessary and therefore not included in this scope of work,should it become apparent that this utilities. information will be useful we anticipate the City will be able to provide those.
After the Draft PS&E(60%)and before the Draft Final(90%)PS&E milestones,Wallace Group Task 2.3 Utility Research and Coordination will prepare draft"B"Letters(also known as a"Notice to Owners")with attached exhibits s
2.3.1"A"Letters bowing the anticipated conflict points and coordination items.We will provide a copy to the City The Wallace Group team will utilize the 811 Dig Alert database to determine the utilities within for review prior to issuing to the utility owners.These letters serve to inform affected utility the project limits.Based on our work on the Project Report Equivalent effort,initial site review, owners of known/identified conflict locations of their utility facilities with the proposed project. research,the Avila Beach Drive roundabout,other past projects and familiarity with the project As conflicts are identified,we will request information from the City on prior rights to clearly area,we know that the City owns and maintains water,sewer and storm drain facilities,and we identify parties responsible for relocation.Wallace Group will work with the City to coordinate anticipate coordinating with the following utility purveyors,at a minimum: and attend one virtual coordination meeting and one field review meeting with each utility Astound provider to go over the proposed project and discuss potential relocation strategies.
AT&T
Charter
County of SLO Lopez Water Line
PG&E
Phillips 66
So Cal Gas
36 WALLACE GROUP I Dedication to Service 37 Council Agenda 11-19-2024 9.G-15
Attachment 2
SCM infiltration testing will be performed in the proposed permeable paver areas.Up to three sets of shallow infiltration tests are planned which will consist of three borings to depths ranging Our standard B Letter template includes a signature page to document that the design has been from 2 to 3 feet.Each of the infiltration test borings will be cased with perforated PVC pipe,and reviewed by the utility representative.This signature page has a section to be filled in by the utility the annular spaces will be backfilled with gravel.The infiltration test borings will be filled to near company to document that they received the plans,confirmation if their facilities require removal, the surface with water and the infiltration rate will be measured as the head falls.Testing will be estimated time required for the relocation,and information regarding joint ownership.We will performed in general conformance with quick infiltration test methods developed by this firm in provide this form to the City to verify that utility companies have reviewed the plans and verified association with the Low Impact Development Initiative,and available on the Central Coast our utility research. Regional Water Quality Control Board website.
2.3.3 Relocation Letters("C"Letters) The field and laboratory data will be reviewed by a Professional Engineer and evaluated with During the Draft Final(90%)PS&E design phase and after all parties have agreed on a relocation respect to geotechnical recommendations for development of the project.The report will address plan,we will work with the City to help send the utility companies a"C"letter,which is a Utility the subsurface conditions encountered,site soil excavation characteristics,grading Agreement.The Utility Agreement will spell out each party's responsibilities for utility relocation, recommendations,retaining wall recommendations,pedestrian flatwork,hot mix asphalt and such as timing of relocation and payment for the relocation.Wallace Group will distribute the permeable pavement design parameters,seismic design parameters per the ASCE 7-16 and the final"C"letters and assist the City with this coordination;however it is anticipated that affected 2022 California Building Code(CBC),drainage around improvements,and observation and test- utility facility owners will provide utility agreements to the City for their review and action directly ing.The geotechnical engineering report and recommendations will be intended to comply with and we will assist in the review of those documents with the City. the applicable considerations of Sections 1803.2 through 1803.6,and J104.3 of the 2022 CBC,and common geotechnical engineering practice in this area under similar conditions at this time.
2.3.4 Final Utility Research Log
At the final design phase,our team will compile the utility correspondence and as-built plans into Task 2.5 Certified Arborist Report a compressed folder for the City's records.We will also finalize the utility tracking spreadsheet for This task provides arboriculture support by Rincon's International Society of Arboriculture(ISA) submittal as part of the final PS&E deliverables. Certified Arborists.We've reviewed the Tree Impacts figure(3/18/2024,preliminary,planning level only,no field survey performed),showing potential impacts to approximately 130 trees and/ Task 2.4 Geotechnical Engineering Report or shrubs.Portions of the project are located within the City,while other parts are within unin- Earth Systems will provide subsurface exploration along the planned alignment.The corporated portions of San Luis Obispo County(County).Our arborists will review the City and exploration will include drilling borings at intervals of 500 to 1,000 feet,with tighter spacing along County planning documents to identify municipal code,tree protection ordinances,permitting the planned retaining wall location at the north end of the project between Avila Beach Drive and mitigation requirements for encroachment and/or removal of protected trees. We will and the fire access road near El Portal Drive.Due to the existing utility lines in Shell Beach Road, complete a tree inventory survey to map all tree species within the project footprint,plus an the borings may be drilled on the opposite side of the roadway to avoid conflicts.The borings are appropriate buffer to capture any adjacent trees potentially requiring protection and/or planned to be advanced to a maximum depth of 10 feet below the existing ground surface.The avoidance.The survey will collect the metrics required by the appropriate municipality and will borings will be drilled using a truck-mounted G-tech drill rig.Subsurface conditions will be provide necessary data to support permit applications for tree encroachment or removal. classified in general accordance with the Unified Soil Classification System(ASTM D 2488).Bulk samples will be secured from the auger cuttings,and the borings will be backfilled with on-site Results will be incorporated into a GIS database and presented in a tree location map(with tree material.When drilling in existing pavement areas,the borings will be surfaced with asphalt protection zones identified)and summarized in an Arborist Report(report).The report will cold-patch.Soil samples obtained from the boring will be subject to testing in their laboratory for address the tree survey requirements and tree protection guidelines for the respective moisture and density,gradation analysis,Atterberg limits,expansion index,maximum density vs municipality.The report will outline permitting and mitigation requirements for tree moisture content,R-value,and shear strength.The final number and types of tests to be encroachment,removal or other impacts;and provide tree protection measures to avoid and/or performed will depend upon the subsurface conditions encountered.Earth Systems will mark the minimize impacts to trees during construction. site for underground service alert and obtain an encroachment permit prior to drilling.Traffic control will be provided during the field exploration scope of work. 38 WALLACE GROUP I Dedication to Service 39 Council Agenda 11-19-2024 9.G-16
Attachment 2
DKS is on the Wallace Group team to provide a peer review on the 2D concept plan and typical sections with a focus on multi-modal improvements,refinements to traffic calming,crossings,and connectivity.We anticipate an internal review of the concept plan by DKS to refine the concept This task provides for minor consultation(up to 10 hours)related to project siting alternatives for further.The Wallace Group team will then follow up with a conceptual design status review impact avoidance,permitting requirements and future mitigation planning,including tree meeting with City staff to present the draft 30%layout plans and typical sections. selection,planting plans,etc.Development of permit packages,mitigation plans,or support for the construction and post-construction phases of the project are not included but can be The City currently has a mixture of Caltrans Type-15 light poles,decorative acorn-style post-top addressed in a separate scope of work. fixtures,and decorative teardrop streetlights,supplemented by bollard lighting throughout various areas.DKS will evaluate three design alternatives at the 30%design stage,as follows:
Deliverables: Alternative 1:Caltrans Type-15 light poles within the project limits.
Civil 3d,2024 or newer,Survey Base Map Alternative 2:A combination of Caltrans Type-15 light poles at intersections and critical Signed and Sealed 22'x34"PDF of the Survey locations,supplemented by decorative acorn-style post-top fixtures at intersections.
Draft"A"Letters(PDF) Alternative 3:Decorative dual-mount(twin)teardrop fixtures within the project limits.
Draft"B"Letters(PDF) DKS will conduct a cost-benefit analysis of the three alternatives mentioned above.Based on input Draft"C"Letters(PDF) from the City and County,a preferred alternative will be selected for the future 60%,95%,and Utility tracking matrix(Excel,ongoing)
Final Utility Research Log(zip folder) Final(100%)PS&E packages.
Draft and Final Geotechnical Report(PDF)
• Arborist Report(PDF) As part of the lighting design,DKS will assess the existing lighting infrastructure,perform necessary fieldwork to confirm current conditions,and use AGi32 lighting analysis software to Task 3:Preliminary Design generate lighting calculations.These calculations will determine the optimal placement of new Over the past year,the Wallace Group has supported the City,SLOCOG and Caltrans with light poles,ensuring adherence to the project's lighting specifications and current standards.The completion of a Project Report Equivalent(PRE).Through the preliminary engineering process analysis will follow the lighting design standards recommended in the IES Roadway Policy using aerial record information,Wallace Group was instrumental in helping the City choose a (RP-8-21)for roadway and parking facilities and AASHTO guidelines. refined preferred alternative along the ocean side of Shell Beach Road.This alternative was selected as a design that balanced pedestrian and bicycle safety,cost,vehicular traffic operations, The concept plan will then be finalized based on input from the City and other impacted agencies and aesthetics.Task 3 focuses on refining the preferred concept based on field survey and including the County of San Luis Obispo and Caltrans as appropriate.The following plan sheets clarifying the design components prior to final design. are anticipated to be submitted as the final concept plan set:
Title Sheet............................................................ (1 sheet,No Scale) Task 3.130%Plans Typical Cross Sections......................................... (2 sheets,No Scale) Following the surveyed establishment of curb lines from the topographic survey and the Layout and Striping Plans..................................... (7 sheets,1"=20'scale) delineation of the centerline of Shell Beach Road,Wallace Group will review and incorporate the Contour Grading and Drainage Plans.................. (7 sheets,1"=20'scale) conceptual design plan to verify that the proposed geometries can be accommodated as originally Total Estimated Plan Sheets................................ 17 envisioned.At the very least,we anticipate that the preferred alternative geometries will need to be adjusted to tie in with existing curb lines,incorporate appropriate tapers,and provide The layout plans will show the final preliminary lighting locations and recommended striping adequate sight distances. treatments.The final concept plans will be used to develop the remaining preliminary design deliverables,and we anticipate meeting with the City following their review to go over comments The Wallace Group team will develop a 30%level conceptual design including preliminary on these preliminary design documents before moving into final design. striping and markings,approximate utility locations,pavement and concrete reconstruction limits,lighting improvements,and retaining wall limits.As part of this task,Ashley&Vance will Task 3.2 30%Cost Estimate develop up to two wall types for consideration by the project team showing representative cross Quantity calculations will be generated based on the 30%plans.Relevant unit bid information will sections and approximate costs.Based on the survey information,we will identify locations for be acquired from the County and State's"As-Bid"databases,recent local data to be provided by curb ramp reconstruction to meet current ADA standards.These plans will include optimizations the City and adjusted as needed to accurately represent anticipated project costs.The quantities of the preliminary design to improve safety of non-motorized users,reduce costs,and provide and the cost estimate will be reviewed by an independent staff member prior to submittal to the corridor cohesion. City.Due to the preliminary nature of the design,we will use a 20%contingency at this stage. 40 WALLACE GROUP I Dedication to Service 41 Council Agenda 11-19-2024 9.G-17
Attachment 2
safety features,etc.These images will help illustrate how the future conditions will improve the Task 3.3 Preliminary Drainage Report corridor.For the plan view graphics,we will use a 1"=50'scale to show segments of the proposed Wallace Group will prepare a Preliminary Drainage Report to document potential impacts to design overlaid on an aerial.Exhibit boards are anticipated to be for the following limits to existing drainage systems.Based on the current concept design we anticipate minimal impacts to illustrate the various environments along the corridor:
existing drainage,with required relocation of a single existing drain inlet north of Spyglass Drive. 1. Spyglass Drive to Ebb Tide Lane The drainage report will document total pre-and post-project impervious surfaces relative to 2. Ebb Tide Lane to El Portal Drive(first segment) existing drainage facilities;we assume no drainage calculations will be required where there will 3. Ebb Tide Lane to El Portal Drive(second segment) be no increase to impervious surfaces and no modifications to existing drainage facilities. 4. El Portal Drive to Avila Beach Drive Task 3.4 Preliminary Stormwater Control Plan Up to three(3)unique large format color renderings will be developed to help further describe Wallace Group will prepare a Preliminary Stormwater Control Plan(SWOP)for compliance with the project conditions and communicate the project improvements to the public and key stake- the Central Coast Post-Construction Requirements(PCRs).We assume that a single SWCP will holders.The renderings will utilize existing drone imagery taken during the initial planning phase be prepared to address the project,including areas within both the County and City right of way. to show section-axons of the three major segments defined above.
Based on the current concept design we anticipate that the project will result in new and replaced regulated impervious surfaces between 5,000 SF and 15,000 SF and will be required to comply with The public engagement will include four major milestone presentations as described below:
performance requirements 1 and 2 of the PCRs.This assumes that the new path will not be 1. Half-day public workshop:Following the completion of Task 3 and during the 60%design considered a regulated impervious surface where it drains to vegetation. The preliminary SWOP phase,our team will develop the exhibit boards described above for City review prior to will document intended compliance strategies and will rely on typical sections to document presenting at this workshop.We anticipate that the City will coordinate the workshop compliance. location at City Hall with audio/visual equipment,and website notifications for the public workshop.The Wallace Group Project Manager and Project Engineer will attend,organize We assume that a Caltrans Stormwater Data Report is not required for the project,because the the presentation process and material creation to lead the public workshop.We project will not create new or replaced impervious surfaces within the Caltrans right of way. anticipate developing and presenting a slideshow to share the project history,goals,design, and schedule.The goal of this half-day public workshop is to describe the proposed Deliverables: improvements to the community and get general feedback.Following this workshop,our Draft 30%layout plans and typical sections(PDF,two 22"04"hard copies) team will compile comments and identify any revisions to the conceptual plan. (3)Photometric analysis exhibit(PDF,two 22"04"hard copies) • 3)preliminary alternative lighting plans(PDF,two 22"x34"hard copies) 2• Traffic Safety Committee Meeting:Following the half-day public workshop,Wallace Group ( re
3) li Plan Set(PDF,two 22"x34"hard copies) will use input received from the public to update the exhibit boards and slideshow as 30%Estimate(PDF,two hard copies) appropriate for use at a Traffic Safety Committee Meeting.During the 60%design phase, Preliminary Drainage Report(PDF,two hard copies) the Wallace Group Project Manager and Project Engineer will attend a regularly scheduled Preliminary Stormwater Control Plan(PDF,two hard copies) committee meeting to present the project.
Task 4•Public Engagement and Meetings 3. Planning Commission Meeting:Wallace Group will update the exhibit boards based on comments from the Traffic Safety Committee and the City's 60%review for use in a As the proposed trail and street improvements will be a significant enhancement to this portion of presentation to the Planning Commission.It's intended that this presentation will coincide the Shell Beach Road corridor,the City has decided to build upon previous public outreach with with the approval of the City/County developed Coastal Development Permit. an additional effort during the design phase.
