HomeMy WebLinkAboutAgreement A-16-035 with Area West Environmental, Inc..pdfAgreement No.16..035
15-1775
1 CONSULTANT AGREEMENT
2 THIS AGREEMENT for specialized professional Environmental Consultant Services,
3 hereinafter referred to as the "AGREEMENT," is made and entered into this ~~c"t. day of
4 \Io..o~ 2016, by and between the COUNTY OF FRESNO, a polttical subdivision of
5 the Sta~ alifornia, hereinafter referred to as the "COUNTY'; and Area West
6 Environmental, Inc., a California Corporation, whose address is 6248 Main Avenue, Suite
7 C, Orangevale CA 95662, hereinafter referred to as the "CONSULT ANT'.
8 WITNESSETH
9 WHEREAS, the COUNTY desires to retain the CONSULTANT to provide on-call
10 specialized professional environmental consulting services to assist COUNTY in complying
11 with federal and state environmental laws, regulations and guidelines as necessary for
12 road, landfill and capital improvement projects (hereinafter referred to as "PROJECT(S))"
13 proposed by the COUNTY; and
14 WHEREAS, said CONSULTANT has been selected in accordance with the
15 COUNTY's Ordinance Code Chapter 4.10 on the selection of architects, engineers, and
16 other professionals to provide the engineering services necessary for the PROJECTS; and
17 WHEREAS, the individual listed below
18 Erin Haagenson, Senior Staff Analyst
19 2220 Tulare Street, 6th Floor, Fresno, CA 93721
20 559-600-4528
21 . ehaagenson@co.fresno.ca.us
22 is designated as the CONTRACT ADMINISTRATOR for the AGREEMENT on behalf of the
23 COUNTY, and shall remain so unless the CONSULTANT is otherwise notified in writing by
24 the COUNTY's Director of Public Works and Planning or his/her designee (hereinafter
25 referred to as "the DIRECTOR"); and
26 WHEREAS, the individual listed below
27 Becky Rozumowicz, President
28 6248 Main Avenue, Suite C
COUNTY OF FRESNO
Fresno. california
12122115
1
1 Orangevale, CA 95662
2 (916) 987-3362
3 becky@areawest.net
4 is designated as the CONSULTANT'S PROJECT MANAGER for the for the 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, which approval will not
7 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 the COUNTY'S Disadvantaged Business Enterprise Program (all of which hereinafter
13 referred to 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. The COUNTY hereby contracts with the CONSULTANT as an independent
18 contractor to provide all environmental consultant 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, which approval shall not be unreasonably withheld.
28 The CONSULTANT shall notify the CONTRACT ADMINISTRATOR of the names and
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classifications of employees assigned to each specific PROJECT, and shall not reassign
2 such employees to other PROJECTS of the CONSULT ANT without notification to and prior
3 approval by the CONTRACT ADMINISTRATOR.
4 D. The CONSULTANT may retain, as subconsultants, specialists as the
5 CONSULTANT requires to assist in completing the work. All subconsultants used by the
6 CONSULTANT shall be approved in writing by the CONTRACT ADMINISTRATOR before
7 they are retained by the CONSULTANT; which approval shall not be unreasonably
8 withheld. The subconsultants listed in Appendix 8, attached hereto and incorporated
9 herein, shall be considered as approved by the CONTRACT ADMINISTRATOR. Should
1 o the CONSULT ANT retain any subconsultants, the maximum amount of compensation to
11 be paid to the CONSULTANT under Article VI below shall not be increased. No additional
12 compensation will be paid to the CONSULTANT for surcharges to subconsultants' work,
13 however, consultants may charge for time spent overseeing subconsultants' work.
14 E. The CONSULTANT and affiliated subconsultants shall not submit bids, or
15 sub-bids, for the contract construction phase of the PROJECT assigned to the
16 CONSULTANT. The CONSULTANT and its subconsultants, and all other service
17 providers, shall not provide any PROJECT-related services for, or receive any PROJECT-
18 related compensation from any construction contractor, subcontractor or service provider
19 awarded a construction contract (hereinafter referred to as the "CONTRACTOR") for all or
20 any portion of the PROJECT(S) for which the CONSULTANT provides services hereunder.
21 The 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 the 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 the AGREEMENT to be
28 applicable to subcontractors.
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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 the AGREEMENT
7 includes professional services under Article Ill for various PROJECTS.
8 B. The CONSULTANT agrees to provide the professional services that are
9 necessary for each PROJECT when expressly authorized in writing by the CONTRACT
10 ADMINISTRATOR. Such work by the CONSULTANT shall not begin until the
11 CONSULTANT has received a written Notice to Proceed from the CONTRACT
12 ADMINISTRATOR authorizing the necessary service, agreed upon fee, and scope of work.
13 Ill. CONSULTANT'S SERVICES
14 The CONSULTANT shall submit proposals in response to requests for technical
15 services related to biological, cultural, visual, farmland, water quality, hazardous waste,
16 noise, revegetation plans, focused plant or animal surveys, habitat assessment, wetland
17 delineation, and other studies, issued by the CONTRACT ADMINISTRATOR on a project-
18 by-project basis. The CONSULT ANT'S proposal at a minimum shall include, but not be
19 limited to, staff qualifications, proposed method and schedule for completing the task(s),
20 completed federal forms and a sealed cost proposal. The CONSULT ANT agrees that each
21 professional or other individual performing work on any such PROJECT(S) shall be
22 adequately trained to perform the work and shall possess the proper license, certification
23 or registration as required by law or by accepted standards of the applicable profession.
24 The CONSULTANT agrees to provide the professional services that are necessary to
25 complete the following tasks when expressly authorized in writing by the CONTRACT
26 ADMINISTRATOR:
27
28
COUNTY OF FRESNO
Fresno, California
12/22/15
A.
1.
Technical Reports, Regulatory Permits and Preconstruction Services:
Ascertain the requirements for Technical Reports through communications
4
1 with the CONTRACT ADMINISTRATOR, CAL TRANS and a review of existing information
2 on the PROJECT(S).
3 2. The CONSULTANT shall prepare and submit technical reports to the
4 CONTRACT ADMINISTRATOR for each assigned PROJECT. Technical reports shall be
5 prepared in accordance with the appropriate format required by local, state and federal
6 laws, regulations and guidelines.
7 3. The CONSULT ANT shall ascertain any requirements, unforeseen criteria, or
8 issues for the PROJECT(S) that may be unknown to the CONTRACT ADMINISTRATOR
9 and communicate these requirements, criteria, or issues to the CONTRACT
10 ADMINISTRATOR.
11 4. Each environmental technical report prepared for federally funded
12 CAL TRANS PROJECT(S) must be prepared in accordance with the latest provisions of the
13 Standard Environmental Reference published by CAL TRANS and/or all other applicable
14 local, state and federal regulations and guidance to the full extent that any provisions
15 thereof are related or have applicability to such PROJECT(S). The required technical
16 reports for the PROJECTS will be determined by the Preliminary Environmental Study form
17 for CAL TRANS Local Assistance, the COUNTY'S California Environmental Quality Act
18 (CEQA) process or Federal Cross cutter forms for State Revolving Fund projects.
19 5. The CONSULTANT shall assist the COUNTY in determining all permits that
20 may be required for the PROJECT and prepare all necessary permits for the COUNTY'S
21 submittal to outside agencies.
22 6. When requested by the CONTRACT ADMINISTRATOR, the CONSULTANT
23 shall attend meetings with the COUNTY, federal, state and/or local representatives to
24 discuss and review the technical report. The CONSULTANT shall prepare brief minutes of
25 meetings attended and promptly submit the minutes to the CONTRACT ADMINISTRATOR
26 within seven (7) days.
27 7. The CONSULTANT shall submit each technical report to the CONTRACT
28 ADMINISTRATOR for transmittal to other appropriate agencies for their review and
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1 approval. The CONSULT ANT shall revise and resubmit each technical report as
2 necessary until approved by all appropriate agencies. Standard submittal shall be two (2)
3 reproducible copies and one (1) electronic copy of each technical report. The
4 CONSULTANT shall verify compatible format and quantity prior to final delivery.
5 8. The CONSULTANT shall prepare technical studies and estimates on 8 ~" by
6 11" pages, provide hard copy and electronic format as standard submittal; and prepare
7 documents in Microsoft Word 2010 version or later, Microsoft Excel 2010 version or later,
8 or Adobe 9.0 or later, ARC GIS or other mutually agreed upon format. Such submittals
9 shall be sent via email and furnished on compact disc (CD). The CONSULTANT shall
10 verify compatible format and quantity prior to final delivery.
11
12
B.
1.
CEQA Documents:
The CONSULT ANT shall prepare CEQA documents, including but not limited
13 to an Initial Study, Mitigated Negative Declaration, Negative Declaration and Environmental
14 Impact Report to complete CEQA review in accordance with CEQA Guidelines. The CEQA
15 phase includes, but is not limited to, data compilation and review, impact assessment and
16 determination, documentation preparation, development of mitigation measures, response
17 to comments, as well as project management and public meeting attendance.
18 2. The CONSULTANT shall ascertain any requirements, unforeseen criteria, or
19 issues for the PROJECT(S) that may be unknown to the CONTRACT ADMINISTRATOR
20 and communicate these requirements, criteria, or issues to the CONTRACT
21 ADMINISTRATOR.
22 3. The CONSULT ANT shall assist the COUNTY in determining all permits that
23 may be required for the PROJECT and prepare all necessary permits for the COUNTY'S
24 submittal to outside agencies.
25 C. Design Plans, Technical Specifications and Construction Estimate for
26 Revegetation and Landscaping Projects:
27 1. The CONSULTANT shall ascertain the requirements the PROJECT(S)
28 through meetings with CONTRACT ADMINISTRATOR and a review of an existing
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schematic layout of PROJECT(S).
2 2. The CONSULTANT shall ascertain any requirements, unforeseen criteria, or
3 issues for the PROJECT(S) that may be unknown to the CONTRACT ADMINISTRATOR
4 and communicate these requirements, criteria, or issues to the CONTRACT
5 ADMINISTRATOR.
6
7
3.
4.
The CONSULTANT shall provide surveying, if needed, for the PROJECT(S).
The CONSULTANT shall design the PROJECT(S) to conform to
8 requirements of the reviewing agencies having jurisdiction over the PROJECT(S).
9 5. The CONSULTANT shall design the PROJECT(S) to include mitigation
10 measures included in the environmental document.
11 6. The CONSULT ANT shall monitor and keep the CONTRACT
12 ADMINISTRATOR informed regarding the impact of design issues on the PROJECT
13 budget. Upon the written request of the CONTRACT ADMINISTRATOR, the
14 CONSULTANT shall incorporate into the design, such reasonable design and operational
15 changes as the CONTRACT ADMINISTRATOR deems appropriate as a result of the
16 COUNTY'S review processes and impact on each PROJECT budget or estimate.
17 7. The CONSULTANT shall assist the COUNTY in determining all permits that
18 may be required for the PROJECT and prepare all necessary permits for the COUNTY
19 submittal to outside agencies.
20 8. The CONSULTANT shall work with the CONTRACT ADMINISTRATOR to
21 ensure that the plans, specifications and estimate meet all requirements to be advertised
22 for construction bids.
23 9. The CONSULT ANT shall prepare a detailed estimate, which shall identify the
24 construction components and requirements of the PROJECT.
25 10. The CONSULTANT shall, if required by approval agencies, submit to the
26 COUNTY in the appropriate agency forms, the PROJECT background information and
27 recommended testing and inspection list for materials to be used for each PROJECT
28 identifying type, quantity, frequency, and schedule. Submit required numbers of sets of
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1 plans, specifications, and other documents required by approval agencies to the
2 CONTRACT ADMINISTRATOR.
3 11. The CONSULTANT shall prepare technical specifications and estimate
4 setting forth in detail, for each PROJECT, the work to be done, and the materials,
5 workmanship, and equipment required for all components of construction necessary to
6 provide the COUNTY with a PROJECT that is complete and fully functional for its intended
7 purpose, all within the fiscal constraints imposed and consistent with the professional
8 services required under this AGREEMENT.
9 12. The CONSULTANT shall assist the CONTRACT ADMINISTRATOR in
10 developing base bid and additive bid item schedules.
11 13. The CONSULTANT shall submit to the CONTRACT ADMINISTRATOR the
12 projected and final construction estimate, verify the reasonableness of the estimated
13 construction period for construction contract bidding purposes as provided by the
14 CONTRACT ADMINISTRATOR and identify long delivery times of materials and
15 equipment which will control length of construction contract.
16 14. The CONSULTANT shall respond to Requests for Clarification during the
17 bidding process and submit to the CONTRACT ADMINISTRATOR for review and approval
18 any additional specifications, clarifications, or additional plan sheets deemed necessary.
19 Responses should be submitted within three (3) working days of receipt.
20 15. The CONSULTANT shall assist the CONTRACT ADMINISTRATOR in
21 evaluating the bids received.
22 16. The CONSULTANT shall delete or otherwise change portions of the
23 construction work at the request of the CONTRACT ADMINISTRATOR if the lowest bid
24 proposal for the construction contract exceeds the COUNTY approved engineer's estimate
25 (which will include the CONSULT ANT'S design contingency amount approved by the
26 COUNTY) by 10% or more; and if the COUNTY rejects all bids, modifications performed by
27 the CONSULTANT shall be completed on a time schedule commensurate with the scope
28 of the changes and as set forth by the COUNTY, and the CONSULTANT will be
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compensated on a time and materials basis, as agreed to in writing, by the COUNTY and
2 the CONSULTANT.
3 17. The CONSULTANT shall submit one (1) hard copy of each drawing prepared
4 with AutoCAD Civil 3D, version 2013 or later and an electronic copy in the form of .DXF or
5 .DWG files. Such submittals shall be furnished on CD. The CONSULTANT shall verify a
6 compatible format prior to final file delivery.
7 18. The CONSULTANT shall submit to the CONTRACT ADMINISTRATOR five
8 (5) copies of the 30%, 60% and 90% plans (22" X 34" format), specifications and estimates
9 for review. Submit progress prints and final originals of the plans, specifications, and
1 o estimates. Prior to submission of plans, the CONSULTANT shall request from the
11 CONTRACT ADMINISTRATOR examples of acceptable drafting format and reproducible
12 standards. Verification of compatible format will be required prior to final file delivery. The
13 CONTRACT ADMINISTRATOR, at its discretion, may reject a submittal that is determined
14 insufficient.
15 a. 30% plans, specifications and estimates shall include copies of utility
16 locations, centerline stationing, proposed and existing right-of-way, typical sections and
17 structural sections.
18 b. 60% plans, specifications and estimates shall include 30% plan
19 information and in addition, preliminary cross sections and earthwork calculations at 25' or
20 50' intervals, adequate information to allow construction survey staking, permits,
21 preliminary profile grade, an updated engineer's estimate, and shall address comments
22 and include necessary revisions as identified by the CONTRACT ADMINISTRATOR in the
23 30% review.
24 c. 90% plans, specifications and estimates shall include 60% plan
25 information and in addition, updated cross sections and earthwork, profile grade, technical
26 specifications, typical sections and the PROJECT details, and shall address comments and
27 include necessary revisions as identified by the CONTRACT ADMINISTRATOR in the 60%
28 review.
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d. Final original plans, specifications and estimates to be delivered to the
2 CONTRACT ADMINISTRATOR shall include:
3 i. One (1) original reproducible plan set on 22" by 34" sheets of 4
4 mil thick double matte film.
5 ii. One ( 1) reproducible copy of cross sections on 22" by 34"
6 sheets of 4 mil thick double matte film.
7 iii. One ( 1) CD or DVD with final plans, cross sections and slope
8 stake information, design calculations, quantity calculations, and other design information
9 as applicable to the PROJECT.
10 iv. One (1) stamped and wet signed paper copy and one (1) CD or
11 DVD with final specifications and estimates.
12 19. Plan sheets, cross sections, earthwork calculations and slope stake
13 information shall be in AutoCAD Civil 3D, version 2013 or later. Slope stake information
14 shall include 50-foot intervals for tangent sections and 25-foot intervals for curved sections.
15 Specifications shall be in Microsoft Word, version 201 0 or later and on 8 Y2" by 11" pages.
16 Final engineer's estimates shall be in Microsoft Excel, version 2010 or later and on 8 %"by
17 11" pages. Estimates shall specify specialty and/or final pay items as described in the
18 Caltrans State Standard Specifications. Verification of compatible format will be required
19 prior to final file delivery.
20 20. The COUNTY will package the CONSULTANT'S documents with those other
21 documents that together will comprise the COUNTY'S construction contract and bid
22 specifications.
23 21. The CONSULTANT shall deliver to the CONTRACT ADMINISTRATOR three
24 (3) weeks prior to the advertising date (which will be determined by the CONTRACT
25 ADMINISTRATOR) the final completed original drawings and specifications for the
26 COUNTY printing and distribution of bid sets to interested contractors. The original
21 drawings and specifications index sheet shall be stamped by a seal with the
28 CONSULTANT'S and subconsultant's license numbers and license renewal dates and/or
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1 signed in accordance with the California Business and Professions Code.
2 D. Construction Observation Services:
3 The CONSULT ANT shall:
4 1. Attend the preconstruction conference scheduled by the CONTRACT
5 ADMINISTRATOR.
6 2. When requested by the CONTRACT ADMINISTRATOR, attend meetings
7 with the COUNTY, federal, state and/or local representatives. The CONSULTANT shall
8 prepare brief minutes of all meetings attended and promptly submit those minutes to the
9 CONTRACT ADMINISTRATOR within seven (7) calendar days.
10 3. Make recommendations to the COUNTY on all claims of the COUNTY or the
11 CONSULTANT and all other matters relating to the execution and progress of work,
12 including interpretation of the CONSULTANT'S contract documents.
13 4. Within seven (7) calendar days of the COUNTY'S request, review and make
14 recommendations for samples, schedules, shop drawings, and other submissions for
15 general conformance with the design concept of the PROJECT{S) and for general
16 compliance with the plans and specifications and information given by the
17 CONSULTANT'S contract documents.
18 5. Within two (2) working days, respond to requests from the CONTRACT
19 ADMINISTRATOR for information needed from the CONSULTANT in order to clarify
20 construction plans and specifications and to review the construction contractor's cost
21 estimates for all change orders.
22 6. Recommend and assist in the preparation of such change orders as deemed
23 necessary with supporting documentation, calculations and estimate, for review and
24 issuance of change orders by the COUNTY Construction Engineer to obtain appropriate
25 agency acceptance and approval.
26 7. Assist the COUNTY, at the DIRECTOR's express, written authorization, with
21 any claim resolution process involving the CONTRACTOR and the COUNTY as specified
28 hereunder, including serving as a witness in connection with any public hearings or legal
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1 proceeding, and also including dispute resolutions required by law or hereunder. The
2 parties recognize that this clause is provided as a means of expediting resolution of claims
3 among the CONTRACTOR, the COUNTY, and the CONSULTANT. However, it is
4 understood the CONTRACTOR is not an intended third party beneficiary of this clause.
5 Compensation for these services shall be computed and invoiced at hourly rates listed in
6 Appendix D hereto. The CONSULTANT shall identify rates for expert witness services,
7 subject to review and approval or disapproval by the CONTRACT ADMINISTRATOR, in
8 Appendix D. Any proposed fee schedule (i.e.: Appendix D) which fails to identify rates for
g expert witness services by the CONSULTANT will be rejected by the CONTRACT
10 ADMINISTRATOR. Any assistance provided by the CONSULTANT as described in this
11 Article Ill, Section C, Paragraph 7 shall be subject to the provisions of Article VI,
12 hereinafter, and shall also be subject to the following:
13 a. The DIRECTOR may believe the CONSULTANT'S work under the
14 AGREEMENT to have included negligent errors or omissions, or that the CONSULTANT
15 may otherwise have failed to comply with the provisions of the AGREEMENT, either
16 generally or in connection with its duties as associated with a particular PROJECT; and
17 that the cause(s) for a claim by the CONTRACTOR may be attributable, in whole or in part,
18 to such conduct on the part of the CONSULTANT. Upon notice by the DIRECTOR, the
19 payments to the CONSULTANT for such arguably deficient services shall be held in
20 suspense by the COUNTY until a final determination has been made, of the proportion that
21 the CONSULTANT'S fault bears to the fault of all other parties concerned.
22 b. Such amounts held in suspense shall not be paid to the
23 CONSULTANT, pending the final determination as to the CONSULTANT'S proportional
24 fault. However, the appropriate percentage of such amount held in suspense shall be paid
25 to the CONSULTANT, once a final determination has been made, and the CONSULTANT
26 thereafter submits a proper invoice to the COUNTY. Payment shall be issued in
27 accordance with the procedure outlined in Article VI, Section B, Paragraph 2.
