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HomeMy WebLinkAboutWILLDAN ENGINEERING-2015City of Santa Ana Clerk of the Council AGREEMENT TERMINATION FORM Please complete this form in its entirety when the attached agreement and all amendments (if any) are no longer in effect. Note: If your agreement is grant related, please ensure that all grant retention requirements have been safisfied prior to signing the termination form. Is the agreement(s) a permanent record? Yes _ No Return form to the Clerk of the Council Office (M-30). Call 647-1520 if you have any questions. The agreement with U(/ u'b fi-iy No. A _�r /� d was completed on (List all amendments. Use space below it needed.) COTC Office Use Only 2n"`� C 12 AN 9. SU CITY OF c�,�+T CLOF CO NC L� ( and final payment hasbeenmade. Department: Phone/Ext.:- Signature: Date: Re lsed: I C-13-16 INSURANCE ON FILE WORK MA`I PROCEED UNTIL INSURANCE FAXIIIIRIES CLERK OF COUNCIL/'} _ n ATC, %^ f4, PROFESSIONAL SERVICES AGREEMENT CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES A-2016-168 THIS AGREEMENT is made and entered into this 51h day of August 2015 by and between Willdan Engineering (hereinafter " Consulta n") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of: On -Call Engineering Services to provide engineering services on an as -needed basis. Engineering services may include, but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land/property surveying, structural, architecture and landscaping design services and grant writing services. Prior to issuing a Task Order, the City may request a detailed Scope of Work, for a specific project/task. If requested, the consultant would provide a task proposal, budget and schedule for the Task Order. From this the City may choose which consultant to assign the project/task to pursuant to this Agreement. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the related field of expertise. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two one-year renewal options exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. 2. SCOPE OF WORK Consultant agrees to perform during the tern of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Work - Exhibit A, attached hereto and incorporated by reference. Additional Agreement provisions, if any, may be contained in "Additional Provisions" attached hereto and incorporated into this Agreement as Exhibit C. 3. SCHEDULE OF SERVICES If a Task Order is issued, Consultant shall complete services and shall perform and deliver them to the City as described and detailed in Exhibit A and per the Task Order provided. The City may request that the Consultant provide a proposed scope of work, schedule and budget for a particular project or work product within a Task Order. If the City approves the Task Order, the City will issue a Notice to Proceed ("NTP") approved by the Executive Director of the Public Works Agency or his/her designee ("Executive Director"). Consultant shall meet the work deliverables within the Task Order, the schedule and budget unless otherwise adjusted by the City. Such services shall be provided per written request of the Executive Director after the City's issuance of the NTP. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates, fees, and charges identified in Exhibit B, "Compensation", attached hereto, and incorporated by reference, in an amount not to exceed two hundred fifty thousand dollars ($250,000) over the entire life of the Agreement, including any renewal period(s). Exhibit B includes completed Federal Exhibits 10-K and 10-H along with all Consultant and subconsultant(s) rates and fees that comply with federal requirements. Exhibit D includes all previously completed Federal certification forms as part of the Proposal submittal in response to the Request for Proposals. These are attached hereto and incorporated herein as Attachment D- 1, D-2, D-3 and D-4. 5. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer disks (CD)s, USB jump drives or equivalent, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. PAYMENTS & INVOICES a. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and/or Task Order number andor name (if applicable) iv. Work site address/location (if applicable) V. Tasks or deliverables completed, and percentage (%) of total services completed. vi. Remaining Overall and Task Order budget available City will, within 45 days of receiving such statement in a manner that meets the City's requirements, review the statement and subsequently pay the approved charges thereon. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 8. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, and $2,000,000, in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim and $2,000,000 annual aggregate shall be maintained. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect by the consultant without thirty (30) days prior written notice to the City, except for 10 days' notice for non-payment of premium. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 4 9. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims"), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 10. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure to comply with such laws, rules or regulations. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without 5 reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. (Also see Exhibit D.) 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the authorized representatives of the parties. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any parry, which is not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product(s) shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. Ci 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. (Also see Exhibit D.) 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. The parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 19. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Facsimile (714) 647-6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana 20 Civic Center Plaza (M-36) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647-5635 7 To Consultant: WILDAN ENGINEERING Peter Miessner, PE 2401 East Katella Avenue, Suite 300 Anaheim, CA 92806-5982 Phone: (714)978-8200 Facsimile: (714) 978-8299 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by snail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 20. MISCELLANEOUS PROVISIONS a. Additional provisions, if any, are identified as Additional Provisions — Exhibit C, attached hereto and incorporated herein by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA MARIA D. HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Lisa Storck Assistant City Attorney VIMENDED FOR APPROVAL: CONSULTANT: / t�/i��TzN� of �,✓lri.✓��^.JCr M USAVIPOUR (Name) ive Director (Title) Works Agency 9 EXHIBIT A 8' +_ . 1:, CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES I. GENERAL The City of Santa Ana (City) solicited proposals from professional consulting firms (Consultant) to provide engineering services on an as -needed basis. Engineering services may include civil engineering, electrical engineering, traffic engineering, geotechnical, land/property surveying, structural, architecture and landscaping design services and grant writing services. A detailed Scope of Work will be outlined when/if a specific project or Task Order is assigned to the consultant. The work, in general, consists of general engineering design projects on arterial and local streets, bike paths, and public parks, citywide. Funding sources for each project may vary ranging from local, Measure M2, state and federal and each project/task order assigmnent shall comply with the funding agency's requirements. The projects may include storm drain improvements; sidewalks, bike paths, curb and gutter replacement; slurry seal of residential streets; repair and overlay of asphalt concrete and/or PCC streets; signing, striping, neighborhood traffic studies, traffic signal modifications; landscaping and irrigation systems; park and recreational design, grant application writing, and other related projects as required. On occasion, environmental and planning support services may also be requested. The City may need consultant services for survey, mapping and legal description preparation, construction management, staking and inspection. Occasionally, the City may also need geotechnical, mechanical, electrical and/or structural services. The Consultant shall be able to assist the City through this contract to provide the necessary services. The Consultant shall utilize in-house staff and/or sub -consultants to complete the assignments to meet the City standards. For specialized work for which the prime consultant shall require a sub -consultant, the prime consultant shall serve as an administrative liaison between the City and the sub -consultant. The prime Consultant mark-up for sub -consultants shall not exceed 10%. II. PROPOSED SCOPE OF SERVICES In general, the Consultant shall perform above noted engineering design services resulting in contract documents (plans, specifications and cost estimates "PS&,E") for various projects on an as -needed basis. However, work tasks may include studies or a variety of engineering or other 10 tasks. If requested by the City, the Consultant shall provide a Work Plan which includes a detailed schedule of the assigned project prior to the issuance of Notice to Proceed of that particular project and/or Task Order. Specific Task Orders with Notices to Proceed ("NTPs") will be provided for project(s) at the discretion of the City. Work required per Task Order shall comply with the Scope of Services and additional provisions in each Task Order and this agreement. The Consultant shall also provide all field survey work required as appropriate and shall have the necessary experience and required civil, traffic, electrical, structural, geotechnical, surveying, landscape architect and architectural licenses for those in responsible -charge of the work being completed. The Consultant's services for PS&E engineering project preparation shall include, but not be limited to, the following: 1. Research existing records of utility companies and agencies and coordinate the proposed improvements with existing field conditions. 2. Provide all field survey and topographic work necessary to complete the design effort. Design level survey and base mapping of the project site shall be prepared in US Customary English units by a California licensed Land Surveyor in accordance with the City guidelines and in Microstation V8i Computer Aided Design and Drafting (CADD) format. The horizontal datum shall be NAD 83 and the vertical datum shall be NAVD 88. All survey field notes shall be on forms provided by the City, shall be neatly completed in pencil, and shall become property of the City upon completion of the project. Informal field investigations including marking of removal areas may be required for some of the sidewalk, curb and gutter, and pavement replacement projects. 