HomeMy WebLinkAboutAgreement A-15-283 with Universal Field Services.pdf1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
COUNTY OF FRESNO
Fresno,California
04/28/15
AGREEMENT NO.15-283
CONSULTANT AGREEMENT
THIS AGREEMENT for Real Property Consultant Services,hereinafter referred to
as "the AGREEMENT,"is made and entered into this \(s^day of "5u^2015,
by and between the COUNTY OF FRESNO,a political subdivision of the State of
California,hereinafter referred to as "the COUNTY";and Universal Field Services,Inc., a
California Corporation,whose address is 1630 East Shaw Avenue,Suite 163,Fresno,CA
93727,hereinafter referred to as "the CONSULTANT".
WITNESSETH
WHEREAS,COUNTY desires to retain the CONSULTANT to provide on-call Real
Property Services,which may encompass full service real property appraisal,acquisition
and relocation assistance services as necessary to assist COUNTY in performing projects
(hereinafter referred to as "the PROJECT(S)")proposed by COUNTY;and
WHEREAS,said CONSULTANT has been selected in accordance with the
COUNTY'S Ordinance Code Chapter 4.10 on the selection of architects,engineers,and
other professionals to provide the Real Property services necessary for the PROJECTS;
and
WHEREAS,the individual listed below
James Polfer,P.E.,Supervising Engineer
2220 Tulare Street,6th Floor,Fresno,CA 93721
559-600-4531
ipolfer(a)co.fresno.ca.us
are designated as the CONTRACT ADMINISTRATORS forthis AGREEMENT on behalfof
the COUNTY,and shall remain so unless the CONSULTANT is otherwise notified in writing
bythe COUNTY'S Directorof PublicWorks and Planning or his/her designee (hereinafter
referred to as "the DIRECTOR");and
WHEREAS,the individual listed below
Leslie Finnigan,SR/WA
1630 East Shaw Avenue,Suite 163
1 Fresno, CA 93727
2 (599) 453-2901
3 lfinnigan@ufsrw.com
4 is designated as the PROJECT MANAGER for the CONSULTANT for this AGREEMENT,
5 and shall remain so unless the CONSULTANT requests and the DIRECTOR approves, in
6 writing, a change of the CONSULTANT'S PROJECT MANAGER, approval of which shall
7 not be unreasonably withheld; and
8 WHEREAS, said AGREEMENT is subject to 49 Code of Federal Regulations
9 (hereinafter referred to as "49 CFR"), Part 26 Participation by Disadvantaged Business
10 Enterprises in Department of Transportation Financial Assistance Programs,
11 Disadvantaged Business Enterprise programs established by other federal agencies and/o
12 COUNTY'S Disadvantaged Business Enterprise Program (collectively referred to
13 hereinafter as "DBE PROGRAM(S)"),
14 NOW, THEREFORE, in consideration of the promises and covenants set forth
15 herein, the above named parties agree as follows:
16 I. CONTRACTING OF CONSULTANT
17 A. COUNTY hereby contracts with the CONSULTANT as an independent
18 contractor to provide all consultant real property services required for the PROJECT(S).
19 Said services are described in Article II and enumerated in Article Ill herein.
20 B. The CONSULTANT'S services shall be performed as expeditiously as is
21 consistent with professional skill and the orderly progress of the work, based on schedules
22 for each specific PROJECT mutually agreed upon in advance by the CONTRACT
23 ADMINISTRATOR and the CONSULTANT, and consistent with schedules established
24 under Article VI.
25 C. The CONSULTANT'S PROJECT team staff shall be as listed in Appendix A,
26 attached hereto and incorporated herein. Any substitutions of personnel shall be approved
27 by the CONTRACT ADMINISTRATOR, approval of which shall not be unreasonably
28 withheld. The CONSULTANT shall notify the CONTRACT ADMINISTRATOR of the names
COUNTY OF FRESNO
Fresno, California
04113/15
2
1 and classifications of employees assigned to each specific PROJECT, and shall not
2 reassign such employees to other the PROJECTS of the CONSULTANT without
3 notification to and prior approval by the CONTRACT ADMINJSTRA TOR.
4 D. The CONSULTANT may retain, as subconsultants, specialists in such
5 disciplines including, but not limited to, title reports, appraisals, acquisition, and relocation
6 assistance as the CONSULTANT requires to assist in completing the work. All
7 subconsultants used by the CONSULTANT shall be approved in writing by the
8 CONTRACT ADMINISTRATOR before they are retained by the CONSULTANT, approval
9 of which shall not be unreasonably withheld. The subconsultants listed in Appendix 8,
10 attached hereto and incorporated herein, shall be considered as approved by the
11 CONTRACT ADMINJSTRA TOR. The maximum amount of compensation to be paid to the
12 CONSULTANT under Article VI below shall not be increased by any addition or substitution
13 ofsubconsuijants.
14 E. The CONSULTANT and affiliated subconsultants shall not bid to contract or
15 subcontract, for the construction phase of any PROJECT assigned to the CONSULTANT.
16 The CONSULTANT, its subconsultants, and all other service providers, shall not provide
17 any PROJECT-related services for, or receive any PROJECT-related compensation from
18 any construction contractor, subcontractor or service provider awarded a construction
19 contract (hereinafter referred to as "CONTRACTOR") for all or any portion of the
20 PROJECT{S) for which the CONSULTANT provides services hereunder. The
21 CONSULTANT and its subconsultants, and all other service providers, may provide
22 services for, and receive compensation from a CONTRACTOR who has been awarded a
23 construction contract for all or any portion of the PROJECT{S) provided that any such
24 services which are rendered, and any compensation which is received therefor, relates to
25 work outside the scope of AGREEMENT and does not pose a conflict of interest.
26 F. Any subcontract in excess of $25,000 entered into as a result of this
27 AGREEMENT, shall contain all the provisions stipulated in this AGREEMENT to be
28 applicable to subcontractors.
COUNTY OF FRESNO
Fresno, California
03126/15
3
1 G. The CONSULTANT is responsible for being fully informed regarding the
2 requirements of 49 CFR, Part 26 and the California Department of Transportation's
3 (CAL TRANS) Disadvantaged Business Enterprise program developed pursuant to the
4 regulations, as detailed in Appendix C, attached hereto and incorporated herein.
5 II. DESCRIPTION OF THE WORK COVERED BY AGREEMENT
6 A. The work to be performed by the CONSULTANT under this AGREEMENT
7 includes professional services under Article Ill for various COUNTY Public Works
8 PROJECTS, including but not limited to, full service real property appraisal, acquisition and
9 relocation assistance services.
10 B. The CONSULTANT agrees to provide the professional services that are
11 necessary for each PROJECT when expressly authorized in writing by the CONTRACT
12 ADMINISTRATOR. Such work by the CONSULTANT shall not begin until the
13 CONSULTANT has received a written Notice to Proceed from the CONTRACT
14 ADMINISTRATOR authorizing the necessary service, agreed upon fee, and scope of work.
15 Ill. CONSULTANT'S SERVICES
16 The CONSULTANT shall submit proposals in response to task orders issued by the
17 CONTRACT ADMINISTRATOR on a project-by-project basis. The CONSULTANT'S
18 proposal at a minimum shall include, but not be limited to, staff qualifications, proposed
19 method and schedule for completing the task(s), completed federal forms and a sealed
20 cost proposal. The CONSULTANT agrees that each professional or other individual
21 performing work on any such PROJECT(S) shall be adequately trained to perform the work
22 and shall possess the proper license, certification or registration as required by law or by
23 accepted standards of the applicable profession. The CONSULTANT agrees to provide
24 the professional services that are necessary to complete the following tasks when
25 expressly authorized in writing by the CONTRACT ADMINISTRATOR:
26 A. Title Reports:
27 1. As used in Article Ill, Paragraph A of this AGREEMENT: the following
28 definitions shall apply:
COUNTY OF FRESNO
Fresno, California
03/26/15
4
1 (a) "Report(s)" shall mean Litigation Guarantee(s) as defined by the
2 California Land Title Association, at the time of execution of this AGREEMENT.
3 (b) "Escrow Service(s)" shall mean those services which facilitate a
4 transfer of an interest in real property, during which documents and funds are delivered by
5 CONTRACT ADMINISTRATOR to CONSULTANT to hold in escrow, pursuant to specific
6 instructions from the CONTRACT ADMINISTRATOR.
7 (c) "Title Insurance Policy" shall mean the California Land Title
8 Association standard coverage policy, at the time of execution of this AGREEMENT ..
9 (d) "Updated Report(s)" shall refer to any Report, as defined herein,
10 originally issued to CONTRACT ADMINISTRATOR pursuant to this Agreement and which
11 is then re-issued in a revised or updated form and which covers the same property
12 described in the original Report.
13 (e) "Property'' shall refer to the real property parcel(s) or address(es) for
14 which the CONTRACT ADMINISTRATOR has requested a Report.
15 2. CONSULTANT shall furnish Reports, Escrow Services and Title Insurance
16 Policies for properties only as requested in writing by CONTRACT ADMINISTRATOR.
17 3. CONSULTANT shall make a good faith effort to deliver requested Reports to
18 CONTRACT ADMINISTRATOR within thirty (30) days following receipt of the request.
19 4. CONSULTANT shall provide CONTRACT ADMINISTRATOR with three (3)
20 copies of each Report.
21 5. Each Report shall include a copy of the vesting paragraph and shall recite the
22 exact title as it would appear on a grant deed, or other valid instrument of title, followed by
23 the date of recordation and the other recording data of the vesting deed.
24 6. The required Report format shall be determined by the CONTRACT
25 ADMINISTRATOR.
26
27
28
COUNTY OF FRESNO
Fresno, California
03/26/15
7. The Reports shall also include but not be limited to the following:
(a) One copy of the vesting deed;
(b) Legal description of property;
5
1 (c) All liens, encumbrances, easements and right of way of record;
2 (d) Assessor's parcel number and valuation;
3 (e) APN map with property marked; and
4 (f) Names, interest and best available addresses for all parties of record
5 with property interest.
6 8. CONSULTANT will advise CONTRACT ADMINISTRATOR within two (2)
7 weeks if CONSULTANT will be unable to deliver any of the requested Reports within the
8 thirty (30) day period. Thereafter, if so requested by CONTRACT ADMINISTRATOR in
9 writing, CONSULTANT shall cease further work on the requested Reports.
10 9. COUNTY shall pay for all services provided by CONSULTANT prior to
11 issuance of any notice to cease work; payment for which shall be pro-rated on the
12 comparison of the work completed to the total work required for each requested Report.
13
14
B.
1.
Appraisal
Upon being assigned a project and having received a written authorization to
15 proceed by the CONTRACT ADMINISTRATOR, CONSULTANT will appraise and furnish a
16 complete narrative appraisal report ("Appraisal"), in triplicate and digital file (PDF on a CD),
17 on the parcels previously bid upon. In addition, CONSULTANT shall include in such
18 Appraisal those additional parcels identified by COUNTY after selection of bid. Such
19 additional parcels shall be limited to those parcels that are a part of the project for which
20 the Appraisal is sought. CONSULTANT shall provide COUNTY with a narrative type
21 appraisal for the parcel(s), containing information as required in the authorization by the
22 CONTRACT ADMINISTRATOR
23 2. If requested by COUNTY, CONSULTANT shall provide minor updates and
24 revisions to the Appraisal provided pursuant to this Agreement at no cost to COUNTY.
25 Extensive updates and revisions shall be provided at the request of COUNTY and shall be
26 compensated at the hourly and cost rates shown in Appendix D.
27 3. The completed Appraisal is to be delivered to the Department of Public
28 Works and Planning, Design Division, or as otherwise requested by COUNTY within the
COUNTY OF FRESNO
Fresno. California
03/26/15
6
1 time limit stated in the authorization to proceed.
2 4. Pursuant to Government Code, Section 7267.1(b), the property owner or
3 his/her designated representative must be offered the opportunity to accompany
4 CONSULTANT during his/her inspection of the property. CONSULTANT shall comply with
5 this requirement and include a statement in the Appraisal that on a certain date the owner
6 or his/her designated representative was given this opportunity, and he/she either accepted
7 or declined. CONSULTANT shall indicate the date on which the property was inspected
8 and if the owner or his/her representative was present.
9 5. CONSULTANT will contact the design engineer for the assigned project to
10 review the construction drawings to determine how the proposed grade, drainage, access,
11 etc., will affect the remaining property.
12 6. CONSULTANT warrants that if he/she has any interest, present or
13 contemplated, in any property affected by this Agreement, CONSULTANT will notify
14 COUNTY and waive any opportunity to bid for that Project.
15 7. CONSULTANT agrees that his/her Appraisal and conclusions are for the
16 confidential information of COUNTY and may be used in connection with any Property
17 acquisition or condemnation action or actions involving the properties which are the subject
18 of the Appraisal and that he/she will not disclose his/her conclusions in whole or in part to
19 any person whatsoever other than as provided in this AGREEMENT. CONSULTANT
20 further agrees that his/her Appraisal, conclusions and other work, whether completed or
21 partially completed, are the sole property of COUNTY.
22 8. Written consent is hereby given to COUNTY, at its sole option, to disseminat
23 to the public through the news media, or any other public means of communication, the
24 contents or valuation conclusion of the Appraisal report prepared hereunder.
25 9. Appraisals may be used to make initial offers to property owners and others
26 having an interest in the real estate as required by the Uniform Relocation Assistance and
27 Real Property Acquisition Act.
28 10. Each Appraisal must be reviewed by a qualified review appraiser and contain
COUNTY OF FRESNO
Fresno, California
03/26115
7
1 a Review Appraiser Certificate. The review appraiser is the person responsible for
2 Appraisal quality and value determination. The review appraiser must remain independent
3 and must not be subject to undue influence or pressure from any source to arrive at a
4 particular value or to accept inadequate Appraisals. It is essential that the review appraiser
5 understands his/her responsibility is to recommend an estimate of value for just
6 compensation determination by the acquiring agency. The Uniform Act requires that an
7 official of the acquiring agency (COUNTY) must make the final determination of just
8 compensation.
9 11. Trial Preparation -upon notice from COUNTY that an Eminent Domain or
10 condemnation action has been filed on Property, CONSULTANT shall provide and be
11 compensated for all necessary litigation assistance as may be deemed necessary by
12 COUNTY. Such action may include, but not be limited to, pretrial conferences,
13 depositions, court appearances and updating of appraisals.
14 C. Acquisition Services: Upon being assigned to provide acquisition services for
15 a PROJECT, the CONSULTANT shall:
16
17
18
19
20
1.
2.
3.
4.
5.
Provide COUNTY General Information Brochure to affected property owners;
Communicate with the property owners;
Provide agents fluent in both English and Spanish, when needed;
Prepare correspondence, letters and reports as necessary;
Provide a written summary of the status of the acquisition of each parcel on a
21 bi-monthly basis and/or upon request of COUNTY staff;
22 6. Prepare files for each parcel including all documents necessary to present
23 first written offer. COUNTY will provide all necessary forms and documents;
24
25
7.
8.
