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HomeMy WebLinkAboutPW Third Street Safety Improvements ProjectAGREEMENT FOR PROFESSIONAL SERVICES WITH PARK ENGINEERING, INC. FOR CONSTRUCTION MANAGEMENT & MATERIAL TESTING SERVICES FOR THE THIRD STREET SAFETY IMPROVEMENTS PROJECT ARTICLE I INTRODUCTION A. This AGREEMENT is entered into as of the day of Aug 29, 2023 2023 by and between the following named, hereinafter referred to as CONSULTANT, and the following named, hereinafter referred to as LOCAL AGENCY: The name of the "CONSULTANT" is as follows: Park Enqineering, Inc., incorporated in or authorized to do business in the State of California. The Project Manager for the "CONSULTANT" will be Steve Patterson The name of the "LOCAL AGENCY" is as follows: City of San Rafael The Contract Administrator for LOCAL AGENCY will be April Miller, Public Works Director B. The work to be performed under this AGREEMENT is described in Article III Statement of Work and the approved CONSULTANT's Cost Proposal ("Cost Proposal") dated March 7, 2022. The approved CONSULTANT's Cost Proposal is included in Exhibit A and incorporated by reference. If there is any conflict between the approved Cost Proposal and this AGREEMENT, this AGREEMENT shall take precedence. C. CONSULTANT agrees to the fullest extent permitted by law, to indemnify, protect, defend, and hold harmless LOCAL AGENCY, its officers, agents, and employees and volunteers from and against any and all claims, damages, demands, liability, costs, losses and expenses, including without limitation, court costs and reasonable attorney's and expert witness fees, arising out of any failure to comply with applicable law, any injury to or death of any person(s), damage to property, loss of use of property, economic loss or otherwise arising out of the performance of the work described herein, to the extent caused by a negligent act or negligent failure to act, errors, omissions, recklessness or willful misconduct incident to the performance of this AGREEMENT on the part of CONSULTANT, except CONSULTANT will not reimburse LOCAL AGENCY for any such loss or damage which was caused by the sole negligence, or willful misconduct of LOCAL AGENCY, as determined by a Court of competent jurisdiction. The provisions of this section shall survive termination or suspension of this AGREEMENT. D. CONSULTANT in the performance of this AGREEMENT shall act in an independent capacity. It is understood and agreed that CONSULTANT (including CONSULTANT'S employees) is an independent contractor and that no relationship of employer -employee exists between the Parties hereto. CONSULTANT'S assigned personnel shall not be entitled to any benefits payable to employees of LOCAL AGENCY. E. LOCAL AGENCY is not required to make deductions or withholdings from the compensation payable to CONSULTANT under the provisions of the AGREEMENT and is not required to issue W-2 Forms for income and employment tax purposes for any of CONSULTANT's assigned personnel. CONSULTANT in the performance of its obligation hereunder, is only subject to the control of direction of the LOCAL AGENCY as to the designation of tasks to be performed and the results to be accomplished, F. Any third -party person(s) employed by CONSULTANT shall be entirely and exclusively under the direction, supervision, and control of CONSULTANT. CONSULTANT hereby indemnifies and holds LOCAL AGENCY harmless from any and all claims that may be made against LOCAL AGENCY based upon any contention by any third party that an employer -employee relationship exists by reason of this AGREEMENT. Page 1 of 22 G. Except as expressly authorized herein, CONSULTANT's obligations under this AGREEMENT are not assignable or transferable, and CONSULTANT shall not subcontract any work, without the prior written approval of the LOCAL AGENCY. However, claims for money due or which become due to CONSULTANT from LOCAL AGENCY under this AGREEMENT may be assigned to a financial institution or to a trustee in bankruptcy, without such approval. Notice of any assignment or transfer whether voluntary or involuntary shall be furnished promptly to the LOCAL AGENCY. H. CONSULTANT shall be as fully responsible to the LOCAL AGENCY for the negligent acts and omissions of its contractors and subcontractors or subconsultants, and of persons either directly or indirectly employed by them, in the same manner as persons directly employed by CONSULTANT. I. No alteration or variation of the terms of this AGREEMENT shall be valid, unless made in writing and signed by the parties authorized to bind the parties; and no oral understanding or agreement not incorporated herein, shall be binding on any of the parties hereto. J. The consideration to be paid to CONSULTANT as provided herein, shall be in compensation for all of CONSULTANT's expenses incurred in the performance hereof, including travel and per diem, unless otherwise expressly so provided. ARTICLE II CONSULTANT'S REPORTS OR MEETINGS A. CONSULTANT shall submit progress reports at least once a month. The report should be sufficiently detailed for the LOCAL AGENCY's Contract Administrator to determine if CONSULTANT is performing to expectations, or is on schedule; to provide communication of interim findings, and to sufficiently address any difficulties or special problems encountered, so remedies can be developed. B. CONSULTANT's Project Manager shall meet with LOCAL AGENCY's Contract Administrator, as needed, to discuss progress on the AGREEMENT. ARTICLE III STATEMENT OF WORK The CONSULTANT shall perform the services specified in the Scope of Work, dated March 7, 2022, attached hereto as Exhibit A and incorporated herein by reference. If there is any conflict between the terms of the Cost Proposal, included in Exhibit A, and the terms of this AGREEMENT, the terms of this AGREEMENT shall take precedence. ARTICLE IV PERFORMANCE PERIOD A. This AGREEMENT shall go into effect on July 1, 2022, contingent upon approval by LOCAL AGENCY, and CONSULTANT shall commence work after notification to proceed by LOCAL AGENCY'S Contract Administrator. The AGREEMENT shall end upon completion of the work to the satisfaction of the LOCAL AGENCY'S Contract Administrator. B. CONSULTANT is advised that any recommendation for AGREEMENT award is not binding on LOCAL AGENCY until the AGREEMENT is fully executed and approved by LOCAL AGENCY. ARTICLE V ALLOWABLE COSTS AND PAYMENTS A. CONSULTANT will be reimbursed for hours worked at the hourly rates specified in the CONSULTANT's approved Cost Proposal. The specified hourly rates shall include direct salary costs, employee benefits, prevailing wages, employer payments, overhead, and fee. These rates are not adjustable for the performance period set forth in this AGREEMENT. CONSULTANT will Page 2 of 22 be reimbursed within thirty (30) days upon receipt by LOCAL AGENCY'S Contract Administrator of itemized invoices in duplicate. B. In addition, CONSULTANT will be reimbursed for incurred (actual) direct costs other than salary costs that are in the approved Cost Proposal and identified in the approved Cost Proposal. C. Reserved. D. Reserved. E. Reserved. F. Reimbursement for transportation and subsistence costs shall not exceed the rates as specified in the approved Cost Proposal. CONSULTANT will be responsible for transportation and subsistence costs in excess of State rates. G. When milestone cost estimates are included in the approved Cost Proposal, CONSULTANT shall obtain prior written approval in the form of an AGREEMENT amendment for a revised milestone cost estimate from the Contract Administrator before exceeding such estimate. H. Progress payments will be made monthly in arrears based on services provided and actual costs incurred. CONSULTANT shall not commence performance of work or services until this AGREEMENT has been approved by LOCAL AGENCY and notification to proceed has been issued by LOCAL AGENCY'S Contract Administrator. No payment will be made prior to approval or for any work performed prior to approval of this AGREEMENT. Reserved. K. CONSULTANT will be reimbursed within thirty (30) days upon receipt by LOCAL AGENCY'S Contract Administrator of itemized invoices in duplicate. Invoices shall be submitted no later than thirty (30) calendar days after the performance of work for which CONSULTANT is billing. Invoices shall detail the work