4. City Council Meeting:The Wallace Group Project Manager will attend a City Council Following the completion of Task 3 and the City's approval of the Final Concept Plan,Wallace meeting following the submittal of the final PS&E documents.Wallace Group will update Group will prepare color boards and exhibits illustrating the proposed design.We plan to the exhibit boards and slideshow for this presentation and will present them along with the develop up to four(4)exhibit boards at up to 36"x 48"that will include plan view strip maps of final PS&E bid package to the City Council for approval and authorization to advertise for the corridor,annotations,an illustrative rendering,and images of proposed features such as bidding. stamped wall improvements,landscape treatments(i.e.,plants and trees),surface improvements, pedestrian
42 WALLACE GROUP I Dedication to Service 43 Council Agenda 11-19-2024 9.G-18
Attachment 2
The following plan sheets are anticipated:
Title Sheet....................................................... (1 sheet,No Scale) Deliverables: General Notes................................................... (1 sheet,No Scale) 3-large format renderings(up to 4 updates)(jpg) Key Map.......................................................... (1 sheet,No Scale) 4-exhibit boards(up to 4 updates)(PDF,36"x48"foam core poster boards) Survey Project Control......................................... (3 sheet,I"=100'Scale) Slideshow(up to 4 updates)(pptx) Typical Cross Sections......................................... (4 sheets,No Scale) Demolition Plan................................................. (7 sheets,1"=20'scale) Task 5:Environmental Consultation Layout Plans(Plan and Profile)............................... (13 sheets,1"=20'scale) Construction Details........................................... (18 sheets,l"=5'scale) Rincon's project manager,archeologist,and biologist will attend up to 6 consultation meetings Standard Plans and Details.................................... (5 sheets,scale varies) coordinated by Wallace Group and City of Pismo Beach Project Managers during the design phase Water Pollution Control Plan................................. (8 sheets,1"=20'scale) of the project.Rincon's Project Manager will provide continuity through all consultation Drainage Profiles and Details................................ (2 sheets,scale varies) meetings,with resource specialist time split approximately between Rincon's biologist and Utility Plan...................................................... (7 sheets,l"=20'scale) archaeologist.The scope of Rincon's consultation in these meetings is anticipated to be primarily Construction Area Signs....................................... (1 sheet,No Scale) related to ensuring project engineering design remains consistent with State requirements and Stage Construction............................................. (14 sheets,l"=20'scale) local agency policies for project implementation. Signing and Striping Plan...................................... (8 sheets,1" 20'scale) Illumination Plan and Details................................. (8 sheets,l"=20'scale) Deliverables: Landscape Planting Plan,Notes,and Details..............(8 sheets,scale varies) Meeting attendance Irrigation Plan,Notes,and Details........................... (17 sheets,scale varies) Erosion Control Plans.......................................... (6 sheets,l"=20'scale) Task 6:60%PS&E Retaining Wall Plans........................................... (3 sheets,1"=20'scale) Structural Details............................................... (2 sheets,scale varies) Task 6.160%Plans Total Estimated Plan Sheets................................. 137 The Wallace Group team will develop the conceptual designs prepared and approved in the p revious phase to a 60%level of detail incorporating City comments as applicable.Plan sheets will Task 6.2 60%Technical Specifications be prepared using our standard title block on 22"x34"sheets at 1"=20'scale with close up Construction specifications will be produced based on applicable City and Caltrans standards as details as deemed necessary by the design team.Underground utility design is not anticipated and appropriate.We anticipate the technical specifications will be formatted per Caltrans 2024 therefore is not included in the scope of work.Drainage work is anticipated to be limited to small Standard Specifications.We anticipate that the City will prepare front end and bidding sections of adjustments to the existing system inlets if necessary.Hydrologic and hydraulic analysis is not this document,and our team will provide the technical section with stamps for each discipline.At expected to be needed and is not included. 60%,the technical specifications will be outline format only,and detailed provisions will be added at the 90%submittal.
Task 6.3 60%n Cost Estimate
An Engineer's Opinion of Probable Construction Cost(Estimate)will be prepared based on the 60%plans.The estimate will be organized in accordance with the Caltrans Ready to List Guide.
Final Pay,Partial Pay,and Specialty Items will be identified.All items of work will be identified according to their BEES number.For pricing,we will use our judgment,Caltrans Cost Data, County cost data,and any as-bid information provided by the City.At this design stage,we will use a 15%contingency.
Task 6.4 Draft Drainage Report
Wallace Group will refine the Preliminary Drainage Report to prepare the Draft Drainage Report.
The Draft Drainage Report will document design of proposed drainage facilities. 44 WALLACE GROUP I Dedication to Service 45 Council Agenda 11-19-2024 9.G-19
Attachment 2
Task 7.4 Draft Final Drainage Report
Wallace Group will refine the Draft Drainage Report to prepare the Draft Final Drainage Report.
Task 6.5 Draft Stormwater Control Plan and Draft Operations and Maintenance Plan Wallace Group will refine the Preliminary SWCP and prepare the Draft SWCP.The Draft SWCP Task 7.5 Draft Final Stormwater Control Plan and Operations and Maintenance Plan will document design of proposed stormwater control measures(SCMs).We assume that Wallace Group will refine the Draft SWCP to prepare the Draft Final SWCP. compliance with the PCRs can be achieved within the right of way,with vegetated swales, We will also prepare a Draft Final Operations and Maintenance Plan.We assume that a single bioretention,or other surface SCMs. Operations and Maintenance Plan will be prepared to address the project,including areas within both the County and City right of way.
The 60%design deliverables will be submitted to the City and County for their review.
Task 7.6 Draft Stormwater Pollution Prevention Plan(SWPPP) Deliverables: Wallace Group's State Certified QSD will prepare a SWPPP for the project in compliance with the 60%Plans(PDF,two(2)full-size hard copies) 2022 Construction General Permit(CGP),which will be based the most current requirements, 60%Technical Specifications(PDF,two(2)hard copies) and Best Management Practices(BMPs)for Erosion and Sediment Control by the California 60%Estimate(PDF,two(2)hard copies) Stormwater Quality Association(CASQA).
Draft Drainage Report(PDF,two(2)hard copies)
Draft Stormwater Control Plan(PDF,two(2)hard copies) The Water Pollution Control Plans and the Drainage Report will be utilized in the SWPPP as the basis for the SWPPP site map,stormwater run-on and run-off calculations,risk level assessment, and post construction water balance.Please note that in addition to the locations of all the Task 7:90%PS&E erosion and sediment control measures,the SWPPP Site Map also includes the vicinity map,site layout,construction site boundaries,drainage areas,discharge locations,sampling locations,areas At the beginning of this task,we anticipate receiving one(1)set of combined comments from of soil disturbance,locations of sensitive habitats,watercourses,and post-construction BMPs,and the City and one(1)set of combined comments from the County for that portion of the project locations of storage areas for waste,vehicles,service,loading/unloading of materials, in their jurisdictional area on the 60%PS&E task deliverables.We will coordinate,attend,and construction entrances and exits,fueling,and water storage. provide notes on the 60%submittal review meeting with City and County staff(included in Task
1.2).The final design will proceed based upon the comments and direction received.At this stage Based upon a preliminary analysis and calculations,Wallace Group anticipates that the project will it is anticipated that comments will be relatively minor in nature and adjustments to the approved be a Risk Level(2)project and will prepare a SWPPP appropriate for the assumed Risk Level. configuration will not be required at this stage of design.We will formalize our understanding of the reviewers'feedback and verify comments have been addressed using our comment resolution Deliverables:
forms as we proceed with preparations of the 90%construction document submittal. 90%Plans(PDF,two(2)full-size hard copies) Task 7.190%n Plans 90%Technical Specifications(PDF,two(2)hard copies) The project plans will be finalized and further developed with relevant details,notes and pay item 90%Estimate(PDF,two(2)hard copies) callouts.The plans will incorporate details from the utility coordination efforts and public Draft Final Drainage Report(PDF,two(2)hard copies) engagement feedback. Draft Final Stormwater Control Plan(PDF,two(2)hard copies) Draft Final Stormwater Operations and Maintenance Plan(PDF,two(2)hard copies) Task 7.2 90%Technical Specifications Draft Stormwater Pollution Prevention Plan(SWPPP)(PDF,two(2)hard copies) The technical specifications outline will be filled in with detailed provisions tailored to the project components.We will include Caltrans standard special provisions(SSPs)and write our own when needed following Caltrans standards.We will note areas that require City input and coordination.
Task 7.3 90%Cost Estimate
The cost estimate will be updated based on any revisions between 60%PS&E and 90%PS&E.
Draft final quantities and bid prices will be reviewed and re-calculated following the completion of the 90%plan set.At this design stage,we will use a 10%contingency. 46 WALLACE GROUP I Dedication to Service 47 Council Agenda 11-19-2024 9.G-20
Attachment 2
Task 8.6 Final Stormwater Pollution Prevention Plan(SWPPP) Wallace Group will prepare the SWPPP NOI in SMARTS,and will assist the City's Legally Task 8:Final PS&E Responsible Party with following required tasks:
At the beginning of this task,we anticipate receiving written comments on the 90%PS&E task Legally Responsible Person(LRP)to set up an account on SMARTS( https://smarts.water- deliverables.The Wallace Group team will coordinate,attend,and provide notes on the 90% boards.ca.gov/smarts/faces/SwSmartsLoginjsp)and link Wallace Group as Data Submit- submittal review meeting.The final design will proceed based upon the comments and mutually ters.An LRP should be a responsible corporate officer(i.e.president,vp,facility manager), agreed upon resolution.It is anticipated that comments will be relatively minor,and adjustments partner/proprietor,or principle executive officer or ranking elected official.Please note that a to the approved configuration will not be required at this stage of design.We will formalize our Federal Tax ID#is required to complete the account set up on SMARTS. understanding of the City's feedback and verify comments have been addressed using our comment resolution forms as we proceed with preparations of the final construction documents. Legally Responsible Person to review and certify the NOI,all Permit Registration Documents, Annual Report,SWPPP Amendments,Changes of Ownership Information,and Notice of Task 8.1 Final Plans Termination
The project design and plans will be finalized and further developed with relevant details,notes, and pay item callouts.Upon completion,mylars of the stamped and signed plan sheets will be We have not included construction phase QSD services such as SWPPP annual reporting,amend- delivered to the City for review and approval. ments,Changes of Information,site visits,and submitting the Notice of Termination;however,we certainly have qualified staff available to provide these services,if desired.
Task 8.2 Final Technical Specifications
Technical specifications will be finalized based on minor revisions to the plans or bid items.We Deliverables:
will provide the City with a MS Word document containing the edited technical special provisions Stamped and Signed Plans(PDF,one mylar copy) for inclusion into their boiler plate documents. Final AutoCAD drawings(DWG) Survey control points(PDF,DWG)
Task 8.3 Final Cost Estimate Stamped and Signed Technical Specifications(PDF,one hard copy) The cost estimate will be finalized based on minor revisions to the project plans or bid items.At Final Technical Specifications(DOC) this stage,we will use a 5%contingency.We will transmit to the City our quantity calculations and Final Cost Estimate(Excel,PDF,one hard copy) an excel spreadsheet containing the items of work,quantities,and unit prices.The bid documents Final Utility Research Log(see Task 2.3) will be stamped,sealed,and presented to the City for advertisement for construction. Final Drainage Report(PDF) Final Stormwater Control Plan(PDF)
Task 8.4 Final Drainage Report Final Stormwater Operations and Maintenance Plan(PDF) Wallace Group will refine the Draft Final Drainage Report to prepare the Final Drainage Report. Final Stormwater Pollution Prevention Plan(SWPPP)(PDF) Task 9:Bid Support
Task 8.5 Final Stormwater Control Plan and Operations and Maintenance Plan Wallace Group will refine the Draft Final SWCP and Draft Final Operations and Maintenance Plan During the advertising phase of the project,Wallace Group design staff will be available to answer to prepare the Final SWCP and Final Operations and Maintenance Plan. bidding related questions,provide revised plan sheets and quantities and provide information to the City for their preparation of addenda.We will also be available to review the City's bid Wallace Group will refine the Draft SWPPP based on City comments and will prepare the final tabulation to provide our input on the responsiveness of bidders.
SWPPP to be uploaded to SMARTS.A copy of the project's PCRs compliance is required to be up- loaded at the time of the application Notice of Intent(NOI). Due to the indeterminate nature of the coordination/support requests,this task is currently intended to proceed on a time and materials basis to the budgeted amount shown for this task.If more support requests are received,they are to be authorized by the City as additional work if needed.
Deliverables:
Response to RFI's and review of City's Bid Tabulation
Addenda(if needed)
48 WALLACE GROUP I Dedication to Service 49 Council Agenda 11-19-2024 9.G-21
Attachment 2
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Council Agenda 11-19-2024 9.G-22
Attachment 2
Loral Aetle4vice Proredvm Mevvel EXHIBIT 10.H1
Cost llopovvl
EXHIBIT 10.H COST PROPOSAL cm..rt
LUAI
FEE
Exhibit B-Compensation Schedule (DEM E"°M w"°.^"°p"I"°"ML 1'1Tu°lE1 COvmRanL WallaceO.P,e Califomia Comomnon F% Prime Consultant Subvonvulfant O 2nd Tier Subvonsulmnt Pmj-No. MD Con[-No. TBD Date:
Direct labor
CI.0......MO. Nvme Hours Hourl RaM Total •Pnv P. 319.0 $116.00 $37,004.00
Dirmtm Staff 143.0 $80.00 $11,440.00
Smior Ev-near 11-0 Staff 82.0 $79.00 $6,478.W Senipr En'need Staff 502.0 %7.00 533,634.00 Civil En ett N Staff 28.0 $54.00 $1,112..
Civil En inem D-III Staff 1040.0 552.00 $54,080.N CivdE ineerl Staff
Asaoci.E cer Hl Staff 1154.0 $44.00 $50,716.N Associate Ev ivem T-H Staff
Directorof Surve' Smff
S'a,Sury ,, Staff
Land Smveym 11-III Staff 126.0 $60.00 S7,560.W Smvry Tecb i-In Staff 182.0 $48.00 58,936.00 "P Chief PW) Staff 160.0 $100.00 $16,000.W "•mst Pttsm Sreff 160A $60.00 $9,600.00
Sr Envir Com limceS ID Smff 42.0 $51.00 52,142.00 Dvevtm vfLA Smff 122.0 $68.W $8,296..
SrLmdxaPe Arcldtect❑-III Staff
LmI.-Amhikctlll-N Smff 138.0 $33.00 $6,7..
Lmdsu Deli m Staff 28.0 $40.00 $1,5200 Pro ec[AssisWnt]-III Staff 38.0 $40.00 $1,520.00 4,47U $263,124.00
LABORCOSTS
a)Subtoul Direct Labor Costs 5263,124.00
b)A.,apared Salary Increases $1,791,87
c)TOTAL DIRECT LABOR COSTS[(aN(ti 8264 915.8'1
IIVDIRECI'COTS
d)Fdvge Benefits(Rate): 49.33% e)Total Pnnge Benefits[(a)x(d)] $130,683.M 0 OverEead(R-W FCCM): 96.04Y. e)Ovmhead [(c).(01 $254,425.21 h)O _d and Administrative i)Gm&Admw L(c).(h)]
J)TOTAL INDIRECT COSTS (i)] 5385,I08.21
TOTALFIXEDPROFIT
FIXED FEE k) [(c)10)].Faed Pee 10% $65002.41 1)CONSULTANT'S OTHER DIRECT COSTS(ODC)-ITEMIZE Add addltlovvl E.2.lfnecnur Deurl Bon Q....Ey Un1t Unit Cost Total
TraveFMBm Coats 400 MI $0,670 $268.00
Re ductivWMVT Casts 1 LS $800.N $800.00
I)TOTAL OTHER DIRECT COSTS 51,068.00
m)SUBCONSULTANT'S COSTS(add additional pages if necevasry) Subconmlmnt l: Ashley Vance $34,330.00
Subconmlmnt 2: DES $95,585.51
Subconmltant 3: 1-Systems $50,728.43
Subconmltant 4: Rwcon $30,119.00
Subconsulmnt 5:
Subconsu1-16:
Subconsu[-II:
m)TOTAL 2vd TIER SUBCONSULTANT'S COSTS $21076294
v)TOTAL OTHER DIRECT COSTS INCLUDING Snd TIER SUBCONSULTANTS[(I)+(m)] $211,831 TOTAL COST[(c)+U)+(k)+(n)] $926,857
NOTES:
•Key Pmso�meln=v[bemarkcd wlWmaetulek(*)and employees that are subJectto prevalling wage requlremen�a must bemarked wlN vvo mrisks("")All costs must oomplywim the Federal Cost Primiples.Subeovmltants wdl providetheir own cost proposals.e The cost proposal forme[shall not be amended.Indvect cost rotes shall be updemd m av amual basis m eccordmec with We covm1mnt's..1 OAvticranting period end esmblished by a cognized egenry or accepted by Czltmns. ipatN salary wereases ralculaBov(page 2)must aeeompany.