Maintain a log of all pertinent information concerning the PROJECT parcels;
Schedule appointments for face to face meetings and negotiations with
26 property owners;
27 9. Conduct face to face presentation of the written offer, summary statements,
28 and lists of compensable items of fixtures and equipment, and addenda to the property
COUNTY OF FRESNO
Fresno. California
03/26/15
8
1 owner. Where face to face presentations are not possible, negotiations may be done by
2 telephone or mail;
3 10. Continue negotiations with the property owners and tenants until every
4 reasonable effort has been expended to acquire the property through negotiations;
5 11. In the event the COUNTY's Board of Supervisors, in its discretion,
6 determines that Eminent Domain proceedings are necessary, provide coordination and
7 assistance necessary to aid the condemnation counsel;
a 12. Assist County staff in the preparation of COUNTY Contract/Right of Way
9 Agreement and Escrow Instructions based upon a proforma provided and approved by the
10 COUNTY;
11 13. Obtain signatures on COUNTY Right of Way/Purchase Contracts and
12 Notarize Deed to convey title to the property acquired. Deliver signed Contracts and
13 Notarized Deeds to COUNTY;
14 14. Assist COUNTY staff in the preparation of documents for the COUNTY's
15 approval of Contracts and acceptance of deeds;
16 15. Communicate with engineers, planners, attorneys, real property agents, other
17 agency staff and Consultants;
18 16. Provide information to COUNTY staff for preparation of COUNTY agenda
19 items and public hearing notices, as necessary for approval of acquisition terms;
20 17. Comply with California Relocation Assistance and Real Property Acquisition
21 Guidelines and any other applicable federal, state and local regulations.
22 D. Relocation Services: Upon being assigned to provide relocation services for a
23 PROJECT, the CONSULTANT shall:
24 1. Initiate a relocation assistance program that will provide each affected
25 displaced person or family with financial and advisory assistance. The needs of each
26 displacee will be carefully and individually analyzed to determine what specific benefits and
27 services are required;
28
COUNTY OF FRESNO
Fresno. California
03/26/15
2. Comply with all applicable federal and state laws, rules and regulations
9
1 relating to relocation assistance and the COUNTY adopted relocation assistance policies
2 and procedures;
3
4
3.
4.
Provide agents fluent in both English and Spanish, when needed;
Prepare Relocation Plans ("Plan") that shall conform to all requirements of
5 State Housing Community Development (HCD) Guidelines California Code of Regulations,
6 Title 25 and the Federal Uniform Act, if applicable, as well as Regulations for
7 Implementation of the California Relocation Assistance Law and Property Acquisition
8 Procedures. The Plan shall include, at a minimum, the following:
9 (a) Analysis of the needs of the residential displacees which would include
10 the number of occupants residing in a dwelling, family size and ages, household income,
11 and any special needs;
12 (b) Analysis of replacement housing resources and the determination as
13 to whether sufficient housing is available to accommodate the number of displacees in the
14 PROJECT;
15 (c) Personal contact with as many of the residential displacees as
16 possible (100% is preferred);
17 (d) Analysis of any businesses being displaced, and determination of
18 available resources or assistance that may be available;
19 (e) Preparation of a Replacement Housing Plan, if required;
20 5. Provide Residential Relocation services, if required, which shall include, but
21 may not be limited to the following:
22 (a) Interview prospective displacees to ascertain relocation housing needs
23 and verify income and rent/mortgage payments and determine if any special needs exist in
24 the household;
25 (b) Inform displacees of available relocation assistance services and
26 benefits, and explain relocation process;
27 (c) Provide advisory assistance on an on-going basis, including referrals
28 to and coordination with social service agencies, housing authorities, and any other
COUNTY OF FRESNO
Fresno, California
03/26/15
10
1 services, which may be required;
2 (d) Prepare notices under the direction of the COUNTY and personally
3 deliver required notices, which may include Informational Statements, Notices of
4 Displacement, 90-Day Notices to Vacate, and other notices;
5 (e) Provide displacee, in writing, with referrals to comparable replacement
6 housing;
7 (f) Determine eligibility of each displacee and amount of relocation
8 benefits, including moving payments, rental/down payment assistance, and replacement
9 housing payments and, to the extent possible, include at least three comparable options in
1 o the computation, and prepare Entitlement Letter to each displacee;
11 (g) Conduct "decent, safe and sanitary" inspections of comparable
12 replacement dwellings and advise displacee of findings;
13 (h) Prepare all necessary claim forms, secure displacee's signatures on
14 claim forms, and submit claim forms to COUNTY for processing. When checks are
15 available, personally deliver checks to displacee, whenever possible;
16 (i) Obtain moving cost estimates, as needed, and monitor the move, as
17 necessary;
18 Maintain files on each displacee and submit completed files to
19 COUNTY when displacee has received final payment;
20 (k) Provide COUNTY with bi-weekly status reports, or as required, and a
21 written report in a form pre-approved by COUNTY staff summarizing the status of the
22 relocation for each displacee bi-monthly;
23 (I) Provide project management services to coordinate and meet with
24 COUNTY staff to discuss progress and schedule as needed;
25 6. Provide Business Relocation services (if applicable) which includes, but is not
26 limited to the following:
27
28
COUNTY OF FRESNO
Fresno, California
03126/15
(a)
(b)
Interview prospective displacees to ascertain relocation needs;
Inform displacees of available relocation assistance services and
11
1 benefits, and explain the relocation process;
2 (c) Prepare notices under the direction of the COUNTY and deliver
3 required notices, which may include Informational Statements, Notices of Displacement,
4 90-Day Notices to Vacate, and other notices;
5 (d) Provide displacee, in writing, with referrals to comparable business
6 locations and assist in any planning and/or permitting issues;
7 (e) Advise business owners of potential claim for loss of goodwill;
8 (f) Negotiate with business owner for fixtures and equipment, as may be
9 required (COUNTY will provide appraisals for such items and CONSULTANT shall Itemize
10 this cost separately);
11
12 COUNTY;
13
14
(g)
(h)
(i)
Facilitate the Notice of Bulk Transfer, fees for which will be paid by
Provide on-going advisory assistance to business owners;
Prepare specifications for the move and inventory of personal
15 property, coordinating with acquisition agent to assure that there is no dispute with property
16 owner, if property owner is not the business owner;
17 Obtain a minimum of two bids from movers that are suited to the type
18 of business being relocated;
19 (k) Monitor the move to replacement site and re-establishment activities,
20 as necessary;
21 (I) Determine eligibility of each affected business and the proposed
22 amount of relocation benefits, including actual and reasonable moving payments, re-
23 establishment payments, or the "in-lieu" payment and prepare and deliver Entitlement
24 Letter;
25 (m) Prepare all necessary claim forms, secure claimant's signatures on
26 claim forms, and submit claim forms to COUNTY for processing and payment (and when
27 checks are available, personally deliver checks to displacee, whenever possible);
28
COUNTY OF FRESNO
Fresno, California
03/26/15
(n) Maintain files on each displacee, provide COUNTY with bi-weekly
12
1 status reports, or as required, and submit completed files to COUNTY when displacee has
2 received final payment;
3 (o) Provide project management services to coordinate and meet with
4 COUNTY staff to discuss progress and schedule as needed;
5 IV. OBLIGATIONS OF COUNTY
6 COUNTY will:
7 A. Issue task orders on a project-by-project basis. Task orders will at a minimum
8 include scope of work, location, and schedule for the PROJECT.
9 B. Provide the CONSULTANT with a PROJECT Scope and Schedule, and
10 compensate the CONSULTANT as provided in the AGREEMENT.
11 C. Provide the CONTRACT ADMINISTRATOR as a representative of the
12 COUNTY and who, as such, will work with the CONSULTANT in carrying out the provisions
13 of the AGREEMENT.
14
15
16
17
D.
E.
F.
G.
18 thereto.
19 H.
Provide all surveying and staking.
Provide design of projects and prepare legal descriptions.
Prepare right-of-way maps.
Examine documents submitted and render timely decisions pertaining
Provide a Project Manager who will provide information regarding engineering
20 design philosophy, schedule, and the purpose of a PROJECT.
21 I. Examine documents submitted to the COUNTY by the CONSULTANT and
22 render timely decisions pertaining thereto.
23 J. Provide mailing lists and labels for notification of property owners upon the
24 CONSULTANT'S request.
25 K. Give reasonably prompt consideration to all matters submitted by the
26 CONSULTANT for approval to the end that there will be no substantial delays in
27 CONSULTANT'S program of work. An approval, authorization or request to
28 CONSULTANT given by COUNTY will be binding upon COUNTY under the terms of
COUNTY OF FRESNO
Fresno, California
03/26/15
13
1 AGREEMENT only if it is made in writing and signed on behalf of COUNTY by CONTRAC
2 ADMINISTRATOR.
3 V. PERFORMANCE PERIOD
4 A. This AGREEMENT shall go into effect upon execution by the COUNTY. The
5 AGREEMENT shall end on the third anniversary of the execution date, unless prior to its
6 expiration, the term is extended in writing, for no more than two additional one-year terms,
7 by mutual consent of the DIRECTOR and the CONSULTANT. The CONSULTANT shall
8 commence work promptly after receipt of a notice to proceed issued by the CONTRACT
9 ADMINISTRATOR.
10 B. The CONSULTANT is advised and hereby acknowledges its understanding
11 that any recommendation for award is not binding on the COUNTY until the AGREEMENT
12 is fully executed following its approval by the COUNTY's Board of Supervisors.
13 VI. ALLOWABLE COSTS AND PAYMENTS
14
15
A.
1.
Total Fee:
Notwithstanding any other provisions in this AGREEMENT, the Total Fee for
16 the services required under the AGREEMENT shall not exceed the total sum of Two
17 Hundred Fifty Thousand and No/1 00 Dollars ($250,000.00) over the entire term of the
18 AGREEMENT. Compensation for the services rendered shall be computed at the hourly
19 and cost rates shown in Appendix D, subject to any adjustments that may be approved in
20 accordance with Article VI, Section A, Paragraph 3.
21 2. The hourly and cost rates listed herein for services rendered by the
22 CONSULTANT and subconsultants shall remain in effect for the entire duration of the
23 AGREEMENT unless adjusted in accordance with the provisions of Article VI, Section A,
24 Paragraphs 3, 5, or 6.
25 3. The hourly rates paid for services performed by the CONSULTANT and by
26 subconsultants of the CONSULTANT and the rates for expenses incidental to the
27 CONSULTANT'S and subconsultant's performance of services may be adjusted no more
28 than once annually for inflation, in accordance with the following provisions: the
COUNTY OF FRESNO
Fresno, California
03/26/15
14
1 CONSULTANT may request new labor rates and new rates for expenses incidental to the
2 CONSULTANT'S and subconsultant's performance of services subject to written approval
3 of the CONTRACT ADMINISTRATOR in accordance with the provisions of this Article VI,
4 Section A, Paragraph 3. The CONSULTANT shall initiate the rate adjustment process by
5 submitting to the CONTRACT ADMINISTRATOR a proposed adjusted fee schedule. The
6 proposed adjusted fee schedule shall include proposed hourly rates for all categories of th
7 CONSULTANT and subconsultants wage classifications and proposed rates for incidental
8 expenses listed in Appendix D. The proposed adjusted fee schedule shall not take effect
9 unless approved in writing by the CONTRACT ADMINISTRATOR. The CONSULTANT
10 hereby acknowledges its understanding that approval by the CONTRACT
11 ADMINISTRATOR of any upward adjustment in the hourly and cost rates shall not provide
12 a basis for any increase in the total fee of $250,000.00, as set forth in Article VI, Section A,
13 Paragraph 1.
14 4. Expenses incidental to the CONSULTANT'S and subconsultant's
15 performance of services under Article Ill of the AGREEMENT shall be charged at the rates
16 listed in Appendix D, subject to any adjustments that may be approved in accordance with
17 Article VI, Section A, Paragraphs 3, 5, or 6. Unless incorporated in an adjusted fee
18 schedule approved by the CONTRACT ADMINISTRATOR in accordance with Article VI,
19 Section A, Paragraphs 3, 5, or 6, all other expenses incidental to the CONSULTANT'S and
20 subconsultant's performance of the services under Article Ill of the AGREEMENT that are
21 not listed in Appendix D shall be borne by the CONSULTANT.
22 5. In the event that, in accordance with Article I, Section D, the CONTRACT
23 ADMINISTRATOR approves the CONSULTANT to retain additional subconsultants not
24 listed in Appendix 8, hourly rates paid for services performed by such additional
25 subconsultants of the CONSULTANT and the rates for expenses incidental to
26 subconsultants performance of services may be adjusted no more than once annually for
27 inflation, in accordance with Article VI, Section A, Paragraph 3. The first annual
28 adjustment of hourly and incidental expense rates for such additional subconsultants shall
COUNTY OF FRESNO
Fresno, California
03/26/15
15
1 not be approved prior to one year after the CONTRACT ADMINISTRATOR approval of the
2 retention of such additional subconsultant(s) by the CONSULTANT.
3 6. Notwithstanding any other provisions in this AGREEMENT, the CONTRACT
4 ADMINISTRATOR may, at any time, authorize in writing the revision of the
5 CONSULTANT'S or subconsultant's charge rates for incidental expenses to include
6 additional categories of such expenses if, in the opinion of the CONTRACT
7 ADMINISTRATOR, such revision is necessary to facilitate the CONSULTANT'S
8 performance of the PROJECTS.
9
10
B.
1.
Payments:
Progress payments will be made by the COUNTY upon receipt of the
11 CONSULTANT'S monthly invoices and approval by the CONTRACT ADMINISTRATOR
12 thereof based on the CONTRACT ADMINISTRATOR'S evaluation of the completion of the
13 respective components of the assigned PROJECT. Invoices shall clearly identify the
14 Phase and Task of the work, and shall be submitted with the documentation identified in
15 Article VI, Section 8, Paragraph 5. Invoices shall be forwarded electronically to:
16 PWPBusinessOffice@co.fresno.ca.us.
17 2. Upon receipt of a proper invoice, the CONTRACT ADMINISTRATOR will take
18 a maximum of ten (1 0) working days to review, approve, and submit it to the COUNTY
19 Auditor Controller/Treasurer Tax Collector. Unsatisfactory or inaccurate invoices will be
20 returned to the CONSULTANT for correction and resubmittal. Payment, less retention, if
21 applicable, will be issued to the CONSULTANT within forty (40) calendar days of the date
22 the Auditor Controller/Treasurer Tax Collector receives the approved invoice.
23 3. The COUNTY is entitled to withhold a ten percent (10%) retention from the
24 CONSULTANT'S earned compensation in accordance with the provisions of Article VII of
25 the AGREEMENT.
26 4. An unresolved dispute over a possible error or omission may cause payment
27 of the CONSULTANT fees in the disputed amount to be withheld by the COUNTY.
28
COUNTY OF FRESNO
Fresno, California
03126115
5. Concurrently with the invoices, the CONSULTANT shall certify (through
16
1 copies of issued checks, receipts, or other COUNTY pre-approved documentation) that
2 complete payment, less a ten percent (10%) retention, except as otherwise specified in
3 Article VII, has been made to all subconsultants as provided herein for all previous invoices
4 paid by the COUNTY. However, the parties do not intend that the foregoing create in any
5 subconsultants or sub-contractor a third party beneficiary status or any third party
6 beneficiary rights, and expressly disclaim any such status or rights.
7 6. Final invoices, and separate invoices for retentions, shall be submitted to
8 CONTRACT ADMINISTRATOR no later than thirty (30) days after the phase is completed.
9 Payment for retentions, if any, shall not be made until all services for the phase are
10 completed.
11 7. In the event the DIRECTOR reduces the scope of CONSULTANT'S work
12 under the AGREEMENT for a specific PROJECT (or discontinues a specific PROJECT),
13 whether due to a deficiency in the appropriation of anticipated funding or otherwise, the
14 CONSULTANT will be compensated on a pro rata basis for actual work completed and
15 accepted by the DIRECTOR in accordance with the terms of the AGREEMENT.
16 VII. RETENTION FROM EARNED COMPENSATION
17 In addition to any amounts withheld under Article Ill, the CONSULTANT agrees that
18 the COUNTY, at the discretion of the CONTRACT ADMINISTRATOR, may withhold a ten
19 percent (1 0%) retention from the earned compensation of the CONSULTANT. If the
20 CONTRACT ADMINISTRATOR determines that retention will be withheld for a PROJECT,
21 the CONTRACT ADMINISTRATOR will so state in writing prior to commencement of the
22 PROJECT by the CONSULTANT and will identify the PROJECT-specific prerequisites
23 (such as successful completion of a PROJECT phase, as an example) for the release of
24 retentions.