28
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8. At intervals appropriate to the stage of construction, or as otherwise deemed
12
1 necessary by the CONSULTANT, visit the site of the PROJECT(S) as necessary to
2 become familiar generally with the progress and quality of the work and to determine
3 whether the work is proceeding in general accordance with the contract documents. The
4 CONSULTANT shall not be required to make exhaustive or continuous onsite inspections
5 but shall give direction to the Construction Inspector as hereinafter more specifically
6 provided. The CONSULTANT shall not be responsible for the CONTRACTOR'S failure to
7 carry out the construction work in accordance with the contract documents. However, the
8 CONSULTANT shall immediately advise the CONTRACT ADMINISTRATOR of any known
9 or observed deviation from the contract documents.
10 9. Not have control over or charge of, and shall not be responsible for
11 construction means, methods, techniques, sequence, or procedure, or for the safety
12 precautions, programs, or equipment in use in connection with the work, since these are
13 solely the CONTRACTOR'S responsibility under the contract for construction.
14 10. Submit progress reports in accordance with the task order. These reports
15 shall be submitted at least once a month. The report should be sufficiently detailed for the
16 CONTRACT ADMINISTRATOR to determine if the CONSULTANT is performing to
17 expectations, or is on schedule; to provide communication of interim findings, and so
18 sufficiently address any difficulties or special problems encountered, so remedies can be
19 developed.
20 11. Advise the CONTRACT ADMINISTRATOR of defects and deficiencies
21 observed in the work of the CONTRACTOR, and may recommend that the DIRECTOR
22 reject work as failing to conform to the contract documents.
23 12. Conduct site visits and field observations to facilitate recommendations by th
24 CONSULTANT regarding:
25 a.
26 b.
27 c.
28 d.
dates of substantial completion.
dates of final completion.
the DIRECTOR'S acceptance of the work.
the DIRECTOR'S filing of the Notice of Completion and Issuance of
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Final Certificate for payment.
2 e. other issues which may require site visits.
3 E. Control of Construction Project Site
4 The COUNTY agrees that in accordance with generally accepted practices, the
5 COUNTY'S CONTRACTOR will be required to assume sole and complete responsibility for
6 job site conditions during the course of construction projects; including safety of all persons
7 and property, and that this requirement shall be made to apply continuously during projects
8 and not be limited to normal working hours. The CONSULTANT shall not have control
9 over or charge of, and shall not be responsible for, project means, methods, techniques,
10 sequences or procedures, as these are solely the responsibility of the CONTRACTOR
11 The CONSULT ANT shall not have the authority to stop or reject the work of the
12 CONTRACTOR
13 IV. OBLIGATIONS OF COUNTY
14 The COUNTY will:
15 A. Issue task orders on a project-by-project basis. Task orders will at a minimum
16 include scope of work, location, and schedule for the PROJECT.
17
18
B.
C.
Compensate the CONSULTANT as provided in the AGREEMENT.
Provide the CONTRACT ADMINISTRATOR as a representative of the
19 COUNTY and, as such, will work with the CONSULTANT in carrying out the provisions of
20 the AGREEMENT.
21
22
D.
E.
Provide basic plan sheet layouts as required.
Examine documents submitted to the COUNTY by the CONSULTANT and
23 timely render decisions pertaining thereto.
24
25
F.
G.
Provide aerial photographs as required.
Provide copies of any available existing as-built plans and right-of-way
26 drawings from the COUNTY files.
27 H. Provide mailing lists and labels for notification of property owners upon the
28 CONSULTANT'S request.
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I. Provide preliminary engineering survey data on existing structures and
2 topographic mapping in Autocad Civil 3D, version 2013 or later, format to the
3 CONSULTANT, if available.
4 J. Prepare all legal descriptions and drawings required for right-of-way
5 acquisition and/or temporary construction permits.
6
7
K.
L.
Provide limited assistance in processing required permits.
Give reasonably prompt consideration to all matters submitted by the
8 CONSULTANT for approval to the end that there will be no substantial delays in the
9 CONSULT ANT'S program of work. An approval, authorization or request to the
10 CONSULTANT given by the COUNTY will be binding upon the COUNTY under the terms
11 of the AGREEMENT only if it is made in writing and signed on behalf of the COUNTY by
12 the CONTRACT ADMINISTRATOR.
13 V. PERFORMANCE PERIOD
14 A. The AGREEMENT shall go into effect upon execution by the COUNTY. The
15 AGREEMENT shall end on the third anniversary of the execution date, unless prior to its
16 expiration its term is extended in writing, for no more than two additional one-year terms,
17 by mutual consent of the DIRECTOR and the CONSULTANT. The CONSULTANT shall
18 commence work promptly after receipt of a notice to proceed issued by the CONTRACT
19 ADMINISTRATOR.
20 B. The CONSULTANT is advised and hereby acknowledges its understanding
21 that any recommendation for award is not binding on the COUNTY until the AGREEMENT
22 is fully executed following its approval by the COUNTY's Board of Supervisors.
23 C. The period of performance for each specific PROJECT shall be in
24 accordance with the Task Order for that PROJECT. Notwithstanding the provisions of
25 Paragraph VI.C.9, if work on a Task Order remains in progress on the expiration date of
26 this AGREEMENT, the term of the contract shall be extended by an appropriate contract
27 amendment, in accordance with the provisions of either Section V.A or Article X of this
28 AGREEMENT.
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1 VI. ALLOWABLE COSTS AND PAYMENTS
2
3
A.
1.
Total Fee:
Notwithstanding any other provisions in the AGREEMENT, the Total Fee for
4 the services required under the AGREEMENT, shall not exceed the total sum of Five
5 Hundred Thousand and No/1 00 Dollars ($500,000.00) over the entire term of the
6 AGREEMENT. Compensation for the services rendered shall be computed at the hourly
7 and cost rates shown in Appendix D, subject to any adjustments that may be approved in
8 accordance with Article VI, Section A, Paragraph 3.
9 2. The hourly and cost rates listed herein for services rendered by the
1 o CONSULTANT and subconsultants shall remain in effect for the entire duration of the
11 AGREEMENT unless adjusted in accordance with the provisions of Article VI, Section A,
12 Paragraphs 3, 5, or 6.
13 3. The hourly rates paid for services performed by the CONSULTANT and by
14 subconsultants of the CONSULTANT and the rates for expenses incidental to the
15 CONSULTANT'S and subconsultant's performance of services may be adjusted no more
16 than once annually for inflation, in accordance with the following provisions: the
17 CONSULT ANT may request new labor rates and new rates for expenses incidental to the
18 CONSULTANT'S and subconsultant's performance of services subject to written approval
19 of the CONTRACT ADMINISTRATOR in accordance with the provisions of this Article VI,
20 Section A, Paragraph 3. The CONSULT ANT shall initiate the rate adjustment process by
21 submitting to the CONTRACT ADMINISTRATOR a proposed adjusted fee schedule. The
22 proposed adjusted fee schedule shall include proposed hourly rates for all categories of th
23 CONSULT ANT and subconsultants wage classifications and proposed rates for incidental
24 expenses listed in Appendix D. The proposed adjusted fee schedule shall not take effect
25 unless approved in writing by the CONTRACT ADMINISTRATOR. The CONSULTANT
26 hereby acknowledges its understanding that approval by the CONTRACT
27 ADMINISTRATOR of any upward adjustment in the hourly and cost rates shall not provide
28 a basis for any increase in the total fee of $500,000.00, as set forth in Article VI, Section A,
COUNTY OF FRESNO
Fresno, California
12/22/15
16
1 Paragraph 1.
2 4. Expenses incidental to the CONSULTANT'S and subconsultant's
3 performance of services under Article Ill of the AGREEMENT shall be charged at the rates
4 listed in Appendix D, subject to any adjustments that may be approved in accordance with
5 Article VI, Section A, Paragraphs 3, 5, or 6. Unless incorporated in an adjusted fee
6 schedule approved by the CONTRACT ADMINISTRATOR in accordance with Article VI,
7 Section A, Paragraphs 3, 5, or 6, all other expenses incidental to the CONSULTANT'S and
8 subconsultant's performance of the services under Article Ill of the AGREEMENT that are
9 not listed in Appendix D shall be borne by the CONSULTANT.
10 5. In the event that, in accordance with Article I, Section D, the CONTRACT
11 ADMINISTRATOR approves the CONSULTANT to retain additional subconsultants not
12 listed in Appendix B, hourly rates paid for services performed by such additional
13 subconsultants of the CONSULTANT and the rates for expenses incidental to
14 subconsultants performance of services may be adjusted no more than once annually for
15 inflation, in accordance with Article VI, Section A, Paragraph 3. The first annual
16 adjustment of hourly and incidental expense rates for such additional subconsultants shall
17 not be approved prior to one year after the CONTRACT ADMINISTRATOR approval of the
18 retention of such additional subconsultant(s) by the CONSULTANT.
19 6. Notwithstanding any other provisions in the AGREEMENT, the CONTRACT
20 ADMINISTRATOR may, at any time, authorize in writing the revision of the
21 CONSULTANT'S or subconsultant's charge rates for incidental expenses to include
22 additional categories of such expenses if, in the opinion of the CONTRACT
23 ADMINISTRATOR, such revision is necessary to facilitate the CONSULTANT'S
24 performance of the PROJECT(S).
25
26
B.
1.
Payments:
Progress payments will be made by the COUNTY upon receipt of the
27 CONSULTANT'S monthly invoices and approval by the CONTRACT ADMINISTRATOR
28 thereof based on the CONTRACT ADMINISTRATOR'S evaluation of the completion of the
COUNTY OF FRESNO
Fresno, California
12/22/15
17
1 respective components of the assigned PROJECT. Invoices shall clearly identify the
2 Phase and Task of the work, and the date(s) on which the work was performed, and shall
3 be submitted with the documentation identified in Article VI, Section B, Paragraph 5.
4 Invoices shall be forwarded electronically to: PWPBusinessOffice@co.fresno.ca.us.
5 2. Upon receipt of a proper invoice, the CONTRACT ADMINISTRATOR will take
6 a maximum of ten (1 0) working days to review, approve, and submit it to the COUNTY
7 Auditor Controller/Treasurer Tax Collector. Unsatisfactory or inaccurate invoices will be
8 returned to the CONSULTANT for correction and resubmittal. Payment, less retention, if
9 applicable, will be issued to the CONSULTANT within forty (40) calendar days of the date
10 the Auditor Controller/Treasurer Tax Collector receives the approved invoice.
11 3. The COUNTY is entitled to withhold a five percent (5%) retention from the
12 CONSULT ANT'S earned compensation in accordance with the provisions of Article VII of
13 the AGREEMENT.
14 4. An unresolved dispute over a possible error or omission may cause payment
15 of the CONSULT ANT fees in the disputed amount to be withheld by the COUNTY.
16 5. Concurrently with the invoices, the CONSULTANT shall certify (through
17 copies of issued checks, receipts, or other COUNTY pre-approved documentation) that
18 complete payment, less a five percent (5%) retention, except as otherwise specified in
19 Article VII, has been made to all subconsultants as provided herein for all previous invoices
20 paid by the COUNTY. However, the parties do not intend that the foregoing create in any
21 subconsultants or sub-contractor a third party beneficiary status or any third party
22 beneficiary rights, and expressly disclaim any such status or rights.
23 6. Final invoices, and separate invoices for retentions, shall be submitted to the
24 CONTRACT ADMINISTRATOR no later than thirty (30) days after the phase is completed.
25 Payment for retentions, if any, shall not be made until all services for the phase are
26 completed.
27 7. In the event the DIRECTOR reduces the scope of CONSULTANT'S work
28 under the AGREEMENT for a specific PROJECT (or discontinues a specific PROJECT),
COUNTY OF FRESNO
Fresno, California
12122115
18
1 whether due to a deficiency in the appropriation of anticipated funding or otherwise, the
2 CONSULTANT will be compensated on a pro rata basis for actual work completed and
3 accepted by the DIRECTOR in accordance with the terms of the AGREEMENT.
4
5
C.
1.
6 Task Orders.
7 2.
Other Provisions:
Specific PROJECTS will be assigned to CONSULTANT through issuance of
After a PROJECT to be performed under this AGREEMENT is identified by
8 the COUNTY, the COUNTY will prepare a draft Task Order. A draft Task Order will identify
9 the scope of services, expected results, project deliverables, period of performance, projec
10 schedule and will designate a COUNTY Project Coordinator. The draft Task Order will be
11 delivered to the CONSULTANT for review. The CONSULTANT shall return the draft Task
12 Order within ten (10) calendar days along with a Cost Estimate, including a written estimate
13 of the number of hours and hourly rates per staff person, any anticipated reimbursable
14 expenses, overhead, fee if any, and total dollar amount. After agreement has been
15 reached on the negotiable items and total cost, the finalized Task Order shall be signed by
16 both the COUNTY and the CONSULTANT.
17 3. Task Orders may be negotiated for a lump sum (Firm Fixed Price) or for
18 specific rates of compensation, both of which must be based on the labor and other rates
19 set forth in the CONSULTANT's Cost Proposal.
20 4. Reimbursement for transportation and subsistence costs shall not exceed the
21 rates as specified in the approved Cost Proposal.
22 5. When milestone cost estimates are included in the approved Cost Proposal,
23 the CONSULTANT shall obtain prior written approval for a revised milestone cost estimate
24 from the CONTRACT ADMINISTRATOR before exceeding such estimate.
25 6. Progress payments for each Task Order will be made monthly in arrears
26 based on services provided and actual costs incurred.
27 7. The CONSULTANT shall not commence performance of work or services
28 until this AGREEMENT has been approved by the COUNTY, and notification to proceed on
COUNTY OF FRESNO
Fresno, California
12/22/15
19
1 a specific Task Order has been issued by the COUNTY'S CONTRACT ADMINISTRATOR.
2 No payment will be made prior to approval or for any work performed prior to approval of
3 this AGREEMENT.
4 8. A Task Order is of no force or effect until returned to the COUNTY and
5 signed by an authorized representative of the COUNTY. No expenditures are authorized
6 on a project and work shall not commence until a Task Order for that PROJECT has been
7 executed by the COUNTY.
8 9. The period of performance for Task Orders shall be in accordance with dates
9 specified in the Task Order. No Task Order will be written which provides for a completion
10 date that extends beyond the expiration date of this AGREEMENT.
11 10. The total amount payable by the COUNTY for an individual Task Order shall
12 not exceed the amount agreed to in the Task Order, unless authorized by an appropriate
13 contract amendment.
14 11. If the CONSULTANT fails to satisfactorily complete a deliverable according to
15 the schedule set forth in a Task Order, no payment will be made until the deliverable has
16 been satisfactorily completed.
17 12. Task Orders may not be used to amend this AGREEMENT and may not
18 cumulatively exceed the TOTAL FEE amount approved for the scope of work under this
19 AGREEMENT, as set forth in Paragraph VI.A.1 above ..
20 VII. RETENTION FROM EARNED COMPENSATION
21 In addition to any amounts withheld under Article Ill, the CONSULTANT agrees that
22 the COUNTY, at the discretion of the CONTRACT ADMINISTRATOR, may withhold a five
23 percent (5%) retention from the earned compensation of the CONSULTANT. If the
24 CONTRACT ADMINISTRATOR determines that retention will be withheld for a PROJECT,
25 the CONTRACT ADMINISTRATOR will so state in writing prior to commencement of the
26 PROJECT by the CONSULTANT and will identify the PROJECT-specific prerequisites
21 (such as successful completion of a PROJECT phase, as an example) for the release of
28 retentions.
COUNTY OF FRESNO
Fresno, California
12/22/15
20
VIII. TERMINATION
2 A. The AGREEMENT may be terminated without cause at any time by the
3 COUNTY upon thirty (30) calendar days' written notice. If the COUNTY terminates this
4 AGREEMENT, the CONSULTANT shall be compensated for services satisfactorily
5 completed to the date of termination based upon the compensation rates and subject to
6 the maximum amounts payable agreed to in Article VI, together with such additional
7 services satisfactorily performed after termination which are expressly authorized by the
8 COUNTY to conclude the work performed to date of termination.
9 B. If the CONSULTANT purports to terminate the AGREEMENT, or otherwise
10 refuses to perform pursuant to the AGREEMENT, for reasons other than material breach
11 by the COUNTY, the CONSULTANT shall reimburse the COUNTY, up to a maximum of
12 $10,000 for the actual expense of issuing a Request For Proposal (RFP), engaging a new
13 consultant, and the new consultant's cost in becoming familiar with the previous
14 CONSULTANT'S work. The COUNTY'S entitlement to such reimbursement shall in no
15 way be construed as a limitation on other damages that may be recoverable by the
16 COUNTY as a result of the CONSULTANT'S termination, in breach of its obligations
17 hereunder.
18 C. The COUNTY may immediately suspend or terminate the AGREEMENT in
19 whole or in part, where in the determination of the COUNTY there is:
20
21
22
23
24
1.
2.
3.
4.
D.
An illegal or improper use of funds;
A failure to comply with any term of the 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
25 COUNTY of any breach of the AGREEMENT or any default which may then exist on the
26 part of the CONSULTANT. Neither shall such payment impair or prejudice any remedy
27 available to the COUNTY with respect to the breach or default. The DIRECTOR shall have
28 the right to demand of the CONSULTANT the repayment to the COUNTY of any funds
COUNTY OF FRESNO
Fresno, California
12/22/15
21
1 disbursed to the CONSULTANT under the AGREEMENT, which, in the judgment of the
2 DIRECTOR and as determined in accordance with the procedures of Article XVI, were not
3 expended in accordance with the terms of the AGREEMENT. The CONSULTANT shall
4 promptly refund any such funds upon demand.
5 E. The terms of the AGREEMENT, and the services to be provided thereunder,
6 are contingent on the approval of funds by the appropriating government agency. Should
7 sufficient funds not be allocated, the services provided may be modified, or the
8 AGREEMENT terminated at any time by giving the CONSULTANT thirty (30) days advanc
9 written notice. In the event of termination on the basis of this Paragraph, the
10 CONSULTANT'S entitlement to payment, in accordance with the payment provisions set
11 forth hereinabove, shall apply only to work performed by the CONSULT ANT prior to receipt
12 of written notification of such non-allocation of sufficient funding.
13 IX. FUNDING REQUIREMENTS
14 A. It is mutually understood between the parties that the AGREEMENT may
15 have been written before ascertaining the availability of funds or appropriation of funds, for
16 the mutual benefit of both parties, in order to avoid program and fiscal delays that would
17 occur if the AGREEMENT were executed after that determination was made.
18 B. The AGREEMENT is subject to any additional restrictions, limitations,
19 conditions, or any legislation enacted by the Congress, State Legislature or County Board
20 of Supervisors that may affect the provisions, terms, or funding of the AGREEMENT in any
21 manner.
22 C. It is mutually agreed that if sufficient funds are not appropriated, the
23 AGREEMENT may be amended to reflect any reduction in funds.
24 D. The COUNTY has the option to void the AGREEMENT under the 30-day
25 cancellation clause, or to amend the AGREEMENT by mutually acceptable modification of
26 its provisions to reflect any reduction of funds.
27 X. CHANGE IN TERMS
28
COUNTY OF FRESNO
Fresno, California
12/22/15
A. The AGREEMENT may be amended or modified only by mutual written
22
1 agreement of both parties. Except as provided in Article V, Section A, any such written
2 amendment to this AGREEMENT may be approved on the COUNTY's behalf only by its
3 Board of Supervisors.
4 B. The CONSULTANT shall only commence work covered by an amendment
5 after the amendment has been fully executed and written notification to proceed has been
6 issued by the CONTRACT ADMINISTRATOR
7 XI. DISADVANTAGED BUSINESS ENTERPRISES (DBE) PARTICIPATION
8 A. The CONSULTANT must give consideration to Disadvantaged Business
9 Enterprise (hereinafter referred to as ''DBE") firms as specified in 23 Code of Federal
10 Regulations (hereinafter referred to as "CFR") Section 172.5(b ), and in 49 CFR, Part 26.
11 The CONSULTANT must meet the DBE goal established for PROJECT(S) by using DBEs
12 as subconsultants or document a good faith effort to have met the goal. If a DBE
13 subconsultant is unable to perform, the CONSULTANT must make a good faith effort to
14 replace him/her with another DBE subconsultant if the goal is not otherwise met.
15 B. The CONSULTANT is responsible for being fully informed regarding the
16 requirements of Title 49 CFR, Part 26 and CAL TRANS' Disadvantaged Business
17 Enterprise program developed pursuant to the regulations, as detailed in Appendix C,
18 Notice to Proposers DBE Information, attached hereto and incorporated herein.
19 C. A DBE subconsultant may be terminated only with written approval by the
20 CONTRACT ADMINISTRATOR and only for reasons specified in 49 CFR Section 26.53(f).
21 Prior to requesting the CONTRACT ADMINISTRATOR consent for the proposed
22 termination, the CONSULTANT must meet the procedural requirements specified in 49
23 CFR Section 26.53(f).
24 XII. COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS
25 A. The CONSULTANT agrees that the Contract Cost Principles and Procedures,
26 Title 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31.000 et seq.,
27 shall be used to determine the allowability of cost for individual items. The CONSULTANT
28 shall sign the Certification of Contract Costs and Financial Management System, attached
COUNTY OF FRESNO
Fresno, California
12122115
23
1 hereto and incorporated herein as Appendix E.