January 2018
Council Agenda 11-19-2024 9.G-23
Attachment 2
Local Assistance Procedures Manual EXHIBIT 10-Hl Cost Proposal
EXHIBIT 10-H COST PROPOSAL Page 2 of 3 Local Assistance Procedures Manual EXHIBIT 10-Hl ACTUAL COST-PLUS-FIXED FEE OR LUMP SUM(FIRM FIXED PRICE)CONTRACTS Cost Proposal (CALCULATIONS FOR ANTICIPATED SALARY INCREASES)
EXHIBIT 10-H1 COST PROPOSAL Page of
1.Calculate Average Hourly Rate for 1 st year of the contract(Direct Labor Subtotal divided by total hours) Direct Labor Subtotal Total Hours Avg Hourly 5 Year Contract Certification of Direct Costs:
per Cost Proposal per Cost Proposal Rate Duration I,the undersigned,certify to the best of my knowledge and belief that all direct costs identified on the cost $263,124.00 4,470 $58.86 Year 1 Avg Hourly Rate proposals)in this contract are actual,reasonable,allowable,and allocable to the contract in accordance with the =
contract terms and the following requirements:
2.Calculate hourly rate for a6 years(Increase the Average Hourly Rate for a year by proposed escalation%) 1. Generally Accepted Accounting Principles(GAAP)
2. Terms and conditions of the contract
Avg Hourly Rate Proposed Escalation
3. Title 23 United States Code Section 112-Letting of Contracts Year 1 $58.86 + 2.27% _ $60.20 Year 2 Avg Hourly Rate 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 Year 2 $60.20 + 4.55% _ $62.94 Year 3 Avg Hourly Rate Engineering and Design Related Service Year 3 $62.94 + 4.55% _ $65.80 Year 4 Avg Hourly Rate 6. 48 Code of Federal Regulations Part 9904-Cost Accounting Standards Board(when applicable) Year 4 $65.80 + 4.55% _ $68.80 Year 5 Avg Hourly Rate 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
3.Calculate estimated hours per year(Multiply estimate%each year by total hours) 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 Estimated% Total Hours Total Hours Rate(g)
Completed Each Year per Cost Proposal per Year
Year 1 70.00% * 4470.0 = 3129.0 Estimated Hours Year 1 Year 2 30.00% * 4470.0 = 1341.0 Estimated Hours Year 2 Prime Consultant or Subconsultant Certifying:
Year 3 * 4470.0 = Estimated Hours Year 3 Name: Jorge A iYa Title*:Sr Vice President/Principal Year 4 * 4470.0 = Estimated Hours Year 4 Signature: o+ t Date of Certification(mm/dd/yyyy): 11/6/2024 Year 5 * 4470.0 = Estimated Hours Year 5 Email: lorgea(a)wallacegrouq.us Phone Number:
Total 100% Total = 4470.0
Address: 612 Clarion Court,San Luis Obispo,CA 93401
4.Calculate Total Costs including Escalation(Multiply Average Hourly Rate by the number of hours) *An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower Avg Hourly Rate Estimated hours Cost per Year than a Vice President or a Chief Financial Officer,or equivalent,who has authority to represent the financial (calculated above) (calculated above) information utilized to establish the cost proposal for the contract.
Year1 $58.86 * 3129.0 = $184,186.80 Estimated Hours Yew Year 2 $60.20 1341.0 = $80,729.07 Estimated Hours Year 2 List services the consultant is providing under the proposed contract:
Year 3 $62.94 * = Estimated Hours Year 3 Wallace Group is the prime consultant of a team of consultants and will provide project management,City coordination and Year 4 $65.80 * = Estimated Hours Year 4 support,surveying,trail design,specification writing,cost estimating,water quality and landscape architecture design.
Year 5 $68.80 * = Estimated Hours Year 5
Total Direct Labor Cost with Escalation = $264,915.87 Direct Labor Subtotal before Escalation = $263,124.00 Estimated total of Direct Labor Salary Increase = $1,791.87 Transfer to Page 1 January 2018 NOTES:
This is not the only way to estimate salary increases.Other methods will be accepted if they clearly indicate the%increase, the#of years of the contract,and a breakdown of the labor to be performed each yew.
An estimation that is based on direct labor multiplied by salary increase%multiplied by the#of years is not acceptable. (i.e.$250,000 x 2%x 5 yrs=$25,000 is not an acceptable methodology) This assumes that one year will be worked at the rate on the cost proposal before salary increases are granted.
January 2018
Council Agenda 11-19-2024 9.G-24
Attachment 2
Local Assistance Procedures Manual Exhibit 10-K Local Assistance Procedures Manual Exhibit 10-K Consultant Annual Certification of Indirect Costs and Financial Management System Consultant Annual Certification of Indirect Costs and Financial Management System EXHIBIT 10-KCONSULTANT ANNUAL CERTIFICATION OF accounts; INDIRECT COSTS AND FINANCIAL MANAGEMENT SYSTEM • Ability to accumulate and segregate allowable direct costs by project,contract and type of cost; • Internal controls to maintain integrity of financial management system; (Note:If a Safe Harbor Indirect Cost Rate is approved,this form is not required.) • Ability to account and record costs consistently and to ensure costs billed are in compliance with FAR; Consultant's Full Legal Name: Wallace Group,a California Corporation • 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 Important:Consultant means the individual or consultant providing engineering and design related Cost Reimbursements on Contracts:
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. 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 indirect Cost Rate: the following:
Combined Rate 145.37% %OR • Sanctions and Penalties-23 CFR Part 172.1 l(c)(4) • False Claims Act-Title 31 U.S.C.Sections 3729-3733
Home Office Rate % and Field Office Rate(if applicable) % • Statements or entries generally-Title 18 U.S.C.Section 1001 Facilities Capital Cost of Money %(if applicable) • Major Fraud Act-Title 18 U.S.C.Section 1031 Fiscal period* 01/01/2023 thru 12/31/2023 All A&E Contract Information:
• Total participation amount$ 2.96 M on all State and FAHP contracts for Architectural&Engineering *Fiscal period is annual one year applicable accounting period that the Indirect Cost Rate was developed(not services that the consultant received in the last three fiscal periods. the contract period).The Indirect Cost Rate is based on the consultant's one-year applicable accounting period • The number of states in which the consultant does business is 2. for which financial statements are regularly prepared by the consultant. • Years of consultant's experience with 48 CFR Part 31 is 14.
I have reviewed the proposal to establish an Indirect Cost Rate(s)for the fiscal period as specified above and have • Audit history of the consultant's current and prior years(if applicable) Cognizant ICR Audit El Local Gov't ICR Audit ❑ Caltrans ICR Audit determined to the best of my knowledge and belief that: El X CPA ICR Audit ElFederal Gov't ICR Audit • All costs included in the cost proposal to establish the indirect cost rate(s)are allowable in accordance with the cost principles of the Federal Acquisition Regulation(FAR)48,Code of I,the undersigned,certify all of the above to the best of my knowledge and belief and that I have reviewed the Federal Regulations(CFR),Chapter 1,Part 31(48 CFR Part 31); Indirect Cost Rate Schedule to determine that any costs which are expressly unallowable under the Federal cost • The cost proposal does not include any costs which are expressly unallowable under the 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 principles of 48 CFR Part 31; all applicable state and federal rules and regulations.I also certify that I understand that all documentation of • The accounting treatment and billing of prevailing wage delta costs are consistent with our compliance must be retained by the consultant.I hereby acknowledge that costs that are noncompliant with the prevailing wage policy as either direct labor,indirect costs,or other direct costs on all federally- federal and state requirements are not eligible for reimbursement and must be returned to Caltrans. funded A&E Consultant Contracts. Name**:Jor e AimilarZ7Title**: Sr Vice President/Principal • All known material transactions or events that have occurred subsequent to year-end affecting the consultant's ownership, organization,and indirect cost rates have been disclosed as of the date of Signature: Yare u Date of Certification(mm/dd/yyyy): 10/16/2024 this certification. Email**:'or ea wallace ou . s Phone Number**: 805-544-4011 I am providing the required and applicable documents as instructed on Exhibit 10-A.
Financial Management System: **An individual executive or financial officer ofthe consultant's or suboonsultant's organization at a level no lower than a Vice President,a Chief Financial Officer,or equivalent,who has authority to represent the financial information used to establish the indirect cost rate.
Our labor charging,job costing,and accounting systems meet the standards for financial reporting,accounting records,and internal control adequate to demonstrate that costs claimed have been incurred,appropriately Note:Both prime and subconsultams as parries of a contract must complete their own Exhibit 10-%forms. accounted for,are allocable to the contract,and comply with the federal requirements asset forth in Title 23 Caltrans will not process local agency's invoices until a complete Exhibit 10-Kform is accepted and approved by United States Code(U.S.C.)Section 112(bb)(2);48 CFR Part 31.201-2O:23 CFR,Chapter 1,Part 172.11(a)(21- Caltrans Audits and Investigations. and all applicable state and federal rules and regulations.
Our financial management system has the following attributes: Z) • Account numbers identifying allowable direct,indirect,and unallowable cost accounts; • Ability to accumulate and segregate allowable direct,indirect,and unallowable costs into separate cost
March 2018 March 2018
Council Agenda 11-19-2024 9.G-25
Attachment 2
L-I A,Ao.-Procedures Menml EXHIBIT I-I Local Assistance Procedures Manual EXHIBIT 10-H1 Coal Proposal
Cost Proposal
EXHIBIT I0.H COST PROPOSAL,,-,
D[slAACUALCOX[RTiNPc nIXEDPERCONTRACTS AL CTuol[s) EXHIBIT10-H COST PROPOSAL Page 2of3
ACTUAL COST-PLUS-FIXED FEE OR LUMP SUM(FIRM FIXED PRICE)CONTRACTS C.nauaanr. AshleyAVevice Engineering Pdme c....lmm 2nd Tier sub.onommna (CALCULATIONS FOR ANTICIPATED SALARY INCREASES) Proie,N.. AVJvb#241562 Cvn[rav[No. Too D- 10/11/202R Dire,L.b.r
clasva3p.h'on/T111e N.me xoprn 7$5200
R.re Tow 1.Calculate Average Hourly Rate for 1st year of the contract(Direct Labor Subtotal divided by total hours) #REF! Principal Evgin- 24.0 $2,088.00
Semor engineer 46.0 $2,392.do Direct Labor Subtotal Total Hours Avg Hourly 5 Year Contract 9o.o $3,7- per Cost Proposal per Cost Proposal Rate Duration 108.0 $4,42-
BIMTeeh 1ao $7sfi.00 $13,772.50 296 = $46.53 Year 1 Av Hourl Rate Admn au on 12.0 S39fi.00 g Y
2.Calculate hourly rate for all years(Increase the Average Hourly Rate for a year by proposed escalation%) Avg Hourly Rate Proposed Escalation
Year 1 $46.53 + 5.00% _ $48.86 Year 2 Avg Hourly Rate Year 2 $48.86 + 5.00% _ $51.30 Year 3 Avg Hourly Rate Year 3 $51.30 + 5.00% _ $53.86 Year 4 Avg Hourly Rate Year 4 $53.86 + 5.00% _ $56.56 Year 5 Avg Hourly Rate 296.0 113,772.50
LABOR COSTS 3.Calculate estimated hours per year(Multiply estimate%each year by total hours) a)Subtotal Direct Labor Cvsn $13 772.5o
b)Avncipaled Salary Ivueaees $206.59
Estimated% Total Hours Total Hours
c)TOTAL DIRECT LABOR COSTS[(a)4(b $13,979.09
Completed Each Year per Cost Proposal per Year
mumECT COSTS Year 1 70.00% + 296.0 = 207.2 Estimated Hours Year I d)Fringe B.fit(Rah) 20a0% e)Total Fnnge B.ftu[(c)*(d)] $2,795.82 0 oyuhead(Eem): sa00% s)Overhead [(p)_(O] $6989.54 Year 2 30.00% * 296.0 = 88.8 Estimated Hours Year 2 h)General end Administrative(Batt) SO.1NW/o i)Oev&Admin[(c)*(h)] $6989.54 I)TOTAL INDIRECT COSTS[ +aU+(al $16,774.91 Year3 * 296.0 = Estimated Hours Year3 TOTAL FIXED PROFIT to%
PENED FEE k) b.)10)]-Fixed Pee $3,075.40 + _ Year 4 296.0 Estimated Hours Year 4
1)CONSULTANT'S OTHER DIRECT COSTS(ODC)-ITEMIZE Add as RRs.l a es if vecesser Year 5 * 296.0 = Estimated Hollis Year 5 neaps non Dann Dint E."cost Toml
Total 100% Total = 296.0
TraveEMnea Coale 180 MI $0.670 Mo..
Re rodnc0onmda0in costs moo s Ft $0sa a3so.00 4.Calculate Total Costs including Escalation(Multiply Average Hourly Rate by the number of hours) Avg Hourly Rate Estimated hours
(calculated above) (calculated above) Cost per Year Year 1 $46.53 * 207.2 = $9,640.75 Estimated Hours Year I Year 2 $48.86 88.8 = S4,338.34 Estimated Hours Year 2 Year 3 $51.30 * = Estimated Hours Year 3
a T'OTALOTHER DIRECTCOSTS $500.60
m)SUBCONSULTANT'S COSTS(sad adainpnal pages trneuvvary) Sub-o,tent 1: Year 4 $53.86 * = Estimated Hours Year 4 Subconsulo.t2:
Subt3:-od Year 5 $56.56 * = Estimated Hours Year 5 Sub
Sub-wnoAt-ent sultevt 4:5:
subponadteut 6: Total Direct Labor Cost with Escalation = $13,979.09 Sub-oAt-7: Direct Labor Subtotal before Escalation = $13,772.50 m)TOTAL 2nd TIER SUB
-SULTANTSUBCONSUCTANT'S COSTS
v)TOTAL OTHER DIRECT COSTS INCLUDING 2nd TIER SUBCONBULTANT6[(I)+(m)] $501 Estimated total of Direct Labor Salary Increase = $206.$9 Transfer t0 Page 1 TOTAL COST[(0+(7+(k)+(v)] $34,330
NOTES:
rvo-s: This is not the onlyway to estimate sal increases.Other methods will be accepted if the clean indicate the%increase, Key Pereonnel_be marked with an asivisk(-)and employees that are snbjut to prevailing wage regniremevis meet be marked with two Y art' P Y Y ei k.(-ry.All coats must compiywilh the Federal Cost Popplpl-S.b-o Rant.will provide ffi&own coat proposal.. the#of years of the contract,and a breakdown of the labor to be performed each yew.
The aost prp of r..t shag not be emended.mdi-po.t ram.shell be updwd on ao annual basis m app M-with me pomwmnrs annual An estimation that is based on direct labor multiplied by salary increase%multiplied by the#of years is not acceptable. nnngpenod add esrablished bye cognized agencyor awepred by Caltrans. �Andeipatw.nary.nemae mun a000mpaoy. (i.e.$250,000x2%x 5yrs=$25,000 is not an acceptable methodology) This assumes that one year will be worked at the rate on the cost proposal before salary increases are granted.
January201E
January 2018
Council Agenda 11-19-2024 9.G-26
Attachment 2
California Safe Harbor Indirect Cost Rate Program
Local Assistance Procedures Manual EXHIBIT 10-H1 Cost Proposal Consultant Firm Certification of Eligibility and Certification of Financial EXHIBIT 10-H1 COST PROPOSAL Page 3.0 3 Management System Certification of Direct Costs:
I,the undersigned,certify to the best of my knowledge and belief that all direct costs identified on the cost Consultant Firm Name Ashley&Vance Engineering proposal(s)in this contract are actual,reasonable,allowable,and allocable to the contract in accordance with the contract terms and the following requirements: Local Agency(if applicable)
1. Generally Accepted Accounting Principles(GAAP) Contract Number/Federal Project Number
2. Terms and conditions of the contract
3. Title 23 United States Code Section 112-Letting of Contracts Contract Total$
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 For Subconsultant Firms—estimated%of work to be performed % Engineering and Design Related Service
6. 48 Code of Federal Regulations Part 9904-Cost Accounting Standards Board(when applicable) 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 All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained the consultant offices(i.e.Construction Inspection,Material Testing,Sources Inspection, in the project files and be in compliance with applicable federal and state requirements. Costs that are others). noncompliant with the federal and state requirements are not eligible for reimbursement.
Local governments are responsible for applying only cognizant agency approved or Caltrans accepted Indirect Cost Rate(s). Consultant Firm Certification of Eligibility I,the undersigned,certify that I am eligible to use the Safe Harbor indirect cost rate as I:
Prime Consultant or Subconsultant Ccrtifyiniz:
Name: Charles R.Ashley,Jr. Title-:Vice President 1. Am not a Prime Consultant Firm on a Caltrans contract>$3.5M,or Local Government contract>$1 M,regardless of the participation amount.