25 VIII. TERMINATION
26 A. This AGREEMENT may be terminated without cause at any time by the
27 COUNTY upon thirty (30) calendar days' written notice. If the COUNTY terminates this
28 AGREEMENT, the CONSULTANT shall be compensated for services satisfactorily
COUNTY OF FRESNO
Fresno, California
03126/15
17
1 completed to the date of termination based upon the compensation rates and subject to
2 the maximum amounts payable agreed to in Article VI, together with such additional
3 services satisfactorily performed after termination which are expressly authorized by the
4 COUNTY to conclude the work performed to date of termination.
5 B. If the CONSULTANT purports to terminate the AGREEMENT, or otherwise
6 refuses to perform pursuant to the AGREEMENT, for reasons other than material breach
7 by the COUNTY, the CONSULTANT shall reimburse the COUNTY, up to a maximum of
8 $10,000 for the actual expense of issuing a Request For Proposal (RFP), engaging a new
9 consultant, and the new consultant's cost in becoming familiar with the previous
10 CONSULTANT'S work. The COUNTY'S entitlement to such reimbursement shall in no
11 way be construed as a limitation on other damages that may be recoverable by the
12 COUNTY as a result of the CONSULTANT'S termination, in breach of its obligations
13 hereunder.
14 C. The COUNTY may immediately suspend or terminate the AGREEMENT in
15 whole or in part, where in the determination of the COUNTY there is:
16
17
18
19
20
1.
2.
3.
4.
D.
An illegal or improper use of funds;
A failure to comply with any term of this AGREEMENT;
A substantially incorrect or incomplete report submitted to the COUNTY;
Improperly performed service.
In no event shall any payment by the COUNTY constitute a waiver by the
21 COUNTY of any breach of this AGREEMENT or any default which may then exist on the
22 part of the CONSULTANT, nor shall any such payment impair or prejudice any remedy
23 available to the COUNTY with respect to the breach or default. The DIRECTOR shall have
24 the right to demand of the CONSULTANT the repayment to the COUNTY of any funds
25 disbursed to the CONSULTANT under this AGREEMENT, which, in the judgment of the
26 DIRECTOR and as determined in accordance with the procedures of Article XVI, were not
27 expended in accordance with the terms of this AGREEMENT. The CONSULTANT shall
28 promptly refund any such funds upon demand.
COUNTY OF FRESNO
Fresno, California
03/26/15
18
1 E. The terms of the AGREEMENT, and the services to be provided thereunder,
2 are contingent on the approval of funds by the appropriating government agency. Should
3 sufficient funds not be allocated, the services provided may be modified, or the
4 AGREEMENT terminated at any time by giving the CONSULTANT thirty (30) days advanc
5 written notice. In the event of termination on the basis of this Paragraph, the
6 CONSULTANT'S entitlement to payment, in accordance with the payment provisions set
7 forth hereinabove, shall apply only to work performed by the CONSULTANT prior to receipt
8 of written notification of such non-allocation of sufficient funding.
9 IX. FUNDING REQUIREMENTS
10 A. It is mutually understood between the parties that this AGREEMENT may
11 have been written before ascertaining the availability of funds or appropriation of funds, for
12 the mutual benefit of both parties, in order to avoid program and fiscal delays that would
13 occur if the AGREEMENT were executed after that determination was made.
14 B. This AGREEMENT is subject to any additional restrictions, limitations,
15 conditions, or any legislation enacted by the Congress, State Legislature or County Board
16 of Supervisors that may affect the provisions, terms, or funding of the AGREEMENT in any
17 manner.
18 C. It is mutually agreed that if sufficient funds are not appropriated, this
19 AGREEMENT may be amended to reflect any reduction in funds.
20 D. The COUNTY has the option to void the AGREEMENT under the 30-day
21 cancellation clause, or to amend the AGREEMENT by mutually acceptable modification of
22 its provisions to reflect any reduction of funds.
n X CHANGEINTERMS
24 A. The AGREEMENT may be amended or modified only by mutual written
25 agreement of both parties. Except as provided in Article V, Section A, any such written
26 amendment to this AGREEMENT may be approved on the COUNTY's behalf only by its
27 Board of Supervisors.
28
COUNTY OF FRESNO
Fresno, California
03/26/15
B. The CONSULTANT shall only commence work covered by an amendment
19
1 after the amendment has been fully executed and written notification to proceed has been
2 issued by the CONTRACT ADMINISTRATOR.
3 XI. DISADVANTAGED BUSINESS ENTERPRISES (DBE) PARTICIPATION
4 A. The CONSULTANT must give consideration to Disadvantaged Business
5 Enterprise (hereinafter referred to as ''DBE") firms as specified in 23 Code of Federal
6 Regulations (hereinafter referred to as "CFR") Section 172.5(b), and in 49 CFR, Part 26.
7 The CONSULTANT must meet the DBE goal established for PROJECTS by using DBEs
8 as subconsultants or document a good faith effort to have met the goal. If a DBE
9 subconsultant is unable to perform, the CONSULTANT must make a good faith effort to
1 o replace him/her with another DBE subconsultant if the goal is not otherwise met.
11 B. The CONSULTANT is responsible for being fully informed regarding the
12 requirements of Title 49 CFR, Part 26 and CAL TRANS' Disadvantaged Business
13 Enterprise program developed pursuant to the regulations, as detailed in Appendix C,
14 Notice to Proposers DBE Information, attached hereto and incorporated herein.
15 C. A DBE subconsultant may be terminated only with written approval by the
16 CONTRACT ADMINISTRATOR and only for reasons specified in 49 CFR Section 26.53(f).
17 Prior to requesting the CONTRACT ADMINISTRATOR consent for the proposed
18 termination, the CONSULTANT must meet the procedural requirements specified in 49
19 CFR Section 26.53(f).
20 XII. COST PRINCIPLES
21 A. The CONSULTANT agrees that the Contract Cost Principles and Procedures,
22 Title 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31.000 et seq.,
23 shall be used to determine the allowability of cost for individual items. The CONSULTANT
24 shall sign the Certification of Contract Costs and Financial Management System, attached
25 hereto and incorporated herein as Appendix E.
26 B. The CONSULTANT also agrees to comply with federal" procedures in
27 accordance with Title 49 CFR, Part 18, Uniform Administrative Requirements for Grants
28 and Cooperative Agreements to State and Local Governments.
COUNTY OF FRESNO
Fresno, California
03/26/15
20
1 C. Any costs for which payment has been made to the CONSULTANT that are
2 determined by subsequent audit to be unallowable under 49 CFR Part 18 and 48 CFR
3 Federal Acquisition Regulations System, Chapter 1, Part 31.000 et seq., are subject to
4 repayment by the CONSULTANT to the COUNTY.
5 XIII. COVENANT AGAINST CONTINGENT FEES
6 The CONSULTANT warrants, by execution of this AGREEMENT, that the
,
7 CONSULTANT has not employed or retained any company or person, other than a bona
8 fide employee working for the CONSULTANT, to solicit or secure this AGREEMENT; and
9 that CONSULTANT has not paid or agreed to pay any company or person other than a
10 bona fide employee, any fee, commission, percentage, brokerage fee, gift, or any other
11 consideration, contingent upon or resulting from the award or formation of the
12 AGREEMENT. For breach or violation of this warranty, the COUNTY shall have the right
13 to annul the AGREEMENT without liability, and to pay only for the value of the work
14 actually performed by the CONSULTANT, or alternatively in the COUNTY's discretion, to
15 deduct from the contract price or consideration, or otherwise recover the full amount of
16 such any such commission, percentage, brokerage fee, gift, contingent fee or similar form
17 of consideration previously paid by the CONSULTANT.
18 XIV. RETENTION OF RECORDS/AUDIT
19 A. For the purpose of determining the sufficiency of the CONSUTLANT'S
20 performance of the contract (and compliance with Public Contract Code 10115, et seq. and
21 Title 21, California Code of Regulations, Chapter 21, Section 2500 et seq., when
22 applicable), the CONSULTANT, subcontractors, and the COUNTY, and each of them, shall
23 maintain all books, documents, papers, accounting records, and other evidence pertaining
24 to the performance of this AGREEMENT, including but not limited to, the costs of
25 administering this AGREEMENT.
26 B. All parties shall make such materials available at their respective offices at all
27 reasonable times throughout the entirety of the contract term and for three years from the
28 date of final payment under the contract, pursuant to Government Code 8546.7. The state,
COUNTY OF FRESNO
Fresno, California
03/26115
21
1 the State Auditor, the COUNTY, Federal Highway Administration, or any duly authorized
2 representative of the federal government shall have access to any books, records, and
3 documents of the CONSULTANT that are pertinent to the contract for audit, examinations,
4 excerpts, and transactions, and copies thereof shall be furnished if requested, as more
5 thoroughly set forth in Section D of Article XV of this AGREEMENT. It shall be the
6 responsibility of the CONSULTANT to ensure that all subcontracts in excess of $25,000
7 shall contain this provision.
8 XV. AUDIT REVIEW PROCEDURES
9 A. Any dispute concerning a question of fact arising under an interim or post
10 audit of this contract that is not disposed of by agreement between the parties, shall be
11 reviewed by the COUNTY's Auditor-Controller/Treasurer-Tax-Collector.
12 B. Not later than 30 days after issuance of the final audit report, the
13 CONSULTANT may request a review by the COUNTY's Auditor/Controller/Treasurer/Tax-
14 Collector of unresolved audit issues. The request for review will be submitted in writing.
15 C. Neither the pendency of a dispute nor its consideration by the COUNTY will
16 excuse the CONSULTANT from full and timely performance, in accordance with the terms
17 of this AGREEMENT.
18 D. All CONSULTANT contracts with subconsultants, including cost proposals
19 and indirect cost rates (JCR), are subject to audits or reviews such as, but not limited to, a
20 Contract Audit, an Incurred Cost Audit, an ICR Audit, or a certified public accountant (CPA)
21 ICR Audit Workpaper Review. If selected for audit or review, the contract, cost proposal
22 and ICR and related workpapers, if applicable, will be reviewed to verify compliance with 4
23 CFR, Part 31 and other applicable laws and regulations. In the instances of a CPA ICR
24 Audit Workpaper Review it is the CONSULTANT's responsibility to ensure federal, state, or
25 local government officials are allowed full access to the CPA's workpapers. Contracts with
26 subconsultants, cost proposals, and ICR shall be adjusted by CONSULTANT and
27 approved by the CONTRACT ADMINISTRATOR to conform to the audit or review
28 recommendations. The CONSULTANT agrees that individual terms of costs identified in
COUNTY OF FRESNO
Fresno, California
03126/15
22
1 the audit report shall be incorporated into the contract by this reference if directed by the
2 COUNTY at its sole discretion. Refusal by the CONSULTANT to incorporate audit or
3 review recommendations, or to ensure that the Federal, State, or local governments have
4 access to CPA workpapers, will be considered a breach of contract terms and cause for
5 termination of the AGREEMENT and disallowance of prior reimbursed costs.
6 XVI. ERRORS OR OMISSIONS CLAIMS AND DISPUTES
7
8
A.
1.
Definitions:
A "Consultant" is a duly licensed Architect or Engineer, or other provider of
9 professional services, acting as a business entity (owner, partnership, corporation, joint
1 o venture or other business association) in accordance with the terms of an agreement with
11 the COUNTY.
12 2. A "Claim" is a demand or assertion by one of the parties seeking, as a matter
13 of right, adjustment or interpretation of contract terms, payment of money, extension of
14 time, change orders, or other relief with respect to the terms of the contract. The term
15 "Claim" also includes other disputes and matters in question between the COUNTY and
16 the CONSULTANT arising out of or relating to the contract. Claims must be made by
17 written notice. The provisions of Government Code section 901, et seq., shall apply to
18 every claim made to the COUNTY. The responsibility to substantiate claims shall rest with
19 the party making the claim. The term "Claim" also includes any allegation of an error or
20 omission by the CONSULTANT.
21 B. In the spirit of cooperation between the COUNTY and the CONSULTANT, th
22 following procedures are established in the event of any claim or dispute alleging a
23 negligent error, act, or omission, of the CONSULTANT.
24 1. Claims, disputes or other matters in question between the parties, arising out
25 of or relating to this AGREEMENT, shall not be subject to arbitration, but shall be subject to
26 the following procedures.
27 2. The COUNTY and the CONSULTANT shall meet and confer and attempt to
28 reach agreement on any dispute, including what damages have occurred, the measure of
COUNTY OF FRESNO
Fresno, California
03/26/15
23
1 damages and what proportion of damages, if any, shall be paid by either party. The partie
2 agree to consult and consider the use of mediation or other form of dispute resolution prior
3 to resorting to litigation.
4 3. If the COUNTY and the CONSULTANT cannot reach agreement under
5 Article XVI, Section 8, Paragraph 2, the disputed issues may, upon concurrence by all
6 parties, be submitted to a panel of three (3) for a recommended resolution. The
7 CONSULTANT and the COUNTY shall each select one (1) member of the panel, and the
8 third member shall be selected by the other two panel members. The discovery rights
9 provided by California Code of Civil Procedure for civil proceedings shall be available and
10 enforceable to resolve the disputed issues. Either party requesting this dispute resolution
11 process shall, when invoking the rights to this panel, give to the other party a notice
12 describing the claims, disputes and other matters in question. Prior to twenty (20) working
13 days before the initial meeting of the panel, both parties shall submit all documents such
14 party intends to rely upon to resolve such dispute. If it is determined by the panel that any
15 party has relied on such documentation, but has failed to previously submit such
16 documentation on a timely basis to the other party, the other party shall be entitled to a 20-
17 working-day continuance of such initial meeting of the panel. The decision by the panel is
18 not a condition precedent to arbitration, mediation or litigation.
19 4. Upon receipt of the panel's recommended resolution of the disputed issue(s),
20 the COUNTY and the CONSULTANT shall again meet and confer and attempt to reach
21 agreement. If the parties still are unable to reach agreement, each party shall have
22 recourse to all appropriate legal and equitable remedies.
23 C. The procedures to be followed in the resolution of claims and disputes may
24 be modified any time by mutual agreement of the parties hereto.
25 D. The CONSULTANT shall continue to perform its obligations under this
26 AGREEMENT pending resolution of any dispute, and the COUNTY shall continue to make
27 payments of all undisputed amounts due under this AGREEMENT.
28
COUNTY OF FRESNO
Fresno, California
03/26/15
E. When a claim by either party has been made alleging the CONSULTANT'S
24
1 negligent error, act, or omission, the COUNTY and the CONSULTANT shall meet and
2 confer within twenty-one (21) working days after the written notice of the claim has been
3 provided.
4 XVII. SUBCONTRACTING
5 A. The CONSULTANT shall perform the work contemplated with resources
6 available within its own organization; and no portion of the work pertinent to this contract
7 shall be subcontracted without written authorization by the CONTRACT ADMINISTRATOR,
8 excepting only those portions of the work and the responsible subconsultants that are
9 expressly identified in Appendix B hereto.
10 B. Any subcontract in excess of $25,000 entered into as a result of the
11 AGREEMENT, shall contain all the provisions stipulated in this AGREEMENT to be
12 applicable to subconsultants.