3. Complete the design of projects including plans, specifications, and engineer's construction cost estimate. The Consultant shall contact manufacturers and/or contractors to verify the engineer's estimate prior to submitting to the City. Specifications shall be prepared in Microsoft Word and an electronic copy of the final version shall be furnished to the City. The City will provide the specification boiler plate to the Consultant. 4. If requested, all preliminary and bid sets of plans shall be plotted on bond or velum using the Microstation V8i CADD program. All drawings shall be completed per the City of Santa Ana CADD Standards. For interim submittals, the City may opt to receive only PDF versions of the plans for reviewing purposes. If so, the Consultant team will provided plans and/or specifications accordingly. 5. All original plan sheets, the title sheet of the specifications, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer responsible/in-charge of the project. These signed originals shall then become the property of the City. 6. If a part of the on -call project scope, the Consultant shall provide support services during the bidding and construction phases of the project on an as needed basis, including, but not limited to: 11 A. The Consultant shall respond to bidder inquiries during the bidding process, including preparation of any addenda. Following award of the construction contract, the Consultant shall attend the pre -construction meeting. B. The Consultant shall review and approve all submittals and shop plan drawings required supporting the construction contract. The Consultant shall complete shop drawings reviews within two (2) weeks of receipt. Contract Change Order reviews shall be completed within two (2) working days of receipt. C. The Consultant shall respond to written Requests for Information (RFI) to provide clarification or resolve discrepancies in the contract documents. Responses shall be completed within three (3) working days. D. The Consultant shall provide periodic field reviews and bring to the attention of the City of Santa Ana any defects or deficiencies in the work by the construction contractor which the Consultant may observe. The Consultant shall have no authority to issue instruction on behalf of the City of Santa Ana, or to deputize another to do so. 7. If included in the on -call project scope, upon completion of construction, the Consultant shall prepare as-builts and submit them to the City. The Consultant shall incorporate all changes to the plans electronically with all necessary revision notations. Once plans have been updated, a signed set of as -built mylars shall be submitted to the City with an electronic copy (in Mierostation V8i CADD and pdf formats) of the final as -built drawings via CD or e-mail. 8. If included in the on -call project scope, the Consultant shall monitor the project progress, maintain project files, and control the quality of the work performed by in-house staff and/or sub -consultants. Incomplete (not meeting targeted completion) or poor quality work will not be accepted. The Consultant shall revise the documents within a revised schedule set by the City, which may require overtime. No additional compensation for regular or overtime hours necessary to complete this work to the satisfaction of the City shall be approved by the City for the required revisions. It is the responsibility of the Consultant to produce a professional - level quality of work product. 9. If included in the on -call project scope, attend meetings with the City staff as required. 10. If included in the on -call project scope, the Consultant shall coordinate plan check, design topics, permits and any other issues with the City, other Agencies, and all utility companies as required. At the direction of the City, the Consultant shall be the liaison with affected agencies. 11. If included in the on -call project scope, the Consultant shall be responsible for reviewing and approving addenda and clarifications to plans and specifications. III. GENERAL REQUIREMENTS 1. All work shall be performed in conformance with the latest City of Santa Ana policies, procedures and standards, and applicable, regulatory, state and federal requirements. 2. Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City of Santa Ana and any other involved agencies. 12 3. The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana do NOT include detailed review or checking of design or the accuracy with which such designs are depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. 4. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. 5. The Consultant shall have quality control procedures in effect during the entire time work is being performed under the Agreement. The quality control procedures shall establish a process which includes checking processes for PS&E preparation, an independent constructability review, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. 6. The Consultant's work and all records shall be subject to inspections by representatives of the City of Santa Ana and funding agency requirements or audits if requested. Consultant certifies that it shall comply with the following regulations, as required by the (funding agency): a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by the City, the grant agency and/or their duly authorized representatives for a period of four (4) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Information - Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. 13 c. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Consultant agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable and the related guidelines that may be more recent. e. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act". f. Civil Rights Compliance and Notification of Findings - Consultant, and all its contractors (or sub -recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title 11 of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non -Discrimination Regulations,, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights„ Office of Justice Programs, U.S. Department of Justice. g. Equal EmploymentOpportunity - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 1.1375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Anti -Kickback Act - Consultant, and all its contractors (or sub -recipients) will comply, with all requirements of the Copeland "Anti -Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. 14 Davis -Bacon Act - Consultant, and all its contractors (or sub -recipients) will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a- 7) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. Contract Work and Safety Standards Act - Consultant, and all its contractors (or sub -recipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act (40 U.S.C. 327-330) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. k. Clean Air Act - Consultant, and all its contractors (or sub -recipients) will comply, with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as applicable. 1. Energy Policy and Conservation Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Energy Policy and Conservation Act (Pub. L. 94-163, 89 Stat. 871),(53 FR 8078, 8087, Mar. U, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as applicable. in. Patent - Consultant agrees that the funding agency shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Copyright - Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty -free, non-exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and/or City purpose: i. the copyright in any work developed through this Agreement; and ii. any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. IV. CITY RESPONSIBILITIES The City will provide the following: • All plan check coordination within the City • Sample boiler plate specifications to be utilized • Sample plans & City of Santa Ana's CADD Standards • Electronic files for title sheets and sheet borders 15 EXHIBIT B COMPENSATION CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES W'WI LLDAN Technical Aide I Technical Aide II Technical Aide III Drafter I Drafter II Senior Drafter GIS Analyst I GIS Analyst II GIS Analyst III Designer I Designer II Senior Designer I Senior Designer II Assistant Engineer I Assistant Engineer II Assistant Engineer III Assistant Engineer IV Associate Engineer I Associate Engineer II Associate Engineer III Design Manager Senior Design Manager Senior Engineer I Senior Engineer II Senior Engineer III Senior Engineer IV Supervising Engineer Project Manager I Project Manager II Project Manager III Project Manager IV Program Manager Traffic Engineer I Traffic Engineer II City Engineer I City Engineer II Principal Project Manager Deputy Director Director Principal Engineer WILLDAN ENGINEERING Schedule of Hourly Rates Effective July 1, 2015 to June 30, 2016 O ® 9 ® e 59.00 Labor Compliance Specialist 105.00 Senior Construction Permit Specialist 110.00 75.00 Labor Compliance Manager 131.00 Supervising Construction Permit 93.00 Utility Coordinator Y 138.00 Specialist 115.00 94.00 Assistant Construction Manager 131.00 Building Inspector* 115.00 110.00 Construction Manager 156.00 Supervisor Code Enforcement 126.00 121.00 Senior Construction Manager 164.00 Senior Building Inspector 126.00 126.00 Project Manager IV 181.00 Plans Examiner 126.00 143.00 Deputy Director 200,00 Supervising Building Inspector 138.00 159.00 Director 203.00 Senior Plans Examiner 138.00 126.00 Inspector of Record 154.00 131.00 Public Works Observer 1* 81.00 Deputy Building Official 154.00 Public Works Observer 11* 89,00 Plan Check Engineer 154.00 138.00 Senior Public Works Observer 1* 97.00 Building Official 159.00 145.00 Senior Public Works Observer 11* 108.00 Supervising Plan Check Engineer 159.00 100.00 Senior Public Works Observer 111* 116.00 Principal Project Manager 190.00 119.00 Senior Public Works Observer IV* 123.00 Deputy Director 200.00 125.00 Senior Public Works Observer V* 131.00 Director 203.00 130.00 e 132.00 Survey Analystl 110.00 139.00 Su rvey Ana lyst II 126.00 Community Development 93.00 Technician 146.00 Calculator 1 110.00 Planning Technician 93.00 148.00 Calculator ll 121.00 Assistant Planner 115.00 156.00 Calculator 111 132.00 149.00 Senior Survey Analyst 143.00 Assistant Community Development 115.00 Planner 154.00 Supervisor & Mapping 164.00 Associate Community Development 160.00 Principal Project Manager 190.00 Planner 126.00 173.00 ® Associate Planner 126.00 177.00 Assistant Landscape Architect 110.00 Senior Community Development 135.00 Associate Landscape Architect 126.00 planner 143.00 157.00 Senior Landscape