2 B. The CONSULTANT also agrees to comply with federal procedures in
3 accordance with Title 49 CFR, Part 18, Uniform Administrative Requirements for Grants
4 and Cooperative Agreements to State and Local Governments.
5 C. Any costs for which payment has been made to the CONSULT ANT that are
6 determined by subsequent audit to be unallowable under 49 CFR Part 18 and 48 CFR,
7 Federal Acquisition Regulations System, Chapter 1, Part 31.000 et seq., are subject to
8 repayment by the CONSULT ANT to the COUNTY.
9 D. All subcontracts in excess of $25,000 shall contain the above provisions.
10 XIII. COVENANT AGAINST CONTINGENT FEES
11 The CONSULT ANT warrants, by execution of the AGREEMENT, that the
12 CONSULTANT has not employed or retained any company or person, other than a bona
13 fide employee working for the CONSULTANT; to solicit or secure the AGREEMENT; and
14 that CONSULTANT has not paid or agreed to pay any company or person other than a
15 bona fide employee, any fee, commission, percentage, brokerage fee, gift, or any other
16 consideration, contingent upon or resulting from the award or formation of the
17 AGREEMENT. For breach or violation of this warranty, the COUNTY shall have the right
18 to annul the AGREEMENT without liability, and to pay only for the value of the work
19 actually performed by the CONSULTANT, or alternatively in the COUNTY's discretion, to
20 deduct from the contract price or consideration, or otherwise recover the full amount of
21 such any such commission, percentage, brokerage fee, gift, contingent fee or similar form
22 of consideration previously paid by the CONSULTANT.
23 XIV. RETENTION OF RECORDS/AUDIT
24 A. For the purpose of determining the sufficiency of the CONSULT ANTS
25 performance of the contract (and compliance with Public Contract Code 10115, et seq. and
26 Title 21, California Code of Regulations, Chapter 21, Section 2500 et seq., when
27 applicable), the CONSULTANT, subcontractors, and the COUNTY, and each of them, shall
28 maintain all books, documents, papers, accounting records, and other evidence pertaining
COUNTY OF FRESNO
Fresno, California
12/22/15
24
to the performance of the AGREEMENT, including but not limited to, the costs of
2 administering the AGREEMENT.
3 B. All parties shall make such materials available at their respective offices at all
4 reasonable times throughout the entirety of the contract term and for three years from the
5 date of final payment under the contract, pursuant to Government Code 8546.7. The state,
6 the State Auditor, the COUNTY, Federal Highway Administration, or any duly authorized
7 representative of the federal government shall have access to any books, records, and
8 documents of the CONSULTANT that are pertinent to the contract for audit, examinations,
9 excerpts, and transactions, and copies thereof shall be furnished if requested, as more
10 thoroughly set forth in Section D of the immediately following Article XV of the
11 AGREEMENT. It shall be the responsibility of the CONSULTANT to ensure that all
12 subcontracts in excess of $25,000 shall contain this provision.
13 XV. AUDIT REVIEW PROCEDURES
14 A. Any dispute concerning a question of fact arising under an interim or post
15 audit of this contract that is not disposed of by agreement between the parties, shall be
16 reviewed by the COUNTY's Auditor-Controller/Treasurer-Tax Collector.
17 B. Not later than 30 days after issuance of the final audit report, the
18 CONSULTANT may request a review by the COUNTY's Auditor-Controller/Treasurer-Tax
19 Collector of unresolved audit issues. The request for review will be submitted in writing.
20 C. Neither the pendency of a dispute nor its consideration by the COUNTY will
21 excuse the CONSULTANT from full and timely performance, in accordance with the terms
22 of the AGREEMENT.
23 D. The CONSULTANT and subconsultants' contracts, including cost proposals
24 and indirect cost rates (ICR), are subject to audits or reviews such as, but not limited to, a
25 Contract Audit, an Incurred Cost Audit, an ICR Audit, or a certified public accountant (CPA)
26 ICR Audit Workpaper Review. If selected for audit or review, the contract, cost proposal
27 and ICR and related workpapers, if applicable, will be reviewed to verify compliance with 4
28 CFR, Part 31 and other related laws and regulations. In the instances of a CPA ICR Audit
COUNTY OF FRESNO
Fresno, California
12/22/15
25
1 Workpaper Review it is the CONSULTANT's responsibility to ensure federal, state, or local
2 government officials are allowed full access to the CPA's workpapers. The AGREEMENT,
3 cost proposal, and ICR shall be adjusted by CONSULT ANT and approved by the
4 CONTRACT ADMINISTRATOR to conform to the audit or review recommendations. The
5 CONSULTANT agrees that individual terms of costs identified in the audit report shall be
6 incorporated into the contract by this reference if directed by the COUNTY at its sole
7 discretion. Refusal by the CONSULTANT to incorporate audit or review recommendations,
8 or to ensure that the Federal, State, or local governments have access to CPA workpapers,
9 will be considered a breach of contract terms and cause for termination of the
10 AGREEMENT and disallowance of prior reimbursed costs.
11 XVI. ERRORS OR OMISSIONS CLAIMS AND DISPUTES
12
13
A.
1.
Definitions:
A "Consultant" is a duly licensed Architect or Engineer, or other provider of
14 professional services, acting as a business entity (owner, partnership, corporation, joint
15 venture or other business association) in accordance with the terms of an agreement with
16 the COUNTY.
17 2. A "Claim" is a demand or assertion by one of the parties seeking, as a matter
18 of right, adjustment or interpretation of contract terms, payment of money, extension of
19 time, change orders, or other relief with respect to the terms of the contract. The term
20 "Claim" also includes other disputes and matters in question between the COUNTY and
21 the CONSULTANT arising out of or relating to the contract. Claims must be made by
22 written notice. The provisions of Government Code section 901, et seq., shall apply to
23 every claim made to the COUNTY. The responsibility to substantiate claims shall rest with
24 the party making the claim. The term "Claim" also includes any allegation of an error or
25 omission by the CONSULTANT.
26 B. In the spirit of cooperation between the COUNTY and the CONSULTANT, th
27 following procedures are established in the event of any claim or dispute alleging a
28 negligent error, act, or omission, of the CONSULTANT.
COUNTY OF FRESNO
Fresno, California
12/22/15
26
1. Claims, disputes or other matters in question between the parties, arising out
2 of or relating to the AGREEMENT, shall not be subject to arbitration, but shall be subject to
3 the following procedures.
4 2. The COUNTY and the CONSULT ANT shall meet and confer and attempt to
5 reach agreement on any dispute, including what damages have occurred, the measure of
6 damages and what proportion of damages, if any, shall be paid by either party. The partie
7 agree to consult and consider the use of mediation or other form of dispute resolution prior
8 to resorting to litigation.
9 3. If the COUNTY and the CONSULTANT cannot reach agreement under
10 Article XVI, Section B, Paragraph 2, the disputed issues may, upon concurrence by all
11 parties, be submitted to a panel of three (3) for a recommended resolution. The
12 CONSULTANT and the COUNTY shall each select one (1) member of the panel, and the
13 third member shall be selected by the other two panel members. The discovery rights
14 provided by California Code of Civil Procedure for civil proceedings shall be available and
15 enforceable to resolve the disputed issues. Either party requesting this dispute resolution
16 process shall, when invoking the rights to this panel, give to the other party a notice
17 describing the claims, disputes and other matters in question. Prior to twenty (20) working
18 days before the initial meeting of the panel, both parties shall submit all documents such
19 party intends to rely upon to resolve such dispute. If it is determined by the panel that any
20 party has relied on such documentation, but has failed to previously submit such
21 documentation on a timely basis to the other party, the other party shall be entitled to a 20-
22 working-day continuance of such initial meeting of the panel. The decision by the panel is
23 not a condition precedent to arbitration, mediation or litigation.
24 4. Upon receipt of the panel's recommended resolution of the disputed issue( s ),
25 the COUNTY and the CONSULTANT shall again meet and confer and attempt to reach
26 agreement. If the parties still are unable to reach agreement, each party shall have
27 recourse to all appropriate legal and equitable remedies.
28
COUNTY OF FRESNO
Fresno, California
12/22/15
C. The procedures to be followed in the resolution of claims and disputes may
27
1 be modified any time by mutual agreement of the parties hereto.
2 D. The CONSULT ANT shall continue to perform its obligations under the
3 AGREEMENT pending resolution of any dispute, and the COUNTY shall continue to make
4 payments of all undisputed amounts due under the AGREEMENT.
5 E. When a claim by either party has been made alleging the CONSULT ANT'S
6 negligent error, act, or omission, the COUNTY and the CONSULTANT shall meet and
7 confer within twenty-one (21) working days after the written notice of the claim has been
8 provided.
9 XVII. SUBCONTRACTING
10 A. Nothing contained in this AGREEMENT or otherwise shall create any
11 contractual relation between the COUNTY and any subconsultant(s), and no subcontract
12 shall relieve the CONSULTANT of any of its responsibilities and obligations hereunder.
13 The CONSULTANT agrees to be as fully responsible to the COUNTY for the acts and
14 omissions of its subconsultant(s) and of persons either directly or indirectly employed by
15 any of them as it is for the acts and omissions of persons directly employed by the
16 CONSULTANT. It is specifically agreed and acknowledged that the CONSULTANT'S
17 obligation to pay its subconsultant( s) is an entirely independent obligation from the
18 COUNTY'S obligation to make payments to the CONSULTANT.
19 B. The CONSULT ANT shall perform the work contemplated with resources
20 available within its own organization; and no portion of the work pertinent to this contract
21 shall be subcontracted without prior written authorization by the CONTRACT
22 ADMINISTRATOR, excepting only those portions of the work and the responsible
23 subconsultants that are expressly identified in Appendix B hereto.
24 C. The CONSULTANT shall pay its subconsultants within ten (10) calendar days
25 from receipt of each payment made to the CONSULTANT by the COUNTY.
26 D. Any subcontract in excess of $25,000 entered into by CONSULTANT,
27 pertaining to work to be performed under the AGREEMENT, shall contain all of the
28 provisions stipulated in this AGREEMENT to be applicable to subconsultants.
COUNTY OF FRESNO
Fresno, California
12/22/15
28
1 E. Any substitution of subconsultant(s) must be approved in writing by the
2 CONTRACT ADMINISTRATOR prior to the start of work by such subconsultant(s).
3 XVIII. EQUIPMENT PURCHASE
4 A. Prior authorization in writing by the CONTRACT ADMINISTRATOR shall be
s required before the CONSULT ANT enters into any unbudgeted purchase order, or
6 subcontract exceeding $5,000 for supplies, equipment, or CONSULTANT services. The
7 CONSULTANT shall provide an evaluation of the necessity or desirability of incurring such
8 costs.
9 B. Prior authorization by the CONTRACT ADMINISTRATOR shall be required
10 for purchase of any item, service or consulting work in excess of $5,000 that is not covered
11 in the CONSULT ANT'S Cost Proposal; and the CONSULTANT'S request must be
12 accompanied by at least three competitive quotations, unless the absence of bidding is
13 adequately justified, to the satisfaction of the CONTRACT ADMINISTRATOR in his or her
14 discretion, by written explanation provided by the CONSULTANT with its submittal.
15 C. Any authorized purchase of equipment as a result of the AGREEMENT is
16 subject to the following: 'The CONSULT ANT shall maintain an inventory of all
17 nonexpendable property. Nonexpendable property is defined as having a useful life of at
18 least two years and an acquisition cost of $5,000 or more. If the purchased equipment
19 needs replacement and is sold or traded in, the COUNTY shall receive a proper refund or
20 credit at the conclusion of the contract, or if the contract is terminated, the CONSULTANT
21 may either keep the equipment and credit the COUNTY in an amount equal to its fair
22 market value, or sell such equipment at the best price obtainable at a public or private sale,
23 in accordance with established COUNTY procedures; and credit the COUNTY in an
24 amount equal to the sales price. If the CONSULT ANT elects to keep the equipment, fair
25 market value shall be determined at the CONSULTANT'S expense, on the basis of a
26 competent independent appraisal of such equipment. Appraisals shall be obtained from an
27 appraiser mutually agreeable to by the COUNTY and the CONSULTANT, if it is determined
28 to sell the equipment, the terms and conditions of such sale must be approved in advance
COUNTY OF FRESNO
Fresno, California
12122/15
29
1 by the COUNTY." Title 49 CFR, Part 18 requires a credit to Federal funds when
2 participating equipment with a fair market value greater than $5,000.00 is credited to the
3 PROJECT.
4 D. All subcontracts in excess of $25,000 shall contain the foregoing
5 provisions set forth in Sections A through C, inclusive, of this Section XVIII.
6 XIX. HOLD HARMLESS:
7 A. CONSULTANT shall defend, hold harmless and indemnify COUNTY, its officers,
8 agents, and employees, against the payment of any and all costs and expenses (includin
9 reasonable attorney fees and court costs), damages, claims, suits, losses, and liability fo
10 bodily and personal injury to or death of any person or for loss of any property resultin
11 from or arising out of any negligent or wrongful acts, errors or omissions of CONSULTANT,
12 its officers, agents, and employees, in performing or failing to perform any work, services,
13 or functions under this Agreement.
14 B. COUNTY and CONSULTANT hereby declare their mutual intent to cooperate
15 in the defense of any claim, suit, or other action alleging liability, arising from the
16 performance or failure to perform of any COUNTY construction contractor or subcontractor
17 in connection with any project for which CONSULTANT has been retained under Article Ill
18 above. Such cooperation may include an agreement to prepare and present a cooperative
19 defense after consultation with CONSULTANT's professional liability insurance carrier.
20
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 the 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
12/22/15
30
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 the 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 the 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 CONSULT ANT employs licensed professional staff in providing
17 services, Professional Liability Insurance with limits of One Million Dollars ($1 ,000,000.00)
18 per claim, Three Million Dollars ($3,000,000.00) 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 CONSULT ANT 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 the
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, Califomia
12/22/15
31
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
8 insurance names the COUNTY, its officers, agents and employees, individually and
9 collectively, as additional insured, but only insofar as the operations under the
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 herein provided, 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. INSPECTION OF WORK
25 The CONSULT ANT and any subcontractor shall permit the COUNTY, the state, and
26 the FHWA to review and inspect the PROJECT activities and files at all reasonable times
27 during the performance period of the AGREEMENT including review and inspection on a
28 daily basis.
COUNTY OF FRESNO
Fresno, California
12/22/15
32
XXII. OWNERSHIP OF DATA
2 A. All documents, including preliminary documents, calculations, and survey
3 data, required in performing services under the AGREEMENT shall be submitted to, and
4 shall remain at all times the property of the COUNTY regardless of whether they are in the
5 possession of the CONSULTANT or any other person, firm, corporation or agency.
6 B. The CONSULTANT understands and agrees the COUNTY shall retain full
7 ownership rights of the drawings and work product of the CONSULTANT for the
8 PROJECT, to the fullest extent permitted by law. In this regard, the CONSULTANT
9 acknowledges and agrees the CONSULTANT'S services are on behalf of the COUNTY
10 and are "works made for hire," as that term is defined in copyright law, by the COUNTY;
11 that the drawings and work product to be prepared by the CONSULTANT are for the sole
12 and exclusive use of the COUNTY, and that the COUNTY shall be the sole owner of all
13 patents, copyrights, trademarks, trade secrets and other rights and contractual interests in
14 connection therewith which are developed and compensated solely under the
15 AGREEMENT; that all the rights, title and interest in and to the drawings and work product
16 will be transferred to the COUNTY by the CONSULTANT to the extent the CONSULTANT
17 has an interest in and authority to convey such rights; and the CONSULT ANT will assist
18 the COUNTY to obtain and enforce patents, copyrights, trademarks, trade secrets, and
19 other rights and contractual interests relating to said drawings and work product, free and
20 clear of any claim by the CONSULTANT or anyone claiming any right through the
21 CONSULTANT. The CONSULTANT further acknowledges and agrees the COUNTY's
22 ownership rights in such drawings or work product, shall apply regardless of whether such
23 drawings or work product, or any copies thereof, are in possession of the CONSULTANT,
24 or any other person, firm, corporation, or entity. For purposes of this AGREEMENT the
25 terms "drawings and work product" shall mean all reports and study findings commissioned
26 to develop the PROJECT design, drawings and schematic or preliminary design
27 documents, certified reproducibles of the original final construction contract drawings,
28 specifications, the approved estimate, record drawings, as-built plans, and discoveries,
COUNTY OF FRESNO
Fresno, California
12/22/15
33
developments, designs, improvement, inventions, formulas, processes, techniques, or
2 specific know-how and data generated or conceived or reduced to practice or learning by
3 the CONSULTANT, either alone or jointly with others, that result from the tasks assigned to
4 the CONSULTANT by the COUNTY under the AGREEMENT.
5 C. If the AGREEMENT is terminated during or at the completion of any phase
6 under Article Ill, a reproducible copy of report(s) or preliminary documents shall be
7 submitted by the CONSULTANT to the COUNTY, which may use them to complete the
8 PROJECT(S) at a future time.
9 D. If the PROJECT is terminated at the completion of a construction document
10 phase of the PROJECT, certified reproducibles on 4 mil thick double matte film of the
11 original final construction contract drawings, specifications, and approved engineer's
12 estimate shall be submitted by the CONSULTANT to the COUNTY.
13 E. Documents, including drawings and specifications, prepared by the
14 CONSULTANT pursuant to the AGREEMENT are intended to be suitable for reuse by the
15 COUNTY or others on extensions of the services provided for the PROJECT. Any use of
16 completed documents for projects other than the PROJECT(S) and/or any use of
17 uncompleted documents will be at the COUNTY'S sole risk and without liability or legal
18 exposure to the CONSULTANT.
19 The electronic files provided by the CONSULTANT to the COUNTY are submitted
20 for an acceptance period lasting until the expiration of the AGREEMENT (i.e., throughout
21 the duration of the contract term, including any extensions). Any defects the COUNTY
22 discovers during such acceptance period will be reported to the CONSULTANT and will be
23 corrected as part of the CONSULTANT'S "Basic Scope of Work."
24 F. The CONSULT ANT shall not be liable for claims, liabilities or losses arising
25 out of, or connected with (1) the modification or misuse by the COUNTY or anyone
26 authorized by the COUNTY, of such CAD data, or (2) decline of accuracy or readability of
27 CAD data due to inappropriate storage conditions or duration; or (3) any use by the
28 COUNTY, or anyone authorized by the COUNTY, of such CAD data or other PROJECT
COUNTY OF FRESNO
Fresno, California
12/22/15
34
1 documentation for additions to the PROJECT for the completion of the PROJECT by
2 others, or for other projects; except to the extent that said use may be expressly
3 authorized, in writing, by the CONSULTANT.
4 G. The COUNTY, in the discretion of its Board of Supervisors, may permit the
5 copyrighting of reports or other products of the AGREEMENT; and provided further, that if
6 copyrights are permitted; the CONSULTANT hereby agrees and this AGREEMENT shall
7 be deemed to provide that the Federal Highway Administration shall have the royalty-free
8 nonexclusive and irrevocable right to reproduce, publish, or otherwise use, and to authoriz
9 others to use, the work for government purposes.
10 XXIII. CLAIMS FILED BY COUNTY'S CONSTRUCTION CONTRACTOR
11 A. If claims are filed by the COUNTY's CONTRACTOR relating to work
12 performed by the CONSULTANT'S personnel, and additional information or assistance
13 from the CONSULTANT'S personnel is required in order to evaluate or defend against
14 such claims, then the CONSULTANT hereby agrees in such event to make its personnel
15 available for consultation with the COUNTY's construction CONTRACT ADMINISTRATION
16 and legal staff and for testimony, if necessary, at depositions and at trial or arbitration
17 proceedings.
18 B. The CONSULTANT'S personnel that the COUNTY considers essential to
19 assist in defending against the CONTRACTOR claims will be made available on
20 reasonable notice from the DIRECTOR. Services of the CONSULTANT'S personnel in
21 connection with consultation or testimony for this purpose will be performed pursuant to a
22 written contract amendment, if determined by the parties to be necessary or appropriate.
23 XXIV. CONFIDENTIALITY OF DATA
24 A All financial, statistical, personal, technical, or other data and information
25 relative to the COUNTY'S operations, which are designated confidential by the COUNTY
26 and made available to the CONSULTANT in order to carry out the AGREEMENT, shall be
27 protected by the CONSULTANT from unauthorized use and disclosure.
28
COUNTY OF FRESNO
Fresno, California
12/22/15
B. Permission to disclose information on one occasion, or public hearing held by
35
1 the COUNTY relating to the contract, shall not authorize the CONSULTANT to further
2 disclose such information, or disseminate the same on any other occasion.