13 c. Any substitution of subconsultants must be approved in writing by the
14 CONTRACT ADMINISTRATOR.
15 XVIII. EQUIPMENT PURCHASE
16 A. Prior authorization in writing, by the CONTRACT ADMINISTRATOR shall be
17 required before the CONSULTANT enters into any unbudgeted purchase order, or
18 subcontract exceeding $5,000 for supplies, equipment, or CONSULTANT services. The
19 CONSULTANT shall provide an evaluation of the necessity or desirability of incurring such
20 costs.
21 B. Prior authorization by the CONTRACT ADMINISTRATOR shall be required
22 for purchase of any item, service or consulting work in excess of $5,000 that is not covered
23 in the CONSULTANT'S Cost Proposal; and the CONSULTANT'S request must be
24 accompanied by at least three competitive quotations, unless the absence of bidding is
25 adequately justified, to the satisfaction of the CONTRACT ADMINISTRATOR in his or her
26 discretion, by written explanation provided by the CONSULTANT with its submittal.
27 C. Any authorized purchase of equipment as a result of this AGREEMENT is
28 subject to the following: "The CONSULTANT shall maintain an inventory of all
COUNTY OF FRESNO
Fresno, California
03/26/15
25
1 nonexpendable property. Nonexpendable property is defined as having a useful life of at
2 least two years and an acquisition cost of $5,000 or more. If the purchased equipment
3 needs replacement and is sold or traded in, the COUNTY shall receive a proper refund or
4 credit at the conclusion of the contract, or if the contract is terminated, the CONSULTANT
5 may either keep the equipment and credit the COUNTY in an amount equal to its fair
6 market value, or sell such equipment at the best price obtainable at a public or private sale,
7 in accordance with established COUNTY procedures; and credit the COUNTY in an
8 amount equal to the sales price. If the CONSULTANT elects to keep the equipment, fair
9 market value shall be determined at the CONSULTANT'S expense, on the basis of a
1 o competent independent appraisal of such equipment. Appraisals shall be obtained from an
11 appraiser mutually agreeable to by the COUNTY and the CONSULTANT, if it is determined
12 to sell the equipment, the terms and conditions of such sale must be approved in advance
13 by the COUNTY." Title 49 CFR, Part 18 requires a credit to Federal funds when
14 participating equipment with a fair market value greater than $5,000.00 is credited to the
15 PROJECT.
16 XIX. INSPECTION OF WORK
17 The CONSULTANT and any subcontractor shall permit the COUNTY, the state, and
18 the FHWA to review and inspect the PROJECT activities and files at all reasonable times
19 during the performance period of the AGREEMENT including review and inspection on a
20 daily basis.
21 XX. INSURANCE
22 A. Without limiting the COUNTY'S right to obtain indemnification from the
23 CONSULTANT or any third parties, the CONSULTANT, at its sole expense, shall maintain
24 in full force and effect, the following insurance policies prior to commencement of any work
25 for the COUNTY and, thereafter, throughout the entire term of this AGREEMENT (with the
26 exception of Professional Liability Insurance, which the CONSULTANT shall maintain in full
27 force and effect for the additional period of time required by Article XX, Section A,
28 Paragraph 4 ).
COUNTY OF FRESNO
Fresno, California
03126/15
26
1 1. Commercial General Liability Insurance with limits not less than One Million
2 Dollars ($1 ,000,000.00) per occurrence and an annual aggregate of not less than Two
3 Million Dollars ($2,000,000.00). This policy shall be issued on a per occurrence basis. Th
4 COUNTY may require specific coverages including completed operations, products liability,
5 contractual liability, Explosion-Collapse-Underground, fire legal liability or any other liability
6 insurance deemed necessary because of the nature of this AGREEMENT.
7 2. Comprehensive Automobile Liability Insurance with limits for bodily injury of
8 Two Hundred Fifty Thousand Dollars ($250,000.00) per person, Five Hundred Thousand
9 Dollars ($500,000.00) per accident and for property damages of Fifty Thousand Dollars
10 ($50,000.00), or such coverage with a combined single limit of Five Hundred Thousand
11 Dollars ($500,000.00). Coverage should include owned and non-owned vehicles used in
12 connection with this AGREEMENT.
13 3. Worker's Compensation insurance policy as required by the California Labor
14 Code.
15 4. Professional Liability Insurance:
16 a. If the CONSULTANT employs licensed professional staff in providing
17 services, Professional Liability Insurance with limits of One Million Dollars ($1 ,000,000.00)
18 per claim, Two Million Dollars ($2,000,000.00) annual aggregate.
19 b. The Professional Liability Insurance shall be kept in full force and
20 effect for a period of three (3) years from the date of substantial completion of the
21 CONSULTANT'S work as determined by the COUNTY.
22 The CONSULTANT shall obtain endorsements to the Commercial General Liability
23 insurance naming the COUNTY, its officers, agents, and employees, individually and
24 collectively, as additional insured, but only insofar as the operations under this
25 AGREEMENT are concerned. Such coverage for additional insured shall apply as primary
26 insurance and any other insurance, or self-insurance, maintained by the COUNTY, its
27 officers, agents and employees shall be excess only and not contributing with insurance
28 provided under the CONSULTANT'S policies herein. The CONSULTANT shall give the
COUNTY OF FRESNO
Fresno, California
05/29/15
27
1 COUNTY at least thirty (30) days advance written notice of any cancellation, expiration,
2 reduction or other material change in coverage with respect to any of the aforesaid policies.
3 Prior to commencing any such work under the AGREEMENT, the CONSULTANT
4 shall provide to the COUNTY certificates of insurance and endorsements for all of the
5 required policies as specified above, stating that all such insurance coverage has been
6 obtained and is in full force; that the COUNTY, its officers, agents and employees will not
7 be responsible for any premiums on the policies; that such Commercial General Liability
a insurance names the COUNTY, its officers, agents and employees, individually and
9 collectively, as additional insured, but only insofar as the operations under this
10 AGREEMENT are concerned; that such coverage for additional insured shall apply as
11 primary insurance and any other insurance, or self-insurance, maintained by the COUNTY,
12 its officers, agents and employees, shall be excess only and not contributing with insuranc
13 provided under the CONSULTANT'S policies herein; and that this insurance shall not be
14 cancelled or changed without a minimum of thirty (30) days advance, written notice given
15 to the COUNTY. All certificates shall clearly indicate the COUNTY'S identifying Contract
16 Number for this AGREEMENT, and the certificates shall be sent to the attention of the
17 CONTRACT ADMINISTRATOR.
18 In the event the CONSULTANT fails to keep in effect at all times insurance
19 coverage as provided herein, the COUNTY may, in addition to other remedies it may have,
20 suspend or terminate this AGREEMENT upon the occurrence of such event. All policies
21 shall be issued by admitted insurers licensed to do business in the State of California, and
22 all such insurance shall be purchased from companies possessing a current A.M. Best,
23 Inc. rating of A and FSC VII or better.
24 XXI. OWNERSHIP OF DATA
25 A. All documents, including preliminary documents, calculations, and survey
26 data, required in performing services under the AGREEMENT shall be submitted to, and
27 shall remain at all times the property of the COUNTY regardless of whether they are in the
28 possession of the CONSULTANT or any other person, firm, corporation or agency.
COUNTY OF FRESNO
Fresno. California
03/26/15
28
1 B. The CONSULTANT understands and agrees the COUNTY shall retain full
2 ownership rights of the drawings and work product of the CONSULTANT for the
3 PROJECT, to the fullest extent permitted by law. In this regard, the CONSULTANT
4 acknowledges and agrees CONSULTANT'S services are on behalf of the COUNTY and
5 are "works made for hire," as that term is defined in copyright law, by the COUNTY; that
6 the drawings and work product to be prepared by the CONSULTANT are for the sole and
7 exclusive use of the COUNTY, and that the COUNTY shall be the sole owner of all patents,
8 copyrights, trademarks, trade secrets and other rights and contractual interests in
9 connection therewith which are developed and compensated solely under the
10 AGREEMENT; that all the rights, title and interest in and to the drawings and work product
11 will be transferred to the COUNTY by the CONSULTANT to the extent the CONSULTANT
12 has an interest in and authority to convey such rights; and the CONSULTANT will assist
13 the COUNTY to obtain and enforce patents, copyrights, trademarks, trade secrets, and
14 other rights and contractual interests relating to said drawings and work product, free and
15 clear of any claim by the CONSULTANT or anyone claiming any right through the
16 CONSULTANT. The CONSULTANT further acknowledges and agrees the COUNTY's
17 ownership rights in such drawings or work product, shall apply regardless of whether such
18 drawings or work product, or any copies thereof, are in possession of the CONSULTANT,
19 or any other person, firm, corporation, or entity. For purposes of this AGREEMENT the
20 terms "drawings and work product" shall mean all reports and study findings commissioned
21 to develop the PROJECT design, drawings and schematic or preliminary design
22 documents, certified reproducibles of the original final construction contract drawings,
23 specifications, the approved estimate, record drawings, as-built plans, and discoveries,
24 developments, designs, improvement, inventions, formulas, processes, techniques, or
25 specific know-how and data generated or conceived or reduced to practice or learning by
26 the CONSULTANT, either alone or jointly with others, that result from the tasks assigned to
27 the CONSULTANT by the COUNTY under the AGREEMENT.
28
COUNTY OF FRESNO
Fresno, California
03/26/15
C. If the AGREEMENT is terminated during or at the completion of any phase
29
1 under Article Ill, a reproducible copy of report(s) or preliminary documents shall be
2 submitted by the CONSULTANT to the COUNTY, which may use them to complete the
3 PROJECT(S) at a future time.
4 D. If the PROJECT is terminated at the completion of a construction document
5 phase of the PROJECT, certified reproducibles on 4 mil thick double matte film of the
6 original final construction contract drawings, specifications, and approved engineer's
7 estimate shall be submitted by the CONSULTANT to the COUNTY.
8 E. Documents, including drawings and specifications, prepared by
9 CONSULTANT pursuant to AGREEMENT are intended to be suitable for reuse by
10 COUNTY or others on extensions of the services provided for PROJECT. Any use of
11 completed documents for projects other than PROJECT(S) and/or any use of uncompleted
12 documents will be at COUNTY'S sole risk and without liability or legal exposure to
13 CONSULTANT.
14 The electronic files provided by the CONSULTANT to the COUNTY are submitted
15 for an acceptance period lasting until the expiration of the AGREEMENT (i.e., throughout
16 the duration of the contract term, including any extensions). Any defects the COUNTY
17 discovers during such acceptance period will be reported to the CONSULTANT and will be
18 corrected as part of the CONSULTANT'S "Basic Scope of Work."
19 F. The CONSULTANT shall not be liable for claims, liabilities or losses arising
20 out of, or connected with (1) the modification or misuse by the COUNTY or anyone
21 authorized by the COUNTY, of such CAD data, or (2) decline of accuracy or readability of
22 CAD data due to inappropriate storage conditions or duration; or (3) any use by the
23 COUNTY, or anyone authorized by the COUNTY, of such CAD data or other PROJECT
24 documentation for additions to the PROJECT for the completion of the PROJECT by
25 others, or for other projects; except to the extent that said use may be expressly
26 authorized, in writing, by the CONSULTANT.
27 G. The COUNTY, in the discretion of its Board of Supervisors, may permit the
28 copyrighting of reports or other products of the AGREEMENT; and provided further, that if
COUNTY OF FRESNO
Fresno, California
03/26/15
30
1 copyrights are permitted, the CONSULTANT hereby agrees and this AGREEMENT shall
2 be deemed to provide that the Federal Highway Administration shall have the royalty-free
3 nonexclusive and irrevocable right to reproduce, publish, or otherwise use, and to authorize
4 others to use, the work for government purposes.
5 XXII. CLAIMS FILED BY COUNTY'S CONSTRUCTION CONTRACTOR
6 A. If claims are filed by the COUNTY's CONTRACTOR relating to work
7 performed by the CONSULTANT'S personnel, and additional information or assistance
8 from the CONSULTANT'S personnel is required in order to evaluate or defend against
9 such claims, then the CONSULTANT hereby agrees in such event to make its personnel
10 available for consultation with the COUNTY's construction contract administration and legal
11 staff and for testimony, if necessary, at depositions and at trial or arbitration proceedings.
12 B. The CONSULTANT'S personnel that the COUNTY considers essential to
13 assist in defending against the CONTRACTOR claims will be made available on
14 reasonable notice from the DIRECTOR. Services of the CONSULTANT'S personnel in
15 connection with consultation or testimony for this purpose will be performed pursuant to a
16 written contract amendment, if determined by the parties to be necessary or appropriate.
17 XXIII. CONFIDENTIALITY OF DATA
18 A. All financial, statistical, personal, technical, or other data and information
19 relative to the COUNTY'S operations, which are designated confidential by the COUNTY
20 and made available to the CONSULTANT in order to carry out the AGREEMENT, shall be
21 protected by the CONSULTANT from unauthorized use and disclosure.
22 B. Permission to disclose information on one occasion, or public hearing held by
23 the COUNTY relating to the contract, shall not authorize the CONSULTANT to further
24 disclose such information, or disseminate the same on any other occasion.
25 C. The CONSULTANT shall not comment publicly to the press or any other
26 media regarding the AGREEMENT or the COUNTY's actions on the same, except to the
27 COUNTY's staff, the CONSULTANT'S own personnel involved in the performance of the
28 AGREEMENT, at public hearings or in response to questions from a Legislative committee.
COUNTY OF FRESNO
Fresno. California
03126/15
31
1 D. The CONSULTANT shall not issue any news release or public relations item
2 of any nature, whatsoever, regarding work performed or to be performed under the
3 AGREEMENT without prior review of the contents thereof by the COUNTY, and receipt of
4 the COUNTY'S written permission.
5 E. All information related to the construction estimate is confidential, and shall
6 not be disclosed by the CONSULTANT to any entity other than the COUNTY.
7 XXIV. NATIONAL LABOR RELATIONS BOARD CERTIFICATION
8 In accordance with Public Contract Code Section 10296, the CONSULTANT hereby
9 states under penalty of perjury that no more than one final unappealable finding of
10 contempt of court by a federal court has been issued against the CONSULTANT within the
11 immediately preceding two-year period, because of the CONSULTANT'S failure to comply
12 with an order of a federal court that orders the CONSULTANT to comply with an order of
13 the National Labor Relations Board.
14 XXV. EVALUATION OF CONSULTANT
15 The CONSULTANT'S services and performance will be evaluated by the COUNTY
16 using the form attached as Appendix F. A copy of the evaluation will be sent to the
17 CONSULTANT for comments. The evaluation together with the comments shall be
18 retained as part of the contract record.
19 XXVI. STATEMENT OF COMPLIANCE: NON-DISCRIMINATION
20 A. The CONSULTANT'S signature affixed herein, and dated, shall constitute a
21 certification under penalty of perjury under the laws of the State of California that the
22 CONSULTANT has, unless exempt, complied with, the nondiscrimination program
23 requirements of Government Code Section 12990 and Title 2, California
24 Administrative Code, Section 8103.
25 B. During the performance of the AGREEMENT, the CONSULTANT and its
26 subconsultants shall not unlawfully discriminate, harass, or allow harassment against any
27 employee or applicant for employment because of sex, race, color, ancestry, religious
28 creed, national origin, physical disability (including HIV and AIDS), mental disability,
COUNTY OF FRESNO
Fresno, California
03/26115
32
1 medical condition (e.g., cancer), age (over 40), marital status, and denial of family care
2 leave. The CONSULTANT and subconsultants shall insure that the evaluation and
3 treatment of their employees and applicants for employment are free from such
4 discrimination and harassment. The CONSULTANT and subconsultants shall comply with
5 the provisions of the Fair Employment and Housing Act (Gov. Code §12990 (a-f) et seq.)