performed on each milestone, on each project as applicable. Invoices shall follow the format stipulated for the approved Cost Proposal and shall reference this AGREEMENT number and project title. Credits due LOCAL AGENCY that include any equipment purchased under the provisions of Article XI Equipment Purchase, must be reimbursed by CONSULTANT prior to the expiration or termination of this AGREEMENT. Invoices shall be mailed to LOCAL AGENCY's Contract Administrator at the following address: City of San Rafael Department of Public Works April Miller 111 Morphew Street San Rafael, CA 94901 L. Reserved. M. The total amount payable by LOCAL AGENCY shall not exceed the amount agreed to in this AGREEMENT, unless authorized by amendment. N. Reserved. Page 3 of 22 O. Reserved. P. The total amount payable by LOCAL AGENCY for all work resulting from this AGREEMENT shall not exceed $ 258,498.65. It is understood and agreed that there is no guarantee, either expressed or implied that this dollar amount will be authorized under this AGREEMENT. ARTICLE VI TERMINATION A. This AGREEMENT may be terminated by LOCAL AGENCY, provided that LOCAL AGENCY gives not less than thirty (30) calendar days' written notice (delivered by certified mail, return receipt requested) of intent to terminate. Upon termination, LOCAL AGENCY shall be entitled to all work, including but not limited to, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not, and in accordance with Article XXVI, Ownership of Data. B. LOCAL AGENCY may temporarily suspend this AGREEMENT, at no additional cost to LOCAL AGENCY, provided that CONSULTANT is given written notice (delivered by certified mail, return receipt requested) of temporary suspension. If LOCAL AGENCY gives such notice of temporary suspension, CONSULTANT shall immediately suspend its activities under this AGREEMENT. A temporary suspension may be issued concurrent with the notice of termination provided for in subsection A of this section. C. Notwithstanding any provisions of this AGREEMENT, CONSULTANT shall not be relieved of liability to LOCAL AGENCY for damages sustained by LOCAL AGENCY by virtue of any breach of this AGREEMENT by CONSULTANT, and LOCAL AGENCY may withhold any payments due to CONSULTANT until such time as the exact amount of damages, if any, due LOCAL AGENCY from CONSULTANT is determined. D. In the event of termination, CONSULTANT shall be compensated as provided for in this AGREEMENT, except as provided in Article XI, section C. Upon termination, LOCAL AGENCY shall be entitled to all work, including but not limited to, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not, and in accordance with Article XXVI, Ownership of Data. ARTICLE VII COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS A. The CONSULTANT agrees that 48 CFR Part 31, Contract Cost Principles and Procedures, shall be used to determine the allowability of individual items of cost. B. The CONSULTANT also agrees to comply with Federal procedures in accordance with 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. C. Any costs for which payment has been made to the CONSULTANT that are determined by subsequent audit to be unallowable under 48 CFR Part 31 or 2 CFR Part 200, are subject to repayment by the CONSULTANT to LOCAL AGENCY. D. When a CONSULTANT or Subconsultant is a Non -Profit Organization or an Institution of Higher Education, the Cost Principles for Title 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards shall apply. ARTICLE VIII RETENTION OF RECORDS/AUDIT For the purpose of determining compliance with Gov. Code §8546.7, the CONSULTANT, Subconsultants, and LOCAL AGENCY shall maintain all books, documents, papers, accounting records, Page 4 of 22 Independent CPA Audited Indirect Cost Rate workpapers, and other evidence pertaining to the performance of the AGREEMENT including, but not limited to, the costs of administering the AGREEMENT. All parties, including the CONSULTANT's Independent CPA, shall make such workpapers and materials available at their respective offices at all reasonable times during the AGREEMENT period and for three (3) years from the date of final payment under the AGREEMENT. LOCAL AGENCY, Caltrans Auditor, FHWA, or any duly authorized representative of the Federal government having jurisdiction under Federal laws or regulations (including the basis of Federal funding in whole or in part) shall have access to any books, records, and documents of the CONSULTANT, Subconsultants, and the CONSULTANT's Independent CPA, that are pertinent to the AGREEMENT for audits, examinations, workpaper review, excerpts, and transactions, and copies thereof shall be furnished if requested without limitation. ARTICLE IX AUDIT REVIEW PROCEDURES A. Any dispute concerning a question of fact arising under an interim or post audit of this AGREEMENT that is not disposed of by agreement, shall be reviewed by LOCAL AGENCY'S Finance Director. B. Not later than thirty (30) days after issuance of the final audit report, CONSULTANT may request a review by LOCAL AGENCY'S Finance Director of unresolved audit issues. The request for review will be submitted in writing. C. Neither the pendency of a dispute nor its consideration by LOCAL AGENCY will excuse CONSULTANT from full and timely performance, in accordance with the terms of this AGREEMENT. D. CONSULTANT and subconsultant AGREEMENTs, including cost proposals and Indirect Cost Rates (ICR), may be subject to audits or reviews such as, but not limited to, an AGREEMENT audit, an incurred cost audit, an ICR Audit, or a CPA ICR audit work paper review. If selected for audit or review, the AGREEMENT, cost proposal and ICR and related work papers, if applicable, will be reviewed to verify compliance with 48 CFR, Part 31 and other related laws and regulations. In the instances of a CPA ICR audit work paper review it is CONSULTANT's responsibility to ensure federal, LOCAL AGENCY, or local government officials are allowed full access to the CPA's work papers including making copies as necessary. The AGREEMENT, cost proposal, and ICR shall be adjusted by CONSULTANT and approved by LOCAL AGENCY Contract Administrator to conform to the audit or review recommendations. CONSULTANT agrees that individual terms of costs identified in the audit report shall be incorporated into the AGREEMENT by this reference if directed by LOCAL AGENCY at its sole discretion. Refusal by CONSULTANT to incorporate audit or review recommendations, or to ensure that the federal, LOCAL AGENCY or local governments have access to CPA work papers, will be considered a breach of AGREEMENT terms and cause for termination of the AGREEMENT and disallowance of prior reimbursed costs. E. CONSULTANT's Cost Proposal may be subject to a CPA ICR Audit Work Paper Review and/or audit by Caltrans Audits and Investigation (A&I). Caltrans A&I, at its sole discretion, may review and/or audit and approve the CPA ICR documentation. The Cost Proposal shall be adjusted by the CONSULTANT and approved by the LOCAL AGENCY Contract Administrator to conform to the Work Paper Review recommendations included in the management letter or audit recommendations included in the audit report. Refusal by the CONSULTANT to incorporate the Work Paper Review recommendations included in the management letter or audit recommendations included in the audit report will be considered a breach of the AGREEMENT terms and cause for termination of the AGREEMENT and disallowance of prior reimbursed costs. 