Architect 138.00 Senior Planner 143.00 174.00 Principal Landscape Architect 159.00 Principal Community Development Principal Project Manager 190.00 Planner 159.00 190.00 195.00 1:11111111® ® Principal Planner 159.00 Assistant Code Enforcement 77 00 Deputy Director 20.00 175.00 Officer Director 2033.00 190.00 Plans Examiner Aide 83.00 190.00 Assistant Construction Permit 93.00 Administrative Assistant) 68.00 200.00 Specialist 190.00 Construction Permit Specialist 88.00 Administrative Assistant ll 83.00 200.00 Code Enforcement Officer 88.00 Administrative Assistant 111 97.00 203.00 Assistant Building Inspector* 105.00 Project Accountant 1 78.00 221,00 Senior Code Enforcement Officer 105.00 Project Accountant II 91.00 Mileage reimbursement will be charged at the current Federal guideline rate at the time of billing. Vehicles will be charged at a monthly rate of $500,00, * $138 per hour For Prevailing Wage Project Additional billing classifications may be added to the above listing during the year as new positions are created. Consultation in connection with litigation and court appearances will be quoted separately. The above schedule is for straighttime. Overtime will be charged at 1.5 times, and Sundays and holidays, 2.Otimes the standard rates. Blueprinting, reproduction, messenger services, and printing will be invoiced at cost plus fifteen percent (15%). A sub consultant management fee of fifteen percent (15%) will be added to the direct cost of all sub consultant services to provide for the cost of administration, consultation, and coordination. Valid July 1, 2015 thru June 30, 2016, thereafter, the rates may be raised once per year to the value of change of the Consumer Price Index for the Los Angeles/Orange County/Sacramento/San Francisco/San Jose area, but not more than five percent per year. Rev.210-23-2015 A/V1WI LLDAN Celebrating 50 years of service Principal Engineer 200 Senior Project Manager 165 Senior Project Analyst 130 Analyst 100 Analyst Assistant _ 75 Property Owner Services Representative 55 Engineering and Planning i Energy Efficiency and Sustainability, I Financial and Economic Consulting i National Preparedness and Interoperability, T 951.587.3500 - 800.755.6864 1 F 951,587.3510 • 888,326.6864 1 27368 Via Industria, Suite 200, Temecula, CA 92590 1 w .wrldan.com � WILLDAN Celebrating 50 years of service February 3, 2015 City of Santa Ana Attn: Monica M. Suter, PE, TE, PTOE Public Works Agency 20 Civic Center Plaza, 3`d Floor, Ross Annex Santa Ana, CA 92701 Re: Sealed Proposal for RFP No. 14-037; On Call Engineering Services in the City of Santa Ana Dear Ms. Suter: Willdan Engineering (Willdan) is pleased to provide requested forms, Exhibit 10-K and Exhibit 10-H, for us and our subconsultants. We are including fully signed and compliant forms from Willdan Engineering and the following subconsultants: • Absolute Consulting Engineers • Black O'Dowd and Associates, DBE BOA Architecture • Coast Surveying, Inc. • Counts Unlimited, Inc. • WKE, Inc. Willdan has requested for RFP No. 14-037, Exhibits 10-K and 10-H also from the following subconsultant, which is in the process of obtaining compliance with the Federal rate requirements and the above forms; however, has not yet, as their principal is currently out of the office on emergency leave: • OMB Electrical Engineers, Inc. Willdan understands that all information provided to date is available to the public, including the attached forms. By signing this letter, I agree that I am authorized to bind the firm. Willdan further understands that the update that consultant agreements will be for two years, with an optional extension of two additional years. Respectfully submitted, WILLDAN ENGINEERING Daniel Chow President and CEO Engineering and Planning Energy Efficiency and Sustainability I Financial and Economic Consulting I National Preparedness and Interoperability 714.978,8200 I fax: 714.978.8299 1 2401 East Katella Avenue, Suite 450, Anaheim, California 92806-5982 1 www.willdan.com Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #2) Page I of SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant Willdan Engineering Contract No. RFP 14-037 Date January 30, 2015 Fringe Benefit % + Overhead and General Administration % = Combined Indirect Cost Rate (ICR) % 51.08% + 109.03% = 160.11% FEE%= 10% �i[efl►1��]:�u/:YY[�7► �Ii1D_YY[i. I►7�i�iY�77lLI_YYCi7�1 Name/Job Title/Classification' Hourly Billing Rates' Effective date of hourly rate Actual or Avg. % or $ Hourly range - Straight OT(1.5x) OT(2x) From To hourly rate' increase for classifications only Peter Miessner/ProjectManager1I $181.69 02/01/2015 01/31/2016 $63.50 $190.77 NA NA 02/01/2016 01/31/2017 $66.68 5% Not Applicable $198.40 02/01/2017 01/31/2018 $69.34 4 % Adel M. Freij/Principal Project $182.00 02/01/2015 01/31/2016 $63.61 Manager $191.10 NA NA 02/01/2016 01/31/2017 $66.79 5% Not Applicable $198.75 02/01/2017 01/31/2018 $69.46 4 % John Hidalgo/PrincipalProject $15L19 02/01/2015 01/31/2016 $52.84 Manager $158.75 NA NA 02/01/2016 01/31/2017 $55.48 5% Not Applicable $165.10 02/01/2017 01/31/2018 $57.70 4 % Herbert L Gluesing, Jr./Director $194.91 02/01/2014 01/31/2016 $68.12 $204.65 NA NA 02/01/2016 01/31/2017 $71.53 5% Not Applicable $212.84 1 02/01/2017 01/31/2018 $74.39 4 % 1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsultant firms. 2. Billing rate = actual hourly rate x (1+ ICR) r (1+ Fee). Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note: • Denote all employees subject to prevailing wage with an asterisks (*) • For "Other Direct Cost' listing, see page 2 of this Exhibit Page 1 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual BILLING INFORMATION EXHBIT 10-H Sample Cost Proposal CALCULATION INFORMATION Name/Job Title/Classification' Hourly Billing Rates' Effective date of hourly rate Actual or Avg. % or $ Hourly range - Straight OT(1.5x) OT(2x) From To hourly rate' increase for classifications only Ross Khiabani/Director $220.11 02/01/2014 01/31/2016 $76.93 $231.12 NA NA 02/O1/2016 01/31/2017 $80.78 5% Not Applicable $240.36 02/01/2017 01/31/2018 $84.01 4 % Dean Sherer/Director $165.06 02/01/2014 01/31/2016 $57.69 $173.32 NA NA 02/01/2016 01/31/2017 $60.57 5% Not Applicable $180.25 02/01/2017 01/31/2018 $63.00 4 % Steven M. Velasco/Senior $185.98 02/01/2014 01/31/2016 $65.00 Construction Manager $195.28 NA NA 02/01/2016 01/31/2017 $68.25 5% Not Applicable $203.09 02/01/2017 01/31/2018 $70.98 4 % Lucy Martinez/Designer II $79.57 $119.36 $159.14 02/01/2014 01/31/2016 $27.81 $83.55 $125.32 $167.10 02/01/2016 01/31/2017 $29.20 5% Not Applicable $86.89 $13034 $173.78 02/01/2017 01/31/2018 $30.37 4 % Kenneth R. Krieger/Senior Designer II $113.82 02/01/2014 01/31/2016 $39.78 $119.51 NA NA 02/O1/2016 01/31/2017 $41.77 5% Not Applicable $124.29 02/O1/2017 01/31/2018 $43.44 4 1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsultant firms. 2. Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Agreed upon billing rates are not adjustable for the term of contract_ 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note: • Denote all employees subject to prevailing wage with an asterisks (*) • For "Other Direct Cost" listing, see page 2 of this Exhibit Page 2 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHBTF 10-H Sample Cost Proposal Name/Job Title/Classification' Hourly Billing Rates' Effective date of hourly rate Actual or Avg. % or $ Hourly range - Straight OT(1.5x) OT(2x) From To hourly rate' increase for classifications only Elroy Kiepke/City Engineer $171.64 02/01/2014 01/31/2016 $59.99 $180.23 NA NA 02/01/2016 01/31/2017 $62.99 5% Not Applicable $187.44 02/01/2017 01/31/2018 $65.51 4 % Diane Rukavina/City Engineer $160.26 02/01/2014 01/31/2016 $56.01 $168.27 NA NA 02/01/2016 01/31/2017 $58.81 5% Not Applicable $175.00 02/01/2017 01/31/2018 $61.16 4 % Vanessa Munoz/DeputyDirector $156.22 02/01/2014 01/31/2016 $54.60 $164.03 NA NA O2/01/2016 01/31/2017 $57.33 5% Not Applicable $170.59 02/01/2017 01/31/2018 $59.62 4 % Ruth Smith/ Project Manager $161.46 02/01/2014 01/31/2016 $56.43 $169.53 NA NA 02/01/2016 01/31/2017 $59.25 5% Not Applicable $176.31 02/01/2017 01/31/2018 $61.62 4 % Tyrone Peter/Project Manager $145.64 02/01/2014 01/31/2016 $50.90 $152.92 NA NA 02/01/2016 01/31/2017 $53.45 5% Not Applicable $159.03 02/01/2017 01/31/2018 $55.58 4 % Rex Miller/Senior GIS Analyst $109.76 02/01/2014 01/31/2016 $38.36 $11524 NA NA 02/O1/2016 01/31/2017 $40.28 5% Not Applicable $119.85 02/O1/2017 01/31/2018 $41.89 4 % 1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsultant firms. 2. Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note: • Denote all employees subject to prevailing wage with an asterisks (*) • For "Other Direct Cost' listing, see page 2 of this Exhibit Page 3 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #2) Page 2 of 2 SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant or Subconsultant Willdan Engineering Contract No. RFP 14-037 Date January 30, 2015 SCHEDULE OF OTHER DIRECT COST ITEMS PRIME CONSULTANT SUBCONSULTANT #1 SUBCONSULTANT #2 DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL Special Tooling None Special Tooling Special Tooling A. A. B. B. C. C. Travel Travel Travel A. Mileage Charge g $.575 /mile TBD TBD A. A. B. B. C. C. PRIME TOTAL ODCs = SUBCONSULTANT #1 ODCs = SUBCONSULTANT #2 ODCs = IMPORTANT NOTES: 1. List direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentations. 2. Proposed items should be consistently billed directly to all clients (Commercial entities, Federal Govt., State Govt., and Local Govt. Agency), and not just when the client will pay for' hem as a direct cost 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice). 5. Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre -approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) requirements. 7. If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage logs. 8. If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. Page 4 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHIBIT'10-K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10-K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note. If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA-OB 13-07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at httpJ/www.dot.ea.govlltq/LocalPrograms/DLA_OBIDLA_OB,him in lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: Willdan-Eineering Indirect Cost Rate: 160.11% * for fiscal period 1/1/2013 to 12/31/2QJ1 (mm/dd/yyyy to mm/dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFPNo. 14-037 Project Number: N/A 1, 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 or 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: 1, 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 j32 43 260 and the number of states in which the thin does business is 6. Certification of Direct Costs: 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of'ritle 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15-01 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10-K Consultant Certification of Contract Costs and Financial Management System 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 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): $ 50,000* Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ 200,000' Prime, list all subconsulta is and proposed subcontract dollar amounts (attach additional page if necessary) Absolute Consulting Engineers $ 8,0W BOA Architecture $ 8,000* Coast Surveying, Inc. $ 9,0W Counts Unlimited, Inc. $ 5,000. OMB Electrical Engineers, Inc. $ 10,000* WKE, Inc. $ 10,000` .Estimated amount only Consultant Certifying (Print Name and Title): Name: Daniel Chow Title: President/CEO Consultant Certification Signature *' Date of Certification (mmlddlyyyy): Jalmary 30. 