3 c. The CONSULTANT shall not comment publicly to the press or any other
4 media regarding the AGREEMENT or the COUNTY's actions on the same, except to the
5 COUNTY's staff, the CONSULTANT'S own personnel involved in the performance of the
6 AGREEMENT, at public hearings or in response to questions from a Legislative committee.
7 D. The CONSULTANT shall not issue any news release or public relations item
8 of any nature, whatsoever, regarding work performed or to be performed under the
9 AGREEMENT without prior review of the contents thereof by the COUNTY, and receipt of
10 the COUNTY'S written permission.
11 E. All information related to the construction estimate is confidential, and shall
12 not be disclosed by the CONSULTANT to any entity other than the COUNTY.
13 XXV. NATIONAL LABOR RELATIONS BOARD CERTIFICATION
14 In accordance with Public Contract Code Section 10296, the CONSULTANT hereby
15 states under penalty of perjury that no more than one final unappealable finding of
16 contempt of court by a federal court has been issued against the CONSULT ANT within the
17 immediately preceding two-year period, because of the CONSULTANT'S failure to comply
18 with an order of a federal court that orders the CONSULT ANT to comply with an order of
19 the National Labor Relations Board.
20 XXVI. EVALUATION OF CONSULTANT
21 The CONSULTANT'S performance will be evaluated by the COUNTY using the form
22 attached as Appendix F. A copy of the evaluation will be sent to the CONSULTANT for
23 comments. The evaluation together with the comments shall be retained as part of the
24 contract record.
25 XXVII. STATEMENT OF COMPLIANCE: NON-DISCRIMINATION
26 A. The CONSULTANT'S signature affixed herein, and dated, shall constitute a
27 certification under penalty of perjury under the laws of the State of California that the
28 CONSULTANT has, unless exempt, complied with, the nondiscrimination program
COUNTY OF FRESNO
Fresno, California
12/22115
36
1 requirements of Government Code Section 12990 and Title 2, California
2 Administrative Code, Section 8103.
3 B. During the performance of the AGREEMENT, the CONSULTANT and its
4 subconsultants shall not unlawfully discriminate, harass, or allow harassment against any
5 employee or applicant for employment because of sex, race, color, ancestry, religious
6 creed, national origin, physical disability (including HIV and AIDS), mental disability,
7 medical condition (e.g., cancer), age (over 40), marital status, and denial of family care
8 leave. The CONSULTANT and subconsultants shall ensure that the evaluation and
9 treatment of their employees and applicants for employment are free from such
1 o discrimination and harassment. The CONSULT ANT and subconsultants shall comply with
11 the provisions of the Fair Employment and Housing Act (Gov. Code §12990 (a-f) et seq.)
12 and the applicable regulations promulgated thereunder (California Code of Regulations,
13 Title 2, Section 7285 et seq.). The applicable regulations of the Fair Employment and
14 Housing Commission implementing Government Code Section 12990 (a-f), set forth in
15 Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are incorporated
16 into the AGREEMENT by reference and made a part hereof as if set forth in full. The
17 CONSULT ANT and subconsultants shall give written notice of their obligations under this
18 clause to labor organizations with which they have a collective bargaining or other
19 Agreement.
20 C. The CONSULT ANT and subconsultants shall include the nondiscrimination
21 and compliance provisions of this clause in all subcontracts to perform work under the
22 AGREEMENT.
23 XXVIII. DEBARMENT AND SUSPENSION CERTIFICATION
24 A. The CONSULTANT'S signature affixed herein, shall constitute a certification
25 under penalty of perjury under the laws of the State of California, that the CONSULTANT
26 has complied with Title 49, Code of Federal Regulations, Part 29, Debarment and
27 Suspension Certificate, which certifies that he/she or any person associated therewith in
28 the capacity of owner, partner, director, officer, or manager, is not currently under
COUNTY OF FRESNO
Fresno, California
12/22/15
37
suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal
2 agency; has not been suspended, debarred, voluntarily excluded, or determined ineligible
3 by any federal agency within the past three (3) years; does not have a proposed
4 debarment pending; and has not been indicted, convicted, or had a civil judgment rendered
5 against it by a court of competent jurisdiction in any matter involving fraud or official
6 misconduct within the past three (3) years. Any exceptions to this certification must be
7 disclosed to the COUNTY on Appendix G.
8 B. Exceptions will not necessarily result in denial of recommendation for award,
9 but will be considered in determining CONSULTANT responsibility. Disclosures must
10 indicate to whom exceptions apply, initiating agency, and dates of action.
11 C. Exceptions to the Federal Government Excluded Parties Listing System
12 maintained by the General Services Administration are to be determined by the Federal
13 Highway Administration.
14 XXIX. COMPLIANCE WITH LAWS AND STATE PREVAILING WAGE RATES
15 A. The CONSULTANT shall comply with the State of California's General
16 Prevailing Wage Rate requirements in accordance with California Labor Code, Section
17 1770, and all Federal, State, and local laws and ordinances applicable to the work.
18 B. Any subcontract entered into as a result of this contract if for more than
19 $25,000 for public works construction or more than $15,000 for the alteration, demolition,
20 repair, or maintenance of public works, shall contain all of the provisions of this Article.
21 c. When prevailing wages apply to the services described in the scope of work,
22 transportation and subsistence costs shall be reimbursed at the minimum rates set by the
23 Department of Industrial Relations (DIR) as outlined in the applicable Prevailing Wage
24 Determination. See http://www.dir.ca.gov.
25 XXX. CONFLICT OF INTEREST
26 A. The CONSULTANT shall comply with the provisions of the Fresno County
27 Department of Public Works and Planning Conflict of Interest Code, attached hereto as
28 Appendix H and incorporated herein. Such compliance shall include the filing of annual
COUNTY OF FRESNO
Fresno, California
12/22/15
38
statements pursuant to the regulations of the State Fair Political Practices Commission
2 including, but not limited to, portions of Form 700.
3 B. The CONSULTANT shall disclose any financial, business, or other
4 relationship with the COUNTY that may have an impact upon the outcome of this contract,
5 or any ensuing COUNTY construction project. The CONSULTANT shall also list current
6 clients who may have a financial interest in the outcome of this contract, or any ensuing
7 COUNTY construction project, which will follow.
8 C. The CONSULTANT hereby certifies that it does not now have, nor shall it
9 acquire any financial or business interest that would conflict with the performance of
10 services under this AGREEMENT.
11 D. The CONSULT ANT hereby certifies that neither the CONSULTANT, nor any
12 firm affiliated with the CONSULTANT will bid on any construction contract, or on any
13 contract to provide construction inspection for any construction the PROJECT resulting
14 from the AGREEMENT; provided, however, that this shall not be construed as disallowing
15 the CONSULTANT or affiliated firm from performing, pursuant to the AGREEMENT or
16 other agreement with the COUNTY, construction inspection services on behalf of the
17 COUNTY for the PROJECT. An affiliated firm is one, which is subject to the control of the
18 same persons through joint ownership, or otherwise.
19 E. Except for subconsultants or subcontractors whose services are limited to
20 providing surveying or materials testing information, no subcontractor who has provided
21 design services in connection with this contract shall be eligible to bid on any construction
22 contract, or on any contract to provide construction inspection for any construction project
23 resulting from this contract; provided, however, that this shall not be construed as
24 disallowing subcontractors who have provided design services for the PROJECT from
25 performing, pursuant to this AGREEMENT or other agreement with the COUNTY,
26 construction inspection services on behalf of the COUNTY for the PROJECT.
27 XXXI. REBATES, KICKBACKS OR OTHER UNLAWFUL CONSIDERATION
28 The CONSULT ANT warrants that this AGREEMENT was not obtained or secured
COUNTY OF FRESNO
Fresno, California
12/22/15
39
through rebates kickbacks or other unlawful consideration, either promised or paid to any
2 COUNTY employee. For breach or violation of this warranty, the COUNTY shall have the
3 right, in its discretion, to do any of the following: terminate the AGREEMENT without
4 liability; or to pay only for the value of the work actually performed; or to deduct from the
5 AGREEMENT price, or otherwise recover the full amount of such rebate, kickback or other
6 unlawful consideration.
7 XXXII. PROHIBITION OF EXPENDING COUNTY STATE OR FEDERAL FUNDS FOR
8 LOBBYING
9 A. The CONSULTANT shall sign the lobbying forms, attached hereto and
10 incorporated herein as Appendix I, as required by the instructions found on each form.
11 B. The CONSULT ANT certifies to the best of his or her knowledge and belief
12 that:
13 1. No state, federal or COUNTY appropriated funds have been paid, or will be
14 paid by or on behalf of the CONSULTANT to any person for influencing or attempting to
15 influence an officer or employee of any state or federal agency; a Member of the State
16 Legislature or United States Congress; an officer or employee of the Legislature or
17 Congress; or any employee of a Member of the Legislature or Congress, in connection with
18 any of the following:
19 a.
20 b.
21 c.
22 d.
23 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
24 any state or federal contract, grant, loan, or cooperative agreement.
25 2. If any funds other than federally appropriated funds have been paid, or will be
26 paid to any person for influencing or attempting to influence an officer or employee of any
27 federal agency; a Member of Congress; an officer or employee of Congress, or an
28 employee of a Member of Congress; in connection with this federal contract, grant, loan, or
COUNTY OF FRESNO
Fresno, California
12/22/15
40
cooperative agreement, then the CONSULTANT shall complete and submit Standard
2 Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
3 C. The certification required by the provisions of this Article is a material
4 representation of fact upon which reliance was placed when this transaction was made or
5 entered into. Submission of this certification is a prerequisite for making or entering into
6 this transaction imposed by Title 31, U.S. Code Section 1352. Any person who fails to file
7 the required certification shall be subject to a civil penalty of not less than $10,000 and not
8 more than $100,000 for each such failure.
9 D. The CONSULTANT also agrees by signing this document that he or she shall
1 o require that the language of this certification be included in all lower-tier subcontracts,
11 which exceed $100,000, and that all such sub-recipients shall certify and disclose
12 accordingly.
13 XXXIII. INDEPENDENT CONTRACTOR
14 A. In performance of the work, duties and obligations assumed by the
15 CONSULTANT under the AGREEMENT, it is mutually understood and agreed that the
16 CONSULTANT, including any and all of the CONSULTANT'S officers, agents, and
17 employees will at all times be acting and performing as an independent contractor, and shall
18 act in an independent capacity and not as an officer, agent, servant, employee, joint venturer,
19 partner, or associate of the COUNTY. Furthermore, the COUNTY shall have no right to
20 control or supervise or direct the manner or method by which the CONSULTANT shall
21 perform its work and function. However, the COUNTY shall retain the right to administer the
22 AGREEMENT so as to verify that the CONSULT ANT is performing its obligations in
23 accordance with the terms and conditions thereof.
24 B. The CONSULTANT and the COUNTY shall comply with all applicable
25 provisions of law and the rules and regulations, if any, of governmental authorities having
26 jurisdiction over matters the subject thereof.
27 C. Because of its status as an independent contractor, the CONSULTANT shall
28 have absolutely no right to employment rights and benefits available to COUNTY employees.
COUNTY OF FRESNO
Fresno, California
12/22/15
41
The CONSULTANT shall be solely liable and responsible for providing to, or on behalf of, its
2 employees all legally-required employee benefits. In addition, the CONSULTANT shall be
3 solely responsible and save the COUNTY harmless from all matters relating to payment of
4 the CONSULTANT'S employees, including compliance with Social Security withholding and
5 all other regulations governing such matters. It is acknowledged that during the term of this
6 AGREEMENT, the CONSULTANT may be providing services to others unrelated to the
7 COUNTY or to this AGREEMENT.
8 XXXIV. DISCLOSURE OF SELF-DEALING TRANSACTIONS
9 This provision is only applicable if the CONSULTANT is operating as a corporation
10 (a for-profit or non-profit corporation) or if during the term of the AGREEMENT, the
11 CONSULANT changes its status to operate as a corporation. Members of the
12 CONSULTANT'S Board of Directors shall disclose any self-dealing transactions that they
13 are a party to while the CONSULTANT is providing goods or performing services under the
14 AGREEMENT. A self-dealing transaction shall mean a transaction to which the
15 CONSULTANT is a party and in which one or more of its directors has a material financial
16 interest. Members of the Board of Directors shall disclose any self-dealing transactions that
17 they are a party to by completing and signing a Self-Dealing Transaction Disclosure Form,
18 attached hereto and incorporated as Appendix J and submitting it to the COUNTY prior to
19 commencing with the self-dealing transaction or immediately thereafter.
20 XXXV. NOTIFICATION
21 All notices hereunder and communications regarding interpretation of the terms of
22 the AGREEMENT and changes thereto, shall be effected by the mailing thereof by
23 registered or certified mail, return receipt requested, postage prepaid, and addressed to
24 the CONTRACT ADMINISTRATOR and the CONSULTANT'S Project Manager identified
25 on Page 1 of this AGREEMENT.
26 XXXVI. NON-ASSIGNMENT
27 Neither party shall assign, transfer or sub-contract the AGREEMENT or any of its
28 respective rights or duties hereunder, without the prior written consent of the other party.
COUNTY OF FRESNO
Fresno, California
12/22/15
42
1 XXXVII. CONSULTANT'S LEGAL AUTHORITY
2 Each individual executing or attesting the AGREEMENT on behalf of the
3 CONSULTANT hereby covenants, warrants, and represents: (i) that he or she is duly
4 authorized by or in accordance with the CONSULTANT'S corporate by-laws to execute or
5 attest and deliver the AGREEMENT on behalf of the CONSULTANT; and (ii) that the
6 AGREEMENT, once he or she has executed it, is and shall be binding upon such
7 corporation.
8 XXXVIII. BINDING UPON SUCCESSORS
9 The AGREEMENT shall be binding upon and inure to the benefit of the parties and
1 o their respective successors in interest, assigns, legal representatives, and heirs.
11 XXXIX. INCONSISTENCIES
12 In the event of any inconsistency in interpreting the documents which constitute the
13 AGREEMENT, the inconsistency shall be resolved by giving precedence in the following
14 order of priority: (1) the text of the AGREEMENT (excluding Appendices); (2) Appendices
15 to the AGREEMENT.
16 XL. SEVERABILITY
17 Should any part of the AGREEMENT be determined to be invalid or unenforceable,
18 then the AGREEMENT shall be construed as not containing such provision, and all other
19 provisions which are otherwise lawful shall remain in full force and effect, and to this end
20 the provisions of the AGREEMENT are hereby declared to be severable.
21 XLI. FINAL AGREEMENT
22 Both of the above-named parties to the AGREEMENT hereby expressly agree that
23 the AGREEMENT constitutes the entire agreement which is made and concluded in
24 duplicate between the two parties with respect to the subject matter hereof and supersede
25 all previous negotiations, proposals, commitments, writing, advertisements, publications,
26 and understandings of any nature whatsoever unless expressly included in this
27 AGREEMENT. In consideration of promises, covenants and conditions contained in the
28 AGREEMENT, the CONSULTANT and the COUNTY, and each of them, do hereby agree
COUNTY OF FRESNO
Fresno, California
12122/15
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1 to diligently perform in accordance with the terms and conditions of the AGREEMENT, as
2 evidenced by the signatures below.
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JN WITNESS WHEREOF, the parties hereto have caused this AGREEMENT to be
2 executed as of the day and year first above written.
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COUNTY OF FRESNO
Fresno, California
11/20/15
--···········--··
CONSULTANT
BY:~~~ NAME;=~~
TITLE: 7'(f-;i c\R. o±:
ADDRESS: 6248 Main Avenue, Suite C
Orangevale CA 95662
REVIEWED AND RECOMMENDED
FOR APPROVAL
BY:~ft/~
ALAN WEAVER, DIRECTOR
DEPARTMENT OF PUBLIC WORKS
AND PLANNING
ORG: 1910 · 4360 4510 7205
FUND: 0001 0001 0001 0001 0010 0001
SUBCLASS: 10000 10000 11000 00001
ACCOUNT: 7295
45
COUNTY OF FRESNO
~~~D~S~
CHAIRMAN
BOARD OF SUPERVISORS
ATTEST:
BERNICE E. SEIDEL, Cieri<
Board of Supervisors . . e . Bye)\~ ~ty
APPROVED AS TO LEGAL FORM
COUNTY COUNSEL
tc-{
APPROVED AS TO ACCOUNTING
FORM
BY: ~r z/<~~~
VICKI CROW, C.P.A.
AUDITOR-CONTROLLER/
TREASURER-TAX COLLECTOR
APPENDIX A
Firm Principal and Team Leadership
Projects will be led by Becky Rozumowicz, founder and President of A WE; Ms. Rozumowicz
will be the County's single point of contact for management of the contract. Each project will be
assigned to one of three qualified A WE project managers : Aimee Dour-Smith, an environmental
planner with nearly 20 years of experience in environmental compliance for transportation, flood
control, and water supply projects; Michelle Tovar, a senior permitting specialist with over 10
years of experience managing all levels of environmental documentation and permitting for
various infrastructure projects; or Phil Wade, an expert in CEQA/NEPA compliance for
transportation and airport facilities. A summary of qualifications of the A WE leadership team
are provided below; full resumes are available on request.
Becky Rozumowicz, Principal
Becky Rozumowicz will serve as Principal on the
project and will provide overall program
management and administration. She has over 20
years of experience leading technical teams and
synthesizing complex technical studies into high
quality cohesive environmental compliance
documents and will have ultimate responsibility
for ensuring the timely completion of all tasks to
rigorous quality standards. She will take an active
ro le in strateg ic planning and will have primary
responsibility for managing the overall project
budget. She manages interdisciplinary teams and
prepares CEQA and N EP A compliance documents
for pub lic works projects including roadway
improvements, bridge replacement projects,
detention basins, sewer line capit al improvement
Becky Rozumowicz, Principal
Experience on Comparable Projects
• Dogtown Road and Lime Creek
Road Bridge Replacements,
Calaveras County
• Camino Tassajara Road Safety
Improvements, Contra Costa
County
• Caltrans District 6 Madera Poo ls
•
•
Mitigation Bank, Madera County
Ulatis Bike Trail, City of Vacaville
Bailey Bridge Replacement,
Plumas County
projects, and electrical distribution lines. Additionally, she routinely conducts biological
investigations, oversees construction monitoring crews, and prepares wetland delineations,
habitat suitability assessments, and special-status species investigations. She has consiste ntly
taken creative strategic approaches to mitigation design and identified mechanisms to streamline
project permitting. She has an in depth knowledge of federa ll y funded project comp liance
including Caltrans Local Assistance and Capital Improvement requirements . She maintains
effective relationships with many regulatory agency staff allowing her to informally resolve
Fresno County
project issues early in the permitting process. Ms .
Rozumowicz holds a Bachelor's degree in soil and water
science from the University of California, Davis and is a
Qualified Storm Water Pollution Prevention Plan (SWPPP)
Developer/Qualified SWPPP Practitioner and a Certified
Professional in Erosion and Sediment Control. She has a
U.S. Fish and Wildlife Service (USFWS) IO(a)(l)(A) permit
for fe derally listed vernal pool branchiopods and California
tiger salamander.
Area West Environmental, Inc.
Department of Public Works and Planning
Environmental Services
-3-Statement of Qual [/!cations
September -1, 2015
Aimee Dour -Smith, Project Manager/Senior Planner
Aimee Dour-Smith is a senior environmental planner
with more than 20 years of experience in managing
environmental · impact documents for complex
development , transportat ion , energy, water supply,
and flood control projects . She has extensive
experience in working with clients and regulatory
agencies on environmental compliance documents
and related permits. She provides compliance
assistance with CEQA, NEPA, Sections 404 and 401
of the Clean Water Act (CWA), state and federal
Endangered Species Acts (ESAs ), Section 1 06 of the
N ational Historic Preservation Act (NHPA), and
Section 4(f) of the Department of Transportation Act
of 1966. Ms. Dour-Smith has trained federal, state ,
and local agency representatives in CEQA and
NEP A compliance , and as part of the Caltrans
APPENDIX A
Aimee Dour-Smith, Project Manager
Experience on Comparable Projects
•
•
•
•
•
Italian Bar Road Bridge
Replacement, Fresno County
Nevada Street Pedestrian
Improvements , C ity of Auburn
S unrise-S u nga rden Intersection,
City of C itrus Heights
Berry Street Bridge Replacement,
City of Calastoga
Caltrans State Route 299
Buckhorn G rade Improvements,
Shasta County
training team, she has conducted training in Federal Highway Administration (FHWA)
environmental documentation requirements throughout California. She has extens ive experience
in facilitating stakeholder meetings , coordinating interagency teams , and conducting public
hearings . Ms . D our-Smith has a Bachelor's degree in environmental policy analysis and
planning from the University of California, Davis.
Michelle Tovar, Project Manager/Senior Biologist
Michelle Tovar is a senior biologist with over 10 years of experience in
carrying out consultations pursuant to the ESA and reviewing , planning, and
conducting a variety of biological investigations to determine the impact of development projects
on the terrestrial and aquatic resources of the Sacramento/San Joaquin Valley and Bay Area.