6 and the applicable regulations promulgated thereunder (California Code of Regulations,
7 Title 2, Section 7285 et seq.). The applicable regulations of the Fair Employment and
8 Housing Commission implementing Government Code Section 12990 (a-f), set forth in
9 Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are incorporated
10 into the AGREEMENT by reference and made a part hereof as if set forth in full. The
11 CONSULTANT and subconsultants shall give written notice of their obligations under this
12 clause to labor organizations with which they have a collective bargaining or other
13 Agreement.
14 C. The CONSULTANT and subconsultants shall include the nondiscrimination
15 and compliance provisions of this clause in all subcontracts to perform work under the
16 AGREEMENT.
17 XXVII. DEBARMENT AND SUSPENSION CERTIFICATION
18 A. The CONSULTANT'S signature affixed herein, shall constitute a certification
19 under penalty of perjury under the laws of the State of California, that the CONSULTANT
20 has complied with Title 49, Code of Federal Regulations, Part 29, Debarment and
21 Suspension Certificate, which certifies that he/she or any person associated therewith in
22 the capacity of owner, partner, director, officer, or manager, is not currently under
23 suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal
24 agency; has not been suspended, debarred, voluntarily excluded, or determined ineligible
25 by any federal agency within the past three (3) years; does not have a proposed
26 debarment pending; and has not been indicted, convicted, or had a civil judgment rendered
27 against it by a court of competent jurisdiction in any matter involving fraud or official
28 misconduct within the past three (3) years. Any exceptions to this certification must be
COUNTY OF FRESNO
Fresno. California
03126/15
33
1 disclosed to the COUNTY on Appendix G.
2 B. Exceptions will not necessarily result in denial of recommendation for award,
3 but will be considered in determining CONSULTANT responsibility. Disclosures must
4 indicate to whom exceptions apply, initiating agency, and dates of action.
5 C. Exceptions to the Federal Government Excluded Parties Listing System
6 maintained by the General Services Administration are to be determined by the Federal
7 Highway Administration.
8 XXVIII. COMPLIANCE WITH LAWS AND STATE PREVAILING WAGE RATES
9 A. The CONSULTANT shall comply with the State of California's General
10 Prevailing Wage Rate requirements in accordance with California Labor Code, Section
11 1770, and all Federal, State, and local laws and ordinances applicable to the work.
12 B. Any subcontract entered into as a result of this contract if for more than
13 $25,000 for public works construction or more than $15,000 for the alteration, demolition,
14 repair, or maintenance of public works, shall contain all of the provisions of this Article.
15 XXVIII. CONFLICT OF INTEREST
16 A. The CONSULTANT shall comply with the provisions of the Fresno County
17 Department of Public Works and Planning Conflict of Interest Code, attached hereto as
18 Appendix Hand incorporated herein. Such compliance shall include the filing of annual
19 statements pursuant to the regulations of the State Fair Political Practices Commission
20 including, but not limited to, portions of Form 700.
21 B. The CONSULTANT shall disclose any financial, business, or other
22 relationship with the COUNTY that may have an impact upon the outcome of this contract,
23 or any ensuing COUNTY construction project. The CONSULTANT shall also list current
24 clients who may have a financial interest in the outcome of this contract, or any ensuing
25 COUNTY construction project, which will follow.
26 C. The CONSULTANT hereby certifies that it does not now have, nor shall it
27 acquire any financial or business interest that would conflict with the performance of
28 services under this AGREEMENT.
COUNTY OF FRESNO
Fresno, California
03126/15
34
1 D. The CONSULTANT hereby certifies that neither the CONSULTANT, nor any
2 firm affiliated with the CONSULTANT will bid on any construction contract, or on any
3 contract to provide construction inspection for any construction PROJECT resulting from
4 this AGREEMENT; provided, however, that this shall not be construed as disallowing
5 CONSULTANT or affiliated firm from performing, pursuant to this AGREEMENT or other
6 agreement with the COUNTY, construction inspection services on behalf of COUNTY for
7 the PROJECT. An affiliated firm is one, which is subject to the control of the same persons
8 through joint ownership, or otherwise.
9 E. Except for subconsultants or subcontractors whose services are limited to
10 providing surveying or materials testing information, no subcontractor who has provided
11 design services in connection with this contract shall be eligible to bid on any construction
12 contract, or on any contract to provide construction inspection for any construction project
13 resulting from this contract; provided, however, that this shall not be construed as
14 disallowing subcontractors who have provided design services for the PROJECT from
15 performing, pursuant to this AGREEMENT or other agreement with the COUNTY,
16 construction inspection services on behalf of the COUNTY for the PROJECT.
17 XXX. REBATES. KICKBACKS OR OTHER UNLAWFUL CONSIDERATION
18 The CONSULTANT warrants that this AGREEMENT was not obtained or secured
19 through rebates kickbacks or other unlawful consideration, either promised or paid to any
20 COUNTY employee. For breach or violation of this warranty, the COUNTY shall have the
21 right, in its discretion, to do any of the following: terminate the AGREEMENT without
22 liability; or to pay only for the value of the work actually performed; or to deduct from the
23 AGREEMENT price, or otherwise recover the full amount of such rebate, kickback or other
24 unlawful consideration.
25 XXXI. PROHIBITION OF EXPENDING COUNTY STATE OR FEDERAL FUNDS FOR
26 LOBBYING
27 A. The CONSULTANT shall sign the lobbying forms, attached hereto as
28 Appendix I and incorporated herein, as required by the instructions found on each form.
COUNTY OF FRESNO
Fresno, California
03/26/15
35
1 B. The CONSULTANT certifies to the best of his or her knowledge and belief
2 that:
3 1. No state, federal or COUNTY appropriated funds have been paid, or will be
4 paid by or on behalf of the CONSULTANT to any person for influencing or attempting to
5 influence an officer or employee of any state or federal agency; a Member of the State
6 Legislature or United States Congress; an officer or employee of the Legislature or
7 Congress; or any employee of a Member of the Legislature or Congress, in connection with
8 any of the following:
9
10
11
12
13
a.
b.
c.
d.
e.
the awarding of any state or federal contract;
the making of any state or federal grant;
the making of any state or federal loan;
the entering into of any cooperative agreement, or
the extension, continuation, renewal, amendment, or modification of
14 any state or federal contract, grant, loan, or cooperative agreement.
15 2. If any funds other than federally appropriated funds have been paid, or will be
16 paid to any person for influencing or attempting to influence an officer or employee of any
17 federal agency; a Member of Congress; an officer or employee of Congress, or an
18 employee of a Member of Congress; in connection with this federal contract, grant, loan, or
19 cooperative agreement, then the CONSULTANT shall complete and submit Standard
20 Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
21 C. The certification required by the provisions of this Article is a material
22 representation of fact upon which reliance was placed when this transaction was made or
23 entered into. Submission of this certification is a prerequisite for making or entering into
24 this transaction imposed by Title 31, U.S. Code Section 1352. Any person who fails to file
25 the required certification shall be subject to a civil penalty of not less than $10,000 and not
26 more than $100,000 for each such failure.
27 D. The CONSULTANT also agrees by signing this document that he or she shall
28 require that the language of this certification be included in all lower-tier subcontracts which
COUNTY OF FRESNO
Fresno, California
03/26/15
36
exceed $100,000, and that all such sub-recipients shall certify and disclose accordingly.
2 XXXII. INDEPENDENT CONTRACTOR
3 A. In performance of the work, duties and obligations assumed by the
4 CONSULTANT under this AGREEMENT, it is mutually understood and agreed that the
5 CONSULTANT, including any and all of the CONSULTANT'S officers, agents, and
6 employees will at all times be acting and performing as an independent contractor, and shall
7 act in an independent capacity and not as an officer, agent, servant, employee, joint venturer,
8 partner, or associate of the COUNTY. Furthermore, COUNTY shall have no right to control o
9 supervise or direct the manner or method by which the CONSULTANT shall perform its work
10 and function. However, COUNTY shall retain the right to administer this AGREEMENT so as
11 to verify that the CONSULTANT is performing its obligations in accordance with the terms
12 and conditions thereof.
13 B. The CONSULTANT and the COUNTY shall comply with all applicable
14 provisions of law and the rules and regulations, if any, of governmental authorities having
15 jurisdiction over matters the subject thereof.
16 C. Because of its status as an independent contractor, the CONSULTANT shall
17 have absolutely no right to employment rights and benefits available to COUNTY employees.
18 the CONSULTANT shall be solely liable and responsible for providing to, or on behalf of, its
19 employees all legally-required employee benefits. In addition, the CONSULTANT shall be
20 solely responsible and save COUNTY harmless from all matters relating to payment of the
21 CONSULTANT'S employees, including compliance with Social Security withholding and all
22 other regulations governing such matters. It is acknowledged that during the term of this
23 AGREEMENT, the CONSULTANT may be providing services to others unrelated to the
24 COUNTY or to this AGREEMENT.
25 XXXIII. DISCLOSURE OF SELF-DEALING TRANSACTIONS
26 This provision is only applicable if the CONSULTANT is operating as a corporation
27 (a for-profit or non-profit corporation) or if during the term of the AGREEMENT, the
28 CONSULANT changes its status to operate as a corporation. Members of the
COUNTY OF FRESNO
Fresno, California
03126115
37
1 CONSULTANT'S Board of Directors shall disclose any self-dealing transactions that they
2 are a party to while the CONSULTANT is providing goods or performing services under the
3 AGREEMENT. A self-dealing transaction shall mean a transaction to which the
4 CONSULTANT is a party and in which one or more of its directors has a material financial
5 interest. Members of the Board of Directors shall disclose any self-dealing transactions that
6 they are a party to by completing and signing a Self-Dealing Transaction Disclosure Form,
7 attached hereto and incorporated as Appendix J and submitting it to the COUNTY prior to
8 commencing with the self-dealing transaction or immediately thereafter.
9 XXXIV. NOTIFICATION
10 All notices hereunder and communications regarding interpretation of the terms of
11 this AGREEMENT and changes thereto, shall be effected by the mailing thereof by
12 registered or certified mail, return receipt requested, postage prepaid, and addressed to
13 the CONTRACT ADMINISTRATOR and the CONSULTANT'S Project Manager identified
14 on Page 1 of this AGREEMENT.
15 XXXV. NON-ASSIGNMENT
16 Neither party shall assign, transfer or sub-contract this AGREEMENT or any of its
17 respective rights or duties hereunder, without the prior written consent of the other party.
18 XXXVI. CONSULTANT'S LEGAL AUTHORITY
19 Each individual executing or attesting the AGREEMENT on behalf of the
20 CONSULTANT hereby covenants, warrants, and represents: (i) that he or she is duly
21 authorized by or in accordance with CONSULTANT'S corporate by-laws to execute or
22 attest and deliver the AGREEMENT on behalf of the CONSULTANT; and (ii) that the
23 AGREEMENT, once he or she has executed it, is and shall be binding upon such
24 Corporation.
25 XXXVII. BINDING UPON SUCCESSORS
26 The AGREEMENT shall be binding upon and inure to the benefit of the parties and
27 their respective successors in interest, assigns, legal representatives, and heirs.
28 XXXVIII. INCONSISTENCIES
COUNTY OF FRESNO
Fresno, California
03/26/15
38
1 In the event of any inconsistency in interpreting the documents which constitute the
2 AGREEMENT, the inconsistency shall be resolved by giving precedence in the following
3 order of priority: (1) the text of the AGREEMENT (excluding Appendices); (2) Appendices
4 to the AGREEMENT.
s XXXIX. SEVERABILITY
6 Should any part of this AGREEMENT be determined to be invalid or unenforceable,
7 then this AGREEMENT shall be construed as not containing such provision, and all other
8 provisions which are otherwise lawful shall remain in full force and effect, and to this end
9 the provisions of this AGREEMENT are hereby declared to be severable.
10 XL. FINAL AGREEMENT
11 Both of the above-named parties to this AGREEMENT hereby expressly agree that
12 this AGREEMENT constitutes the entire agreement which is made and concluded in
13 duplicate between the two parties with respect to the subject matter hereof and supersede
14 all previous negotiations, proposals, commitments, writing, advertisements, publications,
15 and understandings of any nature whatsoever unless expressly included in this
16 AGREEMENT. In consideration of the promises, covenants and conditions contained in
17 this AGREEMENT, the CONSULTANT and the COUNTY, and each of them, do hereby
18 agree to diligently perform in accordance with the terms and conditions of the
19 AGREEMENT, as evidenced by the signatures below.
20
21
22
23
24
25
26
27
28
COUNTY OF FRESNO
Fresno, California
03/26115
39
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
COUNTY OF FRESNO
Fresno,California
03/26/15
IN WITNESS WHEREOF,the parties hereto have caused this AGREEMENT to be
executed as of the day and year first above written.
CONSULTANT
^Ajtl g:<4-''}
NAME
ADDRESS:1945J^L_EffilEJ^VENyE,
StHTE I 10,FRESNO,-eA-9972?
REVIEWED AND RECOMMENDED
FOR APPROVAL
0-€*<k 6/c+BY:
ALAN WEAVER,DIRECTOR
DEPARTMENT OF PUBLIC WORKS
AND PLANNING
ORG:0130 1910 1912 4360 4510
7205
FUND:0001 0001 0001 0001 0010
0001
SUBCLASS:10000 10000 11000
00001
ACCOUNT:7295
40
COUNTY OF FRESNO
DEBORAH A.POOCHIGIAN,
CHAIRMAN,
BOARD OF SUPERVISOR
ATTEST:
BERNICE E.SEIDEL,Clerk
Board of Supervisors
Deputy
APPROVED AS TO LEGAI4FORM
COUNTY COUNSEL
APPROVED AS TO ACCOUNTING
FORM
BY:
VICKI CROW,C.P.A.
AUDITOR-CONTROLLER/
TREASURER-TAX COLLECTOR
i'u -U
APPENDIX A
CONSULTANT PROJECT TEAM
APPENDIX A
The County of Fresno, CA
On Call Consultant Services for Real Property Appraisal,
Acquisition, Relocation Assistance & Associated Services
for Various Road & Capital Improvement Projects
2. FIRM NAME, ADDRESS AND PHONE NUMBER
Universal Field Services, Inc.
1945 N. Fine Avenue, Suite 110
Fresno, CA 93727
T: (559) 453-2901
3. TYPE OF ORGANIZATION
and Universal Field Services, Inc.
1600 Sacramento Inn Way, Suite 209
Sacramento, CA 95815
(916) 564-9980
Universal Field Services, Inc. is registered as a corporation in Oklahoma with its corporate office
at P.O. Box 35666, Tulsa, Oklahoma 74153.
4. FIRM PRINCIPALS
Our executive staff located in our headquarters authorizes and supports Leslie Finnigan,
SRIWA as the Principal responsible for overall coordination and management of this contract
and Universal's significant operations throughout California. Leslie has over 28 years of
experience in the Right of Way field. She is involved in all phases of the land acquisition and
relocation process in a management capacity. As the Regional Manager for this area, Leslie
provides corporate oversight to all projects in California, as well as project management when
needed. Aside from direct project work, her duties include staffing, contracting with
subcontractors (appraisers, title companies, environmental firms, surveyors, clerical firms, etc.)
and periodic quality assurance reviews on current projects to verify compliance with Federal
and State regulations and Universal's internal audit requirements.
Educational Background-Leslie attended Western Oregon University.
Credentials -Leslie is a California Real Estate Broker and the Principal Broker for Universal in
California. She has the Senior Designation (SR/WA) with the International Right of Way
Association.
5. KEY PERSONNEL
Project Manager:
Leslie Finnigan, SRIWA will serve as the Project Manager for any projects awarded to
Universal. Her educational background, credentials and experience are discussed in Section 4
and highlighted in the resume provided in the Appendix.