20 55 Consultant Contact Information: Email: dchow a willdan.com Phone number: 714.978,8200 **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)(B), Subaon,sultants most enmply with the FAR Cost Principles contained in 48 CYR, Part 31, 23 CRR Part 172.3 IJefinitions state: Consultant means the individual or firm providing engineering and design related services as a party to itle contract. Therefore, subconsultanis as parties of contract must complete a certification and send originals to A&1 and keep copies in Local Agency Project Files, Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP I5d11 January 14, 2015 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #2) Page 1 of SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant or Subconsultant Absolute Consulting Engineers Contract No. RFP 14-037 Date January 30, 2015 Fringe Benefit 0% + Overhead 27.5% + General Administration 22% Combined Indirect Cost Rate (ICR) 49.5% (= 0% if Included in OH) (= 0% if Included in OH) FEE % = 5% BILLING INFORMATION CALCULATION INFORMATION Name/Job Title/Classification' Hourly Billing Rates Straight OT(1.5x) OT(2x) Effective date of hourly rate From To Actual or Avg. hourly rate' % or $ increase Hourly range - for classifications only K. Nourmohammadi/Engineer/Principal $182.00 $189.28 $196.85 $273.00 $283.92 $295.27 $363.99 $378.55 $393.70 01/01/2015 01/01/2016 01/01/2017 12/31/2015 12/31/2016 12/31/2018 $115.94 $120.58 $125.40 4.0% 4.0% Not Applicable Administrative $76.00 $79.04 $82.20 $114.00 $118.56 $123.30 $152.00 $158.08 $164.40 01/01/2015 01/01/2016 01/01/2017 12/31/2015 12/31/2016 12/31/2017 $76.00 $79.04 $82.20 4.0% $68.00-$88.00 1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsultant firms. 2. Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note: • Denote all employees subject to prevailing wage with an asterisks (') • For "Other Direct Cost' listing, see page 2 of this Exhibit Page 1 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal Exhibit 10-H Sample Cost Proposal (Example #2) Page 2 of 2 SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant or Subconsultant Absolute Consulting Engineers Contract No. RFP 14-037 Date January 30, 2015 SCHEDULE OF OTHER DIRECT COST ITEMS PRIME CONSULTANT SUBCONSULTANT #1 SUBCONSULTANT #2 DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT NI UT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL Special Tooling Special Tooling if required Special Tooling A. Sheet $12.00 A. In House plotting Sheet $12.00 $12/sht A. B. B. B. C. C. C. Travel Travel Travel A. A. Site if required Miles $0.52 .52/mi A. B. B. B. C. C. C. PRIME TOTAL ODCs = SUBCONSULTANT #1 ODCs = SUBCONSULTANT 42 ODCs = IMPORTANT NOTES: 1. List direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentations. 2. Proposed items should be consistently billed directly to all clients (Commercial entities, Federal Govt., State Govt., and Local Govt. Agency), and not just when the client will pay for them as a direct cost. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice). 5. Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre -approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) requirements. 7. If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage logs. S. If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. Page 2 LPP 13-01 June 20,2013 Local Assistance Procedures Manual EXHIBIT 10-K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10-K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA-OB 13-07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at http://www. dot ca.gov/hq/LocalProgramsIDLA_OB/DLA_OB.htm in lieu of this form) Certification of Final Indirect Costs: Consultant Firm Name: Absolute Consulting Engineers Indirect Cost Rate: 49.5% for fiscal period _2/l/2015- 2/l/2016_ (mm/dd/yyyy to mm/dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP No. 14-037 Project Number: N/A 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 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 $0.00 Direct [always indirect subcontractor to others] and the number of states in which the firm does business is 31. Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15-01 January 14,2015 Local Assistance Procedures Manual EXHIBIT 10-I{ Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ 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: Khosrow Nourmohammadi Title: Professional Engineer Consultant Certification Signature ** Cttt Date of Certification (mm/dd/yyyy): Janua 30 2015 Consultant Contact Information: Email: snournabsoluteco.com Phone number: 949 852 8700 **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)(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 of a contract must complete a certification and send originals to A&] and beep copies in Local Agency Project Files, Distribution: 1) Original to Celtrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15-01 January 14, 2015 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE 92) Page I oft SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant or Subconsultant Black O' dowd and Associates. DBE BOA Architecture Contract No. RFP 14-037 Date January 30. 2015` Fringe Benefit % 15% (= 0% if Included in OH) BILLING INFORMATION Overhead % 25% + General Administration % 35% = Combined Indirect Cost Rate (ICR) % (= 0% if Included in OH) FEE % - (2.5x -3.0x) CALCULATION INFORMATION Name/Job Title/Classification' Hourly Billing Rates2 Straight OT(13x) OT(2x) Effective date of hourly rate From To Actual or Avg. hourly rate' % or $ increase Hourly range - for classifications only Principal -Edward Lok Ng $190.00 $285.00 $380.00 01/01/2015 12/31/2015 $67.00 3 % $170.00 - $190.00 Associate - Jerry Sturm $150.00 $225.00 $300.00 01/01/2015 12/31/2000 $53.00 3% $150.00 - $165.00 Project Manager- Jerry Sturm $140.00 $210.00 $280.00 01/01/2015 12/31/2015 $50.00 3% $130.00 - $140.00 Project Designer - Miguel Andrade $125.00 $187.00 $250.00 01/01/2015 12/31/2015 $44.00 3% $110.00 - $125.00 Senior Designer- Cristina Villa -Reyes $110.00 $165.00 $220.00 01/01/2015 12/31/2015 $39.00 3 % $100.00 - $110.00 Senior Technical $100.00 $150.00 $200.00 01/01/2015 12/31/2015 $35.00 3% $90.00 - $100.00 Intermediate Technical Staff $90.00 $135.00 $180.00 01/01/2015 12/31/2015 $32.00 3% $80.00 - $90.00 Other Technical Staff $75.00 $112.00 $150.00 01/01/2015 12/31/2015 $26.00 3% $65.00 - $75.00 Clerical Staff $60.00 $90.00 $120.00 01/01/2015 12/31/2015 $21.00 3% $55.00 - $60.00 1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsultant firms. 2. Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note: • Denote all employees subject to prevailing wage with an asterisks (*) • For "Other Direct Cost" listing, see page 2 of this Exhibit Page 1 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #2) SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Page 2 of 2 Consultant or Subconsultant Black O'dowd and Associates, DBE BOA Architecture Contract No. RFP 14-037 Date January 30, 2015 SCHEDULE OF OTHER DIRECT COST ITEMS PRIME CONSULTANT SUBCONSULTANT #1 SUBCONSULTANT #2 DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL Special Tooling Special Tooling Special Tooling A. A. Large Format Prints 24x36 sheet $3.00 $3.00/ sheet A. B. B. B. C. C. C. Travel Travel Travel A. A. Mileage mile $0.57 $0.57/ mile A B. B. B. C. C. C. PRIME TOTAL ODCs = SUBCONSULTANT #1 ODCs = SUBCONSULTANT #2 ODCs = IMPORTANT NOTES: 1. List direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentations. 2. Proposed items should be consistently billed directly to all clients (Commercial entities, Federal Govt., State Govt., and Local Govt. Agency), and not just when the client will pay for them as a direct cost. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice). 5. Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre -approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) requirements. 7. If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage logs. Page 2 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal 8. If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. Page 3 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHIBIT 10-K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10-K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA-OB 13-07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at http://www.dot.ca.gov/hq/Loca1Programs/DLA_OB/DLA_OB.him in lieu ofthis form) Certification of Final Indirect Costs: Consultant Finn Name: Black O'dowd and Associates DBE BOA Architecture Indirect Cost Rate: 280% * for fiscal period 01/01/2015 — 12/31/2015 (mm/dd/yyyy to mm/dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP No. 14-037 Project Number: N/A 1, 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 b_ystem: 1, the undersigned, certify to the best of my luiowledge 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: 1, 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 $ 1,000,000/vr and the number of states in which the firm does business is 4 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: Page I of 2 UP 15-01 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 16-I{ Consultant Certiflcalloo of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. 8ubconsultants (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: Edward Lok N "Title: Architect Consultant Certification Signature Date of Certification (mnnlddtyyyy): Januaiy 30. 20f 5, Consultant Contact Information: Email: lok,n a boaarchitecture,com Phone number: O: 562-91.24900 C: 3I0-480-7730 **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: Pei-23 14S.C. I12(b)(2)(B), Sitbeoasuttmtts r+mtst comply With life FAR Cost Priuefl7les cotttaiiied iti 48 CFR$ Part 31. 