1. During Caltrans A&I's review of the ICR audit work papers created by the CONSULTANT's independent CPA, Caltrans A&I will work with the CPA and/or CONSULTANT toward a resolution of issues that arise during the review. Each party agrees to use its best efforts to resolve any audit disputes in a timely manner. If Caltrans A&I identifies significant issues during the review and is unable to issue a cognizant approval letter, LOCAL AGENCY will reimburse the CONSULTANT Page 5 of 22 at an accepted ICR until a FAR (Federal Acquisition Regulation) compliant ICR {e.g. 48 CFR Part 31; GAAS (Generally Accepted Auditing Standards); CAS (Cost Accounting Standards), if applicable; in accordance with procedures and guidelines of the American Association of State Highways and Transportation Officials (AASHTO) Audit Guide; and other applicable procedures and guidelines}is received and approved by A&I. Accepted rates will be as follows: a. If the proposed rate is less than one hundred fifty percent (150%) - the accepted rate reimbursed will be ninety percent (90%) of the proposed rate. b. If the proposed rate is between one hundred fifty percent (150%) and two hundred percent (200%) - the accepted rate will be eighty-five percent (85%) of the proposed rate. c. If the proposed rate is greater than two hundred percent (200%) - the accepted rate will be seventy-five percent (75%) of the proposed rate. 2. If Caltrans A&I is unable to issue a cognizant letter per paragraph E.1. above, Caltrans A&I may require CONSULTANT to submit a revised independent CPA -audited ICR and audit report within three (3) months of the effective date of the management letter. Caltrans A&I will then have up to six (6) months to review the CONSULTANT's and/or the independent CPA's revisions. 3. If the CONSULTANT fails to comply with the provisions of this paragraph E, or if Caltrans A&I is still unable to issue a cognizant approval letter after the revised independent CPA audited ICR is submitted, overhead cost reimbursement will be limited to the accepted ICR that was established upon initial rejection of the ICR and set forth in paragraph E.1. above for all rendered services. In this event, this accepted ICR will become the actual and final ICR for reimbursement purposes under this AGREEMENT. 4. CONSULTANT may submit to LOCAL AGENCY final invoice only when all of the following items have occurred: (1) Caltrans A&I accepts or adjusts the original or revised independent CPA audited ICR; (2) all work under this AGREEMENT has been completed to the satisfaction of LOCAL AGENCY; and, (3) Caltrans A&I has issued its final ICR review letter. The CONSULTANT MUST SUBMIT ITS FINAL INVOICE TO LOCAL AGENCY no later than sixty (60) calendar days after occurrence of the last of these items. The accepted ICR will apply to this AGREEMENT and all other agreements executed between LOCAL AGENCY and the CONSULTANT, either as a prime or subconsultant, with the same fiscal period ICR. ARTICLE X SUBCONTRACTING A. Nothing contained in this AGREEMENT or otherwise, shall create any contractual relation between LOCAL AGENCY and any Subconsultants, and no sub -agreement shall relieve the CONSULTANT of its responsibilities and obligations hereunder. The CONSULTANT agrees to be as fully responsible to LOCAL AGENCY for the acts and omissions of its Subconsultants and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the CONSULTANT. The CONSULTANT's obligation to pay its Subconsultants is an independent obligation from LOCAL AGENCY'S obligation to make payments to the CONSULTANT. B. The CONSULTANT shall perform the work contemplated with resources available within its own organization and no portion of the work shall be subcontracted without written authorization by the LOCAL AGENCY Contract Administrator, except that which is expressly identified in the CONSULTANT's approved Cost Proposal. C. Any sub -agreement entered into as a result of this AGREEMENT, shall contain all the provisions stipulated in this entire AGREEMENT to be applicable to Subconsultants unless otherwise noted. Page 6 of 22 D. CONSULTANT shall pay its Subconsultants within Fifteen (15) calendar days from receipt of each payment made to the CONSULTANT by the LOCAL AGENCY. E. Any substitution of Subconsultants must be approved in writing by LOCAL AGENCY Contract Administrator in advance of assigning work to a substitute Subconsultant. ARTICLE XI EQUIPMENT PURCHASE AND OTHER CAPITAL EXPENDITURES A. Prior authorization in writing, by LOCAL AGENCY's Contract Administrator shall be required before CONSULTANT enters into any unbudgeted purchase order, or subcontract exceeding five thousand dollars ($5,000) for supplies, equipment, or CONSULTANT services. CONSULTANT shall provide an evaluation of the necessity or desirability of incurring such costs. B. For purchase of any item, service, or consulting work not covered in CONSULTANT's approved Cost Proposal and exceeding five thousand dollars ($5,000), with prior authorization by LOCAL AGENCY's Contract Administrator, three competitive quotations must be submitted with the request, or the absence of bidding must be adequately justified. C. Any equipment purchased as a result of this contract is subject to the following: 1. CONSULTANT shall maintain an inventory of all nonexpendable property. Nonexpendable property is defined as having a useful life of at least two years and an acquisition cost of five thousand dollars ($5,000) or more. If the purchased equipment needs replacement and is sold or traded in, LOCAL AGENCY shall receive a proper refund or credit at the conclusion of the AGREEMENT, or if the AGREEMENT is terminated, CONSULTANT may either keep the equipment and credit LOCAL AGENCY in an amount equal to its fair market value, or sell such equipment at the best price obtainable at a public or private sale, in accordance with established LOCAL AGENCY procedures; and credit LOCAL AGENCY in an amount equal to the sales price. If CONSULTANT elects to keep the equipment, fair market value shall be determined at CONSULTANT's expense, on the basis of a competent independent appraisal of such equipment. Appraisals shall be obtained from an appraiser mutually agreeable to by LOCAL AGENCY and CONSULTANT, if it is determined to sell the equipment, the terms and conditions of such sale must be approved in advance by LOCAL AGENCY. 2. Regulation 2 CFR Part 200 requires a credit to Federal funds when participating equipment with a fair market value greater than five thousand dollars ($5,000) is credited to the project. ARTICLE XII STATE PREVAILING WAGE RATES A. No CONSULTANT or Subconsultant may be awarded an AGREEMENT containing public work elements unless registered with the Department of Industrial Relations (DIR) pursuant to Labor Code §1725.5. Registration with DIR must be maintained throughout the entire term of this AGREEMENT, including any subsequent amendments. B. The CONSULTANT shall comply with all of the applicable provisions of the California Labor Code requiring the payment of prevailing wages. The General Prevailing Wage Rate Determinations applicable to work under this AGREEMENT are available and on file with the Department of Transportation's Regional/District Labor Compliance Officer (http //www.dot.ca.gov/hq/construc/LaborCompliance/documents/District- Region Map Construction 7-8-15.pd_o. These wage rates are made a specific part of this AGREEMENT by reference pursuant to Labor Code §1773.2 and will be applicable to work performed at a construction project site. Prevailing wages will be applicable to all inspection work performed at LOCAL AGENCY construction sites, at LOCAL AGENCY facilities and at off -site locations that are set up by the construction contractor or one of its Page 7 of 22 subcontractors solely and specifically to serve LOCAL AGENCY projects. Prevailing wage requirements do not apply to inspection work performed at the facilities of vendors and commercial materials suppliers that provide goods and services to the general public. C. General Prevailing Wage Rate Determinations applicable to this project may also be obtained from the Department of Industrial Relations Internet site at http //www.dir.ca.gov. D. Payroll Records 1. Each CONSULTANT and Subconsultant shall keep accurate certified payroll records and supporting documents as mandated by Labor Code §1776 and as defined in 8 CCR §16000 showing the name, address, social security number, work classification, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker, or other employee employed by the CONSULTANT or Subconsultant in connection with the public work. Each payroll record shall contain or be verified by a written declaration that it is made under penalty of perjury, stating both of the following: a. The information contained in the payroll record is true and correct. b. The employer has complied with the requirements of Labor Code §1771, §1811, and §1815 for any work performed by his or her employees on the public works project. 