Ms . Tovar was a fish and wildlife biologist at USFWS for more than 8 years. She has extensive
Michelle Tovar, Project Manager
Experience on Comparable Projects
• Jepson Parkway, Cities of
Fa irfie ld and Vacaville
•
•
•
•
Sonoma-Marin Area Rapid
T ransit, Sonoma County
Rural Roads Safety
Improvements, Amador County
Suisun Valley Bridge
Replacement, Solano County
Caltrans District 3 Highway 171
Reconstruction, Butte County
Fresno County
Department of Public Works and Planning
Environmental Sen-ices
experience working with clients and regulatory
agencies on environmental compliance documents
and related permit s. Ms . Tovar provides
compliance assistance with the state and federal
ESAs, NEPA, Fish and Wildlife Coordination Act,
and CW A; she is also highly experienced in
negotiating avoidance , mitigation/compensation,
and enhancement agreements with other agencies
(e.g., U.S. Army Corps of Engineers [USACE],
FHW A, Caltrans, Regional Water Quality Control
Board [RWQCB] and California Department of
Fish and Wildlife [CDFW]). Ms. Tovar has a
Bachelor of Science degree in Animal Sciences
from the University of California, Davis.
--1-
Area West Environmental, Inc.
Statement of Qualifications
September -1, 2015
Phil Wade, Project Manager/Senior Planner
Mr. Wade is an environmental planner and project
manager with 10 years of experience in preparing
CEQA and NEPA documents, land use
compatibility studies, and other technical reports.
He regularly manages the preparation of CEQA
Initial Study/Mitigated N egative Declar~tions
(IS/MNDs) and Environmental Impact Reports
(EIRs) for a variety of development and planning-
related projects. Mr. Wade has also been involved
in a number of bridge, roadway, and sidewalk
improvement projects, including Caltrans Local
Assistance Projects. He has extensive experience
conducting public workshops and presenting
technical information to public officials,
APPENDIX A
Phil Wade, Project Manager
Experience on Comparable Projects
• Rawhide Road Bridge
Replacement, Tuolumne County
• Nut Tree Airport Master Plan,
City of Vacaville
• Allison Drive B ike and Pedestrian
Project, City of Vacaville
• Guy West Bridge Rehabilitation ,
City of Sacramento
• CSU Ch ico Physical Science
Bridge Replacement
stakeholders, and members of the general public. Much of his work has been focused on
California's airports, for which he has prepared a variety of CEQA and NEPA documents in
support of everything from individual development projects to long-range master plans.
Fresno County
Department of Public Works and Planning
Environmental Services
-5-
Area West Environmental, inc.
Statement of Qualifications
September./, 2015
APPENDIX B
Subconsultants and Technical Experts
A WE has teamed with a number of experts with considerable experience providing
environmental services for local infrastructure projects in the Fresno County area. For each task
order, A WE will assemble staff with the needed experience and expertise to assist the County in
achieving their goals. We have had long-term working relationships with these team members
and have worked with them to deliver quality documents to various clients. Our team includes
the following firms.
• Far Western Anthropological Research Group, Inc. (Far Western) and JRP Historical
Consulting, LLC (JRP) will provide cultural resources expertise.
• Helm Biological Consulting (HBC) and The Wildlife Project, both small businesses with
particular expertise in Fresno County special-status species, will augment and support
A WE biological resource staff.
• Kuhtz Pape Consulting, a local firm, will conduct tree surveys and arborist evaluations.
• AMBIENT Air and Noise Consulting
(AMBIENT) will provide air quality and
noise impact assessments and technical
studies
• WRECO, a DBE firm, will provide
hydrology and hydraulic services.
Fresno County
Department ofPublic Works and Planning
Environmental Services
-5-
Area West Environmental. Inc.
Statement of'Qual(f7cations
September./. 1015
APPENDIX B
• Kleinfelder, Inc. will provide Phase I and II site assessments, as well as lead and asbestos
materials testing .
Brief descriptions of our teaming partners follow . Full resumes for team members are available
upon request.
AMBIENT Air Quality &
Noise Consulting
612 12th Street, Suite 201
Paso Robles, CA 93446
(805) 226-2727
AMBIENT Air Quality & Noise Consulting
AMBIENT Air Quality and Noise Consulting
(AMBIENT), with whom A WE has been successfully
collaborating for more than 10 years, is a small business
enterprise with over 20 years of experience in areas related
to the assessment of air quality, greenhouse gas, noise, and
groundborne vibration impacts. With extensive expertise
related to the assessment of environmental impacts, a
comprehensive working knowledge of the regulatory
environment, utilization of state-of-the-art technology, and an understanding of land use
planning process, AMBIENT provides a broad range of services , with particular emphasis on
providing analytical support and documentation for proposed projects that are subject to CEQA
and NEPA requirements. Additional services include regulatory and code compliance
investigations, emissions modeling, barrier feasibility analyses, ambient noise and vibration
monitoring, and land use compatibility determinations. Representative projects for which
technical reports and impact assessments have been prepared include rail and road transportation
systems, water and wastewater treatment and conveyance systems, electrical distribution
systems, school facility and community development projects. A WE and AMBIENT have been
collaborating for more than 7 years.
Kurt Legleiter is the Principal Air Quality and Noise Specialist and sole proprietor of
AMBIENT. His project experience spans over 20 years and encompasses both the public and
private sectors. He specializes in the preparation of air quality and noise analyses in support of
community planning and development projects subject to review under the CEQA and the
NEP A. He is proficient in the use of various air quality and noise modeling software programs,
including CALEEMOD, SCREEN3, ISCST3 , HARP, CALINE4 , FHWA Traffic Noise Model,
and the Federal Aviation Administration Integrated Noise Model. Mr. Legleiter holds
Bachelor's degrees in environmental health science and urban and environmental planning from
California State University , Fresno.
JRP Historical Consulting , LLC
2850 Spafford Street
Davis, CA 95618
(530) 757-2521
Fresno Coztl1fy
Department of Public Works and Planning
Environmental Sen•ices
JRP Historical Consulting, LLC
Founded in 1981, JRP Historical Consulting, LLC (JRP)
has over 30 years of experience conducting historic
research investigations throughout California and the
western United States. The firm offers a variety of
historical research and document services in support of
project compliance for Section 106 of the NHP A and
CEQA. These documents include Historic Property
Survey Reports (HPSR), Historical Resources Evaluation
-6-
Area West Elll'ironmental. Inc.
Statement ofQualijications
Seplember -1. 20 I 5
APPENDIX B
Reports (HRER), Findings of Effect (FOE), Memorandums of Agreement, Programmatic
Agreements, and Historic American Building Survey I Historic American Engineering
documentation. Through hundreds of completed projects, JRP has gained the knowledge and the
experience to effectively facilitate local, state, and federal environmental review processes with
public agencies, and in consulting with the staff of the California Office of Historic Preservation
on project review for a variety of undertakings. JRP has extensive experience preparing
documentation in conformance with Caltrans' SER, Volume 2, Chapter 2 , Cultural Resources
Procedures, as well as documentation for use in CEQA compliance as it pertains to historical
resources, including assistance with addressing public comments regarding issues related to
historical resources and preparation of mitigation measures . A WE and JRP have been
successfully collaborating for more than 7 years.
Christopher D. McMorris , JRP Architectural Historian, specializes in conducting historic
resource studies for compliance with Section 106 of the NHP A and the CEQA, as well as other
historic preservation projects . In his 17 years of experience , he has served as a lead historian ,
principal investigator, and project manager on projects for federal, state , and local government as
well as for engineering/environmental consulting firms. Many of these projects involved survey
and evaluation of historic resources under the criteria for the National Register of Historic Places
and the California Register of Historical Resources , along with analysis of effects projects may
have on historic properties and measures to mitigate those effects. He has extensive experience
preparing studies in conformance with the Caltrans SER, and in the past five years has worked
on over 50 Caltrans or Local Assistance projects including multiple bridge replacement or
rehabilitation projects, and other Caltrans-funded bicycle trail and intersection improvement
projects. Mr. McMorris has a specific expertise in working with historic bridges and bridge
replacement projects. He also worked on various components of JRP's tasks in the San Joaquin
Valley for the California High Speed Train project, as well as projects across California that
involve a wide assortment of property types and infrastructure, including residential , industrial ,
institutional , and commercial buildings, irrigation canals, military facilities, and water treatment
and waste water treatment plants. Mr. McMorris holds a M.S. in Historic Preservation from
Columbia University in New York, as well as a B.A. in History and B.A. in Music from the
University of Rochester in New York. He qualifies as a historian and architectural historian
under the United States Secretary of the Interior's Professional Qualification Standards (as
defined in 36 CFR Part 61).
FAR WESTERN ~ t\NTHROPOLOGICAL RCSEARCH GROUP INC
Far Western Anthropological
Research Group, Inc.
2727 Del Rio Place, Suite A,
Davis CA 95618
(530) 756-3941
Far Western Anthropological Research Group,
Inc.
Far Western Anthropological Research Group , Inc. (Far
Western) is a small-business enterprise specializing in
cultural resources compliance and research. They are
recognized as one of the leading cultural resources
consulting firms in the United States. This reputation
rests on a solid foundation of cost-effective management that strives to create innovative
solutions to client compliance needs . Their highly skilled and experienced staff work together in
all aspects of cultural resources management, archaeological research, and public outreach and
Fresno County
Department of Public Works and Planning
Environmental Services
-7-
Area West Environmental. Inc.
Stateme111 of Qualifications
September .J. 2015
APPENDIX B
education. This combination has resulted in the successful completion of some of the most
complex and demanding cultural resources programs for federal, state, and local agencies in the
Great Basin and California. Far Western has held numerous County On-Call contracts for
Cultural Resource Services including Shasta, Placer, Tehama, Solano, Yuba, and Contra Costa
counties and is currently the on-call archaeological firm for Cal trans Districts 9. Their Davis,
California, headquarters houses a state-of-the-art archaeological research facility and the team
includes more than 40 Ph.D.-and M.A.-level archaeologists, along with Geographic Information
System (GIS) specialists, designers and graphic artists, laboratory staff, crew chiefs, and
technicians. Far Western has a long track record of success with Caltrans projects, both Local
Assistance and on-call contracts with the Districts. Since 1992 they have successfully managed
more than 15 Caltrans on-call contracts in a timely and fiscally-responsible manner. Far Western
will be performing tasks related to completing cultural resources work, including but not limited
to, Archaeological Survey Reports (ASR), HPSR, and finding of effect documents. A WE and
Far Western have been successfully collaborating for more than 7 years.
Adrian Whitaker, Far Western Principal Investigator, Prehistoric Archaeology, has worked in
California archaeology for the past 15 years. He has extensive experience in local assistance
projects for City and County governments throughout the state of California. These projects run
the gamut of cultural resources management, including all stages of archaeological inquiry, and
ranging from small surveys to large-scale data recovery and test excavations. His geographic
focus includes the Central Valley, Sierra Foothills, San Francisco Bay Area, and southern
California coast. Mr. Whitaker has authored more than 75 technical reports, and has experience
with managing Native American and archaeological construction monitors. He has worked
extensively with A WE on local assistance projects for the County of Solano, the City of
Vacaville, and the County of Fresno. Mr. Whitaker holds a Ph.D. in Archaeology from the
University of California, Davis.
The Wildlife Project
P.O. Box 579805
Modesto, California 95357
(209) 815-5660
The Wildlife Project
The Wildlife Project is a company that has conducted
surveys for special-status invertebrate, fish, amphibian,
reptile, bird, and mammal species in California, Nevada,
Oregon, eastern Washington, and southern Arizona. The
Wildlife Project has assessed the biotic component (plants
and animals) of proposed development sites for
conservation organizations, private industry, and
governmental agencies within California and adjacent
states and prepared wildlife inventory reports, species-specific management plans, biological
assessments, biological section of EIRs, and other documents for CEQA compliance. The
Wildlife Project provides bird and bat surveys and exclusion plans and services. A WE and The
Wildlife Project have successfully worked together since both companies began, more than 15
years ago.
Jeff Alvarez , owner and principal biologist of The Wildlife Project, has more than 25 years of
experience with endangered and threatened species management, habitat management, wildlife
population monitoring, research investigations, and wildlife techniques development, and has
Fresno County
Department of Puhlic ~t'orks and Planning
Environmental Services
-8-
Area West Em•ironrnental. Inc.
Statement of'Qualifications
September -1. JO 15
APPENDIX B
surveyed and studied amphibians and reptiles state-wide. Mr. Alvarez has extensive experience
with special-status wildlife species that call Fresno County home, including vernal pool
branchiopods; California red-legged, mountain yellow-legged, and foothill yellow-legged frogs;
blunt-nosed leopard lizard; burrowing owl; pallid and Townsend's big-eared bat; San Joaquin kit
fox; and many other species found in central California. He currently holds a 10(a)1(A) permit
for vernal pool tadpole shrimp, conservancy fairy shrimp, longhorn fairy shrimp, Riverside fairy
shrimp, California tiger salamander, California red-legged frog, and other species. Mr. Alvarez
holds a Bachelor's degree in Wildlife from California State University, Humboldt.
~HELM I ~~~~.t~~!~~; ~~;~.~~CL rr~~.s1
Helm Biological Consulting
4600 Karchner Rd
Sheridan, CA 95681
(530) 633-0220
Helm Biological Consulting
Helm Biological Consulting (HBC) is a division of
Tansley Team, Inc. HBC is an environmental
consulting firm specializing in biological resource
planning, studies, and permitting . HBC is a certified
small business enterprise and was founded in 2001 by
Dr. Brent Helm, the president and principal ecologist
of the firm. HBC has provided their unique expertise
and experience to private, non-profit, city, county, state, and federal entities consisting of more
than 400 projects. These projects have ranged from residential and commercial development to
the creation of mitigation banks with multiple-county service areas. HBC will assist A WE with
wetland delineations, biological site investigations, vernal pool crustacean surveys, botanical
surveys, and species-specific surveys to support natural environment studies, biological
assessments, preconstruction surveys, revegetation plans, and other related tasks . A WE and
HBC have successfully worked together since both companies began, more than 15 years ago.
Brent Helm, is a senior wetland ecologist, botanist and wildlife biologist with a thorough
knowledge of the flora, fauna, and wetlands of California and nearly 25 years of field experience
in their study and management. He is a specialist in the field of rare and endangered wetland
dependent species management, with up-to-date knowledge of the California and federal ESAs,
and close working relationships with state and federal agencies. His work in this area includes
field surveys, assessment of species' rarity and endangerment status, preparation of biological
assessments and conservation plans, and impact assessment and mitigation development . His
expertise also includes revegetation planning, wetland delineation, evaluation, and impact
mitigation and monitoring. He currently holds a 10(a)1(A) permit for vernal pool fairy shrimp,
vernal pool tadpole shrimp, conservancy fairy shrimp, California tiger salamander, and other
species. Dr. Helm holds a Ph.D. in Ecology from University of California, Davis.
ft IIIIUT7l)Aflr
KuhtzPape Consulting
P.O. Box 8672
Fresno, CA 93747
(530) 633-0220
Fresno County
Department of Public Works and Planning
Environmental Sen·ices
KuhtzPape Consulting
David Kuhtz and John Pape have been providing
consulting arboriculture and horticulture services in
California for more than 50 years, combined. Thier
customers include commercial, municipal, industrial,
insurance, law firms, and residential. KuhtzPape
provide experienced and accredited consultation
-9-
Areu West Environmental. Inc.
Statemem ofQualifications
September -1. 2015
APPENDIX B
services, which allow clients to solve a problem, accomplish a goal, or make a decision about
their trees and/or landscapes. Thier practice areas as consulting arborists include, risk and health
assessment, tree preservation, inventory collection, and appraisal.
David Kuhtz , founding partner of KuhtzPape Consulting, has more than 15 years of experience
with arboricultural/horticultural services. Mr. Kuhtz holds a Master of Business Administration
from the California State University of Fresno, a Bachelor of Business Administration from the
National University, and is a Graduate ofthe American Society of Consulting Arborists.
KLEINF'ELDER
~ Bright People. Right Solutions.
Kleinfelder
5125 North Gates A venue
Fresno, CA 93722
(559) 486-0750
Kleinfelder
Established in 1967, Kleinfelder' s Fresno office has
been providing professional geotechnical consulting
services to numerous clients within Fresno County and
surrounding areas for decades. Kleinfelder has worked
on thousands of projects in the County, providing them
not only with knowledge of local site conditions, but
also a strong understanding of local agency
requirements. Local and relevant projects include the
Fresno Canal Bridge Replacement at McKinley
A venue, Delta Mendota Canal Bridge Replacement, San Joaquin River Bridge on Italian Bar
Road Replacement, Veterans Boulevard Interchange, Shaw/Marks Grade Separation, Clovis
Avenue Grade Separation, and "0" Street Off-Ramp at SR 41.
Nathan Dahlen, PE , has 14 years of geotechnical engineering and materials testing experience.
He has worked on a variety of projects including highways, bridges, dams, schools, essential
facilities, commercial developments, residential developments, wastewater treatment facilities,
military installations, and landfills. He is responsible for conducting geotechnical and
environmental investigations including site reconnaissance, field classification of soils, sampling,
design, and report preparation and review Having significant experience on transportation related
projects, Mr. Dahlen is knowledgeable of Caltrans criteria and reporting format and can
effectively work within Caltrans' framework. He understands the importance of communication
and responsiveness, and has demonstrated on previous County projects that he is capable of
facilitating a collaborative, team approach with the County, as well as other project team
members. Mr. Dahlen holds a Bachelor's degree in civil engineering from California State
University, Fresno.
Bradley Erskine , a principal geologist with over 28 years of experience, specializes in
management and technical support to projects involving a broad spectrum of environmental and
environmental engineering issues. He has supported a wide variety of industries and market
sectors, including railroads, public transportation authorities, ports, airports, state and local
agencies, military installations, cities, counties, school districts, light and heavy industry,
developers, universities, and regulatory and policy agencies. His experience covers an extremely
wide variety of project work including Phase I environmental site assessments, Phase II soil and
groundwater investigations, aquifer characterization and groundwater monitoring, hazardous
materials and waste investigations, design and implementation of site restoration activities,
Fresno County
Department of Public Works and Planning
Environmental Services
-/0-
Area West Enl'ironmental. Inc.
Statement o.fQual[f/cations
September -1, 2015
APPENDIX B
CEQA and NEPA compliance, engineering geology, asbestos and lead-based paint surveys, and
industrial hygiene/health and safety. Dr. Erskine holds a Ph.D. in geology from the University of
California, Berkeley and is a Professional Geologist (P.G. No. 5631 CA), Certified
Hydrogeologist (C.H.G. No. 511 CA), Certified Engineering Geologist (C.E.G. No. EG-1980
CA), Certified Asbestos Consultant (DOSH No. 92-0014 CA), 40-Hour OSHA Certification,
Hazardous Waste Operations and Emergency Response (27221), 8-Hour OSHA Certification
Supervisor, and AHERA Asbestos Contractor Supervisor.
wneeo
WRECO
3250 Ramos Circle
Sacramento, CA 95827
(916) 834-5868
WRECO
WRECO is a small business and a minority-owned
engineering consulting firm (California Unified
Certification Program DBE No. 30066), providing
specialty services in civil engineering, environmental
compliance, geotechnical engineering, and water
resources. WRECO resolves sophisticated engineering
and environmental problems in local communities,
watersheds, streams, wetlands, estuaries, and coastal
areas with feasible and cost-effective solutions.
WRECO has been involved in more than 1,000 highway/water resources projects and more than
400 hydrologic and hydraulic studies on bridge/culvert crossings in the State of California for
various local, state, and federal agencies, including Fresno, Madera, and Kern counties.
Han-Bin Liang, PE, QSD/P, is a principal engineer with more than 30 years of experience in
civil engineering, water resources, environmental hydrology, and coastal engineering -including
project experience in Fresno County. During his career, he has been involved in more than 1,000
infrastructure and water resources projects in the State of California and approximately 400
hydraulic studies of bridges and major culverts for Caltrans, the USACE, and local cities and
counties. Dr. Liang has been responsible for civil design, hydrologic and watershed studies,
hydraulic analyses, utility studies, water and sewer system design, drainage system design, pump
station design, floodplain studies, erosion control, stormwater management, wetland restoration,
and coastal engineering. He has prepared and overseen countless hydrology/hydraulic and
floodplain studies on a variety of municipal projects. Dr. Liang holds a Ph.D. in civil
engineering from University of California, Berkeley.
Chris Sewell, PE, QSD/P, is an accomplished professional engineer with 20 years of experience
in the design, management, and administration of a wide variety of municipal engineering
projects -including projects in Fresno County. He has specialized experience in a number of
projects involving drainage, water supply issues, and hydraulic modeling of rivers and
floodplains. He has wide-ranging field experience in a variety of environmental, hydraulic, and
hydrologic projects. His typical projects floodplain analysis and delineation, drainage design,
include bridge hydraulics, scour analyses, stormwater management plans, wetland mitigation,
water quality assessment, and water rate measurement and availability. He has been involved in
the analysis and assessment of large-scale reservoir fertilization and restoration programs for
fisheries improvement. He has developed and expanded a versatile GIS/Global Positioning
System based inventory system used in pilot testing of a highway information database. Mr.