23 CFR Part 172.3 Definiltons state: Consultant semis the htdrridaal ar frrm fx-oniding eagttteering mxf design related services as apm7y to the conawet..Therefine, sabcoasaltaws aspartles ofa contract nurst coneplete a eertication and send originals to Aci7 and keep copies in Local Agency Project Fifes. nisn9bidtow I)Qriginalto Caltrans Auditsandinvestigations 2) Retained in Local Ageacy Project Flies Page 2 of 2 LPP 15-01 Jnnuary 14,2015 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE 92) SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant or Subconsultant Coast Surveying, Inc. Contract No. RFP 14-037 Date January 30, 2015 71.29 % + Overhead % + 105.94% % = 177.23 % (= 0% if Included in OH) (= 0% if Included in OH) BILLING INFORMATION FEE %= 10.00% CALCULATION INFORMATION Page 1 of Name/Job Title/Classification' Hourly Billing Rates' Effective date of hourly rate Actual or Avg. % or $ Hourly range - Straight OT(1.5x) OT(2x) From To hourly rate' increase for classifications only Ruel del Castillo, Survey Manager $201.27 N/A N/A 01/01/2015 12/11/2015 $66.00 Not Applicable $207.31 01/01/2016 12/31/2016 $67.98 3.0% $213.53 01/01/2017 12/31/2017 $70.02 3.0 % Ken Kasbohm, Project Surveyor $157.54 $236.31 $315.08 01/01/2015 12/31/2015 $51.66 Not Applicable $162.26 $243.39 $324.52 01/01/2016 12/31/2016 $53.21 3.0% $167.13 $250.70 $334.26 01/01/2017 12/31/2017 $54.81 3.0% Gwen del Castillo, Project Surveyor $154.46 $231.69 $308.92 01/01/2015 12/31/2015 $50.65 Not Applicable $159.09 $238.64 $318.18 01/01/2016 12/31/2016 $52.17 3.0% $163.85 $245.78 $327.70 01/01/2017 12/31/2017 $53.73 3.0% Neil Darling, Survey Analyst $125.03 $187.54 $250.06 01/01/2015 12/31/2015 $41.00 Not Applicable $128.78 $188.67 $251.56 01/01/2016 12/31/2016 $42.23 3.0% $132.64 $198.96 $265.28 01/01/2017 12/31/2017 $43.50 3.0% CA LS Party Chief * $142.29 $213.44 $284.58 01/01/2015 12/31/2015 $46.66 Not Applicable $146.56 $219.84 $293.12 01/01/2016 12/31./2016 $48.06 3.00/( $150.96 $226.44 $301.92 01/01/2017 12/31/2017 $49.50 3.0 1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsultant firms. 2. Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note: Denote all employees subject to prevailing wage with an asterisks (*) For "Other Direct Cosf' listing, see page 2 of this Exhibit BILLING INFORMATION LPP 13-01 CALCULATION INFORMATION Page 1 June 20, 2013 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal Name/Job Title/Classification' Hourly Billing Rates Effective date of hourly rate Actual or Avg. % or $ Hourly range - Straight OT(1.5x) OT(2x) From To hourly rate' increase for classifications only Certified Party Chief * $140.16 $210.24 $28032 01/01/2015 12/31/2015 $45.96 Not Applicable * $14436 $216.54 $288.72 01/01/2016 12/31/2016 $47.34 3.0% $148.70 $223.05 $297.40 01/01/2017 12/31/2017 $48.76 3.0% Party Chief * $133.90 $200.85 $267.80 01/O1/2015 12/31/2015 $43.91 Not Applicable * $137.92 $206.88 $275.84 01/01/2016 12/31/2016 $45.23 3.0% $142.06 $213.09 $284.12 01/01/2017 12/31/2017 $46.58 3.0 % Instrumentman * $126.28 $189.42 $252.56 01/01/2015 12/31/2015 $41.41 Not Applicable * $130.07 $195.10 $260.14 01/01/2016 12/31/2016 $42.65 3.0% $133.97 $200.96 $267.94 01/01/2017 12/31/2017 $43.93 3.0% Chairman * $124.51 $186.76 $249.02 01/01/2015 12/31/2015 $40.83 Not Applicable * $128.25 $19238 $256.50 01/01/2016 12/31/2016 $42.05 3.0% $132.10 $198.15 $264.20 01/01/2017 12/31/2017 $4332 3.0 % 1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsultant firms. 2. Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note: • Denote all employees subject to prevailing wage with an asterisks (*) • For "Other Direct Cost' listing, see page 2 of this Exhibit Page 2 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #2) Page 3 of 3 SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant or Subconsultant Coast Surveyine, Inc. Contract No. RFP 14-037 Date January 30, 2015 SCHEDULE OF OTHER DIRECT COST ITEMS PRIME CONSULTANT SUBCONSULTANT #1 SUBCONSULTANT #2 DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL Special Tooling Special Tooling Special Tooling A. A. A. B. B. B. C. C. C. Travel Travel Travel A. A. j A. B. B. B. C. C. C. PRIME TOTAL ODCs = SUBCONSULTANT #1 ODCs = SUBCONSULTANT #2 ODCs = IMPORTANT NOTES 1. List direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentations. 2. Proposed items should be consistently billed directly to all clients (Commercial entities, Federal Govt., State Govt., and Local Govt. Agency), and not just when the client will pay for them as a direct cost. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice). 5. Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre -approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) requirements. 7. If mileage is claimed, the rate should be properly supported by the consultanfs calculation of their actual costs for company vehicles In addition, the miles claimed should be supported by mileage logs. S. If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. Page 3 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual ExHifirr 10-K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10-K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize rise Safe Harbor Indirect Cost Rate suhmit Attachment 1 of DLA-OB 13-07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at hup.11wtvw. dot. ca.gov1hq1LocalPrograms1DLA_OBIDLA_OB.btm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: Coast Surveyina. Inc. Indirect Cost Rate: _t77.23%_ * for fiscal period 01/01/2013 to 12/31/2013 *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: Cit oanta Ana Contract Number: RFP No. 14-037 Project Number: N/A 1, 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 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, Pail 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: 1, 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 contractsawarded by Caltraus or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agenoies is $ 4,207,432 and the number of states in which the firm does business is one. Certification of Direct Costs: 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are 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: Page I of 2 LPP I5-01 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10-K Consultant Certification of Contract Costs and Financial Management System 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. Subeonsuitants (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): $ Prune, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Consultant Certifying (Print Name and Title): Mute: Ruel del Castillo Title: _President Consultant Certification Signature Date of Certification (mmlddiyyyy): _January 30 2015 . Consultant Contact Information: Email- ruel.delcastillo@coastsurvey.corii Phone number: (714) 918-6266' "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 USC 112(b)(2)(.q). Subconsultants must comply with the FAR Cost Principles contained in 4$ CFR, Part 31. 23 CFR Part 172.3 Def$nuions state_ Consultant n:eens the individual ar firm providing engineering and design re.1 tedsendoes as a peaty to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to d&1 and keep co/ales in Local Agency Project Files. Distriballon: ))Original to Calaans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15-01 January 14, 2015 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE 92) Page 1 of SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant or Subconsultant Counts Unlimited, Inc. Contract No. REP 14-037 Date January 30, 2015 0% + 20 % + 15 % = 35 % (= 0% if Included in OH) (= 0% if Included in OH) FEE % = 10% BILLING INFORMATION CALCULATION INFORMATION Name/Job Title/Classification' Hourly Billing Rates' Effective date of hourly rate Actual or Avg. % or $ Hourly range - Straight OT(1.5x) OT(2x) From To hourly rate' increase for classifications only Abe Campos / Project Manager $42.87 $0.00 $0.00 01/01/2015 12/31/2015 $28.87 Not Applicable $42.87 $0.00 $0.00 01/01/2016 12/31/2016 $28.87 0% $42.87 $0.00 $0.00 01/01/2017 12/131/2017 $28.87 0.0 % Kirk Harris / Field Supervisor $42.87 $0.00 $0.00 01/01/2015 12/31/2015 $28.87 Not Applicable $42.87 $0.00 -$0.00 01/01/2016 12/31/2016 $28.87 0% $42.87 $0.00 $0.00 01/01/2017 12/31/2017 $28.87 0.0 % Julian Aguilar / Data Collection $2228 $0.00 $0.00 01/01/2015 12/31/2015 $15.00 Not Applicable $22.28 $0.00 $0.00 01/01/2016 12/31/2016 $15.00 0% $22.28 $0.00 $0.00 01/01/2017 12/31/2017 $15.00 0.0 % Rachel Campos / Data Entry $27.84 $0.00 $0.00 01/01/2015 12/31/2015 $18.75 Not Applicable $27.84 $0.00 $0.00 01/01/2016 12/31/2016 $18.75 0% $27.84 $0.00 $0.00 01/01/2017 12/31/2017 $18.75 0.0 % Jamie Beltran/ Data Collection $27.84 $0.00 $0.00 01/01/2015 12/31/2015 $18.75 Not Applicable $27.84 $0.00 $0.00 01/01/2016 12/31/2016 $18.75 0% $27.84 $0.00 $0.00 01/01/2017 12/31/2017 $18.75 0.0 % 1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsultant hums. 2. Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note: • Denote all employees subject to prevailing wage with an asterisks (*) • For "Other Direct Cosy' listing, see page 2 of this Exhibit Page 1 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE 92) Page 2 of 2 SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant or Subconsultant Counts Unlimited, Inc. Contract No. RFP 14-037 Date January 30, 2015 SCHEDULE OF OTHER DIRECT COST ITEMS PRIME CONSULTANT SUBCONSULTANT #1 SUBCONSULTANT #2 DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL Special Tooling Special Tooling Special Tooling A. A. A. B. B. B. C. C. C. Travel Travel Travel A. A. j A. B. B. B. C. C. C. PRIME TOTAL ODCs = SUBCONSULTANT #1 ODCs =0 SUBCONSULTANT #2 ODCs = IMPORTANT NOTES: 1. List direct cost items with estimated costs. These costs should be ewmpetitive in their respective industries and supported with appropriate documentations. 2. Proposed items should be consistently billed directly to all clients (Commercial entities, Federal Govt., State Govt., and Local Govt. Agency), and not just when the client will pay for them as a direct cost. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice). 5. Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre -approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) requirements. T If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage logs. 8. If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. Page 2 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHIBIT 10-K is and Financial Mana EXHIBIT IO-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 ➢LA-OB 13-07 - Safe Harbor Indirect Cost Bate for Consultant Contractsfound at hftn:Ntvww.dot ca govlltglLocalPrograms/DLA_OBI➢LA_OB.hun in lieu of this fornr.) Certification of Final Indirect Costs: Consultant Firm Name: Counts unlimited, Inc. Indirect Cost Rate: 35% * for fiscal period06/l/2013--5 3IM0 4 (nun/dd/yyyy to mm/dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: �RFP No._ 14-037 Project Number: N/A 1, the undersigned, certify that 1 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) 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 thefirm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management Svstem: 1, 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: 1, 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 $ 400 000 and the number of states in which the firm does business is 2 Certification of Direct Costs: 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are 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: Page 1 of 2 LPP 15-01 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10-K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAt1P) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terns of the contract and is incurred specifica9ly for the contract. 