2. The payroll records enumerated under paragraph (1) above shall be certified as correct by the CONSULTANT under penalty of perjury. The payroll records and all supporting documents shall be made available for inspection and copying by LOCAL AGENCY representatives at all reasonable hours at the principal office of the CONSULTANT. The CONSULTANT shall provide copies of certified payrolls or permit inspection of its records as follows: a. A certified copy of an employee's payroll record shall be made available for inspection or furnished to the employee or the employee's authorized representative on request. b. A certified copy of all payroll records enumerated in paragraph (1) above, shall be made available for inspection or furnished upon request to a representative of LOCAL AGENCY, the Division of Labor Standards Enforcement and the Division of Apprenticeship Standards of the Department of Industrial Relations. Certified payrolls submitted to LOCAL AGENCY, the Division of Labor Standards Enforcement and the Division of Apprenticeship Standards shall not be altered or obliterated by the CONSULTANT. c. The public shall not be given access to certified payroll records by the CONSULTANT. The CONSULTANT is required to forward any requests for certified payrolls to the LOCAL AGENCY Contract Administrator by both email and regular mail on the business day following receipt of the request. 3. Each CONSULTANT shall submit a certified copy of the records enumerated in paragraph (1) above, to the entity that requested the records within ten (10) calendar days after receipt of a written request. 4. Any copy of records made available for inspection as copies and furnished upon request to the public or any public agency by LOCAL AGENCY shall be marked or obliterated in such a manner as to prevent disclosure of each individual's name, address, and social security number. The name and address of the CONSULTANT or Subconsultant performing the work shall not be marked or obliterated. 5. The CONSULTANT shall inform LOCAL AGENCY of the location of the records enumerated under paragraph (1) above, including the street address, city and county, and shall, within five (5) working days, provide a notice of a change of location and address. 6. The CONSULTANT or Subconsultant shall have ten (10) calendar days in which to comply subsequent to receipt of written notice requesting the records enumerated in paragraph (1) above. Page 8 of 22 In the event the CONSULTANT or Subconsultant fails to comply within the ten (10) day period, he or she shall, as a penalty to LOCAL AGENCY, forfeit one hundred dollars ($100) for each calendar day, or portion thereof, for each worker, until strict compliance is effectuated. Such penalties shall be withheld by LOCAL AGENCY from payments then due. CONSULTANT is not subject to a penalty assessment pursuant to this section due to the failure of a Subconsultant to comply with this section. E. When prevailing wage rates apply, the CONSULTANT is responsible for verifying compliance with certified payroll requirements. Invoice payment will not be made until the invoice is approved by the LOCAL AGENCY Contract Administrator. F. Penalty 1. The CONSULTANT and any of its Subconsultants shall comply with Labor Code §1774 and §1775. Pursuant to Labor Code §1775, the CONSULTANT and any Subconsultant shall forfeit to the LOCAL AGENCY a penalty of not more than two hundred dollars ($200) for each calendar day, or portion thereof, for each worker paid less than the prevailing rates as determined by the Director of DIR for the work or craft in which the worker is employed for any public work done under the AGREEMENT by the CONSULTANT or by its Subconsultant in violation of the requirements of the Labor Code and in particular, Labor Code §§1770 to 1780, inclusive. 2. The amount of this forfeiture shall be determined by the Labor Commissioner and shall be based on consideration of mistake, inadvertence, or neglect of the CONSULTANT or Subconsultant in failing to pay the correct rate of prevailing wages, or the previous record of the CONSULTANT or Subconsultant in meeting their respective prevailing wage obligations, or the willful failure by the CONSULTANT or Subconsultant to pay the correct rates of prevailing wages. A mistake, inadvertence, or neglect in failing to pay the correct rates of prevailing wages is not excusable if the CONSULTANT or Subconsultant had knowledge of the obligations under the Labor Code. The CONSULTANT is responsible for paying the appropriate rate, including any escalations that take place during the term of the AGREEMENT. 3. In addition to the penalty and pursuant to Labor Code §1775, the difference between the prevailing wage rates and the amount paid to each worker for each calendar day or portion thereof for which each worker was paid less than the prevailing wage rate shall be paid to each worker by the CONSULTANT or Subconsultant. 4. If a worker employed by a Subconsultant on a public works project is not paid the general prevailing per diem wages by the Subconsultant, the prime CONSULTANT of the project is not liable for the penalties described above unless the prime CONSULTANT had knowledge of that failure of the Subconsultant to pay the specified prevailing rate of wages to those workers or unless the prime CONSULTANT fails to comply with all of the following requirements: a. The AGREEMENT executed between the CONSULTANT and the Subconsultant for the performance of work on public works projects shall include a copy of the requirements in Labor Code §§1771, 1775, 1776, 1777.5, 1813, and 1815. b. The CONSULTANT shall monitor the payment of the specified general prevailing rate of per diem wages by the Subconsultant to the employees by periodic review of the certified payroll records of the Subconsultant. c. Upon becoming aware of the Subconsultant's failure to pay the specified prevailing rate of wages to the Subconsultant's workers, the CONSULTANT shall diligently take corrective action to halt or rectify the failure, including but not limited to, retaining sufficient funds due the Subconsultant for work performed on the public works project. d. Prior to making final payment to the Subconsultant for work performed on the public works project, the CONSULTANT shall obtain an affidavit signed under penalty of perjury from the Subconsultant that the Subconsultant had paid the specified general prevailing rate of per diem Page 9 of 22 wages to the Subconsultant's employees on the public works project and any amounts due pursuant to Labor Code §1813. 5. Pursuant to Labor Code §1775, LOCAL AGENCY shall notify the CONSULTANT on a public works project within fifteen (15) calendar days of receipt of a complaint that a Subconsultant has failed to pay workers the general prevailing rate of per diem wages. 6. If LOCAL AGENCY determines that employees of a Subconsultant were not paid the general prevailing rate of per diem wages and if LOCAL AGENCY did not retain sufficient money under the AGREEMENT to pay those employees the balance of wages owed under the general prevailing rate of per diem wages, the CONSULTANT shall withhold an amount of moneys due the Subconsultant sufficient to pay those employees the general prevailing rate of per diem wages if requested by LOCAL AGENCY. G. Hours of Labor Eight (8) hours labor constitutes a legal day's work. The CONSULTANT shall forfeit, as a penalty to the LOCAL AGENCY, twenty-five dollars ($25) for each worker employed in the execution of the AGREEMENT by the CONSULTANT or any of its Subconsultants for each calendar day during which such worker is required or permitted to work more than eight (8) hours in any one calendar day and forty (40) hours in any one calendar week in violation of the provisions of the Labor Code, and in particular §§1810 to 1815 thereof, inclusive, except that work performed by employees in excess of eight (8) hours per day, and forty (40) hours during any one week, shall be permitted upon compensation for all hours worked in excess of eight (8) hours per day and forty (40) hours in any week, at not less than one and one-half (1.5) times the basic rate of pay, as provided in §1815. H. Employment of Apprentices 1. Where either the prime AGREEMENT or the sub -agreement exceeds thirty thousand dollars ($30,000), the CONSULTANT and any subconsultants under him or her shall comply with all applicable requirements of Labor Code §§1777.5, 1777.6 and 1777.7 in the employment of apprentices. 