Signature: Date of Certification(mm/dd/yyyy): 10/11/2024
2. Have not used SHR for more than three(3)years since entering the program on a state Email: charles(cDashlewance.com Phone Number: 805.545.0010x111 or federally funded contract.
Address: 1229 Carmel St.San Luis Obispo,CA 93401 AND *An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower 1. Do not have relevant contract cost history to use as a base for developing a Federal 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. Acquisition Regulations(FAR)of Title 48,Code of Federal Regulations(CFR),Part 31 compliant ICR.
List services the consultant is providing under the proposed contract: 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 Structural Engineering rate.
Certification of Financial Management System
I,the undersigned,certify that our financial management system in place for this contract January 2018 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 1
Council Agenda 11-19-2024 9.G-27
Attachment 2
California Safe Harbor Indirect Cost Rate Program California Safe Harbor Indirect Cost Rate Program adequate to accumulate,and track allowable,allocable,and reasonable direct labor and Caltrans Contract other direct costs by contract;segregate indirect costs and remove unallowable costs.
If participating on a Caltrans Contract,also attach a completed copy of the following Safe Print Name Jim Dmohowski Harbor Indirect Cost Rate Questionnaire for Evaluating Consultant Firm's Financial Signature `�J
n=. Management System.
(Electronic Signature Allowed)
Title C:nntrol lPr
Date Completed 10/10/2024
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 SHR Form Revised 9/25/2020 3 Council Agenda 11-19-2024 9.G-28
Attachment 2
California Safe Harbor Indirect Cost Rate Program California Safe Harbor Indirect Cost Rate Program Questionnaire for Evaluating Consultant Firm's Financial Management System 1. What form of business entity is the Firm? Consultant Firm Name Ashley&Vance Engineering
Sole Proprietorship_ Partnership C Corporation _ S Corporation x Firm Headquarters Address 1229 Carmel St
Other
San Luis Obispo,CA 93401
Accounting Records 2. What types of services will the Firm provide for this contract? (Select all that apply.) • Location where Accounting records are held San Luis Obispo Office Architectural and Engineering Services x Program Management • Name and Title Jim Dmohowski-Controller Preliminary Engineering Design Engineering • Email and Phone 805-545-0010 x153 Surveying Feasibility Studies • Mailing Address 1229 Carmel St Mapping or Architectural Related Services Other San Luis Obispo,CA 93401
3. Does the Firm have prior government contracting experience? Yes x No 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 4. Does the general ledger contain separate direct and indirect accounts for the following? accordance with 48 CFR 31 for the different business segments. Labor Yes x No Non-Labor Yes x No Instructions
5. Does the company have a system in place to identify and remove form the indirect cost
1. Answer all questions and provide an explanation and additional supporting pools all unallowable cost? Yes_x No documentation where requested.
2. If additional space is required,please attach a separate sheet and refer to items being answered by number. 6. Does the firm assign a unique identification/project number in your accounting system for each contract/project?
Has the Firm developed an indirect cost rate in the past? Yes _ No x If"Yes",you are NOT ELIGIBLE to use the SHR.
Yes x No
DO NOT CONTINUE with this Questionnaire and please complete the AASHTO Appendix B ICQ and provide an ICR Schedule.
7. Is indirect and direct labor separated by contract/project/cost objectives on employee Is the Firm a Prime Consultant Firm on a Caltrans contract>$3.5M Yes No x timesheets with unique reporting codes? Or Local Government contract>$1 M,regardless of the participation Amount? Yes x No
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 4 SHR Form Revised 9/25/2020 5 Council Agenda 11-19-2024 9.G-29
Attachment 2
California Safe Harbor Indirect Cost Rate Program 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 I certify that to the best of my knowledge and belief the responses to this questionnaire are accurate.
Billing Yes x No Direct/Indirect Expenses Yes x No Timesheet Preparation Yes x No Prevailing Wage Yes No x Print Name Jim Dmohowski
Bonus Yes x No
Signature ��----
9. What types of employee status will the Firm provide for this contract? (Electronic Signature Allowed) Non-exempt x Exempt-salaried x Exempt-hourly . Contract Employee_ Title Controller Other Date Completed 10/10/2024
10.Does the Firm pay overtime for exempt employees? Note:The certification of this Safe Harbor Rate was made by,and are the responsibility of, the Company's management.
Yes No x
11.Besides labor,does the Firm normally bill/invoice the following as direct contract/project costs?(Select all that apply)
Vehicle Shipping
Computer/CADD Lab
Printing x Travel x
Specialty Equipment Other(List below)
(List below)
12.Are mileage logs maintained for all vehicles?If no,please explain below.
Explanation yes
Where is the vehicle stored after work? office parking lot Does employee use vehicle for personal use?Yes No x What is the recovery/billing rate used for Firm or personal vehicle mileage reimbursement?
$ 0.67 per mile
SHR Form Revised 9/25/2020 6 SHR Form Revised 9/25/2020 7 Council Agenda 11-19-2024 9.G-30
Attachment 2
EXHIBIT 10-Hl EXHIBIT 10-111 COST PROPOSAL Page 2 of 3 Cost Proposal COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (CALCULATIONS FOR ANTICIPATED SALARY INCREASES)
EXHIBIT 10-111 COST PROPOSAL Page 1 of 3
COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS 1.Calculate Average Hourly Rate for tat year of the contract(Direct Labor Subtotal divided by total hours) (DESIGN,ENGINEERING AND ENVIRONMENTAL STUDIES) Direct Labor Subtotal Total Hours Avg Hourly Note:Mark-ups are Not Allowed ❑PH-Consults. ■Subconsultant ❑2nd Tier Subourmssnt per Cost Proposal per Cost Proposal Rate Consultant:DKS Associates $ 30,415.04 406 = $ 74.91 Year 1 Avg Hourly Rate Project No.Shell Beach Road Shared Use Path Contract No. Date 10/9/2024 2.Calculate hourly rate for all years(Increase the Average Hourly Rate for a year by proposed escalation%) Avg Hourly Rate Proposed Escalation
DIRECT LABOR Year 1 $ 74.91 + 3.5% _ $ 77.54 Year 2 Avg Hourly Rate Classification/Title Name Hours Actual Total Year $ 77.54 + 3.5% _ $ 80.25 Year 3 Avg Hourly Rate Hourly Rate
PM 144 $ 73.00 $ 10,512.00 Year $ 80.25 + 0% _ $ 80.25 Year 4 Avg Hourly Rate Principal in Charge I QA/QC 44 $ 109.16 $ 4,803.04 Year $ 80.25 + 0% _ $ 80.25 Year 5 Avg Hourly Rate Principal/Director DKS Staff 2 $ 110.00 $ 220.00 Years $ 80.25 + 0% _ $ 80.25 Year 5 Avg Hourly Rate Project Engineer I DKS Staff 208 $ 70.00 $ 14,560.00 Project Coordinator DKS Staff 8 $ 40.00 $ 320.00 3.Calculate estimated hours per year(Multiply estimate%each year by total hours) LABOR COSTS 406
Estimated% Total Hours Total Hours
a)Subtotal Direct Labor Costs $30,415.04
b)Anticipated Salary Increases(see page 2 for calculation) $ - Completed Each Year per Cost Proposal per year Year 1 100.00% 406.0 = 406.0 Estimated Hours Year 1 c)TOTAL DIRECT LABOR COSTS[(a)+(b)] $ 30,415.04
Year 0.00% 406.0 = 0.0 Estimated Hours Year
INDIRECT COSTS
Year 0.00% 406.0 = 0.0 Estimated Hours Year d)Fringe Benefits (Rate: 81.98% ) e)Total Fringe Benefits[(c)x(d)] $24,934.25 Year 0.00% 406.0 = 0.0 Estimated Hours Year f)Overhead&G&A (Rate: 101.15% ) g)Overhead[(c)x(f)] $30,764.81 Year 5 0.00% 406.0 = 0.0 Estimated Hours Year 5 h)General&Admin (Rate: ) i)Gen&Admin[(c)x(h)] $ - Total 100% Total = 406.0
j)TOTAL INDIRECT COSTS[(a)+(g)+(i)] $ 55,699.06
FIXED FEE k TOTAL FIXED FEE[(c)+(j)]xfxedfee: 10% $ ss11.a1 4.Calculate Total Costs including Escalation(Multiply Average Hourly Rate by the number of hours) Avg Hourly Rate Estimated hours
1)CONSULTANT'S OTHER DIRECT COSTS(ODC)-ITEMIZE(Add additional pages if necessary) (calculated above) (calculated above) Cost per Year Description of Item Quantity Unit Unit Cost Total Year 1 $ 74.91 406 = $ 30,415.04 Estimated Hours Year 1 Meals TBD TBD At Cost $ 160.00 Year 2 $ 77.54 0 = $ - Estimated Hours Year 2 Lodging TBD TBD At Cost $ 200.00 Year 3 $ 80.25 0 = $ - Estimated Hours Year 3 Travel(mileage reimbursement trips) 800 Mile $ 0.625 $ 500.00 Year $ 80.25 " 0 = $ - Estimated Hours Year 1)TOTAL OTHER DIRECT COSTS $ 860.00 Year 5 $ 80.25 0 = $ - Estimated Hours Year 5 m)SUBCONSULTANTS'COSTS(Add additional pages if necessary) Total Direct Labor Cost with Escalation = $ 30,415.04 Subconsultant 1: $ - Direct Labor Subtotal before Escalation $ 30,415.04 m)TOTAL SUBCONSULTANTS'COSTS $ - Estimated total of Direct Labor Salary Increase = $ -Transfer to Page 1 n)TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS[(I)+(m)] $ 860.00 NOTES:
TOTAL COST[(e)+0)+(k)+(n)] $ 95,585.51 1.This is not the only way er estimate salary increases.CMer methods will be accepted Hthey cleaHy indicate the%increase,the#of years of the centract and a NOTES: breakdown of the labor to be performed each year.
1.Key personnel must be marked with an asterisk(')and employees that are subject to prevailing wage requirements must be marked with two 2.An estimation Mat is based on direct labor multiplied by salary increase%muldplied by the#of years is not acceptable.(i.e.$260,000 x 2%x 5 M=$25,000 is not an asterisks(").All costs must comply with the Federal cost principles.Subconsultants will provide their own cost proposals. accepteble methodology).
2.The cost proposal format shall not be amended.Indirect cost rates shall be updated on an annual basis in accordance with the consultant's annual 3.This assumes Mat one year will be wonted at the rate on Me cost proposal before salary Increases are granted. accounting period and established by a cognizant agency or accepted by Caltrans. 4.Calculations for anticipated salary escalation must be provided.
3.Anticipated salary increases calculation(page 2)must accompany.
EXHIBIT 10-Hl EXHIBIT 10-H1
Cost Proposal Cost Proposal
Council Agenda 11-19-2024 9.G-31
Attachment 2
EXHIBIT 10-H 1 COST PROPOSAL Page 3 of 3 EXHIBIT 10-K CONSULTANT ANNUAL CERTIFICATION OF
INDIRECT COSTS AND FINANCIAL MANAGEMENT SYSTEM
Certification of Direct Costs:
(Note:If a Safe Harbor Indirect Cost Rate is approved,this farm is not required) I,the undersigned,certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(.)in this contract are actual,reasonable,allowable,and allocable to the contract in accordance with the contract terms and the following requirements: Consultant's Full Legal Name: DKS Associates
1.Generally Accepted Accounting Principles(GAAP) Important:Consultant means the individual or consultant providing engineering and design related
2.Terms and conditions of the contract services as a party of a contract with a recipient or sub-recipient of Federal assistance.Therefore,the
3.Title 23 United States Code Section 112-Letting of Contracts Indirect Cost Rate(s)shall not be combined with its parent company or subsidiaries.
4.48 Code of Federal Regulations Part 31-Contract Cost Principles and Proosedures
5.23 Code of Federal Regulations Part 172-Procurement,Management and Administration of Engineering and Indirect Cost Rate' Design Related Service
6.48 Ccode of Federal Regulations Part 9904-Cost Accounting Standards Board(when applicable) Combined Rate 183.13 —%OR Home Office Rate % and Field Office Rate(if 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 Facilities Capital Cost Of Money-0/6(if applicable) are not eligible for reimbursement.
Local governments are responsible forapplying onl co cognizant agency or Caltrans accepted Indirect Cost Rates. Fiscal period* 5/l/2022—4/30/2023 9 P Y 9 9 Y P ()
*Fiscal period is annual one year applicable accounting period that the Indirect Cost Rate was developed(not Prime consultant or Subconsultant certifying: the contract period).The Indirect Cost Rate is based on the consultant's one-year applicable accounting period Name: Jim DDakow Dank—itch itch Title': Principal for which financial statements are regularly prepared by the consultant.
Signature: o�]/"V Date of Certification: 10/10/2024 I have reviewed the proposal to establish an Indirect Cost Rate(s)for the fiscal period as specified above and have determined to the best of my knowledge and belief that:
Email: [email protected] Phone number: 510.267.6614 . All costs included in the cost proposal to establish the indirect cost rate(s)are allowable in accordance with the cost principles of the Federal Acquisition Regulation(FAR)48,Code of Address: 1050 SW 6th Ave Suite#600,Portland,OR 97204 Federal Regulafions(CFR),Chapter 1,Part 31(48 CFR Part 31); . The cost proposal does not include any costs which are expressly unallowable under the cost 'An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower than a Vice principles of 48 CFR Part 31; President or a Chief Financial Officer,or equivalent,who has authority to represent the financial information utilized to establish the . The accounting treatment and billing of prevailing wage delta costs are consistent with our cost proposal for the contract. prevailing wage policy as either direct labor,indirect costs,or other direct costs on all federally- funded A&E Consultant Contracts.
• All known material transactions or events that have occurred subsequent to year-end affecting the List services the consultant is providing under the proposed contract: Consultant's ownership, organization,and indirect cost rates have been disclosed as of the date of this certification.
1.SCOPE
Plans,Specifications,and Estimates and Bid Support I am providing the required and applicable documents as instructed on Exhibit 10-A.
Financial Management System:
Our labor charging,job costing,and accounting systems meet the standards for financial reporting,accounting 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 1I2(b)(2);48 CFR Part 3 L201-2(d);23 CFR Chapter 1,Part 172.11(a)(2); and all applicable state and federal rules and regulations.