3. Not prohibited by 23 CPR, 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): $ �_ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name; Abrahignl-l.Q41nW Title: Consultant Certification Signature **: Date of Certification (mm/ddtyyyy): Consultant Contact Information: Email: bef countsuntbnited.corn _ Phone number: _ 951-268-6268 **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 re�resent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 t7.SCC 112(h)(2)(&), Subconsultants must comply with the PAR Cost Principles contained in 48 CPR Part 31. 23 (FR Part 172.3 Definitions state: Consultant means the individual oe firm providing en jineering and design related services as a party to the contract. Therefore, sabconsultunis as parties of a contract must complete a certlficolion and send originals to A&! and keep copies in Local Agency Project Files, Distribution: 1) Original to Caitrens Audits and Investigations 2) Retained in Uwl Agency Project riles Page 2 of 2 LPP 15.01 January 14, 2015 Local Assistance Procedures Manual EXHBTF 10-H Sample Cost Proposal EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #2) Page 1 of SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant or Subconsultant WKE, Inc._ _ Contract No. RFP 14-037 Date January 30, 2015` Fringe Benefit 0% + Overhead li7.6% + General Administration 0% = Combined Indirect CostRate(ICR) 137.6% (= 0% if Included in OH) (= 0% if Included in OH) FEE %= 10% BILLING INFORMATION CALCULATION INFORMATION Name/Job Title/Classification' Hourly Billing Rates' Effective date of hourly rate Actual or Avg. % or $ Hourly range - Straight OT(1 Sx) OT(2x) From To hourly rate 3 increase for classifications only Daniel Weddell, Sr. Project Engineer $198.92 $198.92 $198.92 01/01/2015 12/31/2015 $76.11 Not Applicable $204.89 $204.89 $204.89 01/01/2016 12/31/2016 $78.39 3.0% $211.04 $211.04 $211.04 01/01/2017 12/31/2017 $80.75 3.0% Adam Wang, QA/QC Engineer $222.03 $222.03 $222.03 01/01/2015 12/31/2015 $84.95 Not Applicable $228.69 $228.69 $228.69 01/01/2016 12/31/2016 $87.50 3.0% $235.55 $235.55 $235.55 01/01/2017 12/31/2017 $90.12 3.0 % Casey Weber, Project Engineer $150.31 $150.31 $15031 01/01/2015 12/31/2015 $57.51 Not Applicable $154.82 $154.82 $154.82 01/01/2016 12/31/2016 $59.24 3.0% $159.46 $159.46 $159.46 01/01/2017 12/31/2017 $61.01 3.0% Akshay Banesh, Engineer $96.70 $96.70 $96.70 01/01/2015 12/31/2015 $37.00 Not Applicable $99.60 $99.60 $99.60 01/01/2016 12/31/2016 $38.11 3.0% $102.59 $102.59 $102.59 01/01/2017 12/11/2017 $39.25 3.0 % Trag Doung, Drafter $79.71 $119.57 $159.43 01/01/2015 12/31/2015 $30.50 Not Applicable $82.11 $123.16 $164.21 01/01/2016 12/31/2016 $34.42 3.0% $84.57 $126.85 $169.14 01/01/2017 12/31/2017 $32.36 3.0% 1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsultant firms. 2. Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note: • Denote all employees subject to prevailing wage with an asterisks (*) • For "Other Direct Cost' listing, see page 2 of this Exhibit Page 1 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHBIT 10-H Sample Cost Proposal EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #2) Page 2 of 2 SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant or Subconsultant WKE, Inc. Contract No. RFP 14-037 Date January 30, 2015_ SCHEDULE OF OTHER DIRECT COST ITEMS PRIME CONSULTANT SUBCONSULTANT #1 SUBCONSULTANT #2 DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL Printing Special Tooling Special Tooling A. 22x34 Bond Sq Ft $0.77 A. A. B. 2204 Mylar Sq Ft $1.27 B. B. C. C. C. Travel Travel Travel A. Mileage $mile $0.575 A. A. B. B. B. C. C. C. Mailings A. Overnight Ea $25.00 B. Same Day Dleivety Ea $65.00 PRIME TOTAL ODCs = SUBCONSULTANT #1 ODCs = SUBCONSULTANT #2 ODCs = IMPORTANT NOTES: 1. List direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentations. 2. Proposed items should be consistently billed directly to all clients (Commercial entities, Federal Govt., State Govt., and Local Govt. Agency), and not just when the client will pay for them as a direct cost. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice). 5. Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre -approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) requirements. 7. If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage logs. 8. If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. Page 2 LPP 13-01 June 20, 2013 Local Assistance Procedures Manual EXHIBIT 10-K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10-K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Bate 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_OBIDLA_OB./itm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: _WKE litc. _,_ _ Indirect Cost Rate: 137.6% *for fiscal period I/l/2013 to 12/31/2013 *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: _City of Santa Ana Contract Number: RFP No. 14-03 7 Project Number: N/A 1, 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 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 frrm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: 1, 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: 1, the undersigned, certify that the approximate dollar amount of all A&P 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 y 1(tU0 000 and the number of states in which the firm does business is ,I 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 coats to a Government contract shall be: Page 1 of 2 L.PP 15-01 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10-K Consultant Certification of Contract Casts and Financial Management System 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 CPR, 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. Subeansultants (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: Title: President Consultant Certification Signature **: Date of Certification (mmlddlyyyy): January 30 2015 Consultant Contact Information: Email: wkop(c wke-in(Lcom __, Phone number: 714-953-2665 **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 11.4.C. 112(h)(2)(S), Subeornsultants must eomply with the F,4R Cost 1'rdncitti" contained da 48 CFR, Part 31, 23 CPR Part 172.3 Definitions state: Consultant means the individual orJ3rm providing engineering and design related services as a parry to See contract. Therefore, subconsultarus as parries ofa contract must complete a certy1cation and send originals to A&1 and keep copies in Local Agency Pt-giea Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project files Page 2 of 2 LPP 1.5-01 January 14, 2015 EXHIBIT C ADDITIONAL PROVISIONS CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES The following documents in reference to the on -call engineering services hereunder are hereby on file with the City of Santa Ana's Public Works Agency and are hereby incorporated by reference: • Request for Qualifications (RFQ) — RFQ No. 14-037 • Statement of Qualifications (SOQ) -- in response to RFQ No. 14-037 • Request for Proposal (RFP) — REP No. 14-037 • Proposal --in response to REP No. 14-037 EXHIBIT D ATTACHMENTS D-1, D-2, D-3 & D-4 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES APPENDIX ATTACHMENT D-1: NON -COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non -collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non -collusion Affidavit. BIDDERS are cautioned that making a�ertificatioonmay subject the certifier to criminal prosecution. Signed State of California County of R� 8 Spbscribed and sworn to (or affirmed &Mflefh 7RYIOAP, proved to me appeared before me. before me on this I/SM day on the basis of satisfactory evidence PATRICIA MAGALLANES Commission i 1921789 Notary Public - California Orange County My Comm. Ea Ires Jan 14, Notary Public Seal of IJO✓001111 .- 2Q 4, by to be the person(s) who THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14-037 Page 26 APPENDIX ATTACHMENT D-2; NON -LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14-037 The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress In connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Name Willdan Engineering J Signed and Printed Director of Engineering Date: November 17, 2014 Kenneth C. Taylor THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14-037 Page 27 APPENDIX ATTACHMENT D-3: DEPARTMENT OF HOUSING & URBAN DEVELOPMENT SECTION 3 CONTRACT CLAUSE CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14-037 DEPARTMENT OF HOUSING & URBAN DEVELOPMENT (HUD) SECTION 3 CONTRACT CLAUSE A. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (Section 3), The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD -assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. D. The contractor agrees to include the Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge of that the subcontractor has been found in violation of the regulations in 24 CFR Part 135, E. The Contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected, but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractors obligations under 24 CFR Part 135. Noncompliance with HUD's regulations in 24 CFR part 35 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. City of Santa Ana RFP 14-037 Page 28 G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self -Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the prima Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project Is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income individual residing within the Section 3 area, whose total family income does not exceed 90% of the median income of the metropolitan statistical area in which the project Is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996-97, minimum goal for each project is 30%. The Contractor/Sub-contractor/Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor/Sub-contractor/Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his/her operations within the City of Santa Ana. Sig ature� Signature Signature Kenneth C. Taylor, Director of Engineering Name and Title Print Name and Title Print Name and Title November 17, 2014 Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14-037 Page 29 Absolute Consulting Engineers - Form D-3 Signature Page G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self -Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the Primary Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located, It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident Is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996-97, minimum goal for each project is 30%. The Contractor/Sub-contractor/Service Provider by the signature affixed hereto declares under penalty of perjury; Contractor/Sub-contractor/Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his/her operations within the City of Santa Ana, Signature Signature Print Name and Title Print Name and Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Scanned by CamScanner BOA Architecture - Form D-3 Signature Page G. With respect to work performed In connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self -Determination and Education Assistance Act (25 U.S.C. 4500) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (II) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the prime Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project Is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower Income individual residing within the Section 3 area, whose total family Income does not exceed 80% of the median Income of the metropolitan statistical area in which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of Income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower Income residents (local residents) and job opportunities In connection with projects In their neighborhoods. For fiscal year 1996-97, minimum goal for each project is 30%. The Contractor/Sub-eontractor/Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor/Sub-contractor/Service Provider has read Section 3 requirements and accepts all Its requirements contained therein for all of his/her operations within the City of Santa Ana. Siggg-nnaattuuurre / Signature ` L Signature Print Name and Title t-8WQfd L(*_ NaINesiL'oy Print Name and Title,-) Print Name and Title THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THiS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14�037 Page 29 Coast Survey - Form D-3 Signature Page G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self -Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (I) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference In the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not In dorogatlon of compliance with Section 7(b). For the purpose of training and employment the prima Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract In which the project is located. It Is understood that priority for employment opportunity Is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area In which the project Is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income, The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996-97, minimum goal for each project is 30%. The Contractor/Sub-contractor/Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor/Sub-contractor/Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his/her operations within the City of Santa Ana. Signature Signature C� uo P ► T Print Name and Title Print Name and Title Print Name and Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14-037 Page 29 Counts Unlimited - Form D-3 Signature Page O. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self -Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (li) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the primary Section 3 covered project area Is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects In their neighborhoods. For fiscal year 1996-97, minimum goal for each project is 30%. The Contractor/Sub-contractor/Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor/Sub-contractor/Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his/her operations within the City of Santa Ana. ig�S nat$ie Signature Signature Abe Campos, Project Manager Print Name and Title Print Name and Title Print Name and Title Date City of Santa Ana RFP 14-037 Page 29 OMB - Form D-3 Signature Page G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self -Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the prima re Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996-97, minimum goal for each project is 30%. The Contraotor/Sub-contractor/Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor/Sub-contractor/Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his/her operations within the City of Santa Ana. Signature S' ure Signature Print Name and Title Jeffrey C. Overmyer P.E.. President Print Name and Title Print Name and Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14-037 Page 29 W KE - Form D-3 Signature Page G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self -Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (li) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the prime ry Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996-97, minimum goal for each project is 30%. The Contractor/Sub-contractor/Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor/Sub-contractor/Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his/her operations within the City of Santa Ana. Signature -,yam Signature Signature Print Name and Title 4�67 /hod ,�pi�s ems/ Print Name and Title Print Name and ��/rz-/?-" hy Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14-037 Page 29 APPENDIX ATTACHMENT D-4: CERTIFICATION OF NON-DISCRIMINATION BY CONSULTANTS CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 As suppliers of goods or services to the City of Santa Ana, the Firm listed below certifies that it does not discriminate in its employment with regard to race, color, religion, sex, or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non-discrimination in employment and including, but not limited to, what is listed in the Non -Discrimination Clause in Exhibit 10-V per: http://www.dot.ca.gov/hq/Local Program s/lam/form s/chapterl 0/ l Ov-2013-05-14.docx and that it agrees to demonstrate positively and aggressively the principle of equal opportunity In employment. The same shall apply and be included in all subconsultant agreements. I�P/�_Cel7��9T�l�CeLT��'A To take affirmative steps to hire minority employees with the company. 2. To establish or observe employment policies within affirmative promotion opportunities for minority persons at all job levels. 3. To communicate this policy to all persons concerned, including all company employees, outside recruiting services, especially those servicing minority communities, and to the minority communities at large. FIRM willdan Engineering TITLE OF PERSON SIGNING Director of Engineering '[eP►G`If] za DATE November 17, 2014 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Page 30 "�'��'� CERTIFICATE ®F LIABILITY iNSURANCE b r11105)2015 r, THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsemends), PRODUCER ADD Risk insurance Services West, Inc. LOS Angeles CA Office 707 Wilshire Boulevard Suite 2600 CONTACT NAME: (ao.NP,E•p; C806) 283-7127 No No 1: (800) 3h3-0105 i-MAIL ADDRESS: ' Los Angeles CA 90017-0460 USA INSURER(S) AFFORDING COVERAGE NA(C tt INSURED INSURER A: National Fire Ins, CO. Of Hartford 20478 willdan Engineering 2401 East Katella Avenue, Suite 300 Anaheim CA 921106 USA INSURER a: The Continental Insurance Company .35289 INSURER C: Lexington Insurance Company 19437 INSURER 0: INSURER E: INSURER F: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICYPERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN 18 SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES, LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. Limits shown are as requested LTRINSR TYPE OF INSURANCE INBD 0 POLICY NUMBER MMlOOrrYYY MppIYY Y LIMITS X COMMERCIAL GENERAL LIABILITY - 1 EACH OCCURRENCE 81 i000, OUO CLAIMS -MADE EOCCUR 0 NT D PREMISES Ea omurtence - 31,000,000 MEO EXP OM, Pne pe,N,a) $15,000 _ PERSONAL 3 ADV INJURY $1,000,000 GEN'L AGGREGATE LIMIT APPLIES PER: POLICY X PRO X LOC JECi I GENERALAGGREGATE $2,000,000 PRODUCTS - COMPIOP ADD $2,000,000 OTHER: A AUTOMOBILE LIABILITY 6020541619 11/09/ZO1511/09/2016 COMBINED SINGLE UMrr: Ea aceldeal $1,000,000 BODILY INJURY (Pa, person) X ANY AUTO ALL OWNEQ SCHEDULED AUTOS NOR HIRED P.UTOS N.R." IEQ AUTOS BODILY INJURY (Par aadarb PROPERTY pAMAGE Per aaoldon0 UMBRBLLALIAB H OCCUR EACH OCCURRENCE EXCESSUAB CLAIMS -MADE AGGREGATE DED RETCNTION 9 9 WORKERS COMPENSATION AND EMPLOYERS' LIABILITY PNYPROPRIETORIPARTNERIEXECUTNE YIN OFFICERIMEMBER EXCLUOEO9 FI (Mandatory la NFB IryS,,afescfib. under NIA 6022647422 workers Compensation A08 602054157Z Workers compensation CA 11/09/2015 11/09/2015 1.1/09/2016 11/09/2016 PER OTH. X s A UTE ER E,L. EACH AccioENi $1 000,000 E.L. DISEASE -EA EMPLOYEE $1,000,000 E.L. DISEASE -POLICY LIMIT $1-,000,000 DESCRIPTION OF OPERATIONS halary c Contractor Prof 02$174912 Professional Liability 11lp9/2015 11/09/2016 Per Claim Aggregate $11000,000 $2,000,000 SIR $250, 000 DESCRIPTION OF OPERATIONS l LOCATIONS IVEHICLES (ACORDTai,Addldanal Remarks Schedule, maybe attached Amore space is re9uimdi Re: TO provide engineering services on an as -needed basis. Engineering9 services may include, but are not 'limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land/property surveying, structural, architecture and landscaping design services and grant writing services. General Liability policy exclludes claims arising out of the performance of professional services. InContractors are included as respects/,W General Liability, RFV1EWE1 t CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED N ACCORDANCE 9YITH THE POLICY PROVISIONS. City OF Santa Ana AUTHORIZED REPRESENTATIVE Attn: City Clerk 20 CIVIC Center P1 aza(M-30) Santa Ana CA 92702 USA J 9y �G6LC4�SdG bt1RaG3 S y / q lkC 71n ©1988-2014 ACORD CORPORATION. All rights reserved. ACORD 25 12014101) The ACORD name and logo are registered marks of ACORD O Z N u C U A TjTIQjjNQA _ INSURED KNE) OSENI[ A FOR C i)�1 IEKIAL. CIEINEA Li. IAi3,it.ITY POLtt"Y"Y' Insuuznnce Conalrtny S Continental Insuranac Co This crag incrncnt modifies such insurance as is alTorded by the 1no,isions of Policy H 5088210281 _ __..----- _ relating to the following. 1. The (wy of Sauna Ana, 20 (Avic Unter plaza, Santa Ana, California 927K its officers, employees. agents volunteers anal representatives are named as additional insureds ("additional insureds") with regard to hability and dctvuse of suits arising from the operadon; atxl uses performed by or or) behalf of the narnal insured. 2. With respect kr claims ausiug out of the opc i ations and uses performed by or oar behal ofMe nwtoul inswr 1, such insurance as is afforded by this policy is primary and i:, not atdIthrial to or aonatribuflom with any other insul arroe carried by or for the benefit of the addhionaal insureds. 