Fresno County
Department ofPuhlic Works and Planning
Environmental Sen•ices
-II-
Area West Environmental. Inc .
Statement ofQualiflcations
September -1, 1015
APPENDIX B
Sewell has a Bachelor's degree in civil and environmental engineering from the University of
British Columbia.
Fresno County
Department ofPuhlic Works and ?fanning
Environmental Services
-{ 2-
Area West Environmentaf, fnc.
Statement of Qua/if/cations
September -1, 20 f 5
Local Assistance Procedures Manual APPENDIXC Exhibit 10-02
Consultant Contract DBE Commitment
EXHIBIT 10-02 CONSULTANT CONTRACT DBE COMMITMENT
1. Local Agency: Fresno County 2. Contract DBE Goal: .,5'-'<JC""'o ___________ _
3. Project Description:
4. Project Location:
5. Consultant's Name: Area West Enviornmental, Inc. 6. Prime Certified DBE: S 7. Total Contract Award Amount:
8. Total Dollar Amount for ALL Subconsultants: 9. Total Number of ALL Subconsultants:
10. Description of Work, Service, or Materials 11. DBE 13.DBE
Certification 12. DBE Contact Information Dollar Supplied Number Amount
Area West Enviornmental, Inc. 6248 Main
Environmental services 32027 Avenue, Suite C Orangevale CA, 95662
119]6) 987-3362
Hydrologic and hydraulic services 30066 WRECO 3250 Ramos Circle
Sacramento, CA 95827 (916) 834-5868
>,·· , .·····Local~gencyto Cprripl~te tllJs s~di.on
····•····.···
$ 20. Local Agency Contract
l\l11mhL:t.r· 14. TOTAL CLAIMED DBE PARTICIPATION
21. Federal-Aid Project Number:
22. Contract Execution
n"t"'·
Local Agency certifies that all DBE certifications are valid and information on IMPORTANT: Identify all DBE firms being claimed for credit,
this form is complete and accurate. regardless of tier. Written confirmation of each listed DBE is
required.
15~'~:ui0t5 9/2/2015
23. Local Agency Representative's Signature 24. Date 16. Date
Becky Rozumowicz {9162 987-3362
25. Local Agency Representative's Name 26.Phone 17. Preparer's Name 18.Phone
President
27. Local Agency Representative's Title 19. Preparer's Title
DISTRIBUTION: 1. Original-Local Agency
2. Copy-Caltrans District Local Assistance Engineer (DLAE). Failure to submit to DLAE within 30 days of contract
execution may result in de-obligation of federal funds on contract.
ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TOO (916) 654-
3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
%
Page 1 of2
July 23, 2015
State of California -Department of Transportation
Cost Proposal
On-Call Contract
ADM2033
NORMAL
OVERTIME
FEE%
Fringe Benefit t%
49.25%
BILLING INFORMATION
Name Classification
Aimee Dmn-Smith CEQA!NEPA Specialist/Planner lll
I Senior Reviewer
Non-Krem{JI
Ana Blanford Administrative Assistant I
Accountant
Non-h'xempt
Art Richardson Biologist I/ Biological/Water
Quality Monitor
Non-Exempt
Principal Environmental Speeialist Becky Rnznmowlez Senior Biologist/Water Quality
lixempt
Specialist
Carol Mal'l!hall Administrative Assistant I
Accountant
Nou-Hxempt
Carole Terrell Administrative Assistant
Nou-Jixempt
Claudia Kodnmtie Administrative Assistant I
Technician
Nnn-htempt
Corinne Munger Biologist II/ Biologist I Biological
Monitor
Non-F.rempt
Crystal Koosuntle Administrative Assistant I
Technician
Non-lixcm>pt
~:ricka H..:ox Administrative Assistant I
Accountant
Non-h'xempl
Frin Reddy Biologist 1/ Biologist
Non-Hxemot
Jane Lien Biologist 1/ Biologist I Biological
Monitor
Non-lixempJ
.Jared Miller Adrninistrative As..c.;istant I
Tedmidan
Non~Hxempl
KaviSmith Administrative Assistant I
Technician
Non-NxemJt
APPENDIX D
Overhead General
% Administmti
on%
80.97% 0.00%
+ 80.97% 0.00%
Effective date of hourly Hourly Bilfing Rates rate
Straight OT(Ux) OT(2x) From To
$141.82 $212.72 $283.63 1/1/2015 12/31/2015
$146.o7 $219.10 $292.14 1/1/2016 12/3!/2016
$!50.45 $225.68 $300.90 lll/2017 12/31/2017
$154.97 $232.45 $309.93 1/1/2018 12/31/2018
$63.31 $94.97 $126.62 1/1/2015 12131/2015
$65.21 $97.81 $!30.42 1/!/2016 12/3112016
$67.17 $100.75 $134.33 1/l/20 17 12/31/2017
$69.18 $103.77 $138.36 1/112018 12/31/2018
$50.65 $75.97 $101.30 1/l/2015 12131/2015
$52.17 $78.25 $!04.34 1/l/2016 12/31/2016
$53,73 $80.60 $107.47 1/1/2017 12131/2017
$55.34 $:83.02 $]10.6<) 1/l/2018 12/31/2018
$172.20 NIA N/A 1/1/2015 1213112015
$177.37 NIA N/A 1/l/2016 12/31/2016
$182.69 NIA N!A 1/l/2017 12/3!/2017
$188.17 N/A N/A 1/l/2018 12/31/2018
$63.31 $94 971 $i26.62 l/l/2015 12/3!/2015
$65.21 $130.42 11!120 16 12131/2\)16
$67.17 $134.33 111/2017 12/31/2017
$69.18 $103.77 $~ lil/2018 12131/2018
$70.91 $106.36 $1 l/1/2015 12/31/2015
$73.03 $!09.55 $146,07 !1112016 12/31/2016
$75.23 $112.84 $150.45 1/J/2017 12/31/2017
$77.48 $116.22 $154.97 l/112018 12/3!/2018
$25.32 $37.99 $50.65 1/1/21)15 12/3l/2015
$26.08 $39.13 $52.17 1/l/2016 12/31/2016
$26.87 $40.30 $53.73 111/2017 12131/2017
$27,67 $41.51 $55.34 11112018 12131/2018
$9l.l7 $136,75 $182.33 1/1/2015 12/31/2015
$93.90 $140.85 $187.80 l/1/2016 12/31/2016
$96.72 $145.08 $193.44 l/112017 I t213li20t7
$99.62 $149.43 H99.24 I 18
$25.32 $37.99 $50.65 111/2015 12/31/2015
$26.08 $39.13 $52.17 1/1/2016 12/3l/20!6
$26.87 $40.30 $53.73 1/1/2017 12/31/2017
$27.67 $41.51 $55.34 1/1/20]8 12/3112018
$63.31 $94.97 $126.62 1/l/2015 12/31/2015
$65.21 $97.81 $!3Q.42 l/1/2016 !2131/2016
$67.17 $100.75 $134.33 111/2017 1213!/2017
$69.18 $103.77 $138.36 1/l/2018 12/Jl/2018
$50.65 $75.97 $101.30 1/1/2015 12/31/2015
$52.17 $78.25 $104.34 1/1/2016 12/3112016
$53.73 $80.60 $107.47 1/l/2017 12/31/2017
$55.34 $83.02 $110.69 1/1/2018 12/31/2018
$58.25 $87.37 $!16.49 1/112015 !2/JI/2015
$59.99 $89.99 $119.99 111/2016 12/3112016
$61.79 $92.69 $123.59 111/2017 12/3 !/20!7
$63.65 £95.47 $127.29 l/1/20 18 12131/2018
$30.39 $45.58 $60.78 1/1/20 I 5 12131/2015
$31.30 $46.95 $6260 1/1/2016 12131/2016
$32.24 $48.36 $64.48 1/l/2017 12/31/2017
$33.21 $49.8! $66.41 11112018 12/31!2018
$22.79 $34.19 $45.58 111/2015 !2/Jlf2015
$23.48 $35.21 $46.95 111/2016 12/3112016
$24.18 $36.27 $48.36 1/l/2017 12/31/2017
$24.91 $37.36 $49.81 lil/2018 12131/2018
Contract#:
Consultant:
Date:
Page:
Combined 0/o
JJ0.22%
!30.22%
10.00%
20 15 Actual/
average hourly
rate2
$56.00
$57.68
$59.41
$6Ll9
$25.00
$25.75
$26.52
$27.32
$20.00
$20.60
$21.22
$21.85
$68.00
$70.04
$72.14
$74.31
$25.00
$25.75
$26 .. 52
$27.32
$28.00
$28.84
$29.71
$30.60
$10.00
$10.30
$10.61
$]0,93
$36.00
$37.08
$38.19
$39.34
$10.00
$10.30
$10.61
$10.93
$25.00
$25.75
$26.52
$27.32
$20.00
$20.60
$21.22
$21.85
$2300
$2369
$24.40
$25.13
$12.00
$12.36
$12.73
$13.1 I
$9.00
$9,27
$9.55
$9.83
Area West
Environmental, lnc.
10/112015
o/o escalation
increase
3.00(t/o
3%
3%
3o/o
3%
3o/o
3%
3%
3%
3?10
3%
3o/~
3i70
3%
3%
3%
31}>~
3%
3%
3%
3%
3%
3%
3%
3%
3o/o
3%
3%
3%
3o/o
3%
3°/o
3%
3%
3<Vo
3%
3%
~Y)/o
3%
3%
3%
3%
3o/('J
Hourly range
for class
--
--
--
·----
1\DDC: ,If"\ IV n
$10!.30 "$f5l~ • "'$Lrtl.'59 11!/201 5 12/31/2015 $40.00
Leonard Liu Biologist Ill/ Biologist I Biological $104.34 $156.50 $208.67 !/l/2016 12/31/2016 $41.20 3%
Monitor $!07.47 $!61.20 $214.93 l/!12017 12/31/2017 $42.44 3%
Non-h'xemp/ $110.69 $!66.03 $221.38 l/1/2018 12/31/2018 $43.71 3%
$48.12 $72.17 $96.23 l/112015 12/3112015 $19.00
Lillian Hayden GIS Specialist $49.56 $74.34 $99.12 1/1/2016 12/3112016 $19.57 3%
$51.05 $76.57 $102.09 !/1!2017 12/31/20!7 $20.16 3%
Nrm-lc'xempl $52.58 $78.87 $105.16 1/!/2018 !2/31/2018 $20.76 3%
$60.78 $9l.l7 $121.56 1/t/20!5,12/3112015 $24.00
Mark Noyes Biologist 1/ Biologist $62.60 $93.90 $125.20 1/1/2 ' li2016 $24.72 3%
$64.48 $96.72 $128.96 1/112 /3112017 $25.46 3%
Non-li'xempt $66.41 $99.62 $132.83 1/112018 12/31/2018 .$26.23 3%
$126.62 $189.93 $253.24 11!12015 12/:ll/20 15 $50,00
Mary Bailey Biologist lH I Senior Biologist $130.42 $195.63 $260.84 111/2016 12/31/2016 $51.50 3%
$134.33 $201.50 1/l/2017 12/31120!7 $53.05 3%
Non-J,:rempl $138.36 $207.54 1/112018 !2/31/20!8 $54.64 3%
$45.58 $68.38 $91.17 lll/2015 12/31/2015 $18.00
Michael A very Biologist II Biologist $46.95 $70.43 $93.90 11112016 12/31/2016 $18.54 3%
$48.36 $72.54 $%.72 1/112017 12/3!/2017 $19.10 3%
Non~Hxempt $49.81 $74.72 $99.62 1/1/2018 12131./2018 $19.67 3J?O
~= $220.32 $293.76 1/112015 12/31/2015 $58.00
Michelle Tovar Penni! Specialist $226.93 $302.57 1/l/2016 12/3112016 $59.74 3%
$
'
$233.74 $311.65 l/l/2017 12/31/2017 $61.53 3%
Hxemvt $160.50 $240.75 $321.00 l/!/2018 12/31/201& $63.38 3%
$94.97 $142.45 $189.93 11112015 12/31/2015 $37.50
Phil Wade Environmental Planner l I Project $97.81 $!46.72 $195 63 1/l/2016 12/31/2016 $38.63 3%
Coordinator $100.75 $151.12 $201.50 111/2017 12/3112017 $39.78 3%
Non-Exenrpt $103.77 $155.66 $207.54 111/2018 1213!/2018 $40.98 3%
$58.25 $87.37 $!16.49 1/l/2015 !2/31/2015 $23.00
Sam Price Biologist 11 Biologist $59.99 $89.991 $119.99 l/l/2016 12/3 l/2016 $23,69 3o/o
$61.79 $123.59 !1112017 12/311:2017 $24.40 3%
Non-HxemJJI $63.65 $127.29 11112018 12/3112018 $25.13 3%
$101.30 $151.95 $202.59 1/1/201.5 12/31/2015 $40.00
Sua Cortez Biologist !Ill Biologist $!04.34 $)56.50 $208.67 l/1/20!6 12/31/2016 $4129 3%
$107.47 $161.20 $214.93 l/112017 12131/2017 $42.44 3%
Non-Exempt $110.69 $166.03 $221.38 lll/2Q18 12131/2018 $43.71 3%
$101.30 NIA N/A 1/112015 12/31120!5 $40.00
Tawatdtal Kodsunlie Graphic Artist Ill Graphic Artist $104.34 N!A NIA 1/l/2016 12/3I/20!6 $41.20 3%
$107.47 NIA N/A 11112017 12/31/2017 $4244 3%
il'xempt $110.69 NIA N!A 111/2018 12/31/2018 $43.71 3%
$88.63 $132.95 $!77.27 111/2015 12/3!/2015 $35.00
Tracy Walker Biologist lll I Biologist $91.29 $136.94 $182.59 1/l/2016 !2/3112016 $36.05 3%
$94.03 $14!.05 $188.07 l/112017 12/3112017 $37.13 3%
Non-lixempt $%.85 $145.28 $193.71 lll/2018 12/3112018 $38.25 3o/o
Confidential Business Information
State of California -Department of Transportation Cost Proposal On-Call Contract ADM 2033 NORMAL OVERTIME FEE% BILLING INFOR1v1A TION Name Kurt L,egleiter Principal Fringe Benefit % 0.00% 0.00% Classification Confidential Business Information Overhead % + 8.00% + 8.00% + + Hourly Billing Rates Straight OT(L5x) OT(2x) $145.43 $218.15 $290.86 $149.79 $224.69 $299.59 $154.29 $231.43 $308.58 $158.92 $238.37 $317.83 General Administrati on% 5.00% = 5.00% = = Contract#: Sub-Consultant: Ambient Date: 10/1/2015 Page: Combined% 13.00% 13.00% 10.00% Effective date of hourly 20 15 Actual/ average hourly % escalation rate rate2 increase From To 3.00% l/1/2015 12/31/2015 $117.00 l/l/20!6 12/3112016 $120.51 1/1/2017 12/31/2017 $124.13 1/1/2018 12/3112018 $127.85 )> 1J 1J m z Hourly ran~ for class >< '-' 3% 3% 3%
State of California -Department ofT ransportatlon
Cost Proposal
On-Call Contract
ADM2033
NORMAL 68.55%
OVERT! 0.00'/o
BILLJNG INFORMATION
Brian Byrd
Principal Investigator 200
Exempt
Principal Investigator 300
Exempt
Principal Investigator 400
Exempt
Principal Investigator !000
Exempt
Principal Investigator 1300
Exempt
Geoarchaeologist 100
Exempt
Geoarchaeologist 200
Exempt
GIS Supervisor 100
Exempt
GIS Senior Analyst
GIS Assistant 300
Lab Assistant/Human Osteologist
Production Supervisor I 00
Production Assistant I 00
Senior Archaeologist 1000
Exempt
APPENDIX D
25.51% 25.97% + +
+ 0.00% 0.00%
Contract#:
Sub-Consultant Far Western
Date: 10!712015
Page:
120.03%
0.00%
10.00%
APP I=Nnr n
$71.91 N/A NIA HJ/1/20 15 9/30/2016 $29.71 N/A ··-Senior Archaeologist 400 $7407 N!A NIA 101!12016 9/30/2017 $30.60 3% N/A John Berg Exempt $76.29 -N/A NIA 10/1/2017 9130/2018 $31.52 3o/o N!A
$78.58 NIA NIA 10/112018 12131/2018 $32.46 3o/o NIA
$69.56 N/A NIA 10/1/2015 9/30/2016 $28.74 N/A
Mike Darcangelo Senior Archaeologist 450 $71.65 NIA NIA 10/1/2016 9130/2017 $29.60 ~ NIA
Exempt $73.80 N!A N/A 10/1/2017 9/30/2018 $30.49 NIA
$76.01 N/A N/A 10/l/2018 12(31!2018 $31.40 N!A --
$50.51 $75.77 $tol.02 10/l/2015 9/30/2016 $20.87 NIA
Kathleen Davis Staff Archaeologist 500 $52.03 $78.04 $!04.06 10/l/2016 9/30/2017 $21.50 3% N!A
$53.59 $80.38 $107.18 10/1/2017 9130/20181 $22.14 3% N!A
~ $&2.79 $110.39 10/1/2018 12/31/2018 $22.81 3% N/A
$70.98 $94.63 10/1/20 I 9/30/2016 $19.55 N/A
Stephanie Bennett Staff Archaeologist 800 $73.11 $97.47 10/1/2016 9/30/2017 $20.14 3% NIA
$50.20 $75.30 $100.40 10!1/2017 9/30/2018 $20.74 JOfo N!A
$51.71 $77.56 $!03.41 10/1/2018 12/3112018 $21.36 3% NIA
$71.06 $106.59 $142.12 1011/2015 9/30/2016 $29.36 N/A
Jennifer Collier Contracts Administrator $73.19 $109.79 $146.39 10/1/2016 9/30/2017 $30.24 3% NIA
$75.39 $113.08 $150.18 10!1/2017 9/30/2018
$!9.J
3% NIA
$77.65 $116.48 $155.30 10/1/2018 12/3112018 31}b NIA
$48.00 $71.99 $95.99 10/1/2015 9/30/2016 NIA
Maria Gumpal Assistant Financial Analyst $49.43 $74.15 $98.87 10/1/2016 9/30/2017 $2Q.42 3% N/A
$50.92 $76.38 $101.1!4 10/112017 9/30/2018 $21.04 3% NIA
$52.45 $78.67 $104.89 !011/2018 12131/2018 $21.67 3% N/A
$45.77 $68.65 $91.54
:0/1120)
9/30/2016 $18.91 N/A
Technician A Technician $47.14 $70.71 $94.28 9/30/2017 $19.48 3% NIA
$48.56 $72.83 $97.11 9/3012018 $20.06 3% NiA
$50.01 $75.02 $100.02 10/l/201& 12131/2018 $20.66 3% NIA
$56.88 $85.32 $ll3.76 to/l/2015 9/30/2016 $23.50 NIA
Justin Wisely Staff Archaeologist 900 $58.58 $87.88 $117.17 10/112016 9/30!2017 $24.21 3% NIA
$60.34 $90.51 $120.68 10/1!2017 9/30/2018 $24.93 3% NIA
$62.15 $93,23 $124.30 10/1/2018 12/31i2018 $25.68 3~iJ NIA
Confidential Business lnfonnatlon
State of California -Department of Transportation Cost Proposal On~Call Contract ADM 2033 NORMAL OVERTIME FEE% Fringe Benefit% 0.00% 0.00% Overhead % + 0.00% + + 0.00% + General Administrati on% 0.00% = 0.00% = Contract#: Sub-Consultant: Helm Biological Consulting Date: 10/1/2015 Page: I Combined% 1 0.00% 0.00% l 0.00% I ~L-~----· --------~-------!....------·-'-------~-!.--'--------~------BILLING INFORMATION Effective date of hourly 20 15 Actual/ % escalation ~I Classification Hourly Billing Rates average hourly ""'0 Name rate increase m ) z rate-0 Straight OT(l.Sx) OT(2x) From To Hourly ra~ 3.00% for class 0 $120.00 N/A N/A l/l/2015 12/31/2015 $120.00 N/A Brent Helm Senior Biologist $123.60 N/A N/A l/1/2016 12/3112016 $123.60 3% N/A $127.31 N/A N/A 1/1/2017 12/31/2017 $127.31 3% N/A $131.13 N/A N/A 1/1/2018 12/3112018 '-----~_!31.13 3% N/A ~~---~-----Confidential Business Information
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION COST PROPOSAl On-Call Contract -County of Fresno Environmental Consultant Services for Various Public Works Projects ADM 2033 BILLING INFORMATION IPartnAr-Architectural Historian IP:::~rtnPr-Historian Contract#: Subconsu!tant: JRP Historical Consulting, LLC Date: October 8, 2015 Page 1 of 5 )> '""0 '""0 m z 0 X 0
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION COST PROPOSAL On-Call Contract -County of Fresno Environmental Consultant Services for Various Public Works Projects ADM 2033 BILLING INFORMATION Contract#: Subconsultant: JRP Historical Consulting, LLC Date: October 8, 2015 Page 2 of 5 )> ""'0 ""'0 m z 0 >< 0
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION COST PROPOSAL On-Call Contract -County of Fresno Environmental Consultant Services for Various Public Works Projects ADM 2033 BILLING INFORMATION Non-Exempt Contract#: Subconsultant: JRP Historical Consulting, LLC Date: October 8, 2015 Page 3 of 5 )> '"0 '"0 m z 0 >< 0
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION COST PROPOSAL On-Cal! Contract -County of Fresno Environmental Consultant Services for Various Public Works Projects ADM 2033 BILLING INFORMATION Non-Exempt Contract#: Subconsultant JRP Historical Consulting, LLC Date: October 8, 2015 Page 4 of 5 )> -u -u m z 0 >< 0
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION COST PROPOSAL On-Call Contract -County of Fresno Environmental Consultant Services for Various Public Works Projects ADM 2033 BILLING INFORMATION Confidential Business Information Contract#: Subconsultant: JRP Historical Consulting, LLC Date: October 8. 2015 Page 5 of 5 )> "'U IJ m z 0 >< 0
APPENDIX D
State of California Department ol Transportation Contract#:
Consultant: Kleinlelder
Date: 10/1212015
Page·
Overhead General
Administrati Combined% % on%
Fringe Benefit %:~
NORMAL I 18.2&% 0.00% 179.48% +
OVERTIME 6!.20% 118,28% 0.00% 179.48%
FEE% IOJ>O%
BILL!NG INFORMATION
2015
Ellective dale of hourly 2015 Actual! %escalation
ActUal! Average
Name Classification Hourly Billing Rates average hourly hourly rate
rate mcrease rate-
-------
Straight OT(L5x) OT(2x) From To Hourly range
J.(JO% for class
s;m.so N/A N/A 1/1/2015 12/3112015 $7400 $40to$lOO
David Pearson Senior Principal Professional $234.32 NIA NIA 111/2016 12/31/2016 $76 22 3% $40 to $!00
$241.35 NIA NIA 1/l/2017 12/31/2017 $78.51 3% $40 to $100 --Non-Fxempt $248,59 NIA N/A 111/2018 1213112018 $8086 3% $40 to $100
$184.98 N/A N/A 111/2015 12/31/2015 $60.17 ~o$65
Bradley Erskine Principal Professional $190.53 N/A N/A 11112016 12/31/2016 $6L9S to$65
$196.24 N/A N/A 1/l/2017 12/Jl/201] $63,83 to$65
!ixempl $202.13 NIA N/A 1/1/201$ 12/31/2013 r--$65,75 3% $30to$65
$184.98 NIA NIA 111/20!5 12/31/2015 $60.17 $30 to $65
Susan Gardner Principal Professional $19053 N/A NIA 11l/20I6 12131/2016 $6LQ8 3% $30to$65 ---$196.24 NIA I 1/l/2017 12i31/2017 .$63,83 3% $30 to $65
Exempt $202,13 N/A l/1/2018 12/3112018 $65,75 3% $30 to $65
$184,98 N/A 11112015 12nl/2015 $60.17 $30 to $65
--~-
Joe Zilles $19053 N/A 1/1/2016 1213112016 $6L98 3% $30 to $65 Principal PnJfesslonal $196.24 N/A NfA 1/1/2017 12/3112017 $63.83 3% $30 to $65
Rxem{JI $202J3 NIA N/A 11112018 12131/2018 $65,75 ~ $160,20 N/A N/A 1/1/2015 12/3112015 $52JI
Nathan Dahlen Senior Professional $165.01 NIA N/A l/l/20!6 12131/2019 $53,67 3% $30to$6!