Our financial management system has the following attributes:
• Account numbers identifying allowable direct,indirect,and unallowable cost accounts; • Ability to accumulate and segregate allowable direct,indirect,and unallowable costs into separate cost accounts;
Council Agenda 11-19-2024 9.G-32
Attachment 2
• Ability to accumulate and segregate allowable direct costs by project,contract and type of cost; • Internal controls to maintain integrity of financial management system; • Ability to account and record costs consistently and to ensure costs billed are in compliance with FAR OLe1 Ge P,a�d Ma"UelEXHIBIT 10 HI ells P ape,a
• Ability to ensure and demonstrate costs billed reconcile to general ledgers and job costing system;and EXHIBIT 10-141 COST PROPOSAL • Ability to ensure costs are in compliance with contract terms and federal and state requirement ACTUAL COST-PLUS-FIXED FEE OR LUMP SUM(FIRM FIXED PRICE)CONTRACTS Cost Reimbursements On Contracts: (DESIGN,ENGINEERING AND ENVIRONMENTAL STUDIES) Note'.Mark-ups ere Not Allowed o Prime Consultant [Al SubconSn)tant ❑2nd Tier Subconsultint I also understand that failure to comply with 48 CFR Part 16.301-3 or knowingly charge unallowable costs to Consultant Earth Systems Pacific Federal-Aid Highway Program(FAHP)contracts may result in possible penalties and sanctions as provided by Project No. TCFA-5289(017) Contract Na Data 11/5/2024 the following:
DIRECT LABOR
• Sanctions and Penalties-23 CFR Part 172.11(c)(4) Chnnificationrrdle Name Houn Actual xnud Rate Taml • False Claims Act-Title 31 U.S.C.Sections 3729-3733 Principal Pm@ssimed- 16.00 $ 87.74 $ 1403.84 Project Professional 32.00 $ 5o.o0 $ 1600,00 • Statements or entries generally-Title 18 U.S.C.Section 1001 Staff Professional 40.00 $ 3&00 $ 1520.00 • Major Fraud Act-Title 18 U.S.C.Section 1031 Technical Assistant R00 $ 29.75 S 238,00 All A&E Contract Information:
• Total participation amount$ $53.3 M on all State and FAHP contracts for Architectural& STANDARD LABOR COSTS(Non-PW) Engineering services that the consultant received in the last three fiscal periods. a)Subtotal Direct Labor costs $ 4,761.84 • The number of states in which the consultant does business is b)Anticipated Salary Increases(see page 2 for calculation) $ • Years of consultant's experience with 48 CFR Part 31 is INDIRECT COSTS c)TOTAL DIRECT LABOR COSTS[(a)+(b)]S 4.761.84 • Audit history of the consultant's current and prior years(if applicable) d)Fringe Benefits Rate o% e)Total Fringe Benefits[(c)x(d)l S Cognizant ICR Audit ❑ Local Gov't ICR Audit ❑ Caltrans ICR Audit r)ovemend Rate: 235.02% g gJ overhead[(c)x(f)]M$ 11,197.28 ® CPA ICR Audit
❑ Federal Gov't ICR Audit h)General and Administmtive o% i)Gen ar Admit l(c)x(h)]S 3)TOTAL INDIRECT COSTS[(e)+(B)+(i)1 $ 11,191.28
+
I,the undersigned,certify all of the above to the best of my knowledge and belief and that I have reviewed the FIXED FEE k)TOTAL FIXED FEE[(c) 0)]x fixed fee 101%$ 1,595.31 Indirect Cost Rate Schedule to determine that any costs which are expressly unallowable under the Federal cost 1)CONSULTANT'S OTHER DIRECT COSTS(ODC)-ITEMIZE(Add additional pages if necessary) principles have been removed and comply with Title 23 U.S.C.Section 112(b)(21,48 CFR Pan 31,23 CFR Part 172, and WDewripflIm,flons,escriptionontm Qaannty aria aria coat Tofa1 all a licable state and federal rules and re lations.I also certi that I understand that all documentation of s a miles s 0.670PP gu fY ices 3 as s s s,za0000 $ se4000 compliance must be retained by the consultant.I hereby acknowledge that costs that are noncompliant with the ol3 da s S z,800.00 s 8,400.00 federal and state requirements are not eligible for reimbursement and must be returned to Caltrans. /Moisture content 50 test$ 45.OD $ 2.z5o.00 ensity vs OptimumMoisture 8 test$ 32100 $ 2600.00 Name**: Peter Coffey Title**: President dex 2 test$ 20100 $ 410.00 Dhecl Shear 2 teal$ 315.00 $ 63000
Signature: pea"-�r', Date of Certification(mm/dd/yyyy): 10/16/3034 R-value 2 test$ 325.00 $ 1630.00 ** ": 503.753.8995 s°°°^nalysis 4 lest$ zso.00 $ l000.00 Email [email protected] Phone Number Auerbu g Limits est$ 2so.00 $ 750.00 ,)TOTAL OTHER DIRECT COSTS S 33,)80.00
m)SUBCONSULTANTS'COSTS(Add additional page,if necessary) **An individual executive or financial officer ofthe consultant's or subconsultant's organization at a level no lower than a Vice President,a Subee,ultant 1: $ Chief Financial Officer,or equivalent,who has authority to represent the financial information used to establish the indirect cost rate. Subconaultant 2 $ _ Sub consultant 3: $ _
Note:Both prime and subconsultants as parties of a contract must complete their own Exhibit 10-Kforms. subc"nsultmu 4: $ Caltrans will not process local agency's invoices until a complete Exhibit 10-Kform is accepted and approved by m)TOTAL SUBCONSULTANT COSTS$ - Caltrans,Audits and Investigations. o)TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS[(I)+(aI$ 33180.00 TOTAL COST[(c)+0)+(k)+(a))$ 50,729.43
Distribution: l)Original-Local Agency Project File 1.Key personnel mwt be marked with an asterisk(*)and employees that are subject to prevailing wage requirements must be marked with two asterisks(*'}All costs must 2)Copy Consultant comply with the Federal cost principles Subeensultuds will provide their own cost proposals 3)Copy-Caltrans Audits and Investigations 2.The cost proposal format shall not be amended.Indirect cost rates shall be updated on an annual basis in accordance with the consultant's annual accounting period and established by a cogm..agency or accepted by Caltrans
3.Anticipated salary increases calculation(page 2)must accompany.
Council Agenda 11-19-2024 9.G-33
Attachment 2
Local Assistance Procedures Manual EXHIBIT 10-H1 Cost Proposal
EXHIBIT 10-H COST PROPOSAL Page 2 of 3 Local Assistance Procedures Manual EXHIBIT 10-H1 ACTUAL COST-PLUS-FIXED FEE OR LUMP SUM(FIRM FIXED PRICE)CONTRACTS Cost Proposal (CALCULATIONS FOR ANTICIPATED SALARY INCREASES)
L Calculate Average Hourly Rate for list year of the contract(Direct Labor Subtotal divided by total hours) #REF! EXHIBIT 10-H1 COST PROPOSAL Page 3 or3 Direct Labor Subtotal Total Hours Avg Hourly 5 Year Contract Certification of Direct Costs:
per cost Proposal per Cost Proposal Rate Duration 1,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,allowable,and allocable to the contract in accordance with the $4,761.84 96 = $49.60 Year 1 Avg Hourly Rate contract terms and the following requirements:
2.Calculate hourly rate for all years(Increase the Average Hourly Rate for a year by proposed escalation%) 1. Generally Accepted Accounting Principles(GAAP)
2. Terms and conditions ofthe contract
Avg Hourly Rate Proposed Escalation 3. Title 23 United States Code Section 112-Letting of Contracts Year l $49.60 + 2.27% _ $50.73 Year 2 Avg Hourly Rats 4. 48 Code of Federal Regulations Part 31-Contract Cost Principles and Procedures
5. 23 Cade of Federal Regulations Part 172-Procurement,Management,and Administration of Year 2 $50.73 + 4.55% _ $53.04 Year 3 Avg Hourly Rate Engineering and Design Related Service Year 3 $53.04 + 4.55% _ $55.45 Year 4 Avg Hourly Rate 6. 48 Code of Federal Regulations Part 9904-Cost Accounting Standards Board(when applicable) Year 4 $55.45 + 4.55% _ $57.97 Year 5 Avg Hourly Rate 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
3.Calculate estimated hours per year(Multiply estimate%each year by total hours) 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 Estimated% Total Hours Total Hours Rate(s).
Completed Each Year per Cost Proposal per Year
Year 1 100.00% * 96.0 = 96.0 Estimated Hours Year 1 Yen 2 96.0 Estimated Hours Year 2
Prime Consultant or Subconsultant Certifying: - * =
Year 3 * 96.0 = Estimated Hours Year 3 Name: Robert Down,PE Title*:Senior Vice President Year 4 * 96.0 = Estimated Hours Year 4 Signature: Date of Certification(mm/dd/yyyy): 11/6/2024 Year 5 * 96.0 = Estimated Hours Yew 5 Email: rdowntfbearthsystems.eom Phone Number: 805-544-3276 Total 100% Total = 96.0 Address:
4.Calculate Total Costs including Escalation(Multiply Average Hourly Rate by the number of hours) *An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower Avg Hourly Rate Estimated hours than a Vice President or a Chief Financial Officer,or equivalent,who has authority to represent the financial calculated above Cost per Yew( ) (calculated above) information utilized to establish the cost proposal for the contract.
Year 1 $49.60 * 96.0 = $4,761.84 Estimated Hours Year 1 List services the consultant is providing under the proposed contract:
Year 2 $50.73 * = Estimated Hours Year 2 Yew 3 $53.04 * = Estimated Hours Year 3
Geotechnical Engineering
Year 4 $55.45 * = Estimated Hours Yew 4
Year 5 $57.97 • _ Estimated Hours Year 5
Total Direct Labor Cost with Escalation = $4,761.84 Direct Labor Subtotal before Escalation = $4,761.84 \• » Estimated total of Direct Labor Salary Increase = Transfer to Page I NOTES:
This is not the only way to estimate salary increases.Other methods will be accepted if they clearly indicate the%increase, the#of years of the contract,and a breakdown of the labor to be performed each year.
An estimation that is based on direct labor multiplied by salary increase%multiplied by the#of years is not acceptable. (i.e.$250,000 x 2%x 5 yrs=$25,000 is not an acceptable methodology) This assumes that one year will be worked at the rate on the cost proposal before salary increases are granted.
Nov-24
Council Agenda 11-19-2024 9.G-34
Attachment 2
Local Assistance Procedures Manual Exhibit 10-K Local Assistance Procedures Manual Exhibit 10-K Consultant Annual Certification of Indirect Costs and Financial Management System Consultant Annual Certification of Indirect Costs and Financial Management System EXHIBIT 10-K CONSULTANT ANNUAL CERTIFICATION OF accounts; INDIRECT COSTS AND FINANCIAL MANAGEMENT SYSTEM • Ability to accumulate and segregate allowable direct costs by project,contract and type of cost; • Internal controls to maintain integrity of financial management system; (Note:If a Safe Harbor Indirect Cost Rate is approved,this form is not required) • 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 andjob costing system;and Consultant's Full Legal Name: Earth Systems Pacific • Ability to ensure costs are in compliance with contract terms and federal and state requirement Important:Consultant means the individual or consultant providing engineering and design related Cost Reimbursements on Contracts:
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. 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 Indirect Cost Rate: the following:
Combined Rate 235.02 %OR • Sanctions and Penalties-23 CFR Part 172.1 l(c)(4) • False Claims Act-Title 31 U.S.C.Sections 3729-3733
Home Office Rate % and Field Office Rate(if applicable) % • Statements or entries generally-Title 18 U.S.C.Section 1001 Facilities Capital Cost of Money a/o(if applicable) • Major Fraud Act-Title 18 U.S.C.Section 1031 Fiscal period* 2023 All A&E Contract Information:
• Total participation amount$_500.000.00 on all State and FAHP contracts for Architectural& *Fiscal period is annual one year applicable accounting period that the Indirect Cost Rate was developed(not Engineering services that the consultant received in the last three fiscal periods. the contract period).The Indirect Cost Rate is based on the consultant's one-year applicable accounting period • The number of states in which the consultant does business is 1 . for which financial statements are regularly prepared by the consultant. • Years of consultant's experience with 48 CFR Part 31 is 13 I have reviewed the proposal to establish an Indirect Cost Rate(s)for the fiscal period as specified above and have • Audit history of the consultant's current and prior years(if applicable) ❑ Cognizant ICR Audit El Local Gov't ICR Audit ®Caltrans ICR Audit determined to the best of my knowledge and belief that:
❑ CPA ICR Audit ❑ Federal Gov't ICR Audit
• All costs included in the cost proposal to establish the indirect cost rate(s)are allowable in accordance with the cost principles of the Federal Acquisition Regulation(FAR)48,Code of I,the undersigned,certify all of the above to the best of my knowledge and belief and that I have reviewed the Federal Regulations(CFR),Chapter 1,Part 31(48 CFR Part 31); Indirect Cost Rate Schedule to determine that any costs which are expressly unallowable under the Federal cost • The cost proposal does not include any costs which are expressly unallowable under the 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 principles of 48 CFR Part 31; all applicable state and federal rules and regulations.I also certify that I understand that all documentation of • The accounting treatment and billing of prevailing wage delta costs are consistent with our compliance must be retained by the consultant.I hereby acknowledge that costs that are noncompliant with the prevailing wage policy as either direct labor,indirect costs,or other direct costs on all federally- federal and state requirements are not eligible for reimbursement and must be returned to Caltrans. funded A&E Consultant Contracts. Name** lexis H1 bner Title**: CFO • All known material transactions or events that have occurred subsequent to year-end affecting the consultant's ownership, organization,and indirect cost rates have been disclosed as of the date of Signs e: Date of Certification(mm/dd/yyyy): 10/04/2024 this certification. Email**: a bner(c).earthsystems.com Phone Number**: 805-234-9406 I am providing the required and applicable documents as instructed on Exhibit 10-A.
Financial Management System: -An individual executive or financial officer ofthe consultant's or subcousultent's organiution at a level no lower than a Vice President,a Chief Financial Officer,or equivalent,who has authority to represent the financial information used to establish the indirect cost rate.
Our labor charging,job costing,and accounting systems meet the standards for financial reporting,accounting records,and internal control adequate to demonstrate that costs claimed have been incurred,appropriately Note:Both prime and subconsultants as parties of a contract must complete their own Exhibit 10-Kforms. accounted for,are allocable to the contract,and comply with the federal requirements asset forth in Title 23 Caltrans will not process local agency's invoices until a complete Exhibit 10-Kform is accepted and approved by United States Code(U.S.C.)Section 112( )b(2);48 CFR Part 31.201-2(d):23 CFR Chapter 1,Part 172.1 l(a)(2); Caltrans Audits and Investigations. and all applicable state and federal rules and regulations.
Our financial management system has the following attributes:
• Account numbers identifying allowable direct,indirect,and unallowable cost accounts; Distribution: 1)Original-Local Agency Project rile 2)Copy-Consultant
• Ability to accumulate and segregate allowable direct,indirect,and unallowable costs into separate cost 3)Copy-Caltrans Audits and Investigations
March 2018 March 2018
Council Agenda 11-19-2024 9.G-35
Attachment 2
Cost Proposal Cost Proposal
COST PROPOSAL 1 PAGE I OF 3 COST PROPOSAL 1 PAGE 2 OF 3 COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (DESIGN,ENGINEERING AND ENVIRONMENTAL STUDIES) (DESIGN,ENGINEERING AND ENVIRONMENTAL STUDIES) Note:Mark-ups are Not Allowed ❑Prima Consultant 2Subronsultent ❑2nd Tier Subcons.It- Consultant Rincon Consultants,Inc. tract No.TCEP-5289(017) Date 10/17/2024 Consultant Rincon Consultants,Inc. Contract No.TCEP-5289(017) Date 10/17/2024 Project No. 1.Calculate Average Hourly Rate for 1st year of the contract(Direct Labor Subtotal divided by total hours)
DIRECT LABOR
Classithemi oTHI, Name Hours Actual Hourly Rate Total Direct Labor Subtotal Total Hours Avg Hourly 5 Year Contract PROI-Principal 6 $84.21 $505.26 per Cost Proposal per Cost Proposal Rate Duration DR01-Director 6 $79.33 $475.98 $8,877.66 151 = $58.79 Year 1 Avg Hourly Rate PLO8-Senior Supervisor Planner H 12 $69.27 $831.24 B107-Supervisor Biologist I 3 $64.90 $194.70 2.Calculate hourly role for all years(Increase the Average Hourly Rate for a year by proposed escalation%) PROI-Principal 2 $94.30 $188.60
DRO1-Director 4 $40.08 $160.32 Avg Hourly Rate Proposed Escalation PLO8-Senior Supervisor Planner H 4 $85.88 $343.52 Year 1 $58.79 + 3.5% _ $60.85 Year 2 Avg Haarly Rate BI07-Supervisor Biologist I 39 $64.70 $2,523.43 Year 2 $60.85 + 3.5% _ $62.98 Yem 3 Avg Hourly Rate 13I05-Senior Biologist l 59 $50.34 $2,970.11 Year3 $62.98 + 3.5% _ $65.18 Yem4Avg Haucly Rate GC03-Senior GIS Specialist 4 $51.27 $205.08 Year 4 $65.18 + 3.5% _ $67.47 Yem 5 Avg Hourly Rate GCO2-GIS/CADD Specialist 11 6 $39.68 $238.08
CL03-Project Accountant 2 $48.56 $97.11 3.Calculate estimated hours per year(Multiply estimate%each year by total hours) PSOI-Production Specialist I 2 $37.11 $74.21 CLOT-Admin AssistantBillwg Specialist 2 $35.00 $70.00 Estimated% Total Hours Total Hours LABOR COSTS Completed Each Year per Cost Proposal per Year a)Subtotal Direct Labor Costs $8,877.66 Year 1 100.00% " 15 L0 = 15 LO Estimated Hour Yem 1 b)Anticipated Salary Increases(see page 2 for calculation) $0.00 Yem 2 " 151.0 = 0.0 Estimated Hours Yem 2 c)TOTAL DIRECT LABOR COSTS I(a)+(b)] $8,877.66 Year3 " 151.0 = 0.0 Estimated Hours Yem3 INDIRECT COSTS Year 4 " 151.0 = 0.0 Esthated Hours Yem 4 d)Fringe Benefits (Rate: 98.86% e)Total Fringe Benefits[()x(d)] $8,776.45 Year 5 ' 151.0 = 0.0 estimated Hours Yee,5 D Overhead (Rate: 103.30% g)Overhead[(c)x(t)] $9,170.62 Total LOON Total = 151.0 h)General and Administrative (Rate: 0.00% it Gen&Admin[(c)x(h)] $0.00 j)Total Indirect Costs[()+(g)+(i)] $17,947.07 4.Calculate Total Costs including Escalation(Multiply Average Hourly Rate by the number of hours)
FIXED FEE
o) (Rate: 10.00% k)TOTAL FIXED PROFIT[()+p)]x(o)] $2,682.47 Avg Hourly Rate Estimated hours (calculated above) (calculated above) Cost per Year 1)CONSULTANT'S OTHER DIRECT COSTS(ODC)-ITEMIZE(Add additional pages if necessary) Year 1 $58.79 * 151 = $8,877.66 Estimated Hour,Year 1 Description of item Quantity Units) Unit Cost Total Year 2 $60.85 * 0 = 0 Estimated Hours Year 2 Standard Field Package 3 Unit $114.00 $342.00 Year 3 $62.98 * 0 = 0 Estimated Hours Year 3 Vehicle Day Rate1 3 jUnit 1 $90.001 Year $65.18 * 0 = 0 Estimated Hours Year Year 5 $67.47 * 0 = 0 Estimated Hours Year 5 1)TOTAL OTHER DIRECT COSTS $612.00 Total Direct Labor Cost with Escalation = $8,877.66 Direct Labor Subtotal before Escalation = $8,877.66
m)SUBCONSULTANTS'COSTS(Add additional pages if necessary) Estimated total Of Direct Labor Salary Increase = $0.00 Transf to Page 1 Subconsultant l: $0.00
Subconsultant 2: $0.00
Subconsultant 3: $0.00 NOTES:
m)TOTAL SUBCONSULTANT'S COSTS $0.00 1.his is net the only way to estimate salary increases.Other methods will be accepted if they clearly indicate the% increase,the#of years of the contract,and a breakdowa ofthe labor to be perf ed each year.