Additional personnel include: (please see their resumes provided in the Appendix)
Julie Duchscherer, SRIWA-Julie is a Senior Acquisition Agent for Universal and is currently
working on the California High Speed Rail project in Fresno. Prior to working for Universal, Julie
worked as an Associate Right of Way Agent at the County of El Dorado performing duties from
start to finish of the right of way process. She received approvals from the Board of Supervisors,
handled appraisals, agreements and deeds, negotiation and acquisition, relocations,
escrows/title issues through completed construction of projects. Julie managed 40+ projects
from small to large on bridges, intersections and interchanges, in various stages of planning to
construction.
December 19, 2014 Leading the Way in Right of Way Page 3 of 12
APPENDIX A
The County of Fresno, CA
On Call Consultant Services for Real Property Appraisal,
Acquisition, Relocation Assistance & Associated Services for
Various Road & Capital Improvement Projects
Applicable License/Credentials -Julie attended the University of Louisville in Kentucky, has a
California Real Estate License and the Senior Designation (SR/WA) with the International Right
of Way Association.
Kimberly Reed, SRIWA-Kimberly has nearly 20 years of experience in the right of way field.
She began her career as a real prop!3rty agent with the City of Riverside doing all aspects of
right of way work. She acquired property interests, including right of way and unimproved and
improved properties to support City public infrastructure and Redevelopment Agency projects.
Kimberly left the public sector and went to work as a consultant in 2007.
Applicable License/Credentials -Kimberly attended Victor Valley Community College and the
Southern California School of Business and Law and has a Paralegal Certificate. She has a
California Real Estate license and the Senior Designation (SR/WA) with the International Right
of Way Association.
Vanessa Cothran, SRIWA -Vanessa has worked for Universal for over 10 years on a variety of
projects in numerous roles. She has demonstrated expertise in providing acquisition and
relocation assistance services under the requirements of the Uniform Act and Caltrans policies
and procedures. Vanessa has the Senior Designation (SR/WA) with the International Right of
Way Association. Her versatility and good public relations talents are assets to every
assignment.
Applicable License/Credentials-Vanessa has a BA from California State University, and has a
California Real Estate License. She is completing her Senior Designation with the International
Right of Way Association.
Edward Carter-Edward is an experienced real estate professional with extensive background
in commercial real estate acquisition, sale, leasing, appraisal, relocation, development,
easements, entitlements and rights of way for public use. He is currently working on the
California High Speed Rail project in Fresno. Prior to that, Edward worked for the Sacramento
Regional Transit District as a Real Estate Consultant and for the City of San Jose
Redevelopment Agency as Senior Development Officer.
Applicable License/Credentials-Edward attended Marquette University in Milwaukee, WI, and
has a California Real Estate Broker License.
6. SUBCONSULTANTS
We discussed the potential assignments in the Project with several qualified subconsultants,
particularly relative to their overall qualifications, experience, and their ability to promptly
respond with quality reports and with appropriate fees. We have selected the following firms to
provide appraisal, review appraisal, and litigation gurantee services:
Appraisal:
Lawrence D. Hopper, MAl, SRA
Real Property Analysts
6740 N. West Avenue, Suite 107
Fresno, CA 93711
T: (559) 261-9136 IF: (559) 261-9165
Craig Owyang, MAl, SR/WA, R/W-AC
Craig Owyang Real Estate
4965 Willow Vale Way
Elk Grove, CA 95758
T: (650) 595-8615
December 19, 2014 Leading the Way in Right of Way Page 4 of 12
Review Appraisal:
Keith J. Hopper, MAl, R/W-AC
Hopper Company
2918 West Main Street
Visalia, CA 93291
APPENDIX A
The County of Fresno, CA
On Call Consultant Services for Real Property Appraisal,
Acquisition, Relocation Assistance & Associated Services for
Various Road & Capital Improvement Projects
Frances Wolfe Mason, MAl
Mason & Mason (certified WBE)
2609 Honolulu Avenue, Suite 100
Montrose, CA 91020
T: (559) 733-1230 IF: (559) 733-1248 T: (818) 957-1881 IF: (818) 957-1891
Litigation Guarantees:
Fidelity National Title Group
Kelly E. Pryor, Title Examiner and Officer
2540 West Shaw Lane, #112
Fresno, Ca. 93711
T: (559) 492-4208 I F: 559-448-8530
7. LIST OF CURRENT STAFF, JOB CLASSIFICATIONS, FIRM QUALIFICATIONS
Universal has provided coordinated land and right of way acquisition services throughout the
United States since 1958. We are a nation-wide firm with nearly 600 employees all devoted to
land and right of way acquisition, relocation assistance, and related services. Our offices in
California include proven professionals. A list of current staff and job classifications is as follows:
Name
Leslie Finnigan
Donna Harrison
Christopher Krier
Barbie Barnes
Kim Reed
Julie Duchscherer
Vanessa Cothran
Edward Carter
Victoria Gonzales
Rosa Cantor de Alvarez
Rebecca Garcia
Lora Krier
Job Classification
Corporate Oversight
Project Manager
Assistant Project Manager
Relocation Manager
Senior Right of Way Specialist
Senior Right of Way Specialist
Senior Right of Way Specialist
Senior Right of Way Specialist
Right of Way Specialist
Administrative Assistant
Administrative Assistant
Administrative Support
As noted earlier, our firm qualifications are substantial, underscored with the quality features of
reliability and proven systems. In addition to acquisition services, we have delivered
professional relocation assistance services since the Uniform Act and related laws and
regulations took effect. Universal is qualified to do business in 48 states, and has been licensed
to do business in the State of California for nearly 30 years.
Universal is privately owned with offices in Fresno and Sacramento and with executive offices in
Tulsa, Oklahoma. The firm also has regional offices in the metropolitan areas of Salem, Oregon;
Seattle, Washington; Denver, Colorado; Des Moines, Iowa; Dallas and Houston, Texas;
December 19, 2014 Leading the Way in Right of Way Page 5 of 12
APPENDIX 8
SUBCONSULTANTS
APPENDIX B
The County of Fresno, CA
On Call Consultant Services for Real Property Appraisal,
Acquisition, Relocation Assistance & Associated Services for
· Various Road & Capital Improvement Projects
Applicable License/Credentials -Julie attended the University of Louisville in Kentucky, has a
California Real Estate License and the Senior Designation (SR/WA) with the International Right
of Way Association.
Kimberly Reed, SRIWA -Kimberly has nearly 20 years of experience in the right of way field.
She began her career as a real property agent with the City of Riverside doing all aspects of
right of way work. She acquired property interests, including right of way and unimproved and
improved properties to support City public infrastructure and Redevelopment Agency projects.
Kimberly left the public sector and went to work as a consultant in 2007.
Applicable License/Credentials -Kimberly attended Victor Valley Community College and the
Southern California School of Business and Law and has a Paralegal Certificate. She has a
California Real Estate license and the Senior Designation (SR/WA) with the International Right
of Way Association.
Vanessa Cothran, SRIWA-Vanessa has worked for Universal for over 10 years on a variety of
projects in numerous roles. She has demonstrated expertise in providing acquisition and
relocation assistance services under the requirements of the Uniform Act and Caltrans policies
and procedures. Vanessa has the Senior Designation (SR/WA) with the International Right of
Way Association. Her versatility and good public relations talents are assets to every
assignment.
Applicable License/Credentials-Vanessa has a BA from California State University, and has a
California Real Estate License. She is completing her Senior Designation with the International
Right of Way Association.
Edward Carter-Edward is an experienced real estate professional with extensive background
in commercial real estate acquisition, sale, leasing, appraisal, relocation, development,
easements, entitlements and rights of way for public use. He is currently working on the
California High Speed Rail project in Fresno. Prior to that, Edward worked for the Sacramento
Regional Transit District as a Real Estate Consultant and for the City of San Jose
Redevelopment Agency as Senior Development Officer.
Applicable License/Credentials-Edward attended Marquette University in Milwaukee, WI, and
has a California Real Estate Broker License.
6. SUBCONSUL TANTS
We discussed the potential assignments in the Project with several qualified subconsultants,
particularly relative to their overall qualifications, experience, and their ability to promptly
respond with quality reports and with appropriate fees. We have selected the following firms to
provide appraisal, review appraisal, and litigation gurantee services:
Appraisal:
Lawrence D. Hopper, MAl, SRA
Real Property Analysts
6740 N. West Avenue, Suite 107
Fresno, CA 93711
T: (559) 261-91361 F: (559) 261-9165
Craig Owyang, MAl, SR/WA, R/W-AC
Craig Owyang Real Estate
4965 Willow Vale Way
Elk Grove, CA 95758
T: (650) 595-8615
December 19, 2014 Leading the Way in Right of Way Page 4 of 12
Review Appraisal:
Keith J. Hopper, MAl, R/W-AC
Hopper Company
2918 West Main Street
Visalia, CA 93291
APPENDIX B
The County of Fresno, CA
On Call Consultant Services for Real Property Appraisal,
Acquisition, Relocation Assistance & Associated Services for
Various Road & Capital Improvement Projects
Frances Wolfe Mason, MAl
Mason & Mason (certified WBE)
2609 Honolulu Avenue, Suite 100
Montrose, CA 91020
T: (559) 733-1230 IF: (559) 733-1248 T: (818) 957-1881 IF: (818) 957-1891
Litigation Guarantees:
Fidelity National Title Group
Kelly E. Pryor, Title Examiner and Officer
2540 West Shaw Lane, #112
Fresno, Ca. 93711
T: (559) 492-4208 I F: 559-448-8530
7. LIST OF CURRENT STAFF, JOB CLASSIFICATIONS, FIRM QUALIFICATIONS
Universal has provided coordinated land and right of way acquisition services throughout the
United States since 1958. We are a nation-wide firm with nearly 600 employees all devoted to
land and right of way acquisition, relocation assistance, and related services. Our offices in
California include proven professionals. A list of current staff and job classifications is as follows:
Name
Leslie Finnigan
Donna Harrison
Christopher Krier
Barbie Barnes
Kim Reed
Julie Duchscherer
Vanessa Cothran
Edward Carter
Victoria Gonzales
Rosa Cantor de Alvarez
Rebecca Garcia
Lora Krier
Job Classification
Corporate Oversight
Project Manager
Assistant Project Manager
Relocation Manager
Senior Right of Way Specialist
Senior Right of Way Specialist
Senior Right of Way Specialist
Senior Right of Way Specialist
Right of Way Specialist
Administrative Assistant
Administrative Assistant
Administrative Support
As noted earlier, our firm qualifications are substantial, underscored with the quality features of
reliability and proven systems. In addition to acquisition services, we have delivered
professional relocation assistance services since the Uniform Act and related laws and
regulations took effect. Universal is qualified to do business in 48 states, and has been licensed
to do business in the State of California for nearly 30 years.
Universal is privately owned with offices in Fresno and Sacramento and with executive offices in
Tulsa, Oklahoma. The firm also has regional offices in the metropolitan areas of Salem, Oregon;
Seattle, Washington; Denver, Colorado; Des Moines, Iowa; Dallas and Houston, Texas;
December 19, 2014 Leading the Way in Right of Way Page 5 of 12
APPENDIX C
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
Local Assistance Procedures Manual
APPENDIX C
EXHIBIT 10-01
Consultant Proposal DBE Commitment
EXHIBIT 10-01 CONSULTANT PROPOSAL DBE COMMITMENT
(Inclusive of all DBEs listed at bid proposal. Refer to instructions on the reverse side of this form)
Consultant to Complete this Section
1. ~ru Agonoy N•m< {$:II} ~ of 6-vJo
(II) 2. ProJect LocatiOn: .:5I?
3. Project Description: (YV-ea1J tZom u J-/a /7 ) ~ ;--u~:-e.s
(_J;71 tJ e;--;:sa / fiek) .;SfyvKes . .--
4. Consultant Name: .. ll?c.
5. Contract DBE Goal %:
DBE Commitment Information
6. Description of Services to be Provided 7. DBEFinn 8. DBE Cert. 9. DBE%
Contact Information Number
.. ·.~ ,, .
. ·l.pealAgeriey to Complete this Section .. 10. Toll'\!
%Claimed i %
16. Local Agency Contract Number:
17. Federal-aid Project Number:
,I 1
18. Proposed Contract Execution Date: rt~xJ~QrLL t Local Agency certifies that all DBE certifications are valid and the
information on this form is complete and accurate:
19. Local Agency Representative Name (Print)
20. Local Agency Representative Signature 21. Date
22. Local Agency Representative Title 23. (Area Code) Tel. No.
Distribution: (I) Original -Consultant submits to local agency with proposal
(2) Copy-Local Agency files
]i{. Preparer~ature . U
..&.0e /f.n~/"]4'/1
12.-,·,N~~
LU~s~r/1 . mo I~,-
13.~=··""' u 7
;$ ~'J-s 91~-5?1/-crtrf(
14. Date 15. (Area Code) Tel. No.
~q _.,f65 -P<-9 t)(
Page I of2
LPP 13-01 May 8, 2013
Local Assistance Procedures Manual
APPENDIX C
EXHIBIT 10-01
Consultant Proposal DBE Commitment
INSTRUCTIONS -CONSULT ANT PROPOSAL DBE COMMITMENT
Consultant Section
The Consultant shall:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
Local Agency Name-Enter the name of the local or regional agency that is funding the contract.
Project Location -Enter the project location as it appears on the project advertisement.
Project Description -Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab,
Overlay, Widening, etc.).
Consultant Name-Enter the consultant's firm name.
Contract DBE Goal % -Enter the contract DBE goal percentage, as it was reported on the Exhibit 10-1 Notice to Proposers
DBE Information form. See LAPM Chapter I 0.
Description of Services to be Provided -Enter item of work description of services to be provided. Indicate all work to be
performed by DBEs including work performed by the prime consultant's own forces, if the prime is a DBE. If 100% of the item
is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM
Chapter 9 to determine how to count the participation of DBE firms.
DBE Firm Contact Information -Enter the name and telephone number of all DBE subcontracted consultants. Also, enter the
prime consultant's name and telephone number, if the prime is a DBE.
DBE Cert. Number-Enter the DBEs Certification Identification Number. All DBEs must be certified on the date bids are
opened. (DBE subcontracted consultants should notify the prime consultant in writing with the date of the decertification if their
status should change during the course of the contract.)
DBE % -Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime
is a DBE. See LAPM Chapter 9 for how to count full/partial participation.
Total % Claimed-Enter the total DBE participation claimed. If the Total % Claimed is less than item "6. Contract DBE Goal",
an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information -Good Faith Efforts of the
LAPM).
Preparer's Signature -The person completing this section of the form for the consultant's firm must sign their name.
Preparer's Name (Print)-Clearly enter the name of the person signing this section of the form for the consultant.
Preparer's Title-Enter the position/title of the person signing this section of the form for the consultant.
Date -Enter the date this section of the form is signed by the preparer.
(Area Code) Tel. No. -Enter the area code and telephone number of the person signing this section of the form for the
consultant.
Local Agency Section:
The Local Agency representative shall:
16. Local Agency Contract Number-Enter the Local Agency Contract Number.
17. Federal-Aid Project Number-Enter the Federal-Aid Project Number.
18. Contract Execution Date-Enter date the contract was executed and Notice to Proceed issued. See LAPM Chapter I 0, page 23.
19. Local Agency Representative Name (Print) -Clearly enter the name of the person completing this section.
20. Local Agency Representative Signature -The person completing this section of the form for the Local Agency must sign their
name to certify that the information in this and the Consultant Section of this form is complete and accurate.
21. Date -Enter the date the Local Agency Representative signs the form.
22. Local Agency Representative Title -Enter the position/title of the person signing this section of the form.
23. (Area Code) Tel. No. -Enter the area code and telephone number of the Local Agency representative signing this section of the
form.