$169.96 NIA N/A !1112017 12/31/2017 $5528 3% $30to$65 --l~r:em ~~ $175,06 NIA NIA 1/112018 12/3112018 $56,94 3% $30 to $65
$]1750 NIA NIA 1/l/2015 12/31/2015 $38.22 $30 to $(',5
Neva Popenoe Project Professional $!2L02 N/A NIA l/1/2016 12/31/2016 $39.37 3% $30 to $65
$!24.65 N/A NIA lll/2017 12/31/2017 $40.55 3°/n $30 to $65
&em pi $128.39 NIA N/A lll/20!8 1213112018 $4L76 3% $30 to $65
$11750 N/A NIA 1/l/2015 12/31/20!5 $38.22 $20 to$40
Romeo Shiplee Proje<::t Professional $12L02 NIA N!A i/!120!6 12/31/2016 $39.37 3% $20 to $40
$124,65 N/A NIA l/112017 12131/2017 $4055 3% $20to$40
/ixempl $128.39 NIA N/A l/1/2018 12i3!120!8 $41_76 30/ij $20 to $40
$1!7.50 NIA N/A 1/1/20!5 12/3!/2015 $3822 $15 to$35
Michael Beltran Project Professional $12L02 NIA N/A 11112016 1213!12016 $3937 3% $15to$35
$124.65 N/A NIA 111/2017 12/31/2017 $40.55 3% $15 to$35 I -
Kwnpl $!2839 NIA N!A l/l/20IS 12/31/2018 $41 76 3% $15 to $35
$117.50 N/A NIA i/1/2015 12/31/20I5 $38.22 $15to$35
Margaret Carroll Project Professional $12L02 NIA I 1/112016 11/Ji/2016 $3937 3% $15to $35
$124,65 N/A 1/l/2017 12/3112017 $40,55 3% $15to$35
lixempt $128.39 NIA 1/1/2018 12/31/2018 $4L76 3% $15 to $35
$99.05 N/A 111/2015 12/31/2015 $32.22 $20 to $40
Mathew Owens Statf Professional $102-02 N/A NIA l/112016 12/31/2016 $33.19 3% $20 to $40
$105.09 NIA NIA 11112017 12131/2017 $34_18 3% $20 to $40
~-
-----
F:.n~mJI $108.24 NIA N/A 1/112018 12/3112018 $35.21 3%) $20 to $40
$99.05 NiA N/A 111/2015 12131/2015 $32.22 $15to$35
Craig Riddle Staff Professional $102,02 NIA NIA 1/l/2016 12/3112016 $33.19 3% $15to$35 --$105.09 N/A N/A 11!12017 1213l/2017 $34.18 3% $15to$35
Exempt $108,24 NIA N/A 11112018 12/31/2018 $35.21 3% $15 to $35
$99,05 N/A NIA 1/1/20!5 12/31/2015 $32.22 $15to$35
Isaac Rosales StaffPmfessional $102.02 NIA N/A 1/l/2016 12/31/2016 $33.19 3% $1Sto$35
$105,09 N/A N/A 111/20!7 1213112017 $34,18 3% $15to$35
J:;remJI $10824 N/A NiAI 1/1/2018 12/31/2018 $35.21 3% $15 to $35
$99.05 NIA N/A 1/1/2015 12/3112015 $32.22 $30 to $70 --Steven Linton Staff Professional $102.02 NIA N/A 1/1/2016 12/31/2016 $33,19 3% $30 to $70
$105.09 NIA NIA 111/2017 12/3112017 $34 18 3% $30 to $70 ----Fxempt $108.24 NIA N/A 1/112018 1213112018 $35.21 3% $30 to $70
$99.05 NIA N/A 11!12015 !2131/2015 $3222 $10to$35 ·---Tyler DeSouza $102,02 N/A NIA 11112016 12/31/2016 $33 !9 3% $10 to $35 Staff Professional $10509 NiA N/A 111/2017 12/31/2017 $34 18 3% $10to$35 ·------
lixempt $108,24 NIA N/A 1/1/2018 1213112018 $35 21 3% $10to$35
$99.05 $148,58 $19lU1 1/1/2015 12131/2015 $32,22 $10 to $40
Michael Mauzy Senior Technician $102,02 $153.04 $204,05 111/2016 12/31/2016 $33.19 3% $10to$40 ·-·--------$105.09 $157,63 $210.17 1/!12017 12/31/2017 $3418 3% ~:~ :: ~:~---1/112018 ------
Non-A·xempr $108.24 $162.36 $216-48 12/31/2018 $35,21 3%
APPENDIX n
$99.05 $14858 $198.11 1/1/2015 1213112015 $32.22 $JO to $40
Michael Griflin CADO Operator $102.02 $153.04 $204.05 11112016 1213112016 $33 19 3% $10 to $40
$105.09 $157.63 $210.17 1/1/2017 12131/2017 $34 18 3% $JOto$40
Non~!~'l:emJ/ $108.24 $162.36 $216.48 1/l/2018 12131/2018 $35.21 3% $10to$40
$99.05 $148.58 $198.11 111/2015 12/3112015 $32.22 $10to$40
Dean Fahrney CADD Operator $102.02 $153.04 $204.05 1/1/2016 12/3112016 $33.19 3% $10 to $40
$10509 $157.63 $210.17 1/112017 12/31/2017 $34.18 3% $10 to $40
Non-!ixemm $108.24 $162.36 $216.48 1/112018 12131/2018 $3521 3% $10 to $40
$73.14 $109.71 $)46.27 11~1213112015 $23.79 $10to$40 --Shannon Jones $75.33 $!!3.00 $150.66 Ill 12131/2016 $24.50 3% $10 1\J $40 Administator $77.59 $11639 $155.18 Ill 12/3112017 $25.24 3% $10to$40
Non-1\xempl $79.92 $l19.88 $159.84 111/2018 1213112018 $26.00 3% $10to$40
$73.14 $109.71 $146.27 11!12015 12/3l!2015 $23.79 SIO to $40 --Alisha Mullen $75.33 $113.00 $150.66 11112016 12/3112016 $2450 3% $1(l!o $40 Administator $77.59 $116.39 $155.18 111/2017 12131/2017 $25.24 3% $10to$40
Nrm~J;;:rempl $79.92 $119.88 $15984 11112018 12131/2018 $26.00 3% $10 to $40
Confidential Business Information
State of California -Department of Transportation Cost Proposal On-Call Contract ADM 2033 Fringe Benefit % NORMAL 0.00% OVERTIME 0.00% FEE% Overhead % 0.00% + + 0.00% + + ~-----'--~---------BILLING INFORMATION Name Classification Hourly Bil!ing Rates Straight OT(l.5x) OT(2x) $180.00 N/A NIA Arborist $185.40 NIA N/A $190.96 NIA N/A Ji'yow.nf $196.69 N/A N/A Confidential Business Information Contract#: Sub-Consultant Kuhtzpapae Consulting Date: 10/12/2015 Page: General Administrati Combined% on% 0.00% 0.00% = 0.00% 0.00% = 0.00% _.__ 2015 Actual! )> Effective date of hourly % escalation '"0 average hourly '"0 rate rate2 increase m z From To Hourly ran~ 3.00% for class r-l 1/1/2015 12/3 !/20 15 $180.00 111120!6 12/31/2016 $185.40 3% l/112017 12/31/2017 $190.96 3% 111/201~ ,12/31/2018 $196.69 3% ·---
State of California -Department of Transportation Cost Proposal On-Call Contract ADM 2033 NORMAL OVERTIME FEE% BILLING INFORMATION Name Jeff Alvarez v. Fringe Benefit % 0.00% 0.00% Classification Permitted Biologist Confidential Business Information Overhead % + 0.00% + + 0.00% + Hourly Billing Rates Straight OT(l.5x) OT(2x) $95.00 N!A NIA $97.85 NIA NIA $100.79 N/A NIA $103.81 NIA NIA ---·--~~·"--" -·--·~-_.._ General Administrati on% 0.00% = 0.00% = = Effective date of hourly rate Contract#: Sub-Consultant: The Wildlife Project Date: 10/1/2015 Page: 1 Combined% 0.00% 0.00% 0.00% -2015 Actual/ average hourly %escalation increase rate2 )> "lJ "lJ m z From To Hourly ran~ 3.00% for class >< 1/I/2015 12/31/2015 $95.00 .._, 1/l/2016 12/31/2016 $97.85 3% 1/1/20 l7 12/31/2017 $100.79 3% l/1!20 18 J.:213ll20 I 8 $103.~ 3% ..._
State of California • Department of Transportation Cost Proposal On-Call Contract ADM 2033 BiLLING INFORMATlON Principal Engineer Exempt Supervising Engineer Exempt Supervising Engineer Exempt Senior Engineer Exempt Associate Engineer Exempt Staff Engineer Non-exempt/Exempt Senior Biologist/ Senior Environmental Scientist Exempt Associate Biologist/ Contract#: Sub-COnsultant: WRECO Date: 10/112015 Page: Associate Environmental Scientist ~~::·~~· ~~~~·~: ('~~~,~~ ;'~:~~~~ :~~~~,~~:~ ;~~,~~ ::; ;:~·~~ :;~·~:· Exempt Staff Biologist! StaffEnvironmental Scientist Non~Exempt!Exempt Senior Technician*' Non-exempt Administrator/Clerical/ Tech Editor Non-exempt Confidential Business Information Note employees/classifications that are subject to prevailing wage requirements with an asterick ('). )> -a -a m z 0 >< 0
Local Assistance Procedures Manual APPENDIX E EXHIBIT 10-K
Consultant Certification of Contract Costs and Financial
EXHIBIT 10-K CONSULT ANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL
MANAGEMENT SYSTEM
(Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of
DLA-OB 13-07-Safe Harbor Indirect Cost Rate for Consultant Contracts found at
http://www.dot.ca.gov/hq/LocalPrograms/DLA_ OBIDLA_ OB.htm in lieu of this form.)
Certification of Final Indirect Costs:
1/0 l/20 1 5 to 12/0 1/20 15
*Fiscal period covered for Indirect Cost Rate developed (not the contract period).
Local Government:
Contract Number: Project Number: ___________ _
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:
I. 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) of Title 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, certifY 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, Part 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 $ 935 850 and the number of states in which the firm does business is -----
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 3 l . Allowable direct costs to a Government contract shall be:
LPP 15-01
Pagelof2
January 14,2015
Local Assistance Procedures Manual APPENDIX E EXHIBIT 10-K
Consultant Certification of Contract Costs and Financial
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): $ ----·
Prime Consultants (if applicable)
Proposed Total Contract Amount (or amount not to exceed if on-call contract): $ ---"T~B~D~.
Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary):
Consultant Certifying (Print Name and Title):
Date of Certification (mm/dd/yyyy): _ _,1-"'0'-'/1~2'--"/2=0...!-15""----------
Consultant Contact Information:
Email:
Phone number:
**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. I 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. subconsultants as parties ofa contract must complete a certification and send originals to A&/ and keep copies
in Local Agency Project Files.
Distribution: I) Original to Caltrans Audits and Investigations
2) Retained in Local Agency Project Files
Page 2 of2
LPP 15-01 January 14,2015
APPENDIX E
Local Assistance Procedures Manual
ExtnBIT CONSULTANT CE.RTU'lCA TlON OF CONTRACT AND FINANCIAL
(Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of
DLAdO.B 1 J~Oi ~ Safe Harbor Indirect Cost Rate for Consulttmt Contracts found til
http://www,dot.ca.gov/lzq/LocalPrograms!DLA ~ OBIDLA_ O.B.htm in lieu of this form,)
Consultant Firm Name: AMBIENT Air Quality & Noise Com;ulting
*Fiscal period covered for .Indirect Cost Rate developed (not the contract period).
Locaf Government:
Project Number: ..
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:
1. AU costs included in this propos.aJ to establish flllilllndirect Cosr Rates are aJ low able in
oo~t (FAR) 48,
of Federal Regutationl!l
2. This proposal does not include any costs which are expressly unallowable under the cost
principles of the FAR of 48 CPR, Part 31.
All known material transactions or events that have occurred affecting the firm's ownership, org;:mization, and
Indir~ct Cost Rates have been disclosed as of the date of proposal preparation not~td above.
I, the undersigned, certifY 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 torth in the FAR of
Title 49, CFR Part 18.20 to the extent applicable to Consultant.
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
1s and the number of states in which the firm does business is Qll.SL(l),
I, the und~rsigned, certifY to the best of my .knowtedge and belief tbm. aU ditec~ costs on the cost
proposal( s) in tnis contrnct are reasonabfe, a:Howable and aHocabfe to the contract in accordance wftl1 the cost
principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be:
t t)f1
January 14, :.t!);J,5
APPENDIX E
Local Assistance Procedures Manual EXHIBIT 10-K
l. 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.
Subcomniltants '(if appliealtlc)
Proposed Contract Amount (or amount not to exceed if on-call contract): $ ------~--·
Prime Consultants (if applicable)
Proposed Total Contract Amount (or amount not to exceed if on~caH contract); $ --·~,-~----~-~
Prime, list all subconsultants and proposed subcontract dollar amounts (attach add.itio.nal P!lie if necessary);
Consultant CertifYing (Print Name and Title):
Consultant Contact Information:
**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. I 12(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in48 CFR, Part 31.
23 CPR Part 172.3 Defmitions st,ue: Consultant ml.ians 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 mui send originals to .4:&1 and keep copies
in Loco! .{g<mcy Project .Files.
Distribution: 1) Original to Caltrans Audits and .Investigations
2) Retained in Local Agency Project Flies
Page2 of2
U>P 4';$~! Jam.u.try 114, 2~15
, Local Assistance Procedures Manual APPENDIX E EXHIBIT 10-K
Consultant Certification of Contract Costs and Financial 1'1/Hon<><>Prn
EXHIBIT 10-K CONSULT ANT 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 Consultant Contracts found at
http://www.dot.ca.gov/hq/LocalPrograms/DLA _ OB/DLA _ OB.Ittm in lieu of this form.)
Certification of Final Indirect Costs:
Consultant Firm Name: Far Western Anthropological Research Grou~.
Indirect Cost Rate: 20.03% Home oftice/35.72%Field Office *for fiscal period l 0/1/2012-9/30/2013
(mm/dd/yyyy to mm/dd/yyyy)
*Fiscal period covered for Indirect Cost Rate developed (not the contract period).
Local Government: Fresno County
Contract Number: Project Number: ______ _
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:
1. All costs included in this proposal to establish final fndirect Cost Rates are allowable in
accordance with the cost principles ofthe 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, certify to the best of my knowledge and beliefthat 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, Part 18.20 to the extent applicable to Consultant.
Certification of Dollar Amount for all A&E Contracts:
I, the undersigned, certifY that the approximate do.llar 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 $5,465,000 and the number of states in which the firm does business is 2_.
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 ofTitle 48, CFR, Part 31. Allowable direct costs to a Government contract shall be:
LPP 15-01
Page I of2
January 14,2015
Local Assistance Procedures Manual APPENDIX E
Consultant
I. 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 I, 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):
Prime Consultants (if applicable)
Proposed Total Contract Amount (or amount not to exceed if on-call contract): ______ _
Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary):
$ ________ _
$ ______________ _
Consultant Certifying (Print Name and Title):
Title: __ ..:=--;=::.___ ______ _
Consultant Contact Information:
Email: adie@farwestern.corn
Phone number:
**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. I I 2(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, subconsultants as parties ofa contract must complete a certification and send originals to A&/ and keep copies
in Local Agency Project Files.
Distribution: l) Original to Callrans Audits and Investigations
2) Retained in Local Agency Project Files
Page 2 of2
LPP 15-01 January 14,2015
Local Assistance Procedures Manual APPENDIX E EXHIBIT 10-K
Consultant Certification of Contract Costs and Financial
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 Ratefor Consultant Contracts found at
http://www.dot.ca.gov/hq/LocalPrograms/DLA _ OBIDLA _ OB.htm in lieu of this form.)
Certification of Final Indirect Costs:
Indirect Cost Rate: 120.00/hour * for t1scal period I 0/1/2015 to 9/30/2016
*Fiscal period covered for Indirect Cost Rate developed (not the contract period).
Local Government:
Contract Number: --------------------Project Number: -------------------
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:
1 . All costs included in this proposal to establish final Indirect Cost Rates are allowable in
accordance with the cost principles ofthe Federal Acquisition Regulations (FAR) ofTitle 48,
Code of Federal Regulations (CFR), Part 3 I.
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 ofthe date of proposal preparation noted above.
Certification of Financial Management System:
I, the undersigned, certify 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, Part 18.20 to the extent applicable to Consultant.
Certification of DoUar 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 and the number of states in which the finn does business is
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
Pagel of2
January 14,2015
Local Assistance Procedures Manual APPENDIX E EXHIBIT 10-K
Consultant Certification of Contract Costs and Financial
I. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated
by the Cost Accounting Standards Board (when applicable).
2. Compliant with the terms ofthe contract and is incurred specifically for the contract.
3. Not prohibited by 23 CFR, Chapter I, 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): $ ______ _
Prime Consultants (if applicable)
Proposed Total Contract Amount (or amount not to exceed if on-call contract): $ ------
Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary):
Consultant Certifying (Print Name and Title):
Consultant Contact Information:
Email: bhelm69485@aol .com
**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 lndirect Cost Rate proposal submitted in conjunction with the contract.