N)TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS[(p+(m)] $612.00 2.An estimation that is based on direct labor multiplied by salary increase%multiplied by the#of years is not acceptable. (i.e.$250,000 x 2%x 5 yrs=$25,000 is not an acceptable methodology) TOTAL COST[(c)+0)+(k)+(n)] $30,119.00 3.TLis assumes that one year will be worked at the rate on the cost proposal before salary increases are granted.
4.Calculations for anticipated salary escalation..at be provided.
NOTES:
1.Key persormel must be marked with an astuisk(h and emplayceslhat are subjectf prevailing eregerequvemwts must be marked with two asterisks(").All cost,must comply with the Federal wet principles.S.1tv.-pants will powidetbeir owm cost proposals.
2.The cost proposal format shall not be amended.Indirect cost rates shall be updated on au annual basis e,accordance with the wnsul-a's annual accounting period sad established by a cognizant agency or accepted by Caltruo.
3.Anticipated salary increases celwlation(page 2)m�at accompany.
January 2018 lanu:u.'_015
Council Agenda 11-19-2024 9.G-36
Attachment 2
COST PROPOSAL 1 PACE 3 of 3
Cost Proposal Inspector General
�
Certification of Direct Costs: California Department of Transportation 1,the undersigned,certify to the best of my knowledge and belief that all direct costs identified on the cost proposals)in this contract are actual,reasonable,allowable,and allocable to the contract in accordance with the contract terms and the following requirements: Certification of Indirect Costs and Financial Management System
1. Generally Accepted Accounting Principles(GAAP) (Note:If a Safe Harbor Indirect Cost Rate is approved,this form is not required)
2. Terms and conditions of the contract
3. Title 23 United States Code Section 112-Letting of contracts Consultant's Full Legal Name: Rincon Consultants,Inc.
4. 48 Code of Federal Regulations Part 31-Contract Cost Principles and Procedures g
5. 23 Code of Federal Regulations Part 172-Procurement,Management,and Administration of Engineering and Design Related Service Important:Consultant means the individual or consultant providing engineering and design related services as
6. 48 Code of Federal Regulations Part 9904-Cost Accounting Standards Board(when applicable) 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.
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 Indirect Cost Rate(ICR)• requirements are not eligible for reimbursement.
Local governments are responsible for applying only cognizant agency approved or Caltrans accepted Indirect Cost Rate(s). 202.16 Combined Rate: Or
Prime Consultant orsubconsultantcertirvine: Home Office Rate: and Field Office Rate(if applicable):
Name: Lacrissa Davis Title*:CFO
Signature: l_G — Date ofcerfification(mm/dd/yyyy): 10/17/2024 Facilities Capital Cost of Money(if applicable):
Email: IcookArinconconsultants.com Phone Number: 805-644-4455 *1/1/2023-12/31/2023 Address: 180 N.Ashwood Avenue,Ventura CA 93003 Fiscal Period:
*An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower than a Vice Fiscal period is annual one year applicable accounting period that the ICR was developed(not the contract period).The ICR is based on the President or a Chief Financial Officer,or equivalent,who has authority to represent the financial information utilized to establish consultant's one-year applicable accounting period for which financial statements are regularly prepared by the consultant. the cost proposal for the contract. I have reviewed the proposal to establish an ICR(s)for the fiscal period as specified above and have determined List services the consultant is providing under the proposed contract: to the best of my knowledge and belief that:
Environmental compliance and public outreach services All costs included in the cost proposal to establish the ICR(s)are allowable in accordance with the cost principles of the Federal Acquisition Regulation(FAR)48,Code of Federal Regulations (CFR),Chapter 1,Part 31(48 CFR Part 31).
The cost proposal does not include any costs which are expressly unallowable under the cost principles of 48 CFR Part 31.
The accounting treatment and billing of prevailing wage delta costs are consistent with our prevailing wage policy as either direct labor,indirect costs,or other direct costs on all federally-funded A&E Consultant Contracts.
All known material transactions or events that have occurred subsequent to year-end affecting the consultant's ownership,organization,and indirect cost rates have been disclosed as of the date of this certification.
I am providing the required and applicable documents as instructed on the Financial Document Review Request form.
Financial Management System:
Our labor charging,job costing,and accounting systems meet the standards for financial reporting,accounting 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 W(2):
and all applicable state and federal rules and regulations.
Our financial management system has the following attributes:
Account numbers identifying allowable direct,indirect,and unallowable cost accounts; Ability to accumulate and segregate allowable direct,indirect,and unallowable costs into separate cost accounts;
January 2018 Certification of Indirect Costs and Financial Management System-Independent Office of Audits and Investigations-Revised 9/2022 1 Council Agenda 11-19-2024 9.G-37
Attachment 2
Ability to accumulate and segregate allowable direct costs by project,contract and type of cost; Exhibit 10-R:A&E BOILERPLATE AGREEMENT LANGUAGE Internal controls to maintain integrity of financial management system; (For Local Assistance Federal-Aid Projects Ability to account and record costs consistently and to ensure costs billed are in compliance with FAR; and State-Only Projects Requiring Incorporation of 2 CFR 200) Ability to ensure and demonstrate costs billed reconcile to general ledgers and job costing system;and Paqe Ability to ensure costs are in compliance with contract terms and federal and state requirements. ARTICLE I INTRODUCTION......................................................................................................................2 Cost Reimbursements on Contracts: ARTICLE II CONSULTANT'S REPORTS OR MEETINGS.........................................................................2 ARTICLE III STATEMENT OF WORK........................................................................................................3 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 ARTICLE IV PERFORMANCE PERIOD.....................................................................................................3 following: ARTICLE V ALLOWABLE COSTS AND PAYMENTS...............................................................................3 Sanctions and Penalties-23 CFR Part 172.11(c)(4) ARTICLE VI TERMINATION......................................................................................................................4 False Claims Act-Title 31 U.S.C.Sections 3729-3733 ARTICLE VII COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS.........................................4 Statements or entries generally-Title 18 U.S.C.Section 1001 ARTICLE VIII RETENTION OF RECORD/AUDITS....................................................................................4 • Major Fraud Act-Title 18 U.S.C.Section 1031
ARTICLE IX AUDIT REVIEW PROCEDURES...........................................................................................4 All A&E Contract Information: ARTICLE X SUBCONTRACTING................. ........................................6 Total participation amount 00 on all State and FAHP contracts for Architectural&Engineering services that the consultant received in the last three fiscal periods. ARTICLE XI EQUIPMENT PURCHASE AND OTHER CAPITAL EXPENDITURES...................................7 The number of states in which the consultant does business is 17 ARTICLE XII STATE PREVAILING WAGE RATES...................................................................................8 Years of consultant's experience with 48 CFR Part 31 is 9 ARTICLE XIII CONFLICT OF INTEREST.................................................................................................11 Identify the type of audits listed below that the consultant has had performed(if applicable): ARTICLE XIV REBATES,KICKBACKS OR OTHER UNLAWFUL CONSIDERATION............................11 Cognizant ICR Audit ❑ Local Govt ICR Audit ❑ ARTICLE XV—INTENTIONALLY OMITTED............................................................................................11 CPA ICR Audit ❑� Federal Govt ICR Audit ❑ Caltrans ICR Audit ❑ ARTICLE XVI NON-DISCRIMINATION CLAUSE AND STATEMENT OF COMPLIANCE.......................11 ARTICLE XVII DEBARMENT AND SUSPENSION CERTIFICATION......................................................12 I,the undersigned,certify all of the above to the best of my knowledge and belief and that I have reviewed the ARTICLE XVIII—INTENTIONALLY OMITTED.........................................................................................13 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 ARTICLE XVIX INSURANCE...................................................................................................................13 all applicable state and federal rules and regulations.I also certify that I understand that all documentation of ARTICLE XX FUNDING REQUIREMENTS..............................................................................................13 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. ARTICLE XXI CHANGE IN TERMS.........................................................................................................13 Name:**
Lacrissa Title**: CFO Davis ARTICLE XXII CONTINGENT FEE..........................................................................................................13 ARTICLE XXIII DISPUTES.......................................................................................................................14 Signature: Date: 06/04/2024 ARTICLE XXIV INSPECTION OF WORK.................................................................................................14 Phone**:
(805)644-4455 Email**: [email protected] ARTICLE XXV SAFETY...........................................................................................................................14 ARTICLE XXVI OWNERSHIP OF DATA..................................................................................................14 "An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower than a ARTICLE XXVII CLAIMS FILED BY LOCAL AGENCY'S CONSTRUCTION CONTRACTOR.................15 Vice President,a Chief Financial Officer,or equivalent,who has authority to represent the financial information used to establish the indirect cost rate. ARTICLE XXVIII CONFIDENTIALITY OF DATA......................................................................................15 ARTICLE XXIX NATIONAL LABOR RELATIONS BOARD CERTIFICATION.........................................16 Note:Both prime and subconsultants as parties of a contract must complete their own forms.Caltrans will not ARTICLE XXX EVALUATION OF CONSULTANT...................................................................................16 process local agency's invoices until a complete form is accepted and approved by the Independent Office of Audits and Investigations. ARTICLE XXXI PROMPT PAYMENT.......................................................................................................16 ARTICLE XXXII—INTENTIONALLY OMITTED.......................................................................................16 ARTICLE XXXIII NOTIFICATION.............................................................................................................16 ARTICLE XXXIV CONTRACT..................................................................................................................17
Certification of Indirect Costs and Financial Management System-Independent Office of Audits and Investigations-Revised 9I2022 2 May 2023 Council Agenda 11-19-2024 9.G-38
Attachment 2
ARTICLE III STATEMENT OF WORK
ARTICLE I INTRODUCTION See Vendor Agreement Exhibit A.
A. This AGREEMENT is between the following named,hereinafter referred to as,CONSULTANT and ARTICLE IV PERFORMANCE PERIOD the following named,hereinafter referred to as,LOCAL AGENCY:
A. See Vendor Agreement Section II.
The name of the"CONSULTANT"is as follows: B. CONSULTANT is advised that any recommendation for AGREEMENT award is not binding on Wallace Group LOCAL AGENCY until the AGREEMENT is fully executed and approved by LOCALAGENCY.
Incorporated in the State of California ARTICLE V ALLOWABLE COSTS AND PAYMENTS The Project Manager for the"CONSULTANT"will be Jorge Aguilar The name of the"LOCAL AGENCY"is as follows: A. The method of payment for this AGREEMENT will be based on actual cost plus a fixed fee.LOCAL City of Pismo Beach 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 The Contract Administrator for LOCAL AGENCY will be Nate Stong,Senior Engineer 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 B. See Vendor Agreement Section I. 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 C. See Vendor Agreement Section XIII. 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 D. See Vendor Agreement Section IX. 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 E. LOCAL AGENCY is not required to make any deductions or withholdings from the compensation accommodate the changed work.The maximum total cost as specified in Paragraph"I"of this payable to CONSULTANT under the provisions of the AGREEMENT,and is not required to issue Article shall not be exceeded,unless authorized by AGREEMENT amendment.
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 B. The indirect cost rate established for this AGREEMENT is extended through the duration of this control or direction of the LOCAL AGENCY as to the designation of tasks to be performed and the specific AGREEMENT.CONSULTANT's agreement to the extension of the 1-year applicable period results to be accomplished. shall not be a condition or qualification to be considered for the work or AGREEMENT award.
F. See Vendor Agreement Section XVI. C. In addition to the allowable incurred costs,LOCAL AGENCY will pay CONSULTANT a fixed feeof G. See Vendor Agreement Section XVI. $65,002.41.The fixed fee is nonadjustable for the term of the AGREEMENT,except in the event 9 of a significant change in the scope of work and such adjustment is made by AGREEMENT amendment.
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 D. Reimbursement for transportation and subsistence costs shall not exceed the rates specified in the indirectly employed by them,in the same manner as persons directly employed byCONSULTANT. approved Cost Proposal.
I. See Vendor Agreement Section XXIX. 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 J. See Vendor Agreement Section III. before exceeding such cost estimate.
ARTICLE II CONSULTANT'S REPORTS OR MEETINGS F. Progress payments will be made monthly in arrears based on services provided and allowable The report should incurred costs.A pro rata portion of CONSULTANT's fixed fee will be included in the monthly A. CONSULTANT shall submit progress reports at least once a month.T ld be sufficiently detailed for the LOCAL AGENCY'S Contract Administrator determine, 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 CONSULTANT is performing to expectations,or is on schedule;to provide communication of payment or terminate this AGREEMENT.
interim findings,and to sufficiently address any difficulties or special problems encountered,so remedies can be developed. G. No payment will be made prior to approval of any work,nor for any work performed prior to B. CONSULTANT's Project Manager shall meet with LOCAL AGENCY's Contract Administrator,as approval of this AGREEMENT. needed,to discuss progress on the 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
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CONSULTANT is billing.Invoices shall detail the work performed on each milestone and each (ICR),may be subject to audits or reviews such as,but not limited to,an agreement audit,an project as applicable.Invoices shall follow the format stipulated for the approved Cost Proposal and incurred cost audit,an ICR Audit,or a CPA ICR audit work paper review.If selected for audit or shall reference this AGREEMENT number and project title.Final invoice must contain the final cost review,the agreement,cost proposal and ICR and related work papers,if applicable,will be and all credits due LOCAL AGENCY including any equipment purchased under the provisions of reviewed to verify compliance with 48 CFR 31 and other related laws and regulations.In the Article XI Equipment Purchase.The final invoice should be submitted within sixty(60)calendar instances of a CPA ICR audit work paper review,it is CONSULTANT's responsibility to ensure days after completion of CONSULTANT's work.Invoices shall be mailed to LOCAL AGENCY's federal,LOCAL AGENCY,or local government officials are allowed full access to the CPA's work Contract Administrator at the following address: 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 City of Pismo Beach to the audit or review recommendations.CONSULTANT agrees that individual terms of costs Accounts Payable identified in the audit report shall be incorporated into the AGREEMENT by this reference if directed 760 Mattie Road by LOCAL AGENCY at its sole discretion.Refusal by CONSULTANT to incorporate audit or review Pismo Beach,CA 93449 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 I. The total amount payable by LOCAL AGENCY including the fixed fee shall not exceed the amount termination of the AGREEMENT and disallowance of prior reimbursed costs. set forth in Vendor Agreement Section III.A.