LPP 13-01
Page 2 of2
May 8, 2013
···----------········-·----
APPENDIXC
EXHIBIT 10-02 CONSULTANT CONTRACT DBE INFORMATION
(Inclusive of all DBEs listed at contract award. Refer to instructions on the reverse side of this form)
Consultant to Complete this Section
l. Local Agency Name: County of Fresno
2. Project Location:--~:~-~~?~-~~
3. Project Description: On-call consultant sevvices for real estate appraisal, acquisition, relocation assistance, and
associated services for various road and capital improvement projects
4. Total Contract Award Amount:$ TBD
5. Consultant Name: Universal Field Services, Inc.
6. Contract DBE Goal%:
7. Total Dollar Amount for !ill Subconsultants: $ _________ ···-· ················--·····
8. Total Number of all Subconsultants: -----·-
Award DBE/DBE Information
9. Description of Services to be Provided 10. DBE/DBE Finn 11. DBE Cert. 12. DBE Dollar
Contact Jnfonnation Number Amount
Local Agency to Complete this Section 13. Total
Dollars
20. Local Agency Contract Number Claimed
·-----··· ·····--··-·------$
~--· ·----------------
21. Federal-aid Project Number: J4.Total
22. Contract Execution Date: %Claimed
%
Local Agency ce1tifies that all DBE certifications are valid and the
information on this form is complete and accurate:
23. Local Agency Representative Name (Print)
J"''
24. Local Agency Representative Signature 25. Date ~~;/, Ji;,~/~
1$. Preparer's Signature /1 26. Local Agency Representative Title 27. (Area Code) Tel. No.
Leslie Finnigan
16. Preparer's Name (Print)
Caltrans to Complete this Section Region Manager
Caltrans District Local Assistance Engineer (DLAE) certifies that this form
17. Preparer's Title
12/15/2014 (559) 453-2901
has been reviewed for completeness:
18. Date 19. (Area Code) Tel. No.
28. DLAE Name (Print) 29. DLAE Signature JO. Date
Distribution: (I) Copy-Email a copy to the Cal trans District Local Assistance Engineer (DLAE) within 30 days of contract award. Failure to send a
copy to the DLAE within30 days of contract award may result in delay of payment.
(2) Copy-Include in award package sent to Caltrans DLAE
(3) Original-Local agency tiles
Page 1 of2
LPP 13-01 May 8, 2013
Local Assistance Procedures Manual APPENDIX C EXHffiiT 17-F Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors STATE OF CALIFORNIA-DEPARTMENT OF TRANSPORTATION FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES ADA Notice (DBE), FIRST-TIER SUBCONTRACTORS For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-£410 or TDD (916) 654-3880 or write Records and Fonms Management, 1120 N Street, MS-89, Sacramento, CA 95814 CEM-2402F (REV 02/2008) CONTRACT NUMBER I COUNTY I ROUTE POST MILES FEDERAL AID PROJECT NO. I ADMINISTERING AGENCY I PRIME CONTRACTOR BUSINESS ADDRESS DESCRIPTION OF CONTRACT PAYMENTS ITE WORK PERFORMED COMPANY NAME AND DBE CERT. M AND MATERIAL BUSINESS ADDRESS NUMBER NON-DBE DBE DATE WORK NO. PROVIDED COMPLETE $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ ORIGINAL COMMITMENT $ TOTAL $ $ DBE List all First· Tier Subcontractors, Disadvantaged Business Enterprises (DBEs) regardless of tier, whether or not the firms were originally listed for goal credit If actual DBE utilization (or item of work) was different than that approved at time of award, provide comments on back of form. List actual amount paid to each entity. CONTRACTOR REPRESENTATIVE'S SIGNATURE RESIDENT ENGINEER'S SIGNATURE Copy Distribution-Caltrans contracts: Copy Distribution-Local Agency contracts: -··--I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORRECT BUSINESS PHONE NUMBER TO THE BEST OF MY INFORMATION AND BELIEF, THE ABOVE INFORMATION IS COMPLETE AND CORRECT Original -District Construction Original -District Local Assistance Engineer (submitted with the Repon of Expenditure BUSINESS PHONE NUMBER Copy-Business Enterprise Program Copy· Contractor Copy-District Local Assistance Engineer Copy-Local Agency file I CONTRACT COMPLETION DATE ESTIMATED CONTRACT AMOUNT $ DATE OF FINAL PAYMENT DATE DATE Copy Resident Engineer I I LPP 09-02 Page 17-21 July 1, 2012
APPENDIXC
EXHIBIT 17-F Local Assistance Procedures Manual
Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors
FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS
ENTERPRISES (DBE), FIRST-TIER SUBCONTRACTORS
CEM 2402(F) (Rev. 02/2008)
The form requires specific information regarding the construction project: Contract Number, County, Route, Post
Miles, Federal-aid Project No., the Administering Agency, the Contract Completion Date and the Estimated Contract
Amount. It requires the prime contractor name and business address. The focus of the form is to describe who did what
by contract item number and descriptions, asking for specific dollar values of item work completed broken down by
subcontractors who performed the work both DBE and non-DBE work forces. DBE prime contractors are required to
show the date of work performed by their own forces along with the corresponding dollar value of work.
The form has a column to enter the Contract Item No. (or Item No's) and description of work performed or materials
provided, as well as a column for the subcontractor name and business address. For those firms who are DBE, there is a
column to enter their DBE Certification Number. The DBE should provide their certification number to the contractor and
notify the contractor in writing with the date of the decertification if their status should change during the course of the
project.
The form has six columns for the dollar value to be entered for the item work performed by the subcontractor.
The Non-DBE column is used to enter the dollar value of work performed for firms who are not certified
DBE.
The decision of which column to be used for entering the DBE dollar value is based on what program(s)
status the firm is certified. This program status is determined by the California Unified Certification Program
by ethnicity, gender, ownership, and control issues at time of certification. To confmn the certification status
and program status, access the Department of Transportation Civil Rights web site at:
http://www.dot.ca.gov/hq/bep or by calling (916) 324-1700 or the toll free number at (888) 810-6346.
Based on this DBE Program status, the following table depicts which column to be used:
Column to be used
If program status shows DBE onl with no other programs listed DBE
If a contractor performing work as a DBE on the project becomes decertified and still performs work after their
decertification date, enter the total dollar value performed by this contractor under the appropriate DBE identification
column.
If a contractor performing work as a non-DBE on the project becomes certified as a DBE, enter the dollar value of all
work performed after certification as a DBE under the appropriate identification column.
Enter the total of each of the six columns in Form CEM-2402(F).
Any changes to DBE certification must also be submitted on Form-CEM 2403(F).
Enter the Date Work Completed as well as the Date of Final Payment (the date when the prime contractor made the
"final payment" to the subcontractor for the portion of work listed as being completed).
The contractor and the resident engineer sign and date the form indicating that the information provided is complete and
correct.
Page 17-22
July 1, 2012 LPP 09-02
APPENDIX D
RATES
FIELD SERVICES, INC.
Corporate Oversight
Project Management
Sr. Relocation Specialist
Sr. Acquisition Specialist
Acquisition Specialist
Administrative Support
APPENDIX D
Fresno County
On Call Reo! Property Consultant Services
Fee Schedule
Hourly Rate Schedule
$125.00
$108.00-$115.00
$98.00-$108.00
$90.00-$98.00
$85.00-$90.00
$48.00
per hour
per hour
per hour
per hour
per hour
per hour
The above rates include base salaries, general overhead and burden and profit.
Additional project expenses would be based on the following schedule:
Business Mileage would be billed at $0.575 per mile (or current IRS rate).
Actual cost associated with postage, notary and related office expenses would be
billed on an actual cost basis.
All direct and indirect cost billed monthly will be supported by appropriate
documentation (i.e., time sheets, mileage reports, actual invoices, etc.).
Subconsultant fees such as appraisal and appraisal reviews will be based on actual design
and billed as a lump sum amount.
U N I V E R 5 A L F I E L 0 S E R V I C E S, I N C.
January 2.0lt; Ue/pinq 'r"ou Build the Future
APPENDIX E
CERTIFICATION OF CONTRACT COSTS AND FINANCIAL
MANAGEMENT SYSTEM
Local Assistance Procedures Manual EXHIBIT 10-K
Consultant Certification of Contract Costs and Financial Management System
EXHIBIT 10-K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL
MANAGEMENT SYSTEM
(Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of
DLA-OB 13-07-Safe Harbor Indirect Cost Rate for C01rsultant Contracts found at
http://www.dot.ca.govlhq/LocalPrograms/DLA_ OB!DLA_ OB.htm in lieu of this form.)
Certification of Final Indirect Costs:
Consultant Firm Name: Universal Field Services, Inc •.
11/01/2013 to
Indirect Cost Rate: 46.97% *for fiscal period 10/31/2014 (mm/dd/yyyy to mrn/dd/yyyy)
*Fiscal period covered for Indirect Cost Rate developed (not the contract period).
Local Government: Fresno County --------------~---------------
Contract Number: TBD ----~~-----------Project Number: -------=TBD=-----------
I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal
period as specified above and to the best of my knowledge and belief:
l. All costs included in this proposal to establish final Indirect Cost Rates are allowable in
accordance with the cost principles of the Federal Acquisition Regulations (FAR) ofTitle 48,
Code of Federal Regulations (CFR), Part 31.
2. This proposal does not include any costs which are expressly unallowable under the cost
principles of the FAR of 48 CFR, Part 31.
All known material transactions or events that have occurred affecting the firm's ownership, organization, and
Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above.
Certification of Financial Management System:
I, the undersigned, ce11ify to the best of my knowledge and belief that our Financial Management System meets
the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of
Title 49, CFR, Patt 18.20 to the extent applicable to Consultant.
Certification of Dollar Amount for all A&E Contracts:
I, the undersigned, certify that the approximate dollar amount of all A&E contracts awarded by Caltrans or a
California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies
is$ 24,420,872.63 and the number of states in which the firm does business is 31
Certification of Direct Costs:
I, the undersigned, certifY to the best of my knowledge and belief that all direct costs identified on the cost
proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost
principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be:
LPP 15-01
Pnge 1 ofl
January 14. 2015
Local Assistance Procedures Manual EXHIBIT 10-K
Consultant Certification of Contract Costs and Financial Management System
1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated
by the Cost Accounting Standards Board (when applicable).
2. Compliant with the terms of the contract and is incurred specifically for the contract.
3. Not prohibited by 23 CFR, Chapter 1, Part 172-Administration of Engineering and Design
Related Service Contracts to the extent requirements are applicable to Consultant.
All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be
retained in the project files.
Subconsultants (if applicable)
Proposed Contract Amount (or amount not to exceed if on-call contract): $ 250, 000, 00
Prime Consultants (if applicable)
Proposed Total Contract Amount (or amount not to exceed if on-call contract): $ 250, 000. oo
Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary):
Fidelity TitJe Gr~1p $ TBD
~Real Property Analysts $ TBD
Hopper Company $ TBD $ ________________ _
$. _______ _
Consultant CertifYing (Print Name and Title):
Name: Veda Hester
Title: Chief Financial Officer
Consultant Certification Signature **: z~ ~
Date of Certification (mm/dd/yyyy): __ 04_:/_0_6:.../2_0:...1_5 ___ _
Consultant Contact Information:
Email: __ ____!.v~he=se.t!:::!es=:r!W@::Ju:!:!f:,;;s;!:!,rw~.~com:l.llll~--------------------
Phone number: __ (;_9_1_8_,_)_49:...4:...---'7..::6-'-0..:.0 _______ _
**An individual executive or financial officer of the consultant's organization at a level no lower than a Vice
President or Chief Financial Officer, or equivalent, who has authority to represent the financial information
utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract.
Note: Per 23 U.S. C. 1 12(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR. Part 31.
23 CFR Part 172.3 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party
to the contract. Therefore, subconsu/tants as parties of a contract must complete a certification and send originals to A&I and keep copies
in Local Agency Project Files.
Distribution: l) Original to Caltrans Audits and Investig~tions
2) Retained in Local Agency Project Files
Page 2 of2
LPP 15-01 January 14, 2015
APPENDIX F
CONSULTANT PERFORMANCE EVALUATION
APPENDIXF
Local Assistance Procedures Manual EXHffiiT 10-S
Consultant Performance Evaluation
Exhibit 10-S Consultant Performance Evaluation
I. PROJECT DATA 2. CONSULT ANT DATA
Ia. Project (include title, location, and ActivityiCIP No.) 2a. Consultant Name and Address
lb. Brief Description of Project (design, study, etc.) 2b. Consultant's Manager
I c. Budget Cost for Project: $ 2c. Phone:(__)
3. AGENCY DEPARTMENT/SECTION RESPONSIBLE
3a. Department (include section and division) 3b. Agency Project Manager (name & phone)
4. CONTRACT DATA (Engmeermg :services)
4a. Contract No.: Tennination date: Base Fee: $
Agreement date: Date tenninated: Contingency: $
4b. Amendments $ I # $ I #
(Total Value) (Initiated by Agency) (Total Value) (Initiated by Agency)
4c. Changes Orders $ I # $ I #
(Total Value) (Initiated by Agency) (Total Value:) (lnitintcd by Agency)
4d. Total Fee per Agreement (4a. + 4b. + 4c.) $ Total Fee Paid $
(Do not include Contingency Listed in 4a.)
4e. Type of Services 4f Historical Record of Key Submittal Dates (enter date or n/a if not applicable)
(Design, study, etc.) Preliminary 30% 70% 90% 100%
Per Agreement
Delivery Date
Acceptance Date
4j. Reasons for Change Orders: (Indicate total for each reason)
4g. Notice To Proceed (date) Errors/Omissions $ "% of Base Fee
Unforeseen Conditions $ %of Base Fee
4h. Number of Days (number) Changed Scope $ % ofBaseFee
Changed Quantities $ o/o of Base Fee
4i. Actual Number of Days (number) Program Task Options $ % ofBaseFee
S.OVERALL RATING (Complete Section II on reverse, include comments as appropriate.)
Outstanding Above Average Average Below Average
5a Plans/Specifications accuracy
5b. Consistency with budget
5c. Responsiveness to Agency Staff
5d. Overall Rating
6. AUTHORIZING SIGNATURES
6a. Agency Design Team Leader Date:
6b. Agency Project Manager Date:
6c. Agency Public Works Manager Date:·
6d. Consultant Representative Date:
SEE REVERSE SIDE
LPP 13-01
Final
%
%
%
%
%
Poor N~
Page 1 of2
May 8, 2013
Local Assistance Procedures Manual
PLANS/SPECIFICATIONS Outstanding Above
ACCURACY Avg.
Plans Specifications
clear and concise
Plans/Specs
Coordination
Plans/Specs
properly formatted
Code Requirements
covered
Adhered to Agency
Standard Drawings/Specs
Drawings reflect
existing conditions
As-Buih Drawings
Quality Design
Change Orders due to design
deficiencies are minimized
Section III
Item ____ _
Item
Item ____ _
Item ____ _
Item
Item
•Indicates supporting documentation attached.
Distribution: Local Agency Project Files
LPP 13-01
Avg. Below Poor N/A Responsiveness
Avg. To Staff
Timely Responses
Attitude toward Client and
review bodies
Follows directions and
Chain of responsibility
Work product delivered
on time
Timeliness in notifying
Agency of major problems
Resolution of field
Problems
Consistency with
budget
Reasonable Agreement
negotiation
Adherence to fee schedule
Adherence to project
Budget
APPENDIXF
EXHffiiT 10-S
Consultant Performance Evaluation
Outstanding Above Avg. Below Poor N/A
Avg. Avg.
Outstanding Above Avg. Below Poor N/A
Avg. Avg.