2. CONSULTANTs and subconsultants are required to comply with all Labor Code requirements regarding the employment of apprentices, including mandatory ratios of journey level to apprentice workers. Prior to commencement of work, CONSULTANT and subconsultants are advised to contact the DIR Division of Apprenticeship Standards website at https://www.dir.ca.gov/das/, for additional information regarding the employment of apprentices and for the specific journey -to- apprentice ratios for the AGREEMENT work. The CONSULTANT is responsible for all subconsultants' compliance with these requirements. Penalties are specified in Labor Code §1777.7. ARTICLE XIII CONFLICT OF INTEREST (Verbatim) A. During the term of this AGREEMENT, the CONSULTANT shall disclose any financial, business, or other relationship with LOCAL AGENCY that may have an impact upon the outcome of this AGREEMENT or any ensuing LOCAL AGENCY construction project. The CONSULTANT shall also list current clients who may have a financial interest in the outcome of this AGREEMENT, or any ensuing LOCAL AGENCY construction project, which will follow. B. CONSULTANT certifies that it has disclosed to LOCAL AGENCY any actual, apparent, or potential conflicts of interest that may exist relative to the services to be provided pursuant to this AGREEMENT. CONSULTANT agrees to advise LOCAL AGENCY of any actual, apparent or potential conflicts of interest that may develop subsequent to the date of execution of this Page 10 of 22 AGREEMENT. CONSULTANT further agrees to complete any statements of economic interest if required by either LOCAL AGENCY ordinance or State law. C. The CONSULTANT hereby certifies that it does not now have nor shall it acquire any financial or business interest that would conflict with the performance of services under this AGREEMENT. D. The CONSULTANT hereby certifies that the CONSULTANT or subconsultant and any firm affiliated with the CONSULTANT or subconsultant that bids on any construction contract or on any Agreement to provide construction inspection for any construction project resulting from this AGREEMENT, has established necessary controls to ensure a conflict of interest does not exist. An affiliated firm is one, which is subject to the control of the same persons, through joint ownership or otherwise. ARTICLE XIV REBATES, KICKBACKS OR OTHER UNLAWFUL CONSIDERATION The CONSULTANT warrants that this AGREEMENT was not obtained or secured through rebates, kickbacks or other unlawful consideration either promised or paid to any LOCAL AGENCY employee. For breach or violation of this warranty, LOCAL AGENCY shall have the right, in its discretion, to terminate this AGREEMENT without liability, to pay only for the value of the work actually performed, or to deduct from the AGREEMENT price or otherwise recover the full amount of such rebate, kickback or other unlawful consideration. ARTICLE XV PROHIBITION OF EXPENDING LOCAL AGENCY, STATE, OR FEDERAL FUNDS FOR LOBBYING A. CONSULTANT certifies to the best of his or her knowledge and belief that: No state, federal or local agency appropriated funds have been paid or will be paid, by or on behalf of the CONSULTANT, to any person for influencing or attempting to influence an officer or employee of any local, State, or Federal agency, a Member of the State Legislature or United States Congress, an officer or employee of the Legislature or Congress, or any employee of a Member of the Legislature or Congress in connection with the awarding or making of this AGREEMENT, or with the extension, continuation, renewal, amendment, or modification of this AGREEMENT. 2. If any funds other than Federal appropriated funds have been paid, or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this AGREEMENT, the CONSULTANT shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying", in accordance with its instructions. B. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. §1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than ten thousand dollars ($10,000) and not more than one hundred thousand dollars ($100,000) for each such failure. C. The CONSULTANT also agrees by signing this document that he or she shall require that the language of this certification be included in all lower tier sub -agreements, which exceed one hundred thousand dollars ($100,000) and that all such subrecipients shall certify and disclose accordingly. Page 11 of 22 ARTICLE XVI NON-DISCRIMINATION AND STATEMENT OF COMPLIANCE A. The CONSULTANT's signature affixed herein and dated shall constitute a certification under penalty of perjury under the laws of the State of California that CONSULTANT has, unless exempt, complied with the nondiscrimination program requirements of Gov. Code §12990 and 2 CCR §8103. B. During the performance of this AGREEMENT, CONSULTANT and its subconsultants shall not deny the AGREEMENT's benefits to any person on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status, nor shall they unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status. CONSULTANT and subconsultants shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. C. CONSULTANT and subconsultants shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12990 et seq.), the applicable regulations promulgated there under (2 CCR §11000 et seq.), the provisions of Gov. Code §§11135-11139.5, and the regulations or standards adopted by LOCAL AGENCY to implement such article. The applicable regulations of the Fair Employment and Housing Commission implementing Gov. Code §12990 (a-f), set forth 2 CCR §§8100-8504, are incorporated into this AGREEMENT by reference and made a part hereof as if set forth in full. D. CONSULTANT shall permit access by representatives of the Department of Fair Employment and Housing and the LOCAL AGENCY upon reasonable notice at any time during the normal business hours, but in no case less than twenty-four (24) hours' notice, to such of its books, records, accounts, and all other sources of information and its facilities as said Department or LOCAL AGENCY shall require to ascertain compliance with this clause. E. CONSULTANT and its subconsultants shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement. F. CONSULTANT shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under this AGREEMENT. G. The CONSULTANT, with regard to the work performed under this AGREEMENT, shall act in accordance with Title VI of the Civil Rights Act of 1964 (42 U.S.C. §2000d et seq.). Title VI provides that the recipients of federal assistance will implement and maintain a policy of nondiscrimination in which no person in the United States shall, on the basis of race, color, national origin, religion, sex, age, disability, be excluded from participation in, denied the benefits of or subject to discrimination under any program or activity by the recipients of federal assistance or their assignees and successors in interest. H. The CONSULTANT shall comply with regulations relative to non-discrimination in federally -assisted programs of the U.S. Department of Transportation (49 CFR Part 21 - Effectuation of Title VI of the Civil Rights Act of 1964). Specifically, the CONSULTANT shall not participate either directly or indirectly in the discrimination prohibited by 49 CFR §21.5, including employment practices and the selection and retention of Subconsultants. Page 12 of 22 ARTICLE XVII DEBARMENT AND SUSPENSION CERTIFICATION A. CONSULTANT's signature affixed herein, shall constitute a certification under penalty of perjury under the laws of the State of California, that the CONSULTANT or any person associated therewith in the capacity of owner, partner, director, officer, or manager: 1. Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency; 2. Has not been suspended, debarred, voluntarily excluded, or determined ineligible by any federal agency within the past three (3) years; 3. Does not have a proposed debarment pending; and 4. Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past three (3) years. B. Any exceptions to this certification must be disclosed to LOCAL AGENCY. Exceptions will not necessarily result in denial of recommendation for award but will be considered in determining responsibility. Disclosures must indicate to whom exceptions apply, the initiating agency, and the dates of agency action. C. Exceptions to the Federal Government Excluded Parties List System maintained by the U.S. General Services Administration are to be determined by FHWA. ARTICLE XVIII DISADVANTAGED BUSINESS ENTERPRISES (DBE) PARTICIPATION A. This AGREEMENT is subject to 49 CFR Part 26 entitled "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs". CONSULTANTs who enter into a federally -funded agreement will assist the LOCAL AGENCY in a good faith effort to achieve California's statewide overall DBE goal. B. The goal for DBE participation for this AGREEMENT is 6_0%. Participation by DBE CONSULTANT or subconsultants shall be in accordance with information contained in Exhibit 10-01: Consultant Proposal DBE Commitment , or in Exhibit 10-02: Consultant Contract DBE Commitment attached hereto and incorporated as part of the AGREEMENT. If a DBE subconsultant is unable to perform, CONSULTANT must make a good faith effort to replace him/her with another DBE subconsultant, if the goal is not otherwise met. C. CONSULTANT can meet the DBE participation goal by either documenting commitments to DBEs to meet the AGREEMENT goal, or by documenting adequate good faith efforts to meet the AGREEMENT goal. An adequate good faith effort means that the CONSULTANT must show that it took all necessary and reasonable steps to achieve a DBE goal that, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to meet the DBE goal. If CONSULTANT has not met the DBE goal, complete and submit Exhibit 15-H: DBE Information — Good Faith Efforts to document efforts to meet the goal. Refer to 49 CFR Part 26 for guidance regarding evaluation of good faith efforts to meet the DBE goal. D. DBEs and other small businesses, as defined in 49 CFR Part 26 are encouraged to participate in the performance of AGREEMENTS financed in whole or in part with federal funds. The LOCAL AGENCY, CONSULTANT or subconsultant shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The CONSULTANT shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT -assisted contracts. Failure by the CONSULTANT to carry out these requirements is a material breach of this AGREEMENT, which may result in the termination of this AGREEMENT or such other remedy as the LOCAL AGENCY deems appropriate, which may include, but is not limited to: Page 13 of 22 1. Withholding monthly progress payments; 2. Assessing sanctions; 3. Liquidated damages; and/or 4. Disqualifying the contractor from future bidding as non -responsible E. A DBE firm may be terminated only with prior written approval from LOCAL AGENCY and only for the reasons specified in 49 CFR §26.53(f . Prior to requesting LOCAL AGENCY consent for the termination, CONSULTANT must meet the procedural requirements specified in 49 CFR §26.53(f). If a DBE subconsultant is unable to perform, CONSULTANT must make a good faith effort to replace him/her with another DBE subconsultant, if the goal is not otherwise met. F. Consultant shall not be entitled to any payment for such work or material unless it is performed or supplied by the listed DBE or by other forces (including those of Consultant) pursuant to prior written authorization of the LOCAL AGENCY's Contract Administrator. G. A DBE is only eligible to be counted toward the AGREEMENT goal if it performs a commercially useful function (CUF) on the AGREEMENT. CUF must be evaluated on an agreement by agreement basis. A DBE performs a Commercially Useful Function (CUF) when it is responsible for execution of the work of the AGREEMENT and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a CUF, the DBE must also be responsible, with respect to materials and supplies used on the AGREEMENT, for negotiating price, determining quality and quantity, ordering the material and installing (where applicable), and paying for the material itself. To determine whether a DBE is performing a CUF, evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the AGREEMENT is commensurate with the work it is actually performing, and other relevant factors. H. A DBE does not perform a CUF if its role is limited to that of an extra participant in a transaction, AGREEMENT, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, examine similar transactions, particularly those in which DBEs do not participate. I. If a DBE does not perform or exercise responsibility for at least thirty percent (30%) of the total cost of its AGREEMENT with its own work force, or the DBE subcontracts a greater portion of the work of the AGREEMENT than would be expected on the basis of normal industry practice for the type of work involved, it will be presumed that it is not performing a CUF. J. CONSULTANT shall maintain records of materials purchased or supplied from all subcontracts entered into with certified DBEs. The records shall show the name and business address of each DBE or vendor and the total dollar amount actually paid each DBE or vendor, regardless of tier. The records shall show the date of payment and the total dollar figure paid to all firms. DBE prime CONSULTANT's shall also show the date of work performed by their own forces along with the corresponding dollar value of the work. K. Upon completion of the AGREEMENT, a summary of these records shall be prepared and submitted on the form entitled, Exhibit 17-F. Final Report -Utilization of Disadvantaged Business Enterprise (DBE) First -Tier Subconsultants, certified correct by CONSULTANT or CONSULTANT's authorized representative and shall be furnished to the Contract Administrator with the final invoice. Failure to provide the summary of DBE payments with the final invoice will result in twenty-five percent (25%) of the dollar value of the invoice being withheld from payment until the form is submitted. The amount will be returned to CONSULTANT when a satisfactory "Final Report -Utilization of Disadvantaged Business Enterprises (DBE), First -Tier Subconsultants" is submitted to the Contract Administrator. L. If a DBE subconsultant is decertified during the life of the AGREEMENT, the decertified subconsultant shall notify CONSULTANT in writing with the date of decertification. If a subconsultant becomes a certified DBE during the life of the AGREEMENT, the subconsultant shall notify CONSULTANT in Page 14 of 22 writing with the date of certification. Any changes should be reported to LOCAL AGENCY's Contract Administrator within thirty (30) calendar days. M. Any subcontract entered into as a result of this AGREEMENT shall contain all of the provisions of this section. ARTICLE XIX INSURANCE A. Scope of Coverage. During the term of this Agreement, CONSULTANT shall maintain, at no expense to LOCAL AGENCY, the following insurance policies: 1. A commercial general liability insurance policy in the minimum amount of one million dollars ($1,000,000) per occurrence/two million dollars ($2,000,000) aggregate, for death, bodily injury, personal injury, or property damage. 2. An automobile liability (owned, non -owned, and hired vehicles) insurance policy in the minimum amount of one million dollars ($1,000,000) dollars per occurrence. 3. If any licensed professional performs any of the services required to be performed under this Agreement, a professional liability insurance policy in the minimum amount of one million dollars ($1,000,000) per occurrence/two million dollars ($2,000,000) aggregate, to cover any claims arising out of the CONSULTANT's performance of services under this Agreement. Where CONSULTANT is a professional not required to have a professional license, LOCAL AGENCY reserves the right to require CONSULTANT to provide professional liability insurance pursuant to this section. 4. If it employs any person, CONSULTANT shall maintain worker's compensation insurance, as required by the State of California, with statutory limits, and employer's liability insurance with limits of no less than one million dollars ($1,000,000) per accident for bodily injury or disease. CONSULTANT's worker's compensation insurance shall be specifically endorsed to waive any right of subrogation against LOCAL AGENCY. B. Other Insurance Requirements. The insurance coverage required of the CONSULTANT in subparagraph A of this section above shall also meet the following requirements: 1. Except for professional liability insurance or worker's compensation insurance, the insurance policies shall be specifically endorsed to include the LOCAL AGENCY, its officers, agents, employees, and volunteers, as additional insureds (for both ongoing and completed operations) under the policies. 