E. CONSULTANT's Cost Proposal may be subject to a CPA ICR Audit Work Paper Review and/or J. For personnel subject to prevailing wage rates as described in the California Labor Code,all salary audit by the Independent Office of Audits and Investigations(IOAI).IOAI,at its sole discretion,may increases,which are the direct result of changes in the prevailing wage rates are reimbursable. 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 ARTICLE VI TERMINATION the Work Paper Review recommendations included in the management letter or audit See Vendor Agreement Section IV recommendations included in the audit report.Refusal by the CONSULTANT to incorporate the Work Paper Review recommendations included in the management letter or audit ARTICLE VII COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS 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.
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. 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 B. The CONSULTANT also agrees to comply with Federal procedures in accordance with 2 CFR 200, during the review.Each party agrees to use its best efforts to resolve any audit disputes in a Uniform Administrative Requirements,Cost Principles,and Audit Requirements for FederalAwards. 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 C. Any costs for which payment has been made to the CONSULTANT that are determined by ICR until a FAR(Federal Acquisition Regulation)compliant ICR(e.g.48 CFR Part 31;GAGAS subsequent audit to be unallowable under 48 CFR 31 or 2 CFR 200 are subject to repayment by (Generally Accepted Auditing Standards);CAS(Cost Accounting Standards),if applicable;in the CONSULTANT to LOCAL AGENCY. accordance with procedures and guidelines of the American Association of State Highways and Transportation Officials(AASHTO)Audit Guide;and other applicable procedures and D. When a CONSULTANT or Subconsultant is a Non-Profit Organization or an Institution of Higher guidelines)is received and approved by IOAI.
Education,the Cost Principles for Title 2 CFR 200,Uniform Administrative Requirements,Cost Principles,and Audit Requirements for Federal Awards shall apply. Accepted rates will be as follows:
a. If the proposed rate is less than one hundred fifty percent(150%)-the accepted rate ARTICLE VIII RETENTION OF RECORD/AUDITS reimbursed will be ninety percent(90%)of the proposed rate.
See Vendor Agreement Section XI I.
b. If the proposed rate is between one hundred fifty percent(150%)and two hundred ARTICLE IX AUDIT REVIEW PROCEDURES percent(200%)-the accepted rate will be eighty-five percent(85%)of the proposed A. Any dispute concerning a question of fact arising under an interim or post audit of this rate.
AGREEMENT that is not disposed of by AGREEMENT,shall be reviewed by LOCAL c. If the proposed rate is greater than two hundred percent(200%)-the accepted rate will AGENCY'S Chief Financial Officer. be seventy-five percent(75%)of the proposed rate.
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 2. If IOAI is unable to issue a cognizant letter per paragraph E.I.above,IOAI may require unresolved audit issues.The request for review will be submitted in writing. CONSULTANT to submit a revised independent CPA-audited ICR and audit report withinthree C. Neither the pendency of a dispute nor its consideration by LOCAL AGENCY will excuse (3)months of the effective date of the management letter.IOAI will then have up to six(6) CONSULTANT from full and timely performance,in accordance with the terms of this months to review the CONSULTANT's and/or the independent CPA's revisions.
AGREEMENT. 3. If the CONSULTANT fails to comply with the provisions of this paragraph E,or if IOAI is still D. CONSULTANT and subconsultant agreements,including cost proposals and Indirect Cost Rates unable to issue a cognizant approval letter after the revised independent CPA audited ICR is
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submitted,overhead cost reimbursement will be limited to the accepted ICR that was G. Prompt Payment of Withheld Funds to Subconsultants established upon initial rejection of the ICR and set forth in paragraph E.I.above for all The LOCAL AGENCY may hold retainage from CONSULTANT and shall make prompt and regular rendered services.In this event,this accepted ICR will become the actual and final ICR for incremental acceptances of portions,as determined by the LOCAL AGENCY,of the contract work, reimbursement purposes under this AGREEMENT. and pay retainage to CONSULTANT based on these acceptances.The LOCAL AGENCY shall
4. CONSULTANT may submit to LOCAL AGENCY final invoice only when all of the following items designate one of the methods below in the contract to ensure prompt and full payment of any have occurred:(1)IOAI accepts or adjusts the original or revised independent CPA audited ICR; retainage kept by CONSULTANT or subconsultant to a subconsultant. (2)all work under this AGREEMENT has been completed to the satisfaction of LOCAL Method 1:No retainage will be held by the LOCAL AGENCY from progress payments due to AGENCY;and,(3)IOAI has issued its final ICR review letter.The CONSULTANT MUST CONSULTANT.CONSULTANTS and subconsultants are prohibited from holding retainage from SUBMIT ITS FINAL INVOICE TO LOCAL AGENCY no later than sixty(60)calendar days after subconsultants.Any delay or postponement of payment may take place only for good cause and occurrence of the last of these items.The accepted ICR will apply to this AGREEMENT and all with the LOCAL AGENCY's prior written approval.Any violation of these provisions shall subject the other agreements executed between LOCAL AGENCY and the CONSULTANT,either as a violating CONSULTANT or subconsultant to the penalties,sanctions,and other remedies specified prime or subconsultant,with the same fiscal period ICR. in Section 3321 of the California Civil Code.This requirement shall not be construed to limit or ARTICLE X SUBCONTRACTING 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, A. Nothing contained in this AGREEMENT or otherwise,shall create any contractual relation between deficient subconsultant performance and/or noncompliance by a subconsultant. the LOCAL AGENCY and any Subconsultants,and no subagreement shall relieve the CONSULTANT of its responsibilities and obligations hereunder.The CONSULTANT agrees to be Any violation of these provisions shall subject the violating CONSULTANT or subconsultant to the as fully responsible to the LOCAL AGENCY for the acts and omissions of its Subconsultants andof penalties,sanctions and other remedies specified therein.These requirements shall not be persons either directly or indirectly employed by any of them as it is for the acts and omissions of construed to limit or impair any contractual,administrative,or judicial remedies otherwise available persons directly employed by the CONSULTANT.The CONSULTANT's obligation to pay its to CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment Subconsultants is an independent obligation from the LOCAL AGENCY's obligation to make by CONSULTANT,deficient subcontract performance,or noncompliance by a subconsultant. payments to the CONSULTANT.
ARTICLE XI EQUIPMENT PURCHASE AND OTHER CAPITAL EXPENDITURES B. The CONSULTANT shall perform the work contemplated with resources available within its own A. Prior authorization in writing by LOCAL AGENCY's Contract Administrator shall be required before organization and no portion of the work shall be subcontracted without written authorization by the CONSULTANT enters into any unbudgeted purchase order,or subcontract exceeding five thousand LOCAL AGENCY Contract Administrator,except that which is expressly identified in the dollars($5,000)for supplies,equipment,or CONSULTANT services.CONSULTANT shall provide CONSULTANT's approved Cost Proposal. an evaluation of the necessity or desirability of incurring such costs.
C. Any subagreement entered into as a result of this AGREEMENT,shall contain all the provisions B. For purchase of any item,service,or consulting work not covered in CONSULTANT's approved stipulated in this entire AGREEMENT to be applicable to Subconsultants unless otherwise noted. Cost Proposal and exceeding five thousand dollars($5,000),with prior authorization by LOCAL D. CONSULTANT shall pay its Subconsultants within Fifteen(15)calendar days from receipt of each AGENCY's Contract Administrator,three competitive quotations must be submitted with the payment made to the CONSULTANT by the LOCAL AGENCY. request,or the absence of proposal must be adequately justified.
E. Any substitution of Subconsultants must be approved in writing by the LOCAL AGENCY Contract C. Any equipment purchased with funds provided under the terms of this AGREEMENT is subject to Administrator in advance of assigning work to a substitute Subconsultant. the following:
1. CONSULTANT shall maintain an inventory of all nonexpendable property.Nonexpendable F. Prompt Progress Payment property is defined as having a useful life of at least two years and an acquisition cost of five CONSULTANT or subconsultant shall pay to any subconsultant,not later than fifteen(15)days thousand dollars($5,000)or more.If the purchased equipment needs replacement and is sold after receipt of each progress payment,unless otherwise agreed to in writing,the respective or traded in,LOCAL AGENCY shall receive a proper refund or credit at the conclusion of the amounts allowed CONSULTANT on account of the work performed by the subconsultants,to the AGREEMENT,or if the AGREEMENT is terminated,CONSULTANT may either keep the extent of each subconsultant's interest therein.In the event that there is a good faith dispute over all equipment and credit LOCAL AGENCY in an amount equal to its fair market value,or sell such or any portion of the amount due on a progress payment from CONSULTANT or subconsultant to a equipment at the best price obtainable at a public or private sale,in accordance with established subconsultant,CONSULTANT or subconsultant may withhold no more than 150 percent of the LOCAL AGENCY procedures;and credit LOCAL AGENCY in an amount equal to the sales disputed amount.Any violation of this requirement shall constitute a cause for disciplinary action price.If CONSULTANT elects to keep the equipment,fair market value shall be determined at and shall subject the licensee to a penalty,payable to the subconsultant,of 2 percent of the amount CONSULTANT's expense,on the basis of a competent independent appraisal of such due per month for every month that payment is not made. 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 In any action for the collection of funds wrongfully withheld,the prevailing party shall be entitled to of such sale must be approved in advance by LOCAL AGENCY. 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. 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 c. The public shall not be given access to certified payroll records by the CONSULTANT.
A. No CONSULTANT or Subconsultant may be awarded an AGREEMENT containing public work The CONSULTANT is required to forward any requests for certified payrolls to the elements unless registered with the Department of Industrial Relations(DIR)pursuant to Labor LOCAL AGENCY Contract Administrator by both email and regular mail on the business Code§1725.5.Registration with DIR must be maintained throughout the entire term of this day following receipt of the request.
AGREEMENT,including any subsequent amendments. 3. Each CONSULTANT shall submit a certified copy of the records enumerated in paragraph(1) B. The CONSULTANT shall comply with all of the applicable provisions of the California Labor Code above,to the entity that requested the records within ten(10)calendar days after receipt of a requiring the payment of prevailing wages.The General Prevailing Wage Rate Determinations written request. applicable to work under this AGREEMENT are available and on file with the Department of 4. Any copy of records made available for inspection as copies and furnished upon request to the (httTransportation's Regional/District Labor Compliance Officer public or any public agency by LOCAL AGENCY shall be marked or obliterated in such a part of
this
byconstruction/labor-compliance).These wage rates are made a specific manner as to prevent disclosure of each individual's name,address,and social security part of this AGREEMENT ru reference pursuant to Labor Code ill be 2 and will to applicable to number.The name and address of the CONSULTANT or Subconsultant performing the work work performed at a construction project site.Prevailing wages will be applicable to all inspection shall not be marked or obliterated. 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 5. The CONSULTANT shall inform LOCAL AGENCY of the location of the records enumerated specifically to serve LOCAL AGENCY projects.Prevailing wage requirements do not apply to under paragraph(1)above,including the street address,city and county,and shall,withinfive inspection work performed at the facilities of vendors and commercial materials suppliers that (5)working days,provide a notice of a change of location and address. provide goods and services to the general public.
6. The CONSULTANT or Subconsultant shall have ten(10)calendar days in which to comply C. General Prevailing Wage Rate Determinations applicable to this project may also be obtained from subsequent to receipt of written notice requesting the records enumerated in paragraph(1) the Department of Industrial Relations website at http://www.dir.ca.gov . above.In the event the CONSULTANT or Subconsultant fails to comply within the ten(10)day D. Payroll Records 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.
1. Each CONSULTANT and Subconsultant shall keep accurate certified payroll records and Such penalties shall be withheld by LOCAL AGENCY from payments then due.CONSULTANT supporting documents as mandated by Labor Code§1776 and as defined in 8 CCR§16000 is not subject to a penalty assessment pursuant to this section due to the failure of a showing the name,address,social security number,work classification,straight time and Subconsultant to comply with this section. 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 E. When prevailing wage rates apply,the CONSULTANT is responsible for verifying compliance with Subconsultant in connection with the public work.Each payroll record shall contain or be certified payroll requirements.Invoice payment will not be made until the invoice is approved by the verified by a written declaration that it is made under penalty of perjury,stating both of the LOCAL AGENCY Contract Administrator. following:
F. Penalty
a. The information contained in the payroll record is true and correct. 1. The CONSULTANT and any of its Subconsultants shall comply with Labor Code§1774 and b. The employer has complied with the requirements of Labor Code§1771,§1811,and §1775.Pursuant to Labor Code§1775,the CONSULTANT and any Subconsultant shall forfeit §1815 for any work performed by his or her employees on the public works project. 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
2. The payroll records enumerated under paragraph(1)above shall be certified as correct by the determined by the Director of DIR for the work or craft in which the worker is employed for any CONSULTANT under penalty of perjury.The payroll records and all supporting documents shall public work done under the AGREEMENT by the CONSULTANT or by its Subconsultant in be made available for inspection and copying by LOCAL AGENCY representatives at all violation of the requirements of the Labor Code and in particular,Labor Code§§1770 to 1780, reasonable hours at the principal office of the CONSULTANT.The CONSULTANT shall provide inclusive. copies of certified payrolls or permit inspection of its records as follows: 2. The amount of this forfeiture shall be determined by the Labor Commissioner and shall be a. A certified copy of an employee's payroll record shall be made available for inspection or based on consideration of mistake,inadvertence,or neglect of the CONSULTANT or furnished to the employee or the employee's authorized representative on request. 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 b. A certified copy of all payroll records enumerated in paragraph(1)above,shall be made willful failure by the CONSULTANT or Subconsultant to pay the correct rates of prevailing available for inspection or furnished upon request to a representative of LOCAL wages.A mistake,inadvertence,or neglect in failing to pay the correct rates of prevailing wages AGENCY,the Division of Labor Standards Enforcement and the Division of is not excusable if the CONSULTANT or Subconsultant had knowledge of the obligations under Apprenticeship Standards of the Department of Industrial Relations.Certified payrolls the Labor Code.The CONSULTANT is responsible for paying the appropriate rate,including submitted to LOCAL AGENCY,the Division of Labor Standards Enforcement and the any escalations that take place during the term of the AGREEMENT.
Division of Apprenticeship Standards shall not be altered or obliterated by the 3. In addition to the penalty and pursuant to Labor Code§1775,the difference between the CONSULTANT. 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.
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4. If a worker employed by a Subconsultant on a public works project is not paid the general advised to contact the DIR Division of Apprenticeship Standards website at prevailing per diem wages by the Subconsultant,the CONSULTANT of the project is not liable https://www.dir.ca.gov/das/,for additional information regarding the employment of apprentices for the penalties described above unless the CONSULTANT had knowledge of that failure of the and for the specific journey-to-apprentice ratios for the AGREEMENT work.The Subconsultant to pay the specified prevailing rate of wages to those workers or unless the CONSULTANT is responsible for all subconsultants'compliance with these requirements.