EXPLANATIONS AND SUPPLEMENTAL INFORMATION
(Attach additional documentation as needed)
Page2 of2
Mav 8. 2013
APPENDIX G
DEBARMENT AND SUSPENSION CERTIFICATION
APPENDIX G
Local Assistance Procedures Manual EXHIBIT 12-E
DEBARMENT AND SUSPENSION CERTIFICATION
TITLE 49, CODE OF FEDERAL REGULATIONS, PART 29
The bidder, under penalty of perjury, certifies that, except as noted below, he/she or any other
person associated therewith in the capacity of owner, partner, director, officer, and manager:
• Is not currently under suspension, debarment, voluntary exclusion, or determination of
ineligibility by any federal agency;
• Has not been suspended, debarred, voluntarily excluded or determined ineligible by any
federal agency within the past 3 years;
• Does not have a proposed debarment pending; and
• Has not been indicted, convicted, or had a civil judgment rendered against it by a court of
competent jurisdiction in any matter involving fraud or official misconduct within the
past 3 years.
If there are any exceptions to this certification, insert the exceptions in the following space.
Exceptions will not necessarily result in denial of award, but will be considered in determining
bidder responsibility. For any exception noted above, indicate below to whom it applies,
initiating agency, and dates of action.
Notes: Providing false information may result in criminal prosecution or administrative
sanctions.
The above certification is part of the Proposal. Signing this Proposal on the signature
portion thereof shall also constitute signature ofthis Certification.
APPENDIX H
CONFLICT OF INTEREST CODE
1
2
3
4
5
6
7
a
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
----------. ----
In the matter of
APPENDIX H Resolution No. 07-525
BEFORE THE BOARD OF SUPERVISORS
OF THE COUNTY OF FRESNO
STATE OF CALIFORNIA
) No.
)
Amendment of Standard Conflict of
)
)
Interest Code for All County )
Departments )
Whereas, the Political Reform Act, Government Code section 81000 et seq.,
requires state and local government agencies to adopt and promulgate conflict of interest
codes; and
Whereas, the Fair Political Practices Commission has adopted a regulation, Title
2, California Code of Regulations, section 18730, which contains the terms of a standard
conflict of interest code, and which may be amended by the Fair Political Practices
Commission after public notices and hearings to conform to amendments to the Political
Reform Act; and
Whereas, any local agency may incorporate this standard conflict of interest code,
and thereafter need not amend its code to conform to future amendments to the Political
Reform Act or its regulations; and
Whereas, the Board of Supervisors may adopt the standard conflict of interest
code on behalf of all County departments.
Now therefore be it resolved, that the terms of Title 2, California Code of
Regulations, section 18730, and any amendments to it duly adopted by the Fair Political
Practices Commission, are hereby incorporated by reference and, along with the Exhibits A
and B approved previously, today, or in the future, by this Board for each County
department, in which officers and employees are designated and disclosure categories are
set forth, constitute the conflict of interest codes of each County department.
COUNTY OF FRESNO
Fresno. California 1
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
APPENDIX H
Conflict of interest forms shall be filed as follows:
1. As required by Government Code section 87500, subdivision (e), the County
Administrative Officer, District Attorney, County Counsel, and Auditor-Controllerrrreasurer-
Tax Collector shall file one original of their statements with the County Clerk, who shall make
and retain a copy and forward the original to the Fair Political Practices Commission, which
shall be the filing officer.
2. As required by Government Code section 87500, subdivision 0), all other
department heads shall file one original of their statements with their departments. The filing
officer of each department shall make and retain a copy and forward the original to the Clerk
to the Board of Supervisors, who shall be the filing officer.
3. All other designated employees shall file one original of their statements
with their departments.
Adopted at a regular meeting of the Board of Supervisors, held on the 2nd day of
October, 2007, by the following vote, to wit:
Ayes: Supervisors Larson, Perea, Anderson, Case and Waterston
Noes: None
Absent: None
Chairman, Board of Supervisors
22 Attest:
23
24 #tHJ~
25 Clerk
26
27
28
County of Fresno
Fresno. California
COUNTY OF FRESNO
Freano. C•llfornia 2
APPENDIX H
CERTIFICATE OF DELIVERY OF DOCUMENT
I am employed by the County of Fresno as a Deputy Clerk of the
Board of Supervisors. On October 2, 2007, I delivered a copy of
Resolution No. 07-525 to the Chairperson of the Fresno County Board of
Supervisors.
Gael Storm, Deputy Clerk .
APPENDIX H
EXHIBIT "A"
PUBLIC WORKS AND PLANNING
Classification
Accountant I I II
Architect
Assistant Real Property Agent
Associate Real Property Agent
Building Inspector I I II
Building Plans Engineer
Capital Projects Division Manager
Chief Building Inspector
Chief of Field Surveys
Community Development Manager
Consultant
Deputy Director of Planning
Deputy Director of Public Works
Development Services Manager
Director .of Public Works and Planning
Disposal Site Supervisor
Engineer I I II I Ill
Field Survey Supervisor
Housing Rehabilitation Specialist I I II
Information Technology Analyst I I II I Ill I IV
Planner I I II I Ill
Principal Accountant
Principal Engineer
Principal Planner
Principal Staff Analyst
Public Works and Planning Business Manager
Public Works Division Engineer
Resources Manager
Road Maintenance Supervisor
Road Superintendent
Senior Accountant
Senior Economic Development Analyst
Senior Engineer
Senior Engineering Technician
Senior Geologist
Senior Information Technology Analyst
Senior Planner
Category
2
1
1
1
1
1
1
1
1
1
*
1
1
1
1
2
1
3
1
2
1
1
1
1
1
1
1
1
2,3
1
2
1
1
2
1
2
1
Classification
Senior Staff Analyst
APPENDIX H
Senior Systems and Procedures Analyst
Staff Analyst I I II I Ill
Supervising Accountant
Supervising Building Inspector
Supervising Engineer
Supervising Water/Wastewater Specialist
Systems and Procedures Analyst I I II I Ill
Systems and Procedures Manager
Traffic Maintenance Supervisor
Category
1
2
1
2, 3
1
1
2, 3
2
2
2
* Consultants shall be included in the list of designated employees and shall disclose
pursuant to the broadest disclosure category in the code subject to the following
limitation: The Director of Public Works and Planning may determine in writing that
a particular consultant, although a "designated position", is hired to perform a range
of duties that is limited in scope and thus is not required to fully comply with the
disclosure requirements in this section. Such written determination shall include a
description of the consultant's duties and, based upon that description, a statement
of the extent of disclosure requirements. The Director of Public Works and
Planning's determination is a public record and shall be retained for public inspection
in the same manner and location as this conflict of interest code.
APPENDIX H
EXHIBIT "B"
PUBLIC WORKS AND PLANNING
1. Persons in this category shall disclose all reportable investments, interests in real
property, sources of income (including gifts), and business positions. Financial
interests (other than gifts) are reportable only if located within or subject to the
jurisdiction of Fresno County, or if the business entity is doing business or planning
to do business in the jurisdiction, or has done business within the jurisdiction at any
time during the two years prior to the filing of the statement. Real property shall be
deemed to be within the jurisdiction of the County if the property or any part of it is
located within or not more than two miles outside the boundaries of the County
(including its incorporated cities) or within two miles of any land owned or used by
the County.
2. Persons in this category shall disclose all reportable investments in, income from
(including gifts), and business positions with any business entity which, within the
last two years, has contracted or in the future foreseeably may contract with Fresno
County through its Public Works and Planning Department, Solid Waste
Commissions within the jurisdiction, or to any other joint powers agency which
Fresno County is a member to provide services, supplies, materials, machinery, or
equipment to the County.
3. Persons in this category shall disclose all interests in real property within the
jurisdiction of Fresno County. Real Property shall be deemed to be within the
jurisdiction if the property or any part of it is located within or not more than two miles
outside the boundaries of Fresno County (including its incorporated cities) or within
two miles of any land owned or used by the County.
APPENDIX I
DISCLOSURE OF LOBBYING ACTIVITIES
Local Assistance Procedures Manual
APPENDIX I
EXHBIT 10-Q
Disclosure of Lobbying Activities
EXHIBIT 10-Q DISCLOSURE OF LOBBYING ACTIVITIES
COMPLETE THIS FORM TO DISCLOSE LOBBYING ACTIVITIES PURSUANT TO 31 U.S.C. 1352
1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
D a. contract D a. bid/offer/application D a. initial
4.
6.
b. grant b. initial award
c. cooperative agreement c. post-award
d. loan
e. loan guarantee
f. loan insurance
Name and Address of Reporting Entity
0 Prime D Subawardee
Tier ___ , if known
Congressional District, ifknown
Federal Department/Agency:
8. Federal Action Number, ifknown:
10. Name and Address of Lobby Entity
(If individual, last name, first name, MI)
b. material change
For Material Change Only:
year__ quarter ___ _
date of last report. ____ _
5. If Reporting Entity in No.4 is Subawardee,
Enter Name and Address of Prime:
Congressional District, ifknown
7. Federal Program Name/Description:
CFDA Number, if applicable---------
9. Award Amount, ifknown:
11. Individuals Performing Services (including
address if different from No. I Oa)
(last name, first name, MI)
(attach Continuation Sheet( s) if necessary)
12. Amount of Payment (check all that apply) I4. Type of Payment (check all that apply)
""'"" a. retainer
f-b. one-time fee
$ 0 actual 0 planned
13. Form of Payment (check all that apply):
B a. cash
b. in-kind; specify: nature _____ _
Value _____ _
f-c. commission
f-d. contingent fee
~
1-e deferred
.._ f. other, specify
15. Brief Description of Services Performed or to be performed and Date(s) of Service, including
officer(s), employee(s), or member(s) contacted, for Payment Indicated in Item II:
(attach Continuation Sheet( s) if necessary)
16. Continuation Sheet(s) attached: Yes 0 No 0
I7. Infonnation requested through this fonn is authorized by Title
31 U.S. C. Section 1352. This disclosure oflobbying reliance
was placed by the tier above when his transaction was made or
entered into. This disclosure is required pursuant to 31 U.S. C.
1352. This infonnation will be reported to Congress
semiannually and will be available for public inspection. Any
person who fails to file the required disclosure shall be subject
to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
Federal Use Only:
Signature:. _________________ _
Print Name: _________________ _
Title: ------------------
TelephoneNo.:. ___________ Date: _____ _
Authorized for Local Reproduction
Standard Form -LLL
Standard Form LLL Rev. 04-28-06
Distribution: Orig-Local Agency Project Files
LPP 13-01
Page 1
May 8, 2013
Local Assistance Procedures Manual
APPENDIX I
EXHBIT 10-Q
Disclosure of Lobbying Activities
INSTRUCTIONS FOR COMPLETING EXHffiiT 10-Q DISCLOSURE OF LOBBYING ACTIVITIES
!~i~ ~isclosure ~orm shall be completed by the reporting entity, whether subawardee or prime federal recipient at the
InitiatiOn or receipt of covered federal action or a material change to previous filing pursuant to title 31 U.S.C. Section 1352.
The filing of a form is required for such payment or agreement to make payment to lobbying entity for influencing or
attempting to influence an officer or employee of any agency, a Member of Congress an officer or employee of Congress or
an employee of a Member of Congress in connection with a covered federal action. Attach a continuation sheet for additional
information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material
change report. Refer to the implementing guidance published by the Office of Management and Budget for additional
information.
1. Identify the type of covered federal action for which lobbying activity is or has been secured to influence, the outcome of a
covered federal action.
2. Identify the status of the covered federal action.
3. Identify the appropriate classification ofthis report. If this is a follow-up report caused by a material change to the infonnation
previously reported, enter the year and quarter in which the change occurred. Enter the date of the last, previously submitted
report by this reporting entity for this covered federal action.
4. Enter the full name, address, city, state, and zip code of the reporting entity. Include Congressional District if known. Check the
appropriate classification of the reporting entity that designates if it is or expects to be a prime or subaward recipient. Identify the
tier of the subawardee, e.g., the first subawardee of the prime is the first tier. Subawards include but are not limited to:
subcontracts, subgrants, and contract awards under grants.
5. If the organization filing the report in Item 4 checks "Subawardee" then enter the full name, address, city, state, and zip code of
the prime federal recipient. Include Congressional District, if known.
6. Enter the name of the federal agency making the award or loan commitment. Include at least one organization level below
agency name, if known. For example, Department of Transportation, United States Coast Guard.
7. Enter the federal program name or description for the covered federal action (item 1). If known, enter the full Catalog of Federal
Domestic Assistance (CFDA) number for grants, cooperative agreements, loans and loan commitments.
8. Enter the most appropriate federal identifying number available for the federal action identification in item I (e.g., Request for
Proposal (RFP) number, Invitation for Bid (IFB) number, grant announcement number, the contract grant. or loan award number,
the application/proposal control number assigned by the federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9. For a covered federal action where there has been an award or loan commitment by the Federal agency, enter the federal amount
of the award/loan commitments for the prime entity identified in item 4 or 5.
10. Enter the full name, address, city, state, and zip code of the lobbying entity engaged by the reporting entity identified in Item 4 to
influence the covered federal action.
11. Enter the full names of the individual(s) perfonning services and include full address if different from I 0 (a). Enter Last Name,
First Name and Middle Initial (MI).
12. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (Item 4) to the lobbying entity
(Item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is
a material change report, enter the cumulative amount of payment made or planned to be made.
13. Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the in-kind
payment.
14. Check all boxes that apply. If other, specify nature.
15. Provide a specific and detailed description of the services that the lobbyist has perfonned or will be expected to perfonn and the
date(s) of any services rendered. Include all preparatory and related activity not just time spent in actual contact with federal
officials. Identify the federal officer(s) or employee(s) contacted or the officer(s) employee(s) or Member(s) of Congress that
were contacted.
16. Check whether or not a continuation sheet(s) is attached.
17. The certifying official shall sign and date the form, and print his/her name title and telephone number.
Public reporting burden for this collection of information is estimated to average 30-minutes per response, including time for reviewing
instruction, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
infonnation. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, D.C. 20503. SF-
LLL-Instructions Rev. 06-04
LPP 13-01
Pagel
May 8, 2013
APPENDIX J
DISCLOSURE OF SELF-DEALING TRANSACTIONS
EXHIBIT J
SELF-DEALING TRANSACTION DISCLOSURE FORM
(1) Company Board Member Information:
Name: Date:
Job Title:
(2) Company/Agency Name and Address:
(3) Disclosure (Please describe the nature of the self-dealing transaction you are a party to)
(4) Explain why this self-dealing transaction is consistent with the requirements of
Corporations Code 5233 (a)
(5) Authorized Signature
Signature: Date:
EXHIBIT J
SELF-DEALING TRANSACTION DISCLOSURE FORM INSTRUCTIONS
In order to conduct business with the County of Fresno (hereinafter referred to as
"County"), members of a contractor's board of directors (hereinafter referred to as "County
Contractor"), must disclose any self-dealing transactions that they are a party to while
providing goods, performing services, or both for the County. A self-dealing transaction is
defined below:
·~ self-dealing transaction means a transaction to which the corporation is a party and
which one or more of its directors has a material financial interest"
The definition above will be utilized for purposes of completing the disclosure form.
( 1) Enter board member's name, job title (if applicable), and date this disclosure is
being made.
(2) Enter the board member's company/agency name and address.
(3) Describe in detail the nature of the self-dealing transaction that is being disclosed
to the County. At a minimum, include a description of the following:
a. The name of the agency/company with which the corporation has the
transaction; and
b. The nature of the material financial interest in the Corporation's transaction that
the board member has.
(4) Describe in detail why the self-dealing transaction is appropriate based on
applicable provisions of the Corporations Codes.
(5) Form must be signed by the board member that is involved in the self-dealing
transaction described in Sections (3) and (4).