Note: Per 23 US. C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in48 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, subconsultants 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 Investigations
2) Retained in Local Agency Project Files
Page 2 of2
LPP 15-01 January 14,2015
APPENDIX E
Local Assistance Procedures Manual EXHIBIT 10-K
Consultant Certification of Contract Costs and Financial
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 Consultant Contracts found at
http://www.dot.ca.gov/ltq/LocalProgramsiDLA _ OBIDLA_ OB.Ittm in lieu of tit is form.)
Certification of Final Indirect Costs:
Consultant Firm Name: JRP Historical Consulting, LLC
Indirect Cost Rate: 120.91% * for fiscal period 0 l/0 112014 to 12/31/2014 (mm/dd/yyyy to mm/dd/yyyy)
*Fiscal period covered for Indirect Cost Rate developed (not the contract period).
Local Government: County of Fresno
Contract Number: Project Number: ________ _
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:
I. 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 ofF ederal Regulations ( CFR ), Part 3 I.
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, certify to the best of my knowledge and beliefthat 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, Part 18.20 to the extent applicable to Consultant.
Certification of Dollar Amount for aU 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 $87 5 000 and the number of states in which the firm does business is _6_
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
Pagel of2
January 14, 2015
Local Assistance Procedures Manual APPENDIX E EXHIBIT 10-K
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. Ali documentation of compliance must be
retained in the project
SubconsuUants {if applicable)
Proposed Contract Amount (or amount not to exceed if on-ca!l contract): $ "·~-~~-~---~,~-·--,----------
Prime Consultants (if appUcable)
Proposed Total Contract Amount (or amount not to if on-call contract): $ --------~", ______ _
Prime, list all subconsuttants and proposed subcontract dollar amounts (attach additional page if necessary):
Consultant (Print Name and Title):
Date of Certification (mmldd/yyyy):
Consultant Contact Information:
individual executive or financial officer of the consultant's organization at a level no lower than a
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), Subconsultnnts must comp(v with rhe FAR Cost Principles comained in 48 CFR. Pari 31.
13 CFR Part I 7 2.3 De.finitions stnte: Consultallf means the individual or .firm providing engineering and design relmed services as a party
to the contract. Therefore, subconsultmrts as parties of a coutrat::l must complete a certification aud send originals to A&! and keep copies
in Local Age11cy ProjecT Files.
Dlstrilmtium i} Original w Ca!!runs Audits and Investigations
2) Rdained in Local Agency Project fi!es
Page 2 of2
LPP 15-01 January 14, 2015
APPENDIX E
EXHIBIT 10-K
EXHIBIT 10-K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL
MANAGEMENT SYSTEM
(Note: If requesting to utilize the Safe Harbor lmlirect Cost Rate submit Attachment 1 of
DU-OB 13-01 • Safe II arbor lmlirect Cost Rate for Consultant Contracts found at
http:llwww.dot.ca.gov/hq/LocalPrograms/DU_OBIDLA_OB.htm in lieu of this form.)
Indirect Cost Rate: _I
mmldd/yyyy)
~---·---*for fiscal period 04/0i/20!4 to03/31/2015 (mmldd/yyyyto
*Fiscal period covered for Indirect Cost Rate developed (not the contr.Act period).
Contract Number: ----------Project Number:-----------
I, undersigned, certify that I have reviewed lhe proposal to establish final indirect cost rates for the fiscal
period as specified above to the best of my knowledge and belief:
!. AU 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) of Title 48,
Code of Federal Regulations (CFR). Part 3 L
2. This proposal does not include any costs which are expressly umdlowabJe under the cost
principles of the of 48 Part 31.
AU known materialtmnsactions 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.
I, the undersigned, certify to the best of my knowledge and belief dmt our Financial Management System meets
the stnndards for financial reporting, accounting records, internal and budget control as set forth in the FAR of
Title 49, CFR, Part 18.20 to the extent applicable to Consultant
I, the undersigned, certify that the approximate dollar amount of all A&E contracts awarded by Caltnms or a
California local agency to this firm within the last three (3) calendar years for aU State DOT and Local Agencies
is $ __ !2,QOO,QOO and the number of states in which the firm does business is
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, aUowable and allocable to the contract in accordance with the cost
principles of the FAR of Title 48, CFR, Part 3l. Allowable direct costs to a Government contract shall be:
LPP 15-CH
Page 1 of2
January 14; 2015
I.
2.
3.
APPENDIX E
for the comract.
AU ~osts must applied consistently and fairly to contrncts. All documentation
""'u,in~lri in the project
Consultant
or financial of the commltnnt's at a no thnn a
or Chief Financial Officer, or equivalent, who has authority to represent the flmmdnl information
to establish the Indirect Cost Rate proposal submitted in conjunction with the contract
Nnlu: f't:r 23 U.S.C. I J2(b)(2}(8), Subcmwtltams must comply ll'itlltl!c FIIR Cost Principles conuliWJtlilt 48 CPR, f>ar/31.
23 CFR Part I 72.3 fJrifjnilil:ms slate: Cmt.wltmll means the imJMduol or firm providing engineerillg ami design related servitr!.l' as a fWrty
w the comracr. 'fher!l'jore • .ruiJcollstdla/lls as ptlrties of a cmllrtzctmttst COIIIfllele a urlijicatim1 fltul .semi originr1ls to A&l11mf kt!l!fl
in Pmjcrt Files.
l>lstrl~lll'll t) Origlnnllo Cahrnns Audits nrnllovcstigations
!) Rclll!incd in Locul A!fi.'III.'Y Prnj..:cl fil<:s
' , Local Assistance Procedures Manual APPENDIX E
Consultant Certification of Contract Costs and Financial
EXHIBIT 10-K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL
MANAGEMENT SYSTEM
(Note: If requestbtg to utilize the Safe Harbor Ill direct Cost Rate submit Attachment 1 of
DLA-OB 13~07-Safe Harbor Indirect Cost Rate for Consultant Contracts found at
http://www.dot.ca.govlhq/LocalPrograms!DLA_ OBIDLA _ OB.htm in lieu of this form.)
Certification of Final Indirect Costs:
Consultant Firm Name: Kuhtz Pape Consulting, LLC.
Indirect Cost Rate: $180/hour * for fiscal period 10/1/2015 to 9/30/2016 (mm/dd/yyyy to mm/dd/yyyy)
*Fiscal period covered for Indirect Cost Rate developed (not the contract period).
Local Government: --------------------------------
Contract Number: --------------------Project Number: _______________ _
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:
I. 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 ofFinancial Management System:
I, the undersigned, certifY to the best of my knowledge and be!iefthat 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, Part 18.20 to the extent applicable to Consultant
Certification of Dollar Amount for aU A&E Contracts:
l, 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
1s and the number of states in which the firm does business is 1 (one).
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 ofthe FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be:
LPP 15-0l
Page 1 of2
January t4, 2015
Local Assistance Procedures Manual APPENDIX E EXHIBIT 10-K
Consultant Certification of Contract Costs and Financial
I. 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 I, 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):
Prime Consultants (if applicable)
Proposed Total Contract Amount (or amount not to exceed if on-call contract): $ ____ _
Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary):
Consultant CertifYing (Print Name and Title):
Name: David Kuhtz (Kuhtz Pape Consulting, LLC.)
Title: Founding Partner
Consultant Certification Signature**:
Date of Certification (mm/dd/yyyy): 8/2/2015
Consultant Contact Information:
Email: david@kuhtzpape.com
Phone number: Office 559-426-6181 I Mobile 559-260-9576
**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. I I 2(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: I) Original to Caltnrns Audits and Investigations
2) Retained in Local Agency Project Files
Page 2 of2
LPP 15-01 January 14,2015
Local Assistance Procedures Manual APPENDIX E EXHIBIT 10-K
Consultant Certification of Contract Costs and Financial
EXHJBIT 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 Consultant ContractsfiJund at
http:llwww.dot.ca.gov/hq!LocalPrograms!DLA _ OB/DLA _ OB.IItm in lieu of this form)
Certification of Final Indirect Costs:
Consultant Firm Name: The Wildlife
Indirect Cost Rate: __ $95.00/hour_ *for fiscal period _10/1/2015 to 9/30/2016 __ ,
*Fiscal period covered for Indirect Cost Rate developed (not the contract period).
Local Govemment: --------------------------------
Contract Number: Project Number:----------------
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:
I. 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) of Title 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, certify to the best of my knowledge and belief that our Financial Management System meets
the standards for financial reporting, accounting records, intemal and budget control as set forth in the FAR of
Title 49, CFR, Part 18.20 to the extent applicable to Consultant.
Certification of Dollar Amount for aU 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
1s and the number of states in which the firm does business is
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 ofTitle 48, CFR, Part 31. Allowable direct costs to a Government contract shall be:
LPP 15-01
Page I of2
January I 4, 2015
Local Assistance Procedures Manual APPENDIX E EXHIBIT 10-K
Consultant Certification of Contract Costs and Financial
I. 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 I, 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): $ -------------------
Prime Consultants (if applicable)
Proposed Total Contract Amount (or amount not to exceed if on-call contract): $
Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary):
Consultant CertifYing (Print Name and Title):
Consultant Certification Signature**:
Date of Certification (mm/dd/yyyy):
Consultant Contact Information:
Email: ieff@thewi ldl ifeproject.com
Phone number: 209 815-5660
**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 US.C. ll2(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31.
23 CFR Part J 723 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party
to the contract. Therefore, subconsultants 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 Investigations
2) Retained in Local Agency Pn"Ucct Files
Page 2 of2
LPP 15-0l January 14,2015
APPENDIX E
· Local Assistance Procedures Manual
Consultant Certification of Contract Costs and Financial
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 I of
DLA-OB 13-07-Safe Harbor Indirect Cost Rate for Consultant Contracts found at
http://www.dot.ca.govlhq/LocalPrograms/DLA _ OBIDLA _ OB.htm in lieu of this form.)
Certification of Final. Indirect Costs:
* for fiscal period 01/01/2014 to 12/31/2014 (mm/dd/yyyy to
*Fiscal period covered for Indirect Cost Rate developed (not the contract period).
Contract Number: Project Number:
I, the undersigned, certify that [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:
1. 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 3 L
All known material transactions or events that have occurred affecting the firm's ownership, organization, and
Indirect Cost Rates have been disclosed as ofthe date of proposal preparation noted above.
Certification of Financial Management System:
l, the undersigned, certify 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, Part 18.20 to the extent applicable to Consultant.
Certification of Dollar Amount for aU A&E Contracts:
l, the undersigned, certify that the approximate dollar amount of all A&E contracts awarded by Cal trans or a
California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies
is $ 1OM and the number of states in which the firm does business is --------·
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
Page I of2
January 14, 2015
APPENDIX E
Local Assistance Procedures Manual
Consultant Certification of Contract Costs and Financial
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 I, 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 (ifapplicable)
Proposed Contract Amount (or amount not to exceed if on-call contract): $ ___ _
Prime Consultants (if applicable)
Proposed Total Contract Amount (or amount not to exceed if on-call contract): $ ______ _
Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary):
Consultant CertifYing (Print Name and Title):
Date ofCertification (mm/dd/yyyy): __,_,10"-'/0"'"'1"'"'/2=0'"""1'"""5 _______ _
Consultant Contact Information:
Email: _hanbin_liang@wreco.com _________________________ _
Phone number:
**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. 112(b)(2)(Bj, Subconsu/tants must comply with the FAR Cost Principles contained in 48 CFR, Part 3/.
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, subconsultants as parties of a contract must complete a cert(fication and send originals to A&/ and keep copies
in Local Agency Project Files.
Distribution: I) Original to Cal trans Audits and Investigations
2) Retained in Local Agency Project Files
Page2 of2
LPP 15-01 January 14, 2015
Local Assistance Procedures Manual APPENDIX F Exhibit l 0-S
Consultant Performance Evaluation
Exhibit 10-S Consultant Performance
1. PROJECT DATA 2. CONSULTANT DATA
la. Project (include title, location, and Activity/CIP No.) 2a. Consultant Name and Address
lb. Brief Description ofproject (design, study, etc.) 2b. Consultant's Manager
lc. 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 (Engineering Services)
4a. Contract No.: Termination date: Base Fee: $
Agreement date: Date terminated: Contingency: $
4b. Amendment $ I # $ I #
(Total Value) (Initiated by Agency) (Total Value) (Initiated by Agency)
4c. Change Order $ I # $ I #
(Total Value) (Initiated by Agency) (Total Value) (Initiated by Agency)
4d. Total Fee per Agreement (4a. + 4b. + 4c.) $ Total Fee Paid$
(Do not include Contingency Listed in 4a.)
4e. Type of 4f. Historical Record of Key Submittal Dates enter date or nla if not applicable)
Services Preliminary 30% 70% 90% 100%
(Design, study, Per Agreement
etc.) 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 $ %of Base Fee
Changed Quantities $ %of Base Fee
4i. Actual Number of Days (number) Program Task Options $ %of Base Fee
5.0VERALL RATING (Complete Section II on reverse, include comments as appropriate.)
Outstanding Above Average Below Poor Average 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 Stde
LPP 13-01
Final
0.00%
0.00%
0.00%
0.00%
0.00%
N/A
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 fonnatted
Code Requirements
covered
Adhered to Agency
Standard Drawings/Specs
Drawings reflect
existing conditions
As-Built Drawings
Quality Design
Change Orders due to design
deficiencies are minimized
Section HI
Item
Item ____ _
Item ------
Item
Item
Item
*Indicates supporting documentation attached.
LPI> 13-01
APPENDIX F
Avg. Below Poor N/A Responsiveness Outstanding
Avg. To Staff
Timely Responses
Attitude toward Client and
review bodies
Follows directions and
Chain of responsibility
Work product delivered
on time
Timeliness in notizying
Agency of major problems
Resolution of field
Problems
Consistency with
budget
Reasonable Agreement
negotiation
Adherence to fee schedule
Adherence to project
Budget
EXPLANATIONS AND SUPPLEMENTAL INFORMATION
(Attach additional documentation as needed)
Exhibit 1 0-S
Consultant Performance Evaluation
Above Avg.
Avg.
Below
Avg.
Poor N/A
Page 2 of2
May 8, 2013
APPENDIXG
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 of this Certification.
..
1
2
3
4 In the matter of
At-'1-'t:.NUIX H
File Ql5!23
Februa.ry 23, 1999
Resolution 099-086
BEFORE THE BOARD OF SUPERVISORS
OF THE COUNTY OF FRESNO
STATE OF CAUFORNIA
5 Adoption of Standard Conflict of Interest
6 Code for All County Departments. Resolution #99-086
7
8 Whereas, the Political Reform Act, Government Code section 81000 et seq .•
9 requires state and local government agencies to adopt and promulgate conflict of Interest
1 0 codes; and
11 Whereas, the Fair Political Practices Commission has. adopted a regulation, 2
12 California Code of Regulations section 1 8730, which contains the terms of a standard
13 conflict of Interest code, and which may be amended by the Fair Political Practices
14 Commission after public notices and hearings to conform to amendments to the Political
15 Reform Act; and
16
17
18
19
Whereas, any local agency may incorporate this standard conflict of interest code,
and thereafter need not amend the text of its code to conform to future amendments to the
Political Reform Act or its regulations; and
Whereas, the Board of Supervisors Is the code reviewing body for all County
departments except courts; and
20 Whereas, the Board of Supervisors may adopt the standard conflict of interest
21 code on behalf of all County departments.
22 Now therefore .be it resolved, that the tenns of 2 California Code of Regulations
23 section 18730. and any amendments to it duly adopted by the Fair Political Practices
24 Commission, are hereby Incorporated by reference and, along with the Exhibits A and 8
25 approved previously, today, or In the future, by this Board for each County department, In
:26 which officers and employees are desrgnated and disclosure categories are set forth,
27
28
1
1
2
3
At-'1-'!=NUI.A H
constitute the conflict of interest codes of each County department except courts.
Conflict of Interest forms shall be filed as follows:
1. As required by Government Code Section 87500, subdivision (e), the
4 County Administrative Officer, District Attorney, County Counsel, and Audrtor-
5 ControiJerrrreasurer-Tax Collector shall file one original of their statements with the County
6 Clerk, who shall make and retain copies and forward the originals to the Fafr Political
7 Practices Commission. whfch shall be the filing officer. The County Admlnfstratlve Officer,
8 District Attorney, County Counsel, and Auditor-ContmllerrrreasureruTax Collector shall also
9 file one copy of their statements wtth the Clerk to the Board of Supervisors.
10 2. As required by Government Code secllon 87500, subdivision 0). all other
11 department heads shall file one original of their statements with their departments. The filing
12 officer of each department shall make and retain a copy of the department head•s statement
13 and shall fmward the original to the Clerk to the Board of Supervisors.
14 3. All other designated employees shall tUe one original of their statements with
their departments. ,15
1-6 All statements shall be public records and shall be made available for public
inspection and reproduction. (Gov. Code, § 81 008.)
17
Adopted at a regular meeting of the Board of Supervisors, held on the ~day
18
19
20
21
22
23
of Februa:ry _, 19.Jl2.., by the following vote, to wit
Ayes: Supervisors Koligian, Case, Arambula, Olten, Levy
Noes: None
Absent: None
24 ATTEST:
SHARI. GREENHOOD, CLERK
25 BOARD OF SuPERVISORS
:~By~~ e.puty ·
28 File i/15123 Agenda #2.8 Resolution #99-086
2
APPENDIX H
EXHIBIT "A"
Classification
Accountant 1/11
Architect
PUBLIC WORKS AND PLANNING
Assistant Real Property Agent
Associate Real Property Agent
Building Inspector 1/11
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 1/11/111
Field Survey Supervisor
Housing Rehabilitation Specialist 1/11
Information Technology Analyst 1/11 I III/IV
Planner 1/11/111
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 D'evelopment Analyst
Senior Engineer
Senior Engineering Technician
Senior Geologist
Senior Information Technology Analyst
Senior Planner
Senior Real Property Agent
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
1
Classification
Senior Staff Analyst
APPENDIX H
Senior Systems an~ Procedures Analyst
Staff Analyst 1/11/111
Supervising Accountant
Supervising Building Inspector
Supervising Engineer
Supervising WaterNVastewater Specialist
Systems and Procedures Analyst 1/11/111
Systems and Procedures Manager
Traffic Maintenance Supervisor
Catego!Y
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.
At-'t-'t:NUI.A H
·--!.
EXHIBJT"B"
PUBUC WORKS AND PLANNING
1. Persons in this category must disclose an investments, interests ln real property and
income, and business positions. Financial interests are reportable only if located Within
or subject to the jurisdiction of Fresno· Oountyi or if the business entity· is-· doing
business or planning to do business In the jurisdiction, or has done business within the
· jurlsdictloh at any-iiin's during the two years pnortd .. the filing of the statement Real
· property shall be deemed to be within the ,.jurisdiction" of the County if 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 investments in, income from, and business
positions with any business entity which, within the last two years, has contracted or In
the future may forseeably contract with Fresno County through Its PubliQ 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 servlce~, supplies,
materials, machinery, or equipment to the County.
3. Persons in the category shall disclose all interests in real property within the
jurisdiction. Real Property shall be deemed to be within the jurisdiction if the property
or any part of lt Is located within or not more than two miles outside the boundaries of
Fresno County (Including its incorporated cities) or within two mile of any land owned
or operated by the County.
APPENDIX I
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
b. grant b. initial award b. material change
4.
6.
c. cooperative agreement c. post-award
d. loan
e. loan guarantee
f. loan insurance
Name and Address of Reporting Entity
D Prime D Subawardee
Tier , ifknown
Congressional District, if known
Federal Department/ Agency:
8. Federal Action Number, ifknown:
10. Name and Address of Lobby Entity
(If individual, last name, first name, MI)
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, if known
7. Federal Program Name/Description:
CFDA Number, if applicable ___________ _
9. Award Amount, if known:
11. Individuals Performing Services (including
address if different from No. 1 Oa)
(last name, first name, MI)
(attach Continuation Sheet(s) if necessary)
12. Amount of Payment (check all that apply)
$ D actual D planned
13. Form of Payment (check all that apply): D a. cash D b. in-kind; specify: nature _____ _
Value _____ _
14. Type of Payment (check all that apply)
I'"'"' a. retainer
b. one-time fee
c. commission
d. contingent fee
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 11:
(attach Continuation Sheet(s) if necessary)
16. Continuation Sheet(s) attached: Yes D No D
17. Information requested through this form 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 information 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:
PrintName: _______________________ _
Title: ---------------------------
Telephone No.: __________ Date: ______ _
Authorized for Local Reproduction
Standard Form -LLL
Standard Form LLL Rev. 04-28-06
Distribution: Orig-Local Agency Project Files
APPENDIX I
INSTRUCTIONS FOR COMPLETING EXHIBIT 10-Q DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form 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 of this report. If this is a follow-up report caused by a material change to the information
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). Ifknown, 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 1 (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) performing services and include full address if different from 10 (a). Enter Last Name,
First Name and Middle Initial (Ml).
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 performed or will be expected to perform 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
information. 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
APPENDIX 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:
APPENDIX 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:
"A 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).