CONSULTANT fails to comply with all of the following requirements: Penalties are specified in Labor Code§1777.7. a. The AGREEMENT executed between the CONSULTANT and the Subconsultant for the ARTICLE XIII CONFLICT OF INTEREST 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. 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 b. The CONSULTANT shall monitor the payment of the specified general prevailing rate of AGREEMENT or any ensuing LOCAL AGENCY construction project.The CONSULTANT shall also per diem wages by the Subconsultant to the employees by periodic review of the list current clients who may have a financial interest in the outcome of this AGREEMENT or any certified payroll records of the Subconsultant. ensuing LOCAL AGENCY construction project which will follow. c. Upon becoming aware of the Subconsultant's failure to pay the specified prevailing rate B. CONSULTANT certifies that it has disclosed to LOCAL AGENCY any actual,apparent,orpotential of wages to the to halt or lea's workers,the CONSULTANT shall diligently take conflicts of interest that may exist relative to the services to be provided pursuant to this corrective action to halt or rectify the failure,including but not limited public retaining AGREEMENT.CONSULTANT agrees to advise LOCAL AGENCY of any actual,apparent or sufficient funds due the Subconsultant for work performed on the public works project. potential conflicts of interest that may develop subsequent to the date of execution of this d. Prior to making final payment to the Subconsultant for work performed on the public AGREEMENT.CONSULTANT further agrees to complete any statements of economic interest if works project,the CONSULTANT shall obtain an affidavit signed under penalty of required by either LOCAL AGENCY ordinance or State law. 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 C. The CONSULTANT hereby certifies that it does not now have,nor shall it acquire any financial or project and any amounts due pursuant to Labor Code§1813. business interest that would conflict with the performance of services under thisAGREEMENT.
5. Pursuant to Labor Code§1775,LOCAL AGENCY shall notify the CONSULTANT on a public D. The CONSULTANT hereby certifies that the CONSULTANT or subconsultant and any firm affiliated works project within fifteen(15)calendar days of receipt of a complaint that a Subconsultant has with the CONSULTANT or subconsultant that bids on any construction contract or on any failed to pay workers the general prevailing rate of per diem wages. Agreement to provide construction inspection for any construction project resulting from this
6. If LOCAL AGENCY determines that employees of a Subconsultant were not paid the general AGREEMENT,has established necessary controls to ensure a conflict of interest does not exist.An prevailing rate of per diem wages and if LOCAL AGENCY did not retain sufficient money under affiliated firm is one,which is subject to the control of the same persons,through joint ownership or the AGREEMENT to pay those employees the balance of wages owed under the general otherwise. 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 ARTICLE XIV REBATES,KICKBACKS OR OTHER UNLAWFUL CONSIDERATION wages if requested by LOCAL AGENCY. The CONSULTANT warrants that this AGREEMENT was not obtained or secured through rebates, G. Hours of Labor 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 Eight(8)hours labor constitutes a legal day's work.The CONSULTANT shall forfeit,as a penalty to terminate this AGREEMENT without liability,to pay only for the value of the work actually performed,or the LOCAL AGENCY,twenty-five dollars($25)for each worker employed in the execution of the to deduct from this AGREEMENT price or otherwise recover the full amount of such rebate,kickback or AGREEMENT by the CONSULTANT or any of its Subconsultants for each calendar day during other unlawful consideration. 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, ARTICLE XV—INTENTIONALLY OMITTED 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 ARTICLE XVI NON-DISCRIMINATION CLAUSE AND STATEMENT OF COMPLIANCE upon compensation for all hours worked in excess of eight(8)hours per day and forty(40)hours in A. The CONSULTANT's signature affixed herein and dated shall constitute a certification under any week,at not less than one and one-half(1.5)times the basic rate of pay,as provided in§1815. penalty of perjury under the laws of the State of California that the CONSULTANT has,unless H. Employment of Apprentices exempt,complied with the nondiscrimination program requirements of Gov.Code§12990 and 2
1. Where either the prime AGREEMENT or the subagreement exceeds thirty thousand dollars CCR§8103. ($30,000),the CONSULTANT and any subconsultants under him or her shall comply withall B. During the performance of this AGREEMENT,CONSULTANT and its subconsultants shall not deny applicable requirements of Labor Code§§1777.5,1777.6 and 1777.7 in the employment of the AGREEMENT's benefits to any person on the basis of race,religious creed,color,national apprentices. origin,ancestry,physical disability,mental disability,medical condition,genetic information,marital
2. CONSULTANTs and subconsultants are required to comply with all Labor Code requirements status,sex,gender,gender identity,gender expression,age,sexual orientation,or military and regarding the employment of apprentices,including mandatory ratios of journey level to veteran status,nor shall they unlawfully discriminate,harass,or allow harassment against any apprentice workers.Prior to commencement of work,CONSULTANT and subconsultants are employee or applicant for employment because of race,religious creed,color,national origin, ancestry,physical disability,mental disability,medical condition,genetic information,marital status,
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sex,gender,gender identity,gender expression,age,sexual orientation,or military and veteran 2. Has not been suspended,debarred,voluntarily excluded,or determined ineligible status.CONSULTANT and subconsultants shall insure that the evaluation and treatment of their by any public agency within the past three(3)years; employees and applicants for employment are free from such discrimination and harassment. 3. Does not have a proposed debarment pending;and
4. Has not been indicted,convicted,or had a civil judgment rendered against it by a C. CONSULTANT and subconsultants shall comply with the provisions of the Fair Employment and court of competent jurisdiction in any matter involving fraud or official misconduct Housing Act(Gov.Code§12990 et seq.),the applicable regulations promulgated there under(2 within the past three(3)years.
CCR§11000 at 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 B. Any exceptions to this certification must be disclosed to LOCAL AGENCY.Exceptions will not Fair Employment and Housing Commission implementing Gov.Code§12990(a-f),set forth 2 CCR necessarily result in denial of recommendation for award,but will be considered in determining §§8100-8504,are incorporated into this AGREEMENT by reference and made a part hereof as if responsibility.Disclosures must indicate the party to whom the exceptions apply,the initiating set forth in full. agency,and the dates of agency action.
D. CONSULTANT shall permit access by representatives of the Department of Fair Employment and C. Exceptions to the Federal Government excluded parties( https://sam.gov/content/home)maintained Housing and the LOCAL AGENCY upon reasonable notice at any time during the normal business by the U.S.General Services Administration are to be determined by FHWA. 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 ARTICLE XVIII—INTENTIONALLY OMITTED AGENCY shall require to ascertain compliance with this clause.
ARTICLE XVIX INSURANCE
E. CONSULTANT and its subconsultants shall give written notice of their obligations under this clause See Vendor Agreement Section XV. to labor organizations with which they have a collective bargaining or other Agreement.
ARTICLE XX FUNDING REQUIREMENTS
F. CONSULTANT shall include the nondiscrimination and compliance provisions of this clause in all A. It is mutually understood between the parties that this AGREEMENT may have been written before subcontracts to perform work under this AGREEMENT. ascertaining the availability of funds or appropriation of funds,for the mutual benefit of both parties, G. The CONSULTANT,with regard to the work performed under this AGREEMENT,shall act in in order to avoid program and fiscal delays that would occur if the AGREEMENT were executed accordance with Title VI of the Civil Rights Act of 1964(42 U.S.C.§2000d at seq.).Title VI provides after that determination was made. that the recipients of federal assistance will implement and maintain a policy of nondiscrimination in B. This AGREEMENT is valid and enforceable only if sufficient funds are made available to LOCAL which no person in the United States shall,on the basis of race,color,national origin,religion,sex, AGENCY for the purpose of this AGREEMENT.In addition,this AGREEMENT is subject to any age,disability,be excluded from participation in,denied the benefits of or subject to discrimination additional restrictions,limitations,conditions,or any statute enacted by the Congress,State under any program or activity by the recipients of federal assistance or their assignees and Legislature,or LOCAL AGENCY governing board that may affect the provisions,terms,or funding successors in interest.
of this AGREEMENT in any manner.
H. The CONSULTANT shall comply with regulations relative to non-discrimination in federally-assisted C. It is mutually agreed that if sufficient funds are not appropriated,this AGREEMENT may be programs of the U.S.Department of Transportation(49 CFR 21-Effectuation of Title VI of the Civil amended to reflect any reduction in funds.
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 D. LOCAL AGENCY has the option to terminate the AGREEMENT pursuant to Article VI Termination, and retention of Subconsultants. or by mutual agreement to amend the AGREEMENT to reflect any reduction offunds.
I. CONSULTANT,subrecipient or subconsultant will never exclude any person from participation in, ARTICLE XXI CHANGE IN TERMS 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 A. CONSULTANT shall only commence work covered by an amendment after the amendment is national origin.In administering the LOCAL AGENCY components of the DBE Program Plan, executed and notification to proceed has been provided by LOCAL AGENCY'S Contract CONSULTANT,subrecipient or subconsultant will not,directly,or through contractual or other Administrator. 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 B. There shall be no change in CONSULTANT's Project Manager or members of the project team,as individuals of a particular race,color,sex,or national origin. listed in the approved Cost Proposal,which is a part of this AGREEMENT without prior written ARTICLE XVII DEBARMENT AND SUSPENSION CERTIFICATION approval by LOCAL AGENCY's Contract Administrator.
A. The CONSULTANT's signature affixed herein shall constitute a certification under penalty of perjury ARTICLE XXII CONTINGENT FEE under the laws of the State of California,that the CONSULTANT or any person associated CONSULTANT warrants,by execution of this AGREEMENT that no person or selling agency has therewith in the capacity of owner,partner,director,officer or manager: been employed,or retained,to solicit or secure this AGREEMENT upon an agreement or
1. Is not currently under suspension,debarment,voluntary exclusion,or understanding,for a commission,percentage,brokerage,or contingent fee,excepting bona fide determination of ineligibility by any public agency; employees,or bona fide established commercial or selling agencies maintained by CONSULTANT for
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the purpose of securing business.For breach or violation of this warranty,LOCAL AGENCY has the therein,including,without limitation,copyright)belongs to and shall be the sole and exclusive right to annul this AGREEMENT without liability;pay only for the value of the work actually performed, property of LOCAL AGENCY without restriction or limitation upon its use or dissemination by or in its discretion to deduct from the AGREEMENT price or consideration,or otherwise recover the LOCAL AGENCY. full amount of such commission,percentage,brokerage,or contingent fee. F. Nothing herein shall constitute or be construed to be any representation by CONSULTANT that ARTICLE XXIII DISPUTES the work product is suitable in any way for any other project except the one detailed in this Contract.Any reuse by LOCAL AGENCY for another project or project location shall be at LOCAL Prior to either party commencing any legal action under this AGREEMENT,the parties agree to try in AGENCY's sole risk. good faith,to settle any dispute amicably between them.If a dispute has not been settled after forty-five G. Applicable patent rights provisions regarding rights to inventions shall be included in the contracts (45)days of good-faith negotiations and as may be otherwise provided herein,then either party may as appropriate(48 CFR 27 Subpart 27.3-Patent Rights under Government Contracts for federal- commence legal action against the other. aid contracts).
A. Any dispute,other than audit,concerning a question of fact arising under this AGREEMENT that is H. LOCAL AGENCY may permit copyrighting reports or other agreement products.If copyrights are not disposed of by agreement shall be decided by a committee consisting of LOCAL AGENCY's permitted;the AGREEMENT shall provide that the FHWA shall have the royalty-free nonexclusive Contract Administrator and(Director of Public Works),who may consider written or verbal and irrevocable right to reproduce,publish,or otherwise use;and to authorize others to use,the information submitted by CONSULTANT. work for government purposes.
B. Not later than thirty(30)calendar days after completion of all deliverables necessary to complete ARTICLE XXVII CLAIMS FILED BY LOCAL AGENCY's CONSTRUCTION CONTRACTOR 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 A. If claims are filed by LOCAL AGENCY's construction contractor relating to work performed by submitted in writing. 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 C. Neither the pendency of a dispute,nor its consideration by the committee will excuse make its personnel available for consultation with LOCAL AGENCY'S construction contract CONSULTANT from full and timely performance in accordance with the terms of thisAGREEMENT. administration and legal staff and for testimony,if necessary,at depositions and at trial or arbitration proceedings.
ARTICLE XXIV INSPECTION OF WORK B. CONSULTANT's personnel that LOCAL AGENCY considers essential to assist in defending against CONSULTANT and any subconsultant shall permit LOCAL AGENCY,the State,and the FHWA if construction contractor claims will be made available on reasonable notice from LOCAL AGENCY. federal participating funds are used in this AGREEMENT;to review and inspect the project activities Consultation or testimony will be reimbursed at the same rates,including travel costs that are being and files at all reasonable times during the performance period of this AGREEMENT. paid for CONSULTANT's personnel services under this AGREEMENT.
C. Services of CONSULTANT's personnel in connection with LOCAL AGENCY's construction ARTICLE XXV SAFETY contractor claims will be performed pursuant to a written contract amendment,if necessary, A. CONSULTANT shall comply with OSHA regulations applicable to CONSULTANT regarding extending the termination date of this AGREEMENT in order to resolve the construction claims. necessary safety equipment or procedures.CONSULTANT shall comply with safety instructions issued by LOCAL AGENCY Safety Officer and other LOCAL AGENCY representatives. ARTICLE XXVIII CONFIDENTIALITY OF DATA CONSULTANT personnel shall wear hard hats and safety vests at all times while working on the A. All financial,statistical,personal,technical,or other data and information relative to LOCAL construction project site. AGENCY's operations,which are designated confidential by LOCAL AGENCY and madeavailable B. Pursuant to the authority contained in Vehicle Code§591,LOCAL AGENCY has determined that to CONSULTANT in order to carry out this AGREEMENT,shall be protected by CONSULTANT such areas are within the limits of the project and are open to public traffic.CONSULTANT shall from unauthorized use and disclosure. comply with all of the requirements set forth in Divisions 11,12,13,14,and 15 of the Vehicle Code. B. Permission to disclose information on one occasion,or public hearing held by LOCAL AGENCY CONSULTANT shall take all reasonably necessary precautions for safe operation of its vehicles relating to the AGREEMENT,shall not authorize CONSULTANT to further disclose such and the protection of the traveling public from injury and damage from such vehicles. information,or disseminate the same on any other occasion.
C. Any subcontract entered into as a result of this contract,shall contain all of the provisions of this C. CONSULTANT shall not comment publicly to the press or any other media regarding the Article. AGREEMENT or LOCAL AGENCY's actions on the same,except to LOCAL AGENCY'sstaff, ARTICLE XXVI OWNERSHIP OF DATA CONSULTANT's own personnel involved in the performance of this AGREEMENT,at public hearings,or in response to questions from a Legislative committee.
Add the following to Vendor Agreement Section XI I:
D. D. CONSULTANT shall not issue any news release or public relations item of any nature,whatsoever, . 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 LOCAL AGENCY. regarding work performed or performed under this AGREEMENT without prior review the contents thereof by LOCAL AGENCY,
ENN CY,and receipt of LOCAL AGENCY'S written permission..
E. 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 E. Any subcontract entered into as a result of this contract shall contain all of the provisions of this be work made for hire.CONSULTANT acknowledges and agrees that the work(and all rights Article.
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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 ARTICLE XXXIV CONTRACT materials prepared or assembled by CONSULTANT pursuant to performance of this Contract are The two parties to this AGREEMENT,who are the before named CONSULTANT and the before named confidential and CONSULTANT agrees that they shall not be made available to any individual or LOCAL AGENCY,hereby agree that this AGREEMENT constitutes the entire AGREEMENT which is organization without the prior written approval of LOCAL AGENCY or except by court order.If made and concluded in duplicate between the two parties.Both of these parties for and in CONSULTANT o any of its officers,employees, subcontractors does voluntarily provide consideration of the payments to be made,conditions mentioned,and work to be performed;each indemnity from CONSULTANT for any damages caused by CONSULTANT releasing the information violation of this Contract,LOCAL AGENCY has the right to reimbursement and agree to diligently perform in accordance with the terms and conditions of this AGREEMENT as information,including,but not limited to,LOCAL AGENCY's attorney's fees and disbursements, evidenced by the signatures below. including without limitation experts'fees and disbursements.
ARTICLE XXIX NATIONAL LABOR RELATIONS BOARD CERTIFICATION ARTICLE XXXIVI SIGNATURES In accordance with Public Contract Code§10296,CONSULTANT hereby states under penalty of See Vendor Agreement—Signature page. 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.
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.
ARTICLE XXXII—INTENTIONALLY OMITTED
ARTICLE XXXIII NOTIFICATION
See Vendor Agreement Section XVIII.
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