2. The additional insured coverage under CONSULTANT'S insurance policies shall be "primary and noncontributory" with respect to any insurance or coverage maintained by LOCAL AGENCY and shall not call upon LOCAL AGENCY's insurance or self-insurance coverage for any contribution. The "primary and noncontributory" coverage in CONSULTANT'S policies shall be at least as broad as ISO form CG20 01 04 13. 3. Except for professional liability insurance or worker's compensation insurance, the insurance policies shall include, in their text or by endorsement, coverage for contractual liability and personal injury. 4. By execution of this Agreement, CONSULTANT hereby grants to LOCAL AGENCY a waiver of any right to subrogation which any insurer of CONSULTANT may acquire against LOCAL AGENCY by virtue of the payment of any loss under such insurance. CONSULTANT agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not LOCAL AGENCY has received a waiver of subrogation endorsement from the insurer. 5. If the insurance is written on a Claims Made Form, then, following termination of this Agreement, said insurance coverage shall survive for a period of not less than five years. Page 15 of 22 6. The insurance policies shall provide for a retroactive date of placement coinciding with the effective date of this Agreement. 7. The limits of insurance required in this Agreement may be satisfied by a combination of primary and umbrella or excess insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a provision that such coverage shall also apply on a primary and noncontributory basis for the benefit of LOCAL AGENCY (if agreed to in a written contract or agreement) before LOCAL AGENCY'S own insurance or self-insurance shall be called upon to protect it as a named insured. 8. It shall be a requirement under this Agreement that any available insurance proceeds broader than or in excess of the specified minimum insurance coverage requirements and/or limits shall be available to LOCAL AGENCY or any other additional insured party. Furthermore, the requirements for coverage and limits shall be: (1) the minimum coverage and limits specified in this Agreement; or (2) the broader coverage and maximum limits of coverage of any insurance policy or proceeds available to the named insured; whichever is greater. No representation is made that the minimum Insurance requirements of this agreement are sufficient to cover the obligations of the CONSULTANT under this agreement. C. Deductibles and SIR's. Any deductibles or self -insured retentions in CONSULTANT's insurance policies must be declared to and approved by the PROJECT MANAGER and City Attorney and shall not reduce the limits of liability. Policies containing any self -insured retention (SIR) provision shall provide or be endorsed to provide that the SIR may be satisfied by either the named insured or LOCAL AGENCY or other additional insured party. At LOCAL AGENCY's option, the deductibles or self -insured retentions with respect to LOCAL AGENCY shall be reduced or eliminated to LOCAL AGENCY's satisfaction, or CONSULTANT shall procure a bond guaranteeing payment of losses and related investigations, claims administration, attorney's fees and defense expenses. D. Proof of Insurance. CONSULTANT shall provide to the PROJECT MANAGER or LOCAL AGENCY'S City Attorney all of the following: (1) Certificates of Insurance evidencing the insurance coverage required in this Agreement; (2) a copy of the policy declaration page and/or endorsement page listing all policy endorsements for the commercial general liability policy, and (3) excerpts of policy language or specific endorsements evidencing the other insurance requirements set forth in this Agreement. LOCAL AGENCY reserves the right to obtain a full certified copy of any insurance policy and endorsements from CONSULTANT. Failure to exercise this right shall not constitute a waiver of the right to exercise it later. The insurance shall be approved as to form and sufficiency by PROJECT MANAGER and the City Attorney. ARTICLE XX FUNDING REQUIREMENTS A. It is mutually understood between the parties that this AGREEMENT may have been written before ascertaining the availability of funds or appropriation of funds, for the mutual benefit of both parties, in order to avoid program and fiscal delays that would occur if the AGREEMENT were executed after that determination was made. B. This AGREEMENT is valid and enforceable only, if sufficient funds are made available to LOCAL AGENCY for the purpose of this AGREEMENT. In addition, this AGREEMENT is subject to any additional restrictions, limitations, conditions, or any statute enacted by the Congress, State Legislature, or LOCAL AGENCY governing board that may affect the provisions, terms, or funding of this AGREEMENT in any manner. C. It is mutually agreed that if sufficient funds are not appropriated, this AGREEMENT may be amended to reflect any reduction in funds. D. LOCAL AGENCY has the option to terminate the AGREEMENT pursuant to Article VI Termination, or by mutual agreement to amend the AGREEMENT to reflect any reduction of funds. Page 16 of 22 ARTICLE XXI CHANGE IN TERMS A. This AGREEMENT may be amended or modified only by mutual written agreement of the parties. B. CONSULTANT shall only commence work covered by an amendment after the amendment is executed and notification to proceed has been provided by LOCAL AGENCY's Contract Administrator. C. There shall be no change in CONSULTANT's Project Manager or members of the project team, as listed in the approved Cost Proposal, which is a part of this AGREEMENT without prior written approval by LOCAL AGENCY's Contract Administrator. ARTICLE XXII CONTINGENT FEE CONSULTANT warrants, by execution of this AGREEMENT that no person or selling agency has been employed, or retained, to solicit or secure this AGREEMENT upon an agreement or understanding, for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees, or bona fide established commercial or selling agencies maintained by CONSULTANT for the purpose of securing business. For breach or violation of this warranty, LOCAL AGENCY has the right to annul this AGREEMENT without liability; pay only for the value of the work actually performed, or in its discretion to deduct from the AGREEMENT price or consideration, or otherwise recover the full amount of such commission, percentage, brokerage, or contingent fee. ARTICLE XXIII DISPUTES Prior to either party commencing any legal action under this AGREEMENT, the parties agree to try in good faith, to settle any dispute amicably between them. If a dispute has not been settled after forty-five (45) days of good -faith negotiations and as may be otherwise provided herein, then either party may commence legal action against the other. A. Any dispute, other than audit, concerning a question of fact arising under this AGREEMENT that is not disposed of by agreement shall be decided by a committee consisting of LOCAL AGENCY's Contract Administrator and other LOCAL AGENCY representatives who may consider written or verbal information submitted by CONSULTANT. B. Not later than thirty (30) days after completion of all work under the AGREEMENT, CONSULTANT may request review by LOCAL AGENCY Governing Board of unresolved claims or disputes, other than audit. The request for review will be submitted in writing. C. Neither the pendency of a dispute, nor its consideration by the committee will excuse CONSULTANT from full and timely performance in accordance with the terms of this AGREEMENT. ARTICLE XXIV INSPECTION OF WORK CONSULTANT and any subconsultant shall permit LOCAL AGENCY, the State, and the FHWA if federal participating funds are used in this AGREEMENT; to review and inspect the project activities and files at all reasonable times during the performance period of this AGREEMENT. ARTICLE XXV SAFETY Page 17 of 22 A. CONSULTANT shall comply with OSHA regulations applicable to CONSULTANT regarding necessary safety equipment or procedures. CONSULTANT shall comply with safety instructions issued by LOCAL AGENCY Safety Officer and other LOCAL AGENCY representatives. CONSULTANT personnel shall wear hard hats and safety vests at all times while working on the construction project site. B. Pursuant to the authority contained in Vehicle Code §591, LOCAL AGENCY has determined that such areas are within the limits of the project and are open to public traffic. CONSULTANT shall comply with all of the requirements