3. This insurance applies separately to each insured against ovhoun c.tainn is made or suit is brought except with respect to the company's limits of lintity. 'The inclusion of any person or om;ganirahon aril an insured shall not aOlut any right which such person or orgaa'nization would have as a claimant if not so included. d. WHII inspect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after this ty (30) days written notice has been given to the C by of 5aurttn Ana, 20 Civic Cemer Plaza, Santa Ann, California 92701. (Completion of the following, including countersignalwc, is required to make this cndwoemeint effeetive.) Effective I i10912015 this cndorsertucnt limit as apart of Policy t 5088210281 Issue(] to kyilld m Grain cLHI Name d Oared Authorized Representative EASILY,/ � ° ... Ecslvtc.i< t tE.tdEDry {rocs I, CERTIFICATE OF LIABILITY INSURANCE DATE(MM/DD/YYYY) 11/03/2016 F THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER Aon Risk insurance services west, Inc. Los Angeles CA Office 707 Wilshire Boulevard Suite 2600 CONTACT NAME: (A/cC.. No. Ext): (666) 283-7122 (vc No ): (800) 363-0105 E-MAIL ADDRESS: INSURER(S) AFFORDING COVERAGE NAIC # Los Angeles CA 90017-0460 USA INSURED INSURER A: National Fire. Ins. Co, of Hartford 20478 willdan Enqineerinq 2401 East Katella Avenue Suit suite 300 INSURER B: The continental Insurance Company 35289 INSURERC: Lexington Insurance company 19437 Anaheim CA 92806 USA INSURERD: INSURER Ec INSURER F: COVERAGES CERTIFICATE NUMBER: 570064388609 REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. Limits shown are as requested INSR LTR TYPE OF INSURANCE DD INSD 3 BR WVD POLICY NUMBER POLICYF MMIDD/YYYY P MMIDD/YYYY LIMITS B X COMMERCIAL GENERAL LIABILITY EACH OCCURRENCE $1, 000, 000 CLAIMS -MADE X❑ OCCUR DAMAGE TO RENTED PREMISES Ea occurrence)$1, 000, 000 MED EXP (Any one person) $15 , 000 PERSONAL & ADV INJURY $1.,0001000 GENL AGGREGATE LIMIT APPLIES PER: GENERAL AGGREGATE $2 , 000, 000 POLICY [DPRO ❑X LOC JECT PRODUCTS - COMPIOPAGG $2,000,000 OTHER: A AUTOMOBILE LIABILITY 6020541619 11/09/2016 11/09/2017 COMBINED SINGLE LIMIT Ea accident $1, 000 , 000 BODILY INJURY ( Per person) X ANY AUTO OWNED SCHEDULED AUTOS ONLY AUTOS HIREDAUTOS NON -OWNED ONLY AUTOS ONLY BODILY INJURY (Per acclden0 PROPERTY DAMAGE Per accident UMBRELLA LIAB OCCUR EACH OCCURRENCE EXCESS LIAB CLAIMS -MADE AGGREGATE DED RETENTION B B WO WORKERS COMPENS'LIABILATION AND Y/N PLOYEH ANY PROPRIETOR PARTNER EXECUTIVE OFFICER/MEMBER EXCLUDED? (Mandatory In NH) If yes, describe under DESCRIPTION OF OPERATIONS below NIA 6022647422 6020541572 CA 11/09/2016 11/09/2016 11/09/2017 11/09/2017 X PER ER E.L. EACH ACCIDENT $1 000, 000 E.L. DISEASE -EA EMPLOYEE $1, 000, 000 E.L. DISEASE -POLICY LIMIT $1, 000, 000 C Archit&Eng Prof 028174912 1-1/09/2016 11/09/2017 Per claim $1,000,000 SIR applies per policy terms & conditions Aggregate $2,000,000 SIR $250,000 DESCRIPTION OF OPERATIONS I LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, maybe attached if more space is required) Re: To provide engineering services on an as -needed basis. Engineering services may include, but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnicalt land/property surve�ing, structural, architecture and landscaping design services and grant writing services. General Liability policy excludes c aims arising out of the performance of professional services. independent contractors are included as respects to General Liability. REVIEWED BY: EUNICE HEREDiA (PG ( OF F)I -'A' 0 2 e0 0 0 cri CERTIFICATE HOLDER CANCELLATION 0 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. City of Santa Ana AUTHORIZED REPRESENTATIVE Attn: city clerk 20 civic Center USA i x 9 Santa Ana CA 9270202 USA J. !L :d4ifc 9ta�(ltdCG9tCG dt.2/� ©1988-2015 ACORD CORPORATION. All rights reserved. ACORD 25 (2016/03) The ACORD name and logo are registered marks of ACORD Policy Number: 5088210281 Blanket Additional Insured - Owners, Lessees or Contractors - with Prod ucts-Completed Operations Coverage Endorsement This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART It isunderstood endageodeandlowa: I. The WHO IS AN INSURED section isamended hadd as an Insured any person or organization whom the Named |nmured is required by written contract to add as an additional Insured on this coverage part including any such person or organization, if any, specifically set forth on the 8ohodu|o attachment to this endorsement, Howover, such ponmnororganization ioenInsured only with respect tnsuch person oroqJmn|zation'oliability for: A. unless paragraph B.below applies, 1. bodily injury, property damage, or personal and advertising injury caused in whole or in part by the acts or omissions by or on behalf of the Named Insured and in the performance of such Named Insured's ongoing operations aaspecified insuch written contract; or 2. bodily injury or property dommQw caused in whole or in part byyour work and included in the products - completed operations hazard, and only if e. the written contract requires the Named Insured to provide the additional Insured such coverage; and b. this coverage part provides such coverage, B. bodily injury, property damage, orpersonal and advertising injury arising out ofyour work described hnsuch written contract, but only if: 1. this coverage part provides coverage for bodily injury orproperty damage included within the products completed operations hazard; and 2. the written contract specifically requires the Named Insured to provide additional insured coverage under the 11-85or1O'O1edition ofCG2O1Uorthe 1O'U1edition ofCG2037. |L Subject hnthe terms and conditions ofthis policy, including the limits ofinsurance, the Insurer will not provide such additional insured with: A. coverage broader than required bythe written contract; or B. ahigher limit ofinsurance than required bythe written contract. U|. The insurance granted by this endorsement to the additional insured does not apply to bodily injury, property 21 damage, orpersonal and advertising injury arising out of: A. the rendering of, or the failure to mnder, any professional arohiteotum|, eng|neoring, or surveying mam|000. including: 1. the pmpedng, oppmv|ng, or failing to prepare or approve mopa, shop drow|ngo, opin|une, reports, surveys, field orders, change orders ordrawings and specifications; and 3. supervisory, inspection, architectural or engineering activities; or G. any pnmm|aaa or work for which the additional insured is ap8oifioe|k/ listed as an additional insured on another --- endorsement attached bathis coverage part. |V. Notwithstanding anything to the contrary in the section entitled COMMERCIAL GENERAL LIABILITY CONDITIONS, the Condition andUod Other Insurance, this insurance is excess of all other insurance available to the additional ��� insured whether on a primary, excess, contingent or any other basis. However, if this insurance is required by written REVIEWED BY: EUNICE FIEREDI OF Policy Number: 5088210281 CNA CNA PARAMOUNT Blanket Additional Insured - Owners, Lessees or Contractors - with Products -Completed Operations Coverage Endorsement contract to be primary and non-contributory, this insurance will be primary and non-contributory relative solely to insurance on which the additional insured is a named insured. V. Solely with respect to the insurance granted by this endorsement, the section entitled COMMERCIAL GENERAL LIABILITY CONDITIONS is amended as follows: The Condition entitled Duties In The Event of Occurrence, Offense, Claim or Suit is amended with the addition of the following: Any additional insured pursuant to this endorsement will as soon as practicable: 1. give the Insurer written notice of any claim, or any occurrence or offense which may result in a claim; 2. except as provided in Paragraph IV. of this endorsement, agree to make available any other insurance the additional insured has for any loss covered under this coverage part; 3. send the Insurer copies of all legal papers received, and otherwise cooperate with the Insurer in the investigation, defense, or settlement of the claim; and 4. tender the defense and indemnity of any claim to any other insurer or self insurer whose policy or program applies to a loss that the Insurer covers under this coverage part. However, if the written contract requires this insurance to be primary and non-contributory, this paragraph (4) does not apply to insurance on which the additional insured is a named insured. The Insurer has no duty to defend or indemnify an additional insured under this endorsement until the Insurer receives written notice of a claim from the additional insured. VI. Solely with respect to the insurance granted by this endorsement, the section entitled DEFINITIONS is amended to add the following definition: Written contract means a written contract or written agreement that requires the Named Insured to make a person or organization an additional insured on this coverage part, provided the contract or agreement: A. is currently in effect or becomes effective during the term of this policy; and B. was executed prior to: 1, the bodily injury or property damage; or 2. the offense that caused the personal and advertising injury for which the additional insured seeks coverage. Any coverage granted by this endorsement shall apply solely to the extent permissible by law. All other terms and conditions of the Policy remain unchanged. This endorsement, which forms a part of and is for attachment to the Policy issued by the designated Insurers, takes effect on the effective date of said Policy at the hour stated in said Policy, unless another effective date is shown below, and expires concurrently with said Policy. C (Ed.d. 02/1 02/13) NOTICE OF CANCELLATION TO CERTIFICATE HOLDERS It is understood and agreed that: If you have agreed under written contract to provide notice of cancellation to a party to whom the Agent of Record has issued a Certificate of Insurance, and if we cancel a policy term described on that Certificate of Insurance for any reason other than nonpayment of premium, then notice of cancellation will be provided to such Certificate holders at least 30 days in advance of the date cancellation is effective. If notice is mailed, then proof of mailing to the last known mailing address of the Certificate holder on file with the Agent of Record will be sufficient to prove notice. Any failure by us to notify such persons or organizations will not extend or invalidate such cancellation, or impose any liability or obligation upon us or the Agent of Record. CC68021A (Ed. 02/13) Policy No: 5088210281 Page 1 of 1 Endorsement No: N/A Effective Date: 11/09/2016 Insured Name: Copyright CNA All Rights Reserved. -A REVIEWED BY: "T EUNICE HERE-DIA (P