set forth in Divisions 11, 12, 13, 14, and 15 of the Vehicle Code. CONSULTANT shall take all reasonably necessary precautions for safe operation of its vehicles and the protection of the traveling public from injury and damage from such vehicles. C. CONSULTANT must have a Division of Occupational Safety and Health (CAL -OSHA) permit(s), as outlined in California Labor Code §6500 and §6705, prior to the initiation of any practices, work, method, operation, or process related to the construction or excavation of trenches which are five (5) feet or deeper. ARTICLE XXVI OWNERSHIP OF DATA A. It is mutually agreed that all materials prepared by CONSULTANT under this AGREEMENT shall become the property of LOCAL AGENCY, and CONSULTANT shall have no property right therein whatsoever. Immediately upon termination, LOCAL AGENCY shall be entitled to, and CONSULTANT shall deliver to LOCAL AGENCY, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not, and other such materials as may have been prepared or accumulated to date by CONSULTANT in performing this AGREEMENT which is not CONSULTANT's privileged information, as defined by law, or CONSULTANT's personnel information, along with all other property belonging exclusively to LOCAL AGENCY which is in CONSULTANT's possession. Publication of the information derived from work performed or data obtained in connection with services rendered under this AGREEMENT must be approved in writing by LOCAL AGENCY. B. Additionally, it is agreed that the Parties intend this to be an AGREEMENT for services and each considers the products and results of the services to be rendered by CONSULTANT hereunder to be work made for hire. CONSULTANT acknowledges and agrees that the work (and all rights therein, including, without limitation, copyright) belongs to and shall be the sole and exclusive property of LOCAL AGENCY without restriction or limitation upon its use or dissemination by LOCAL AGENCY. C. Nothing herein shall constitute or be construed to be any representation by CONSULTANT that the work product is suitable in any way for any other project except the one detailed in this AGREEMENT. Any reuse by LOCAL AGENCY for another project or project location shall be at LOCAL AGENCY's sole risk. D. Applicable patent rights provisions regarding rights to inventions shall be included in the contracts as appropriate (48 CFR 27 Subpart 27.3 - Patent Rights under Government Contracts for federal - aid contracts). E. LOCAL AGENCY may permit copyrighting reports or other agreement products. If copyrights are permitted; the AGREEMENT shall provide that the FHWA shall have the royalty -free nonexclusive and irrevocable right to reproduce, publish, or otherwise use; and to authorize others to use, the work for government purposes. ARTICLE XXVII CLAIMS FILED BY LOCAL AGENCY's CONSTRUCTION CONTRACTOR Page 18 of 22 A. If claims are filed by LOCAL AGENCY's construction contractor relating to work performed by CONSULTANT's personnel, and additional information or assistance from CONSULTANT's personnel is required in order to evaluate or defend against such claims; CONSULTANT agrees to make its personnel available for consultation with LOCAL AGENCY'S construction contract administration and legal staff and for testimony, if necessary, at depositions and at trial or arbitration proceedings. B. CONSULTANT's personnel that LOCAL AGENCY considers essential to assist in defending against construction contractor claims will be made available on reasonable notice from LOCAL AGENCY. Consultation or testimony will be reimbursed at the same rates, including travel costs that are being paid for CONSULTANT's personnel services under this AGREEMENT. C. Services of CONSULTANT's personnel in connection with LOCAL AGENCY's construction contractor claims will be performed pursuant to a written contract amendment, if necessary, extending the termination date of this AGREEMENT in order to resolve the construction claims. ARTICLE XXVIII CONFIDENTIALITY OF DATA A. All financial, statistical, personal, technical, or other data and information relative to LOCAL AGENCY's operations, which are designated confidential by LOCAL AGENCY and made available to CONSULTANT in order to carry out this AGREEMENT, shall be protected by CONSULTANT from unauthorized use and disclosure. B. Permission to disclose information on one occasion, or public hearing held by LOCAL AGENCY relating to the AGREEMENT, shall not authorize CONSULTANT to further disclose such information, or disseminate the same on any other occasion. C. CONSULTANT shall not comment publicly to the press or any other media regarding the AGREEMENT or LOCAL AGENCY's actions on the same, except to LOCAL AGENCY's staff, CONSULTANT's own personnel involved in the performance of this AGREEMENT, at public hearings, or in response to questions from a Legislative committee. D. CONSULTANT shall not issue any news release or public relations item of any nature, whatsoever, regarding work performed or to be performed under this AGREEMENT without prior review of the contents thereof by LOCAL AGENCY, and receipt of LOCAL AGENCY'S written permission. E. All information related to the construction estimate is confidential and shall not be disclosed by CONSULTANT to any entity, other than LOCAL AGENCY, Caltrans, and/or FHWA. All of the materials prepared or assembled by CONSULTANT pursuant to performance of this AGREEMENT are confidential and CONSULTANT agrees that they shall not be made available to any individual or organization without the prior written approval of LOCAL AGENCY or except by court order. If CONSULTANT or any of its officers, employees, or subcontractors does voluntarily provide information in violation of this AGREEMENT, LOCAL AGENCY has the right to reimbursement and indemnity from CONSULTANT for any damages caused by CONSULTANT releasing the information, including, but not limited to, LOCAL AGENCY's attorney's fees and disbursements, including without limitation experts' fees and disbursements. ARTICLE XXIX NATIONAL LABOR RELATIONS BOARD CERTIFICATION In accordance with Public Contract Code §10296, CONSULTANT hereby states under penalty of perjury that no more than one final unappealable finding of contempt of court by a federal court has been issued against CONSULTANT within the immediately preceding two-year period, because of CONSULTANT's failure to comply with an order of a federal court that orders CONSULTANT to comply with an order of the National Labor Relations Board. Page 19 of 22 ARTICLE XXX EVALUATION OF CONSULTANT CONSULTANT's performance will be evaluated by LOCAL AGENCY. A copy of the evaluation will be sent to CONSULTANT for comments. The evaluation together with the comments shall be retained as part of the AGREEMENT record. ARTICLE XXXI RETENTION OF FUNDS No retainage will be held by the LOCAL AGENCY from progress payments due the CONSULTANT. Any retainage held by the CONSULTANT or subconsultants from progress payments due subconsultants shall be promptly paid in full to subconsultants within thirty (30) days after the subconsultant's work is satisfactorily completed. Federal law (49 CFR §26.29) requires that any delay or postponement of payment over thirty (30) calendar days may take place only for good cause and with the LOCAL AGENCY's prior written approval. Any violation of this provision shall subject the violating CONSULTANT or subconsultant to the penalties, sanctions and other remedies specified in Business and Professions Code §7108.5. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies, otherwise available to the CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment by the CONSULTANT, deficient subconsultant performance, or noncompliance by a subconsultant. This provision applies to both DBE and non -DBE CONSULTANT and subconsultants. ARTICLE XXXII NOTIFICATION All notices hereunder and communications regarding interpretation of the terms of this AGREEMENT and changes thereto, shall be effected by the mailing thereof by registered or certified mail, return receipt requested, postage prepaid, and addressed as follows: CONSULTANT. Park Engineering, Inc. Steve Patterson, Vice President 372 Village Square Orinda, CA 94563 LOCAL AGENCY City of San Rafael April Miller, Contract Administrator 111 Morphew Street San Rafael, CA 94901 ARTICLE XXXIII CONTRACT The two parties to this AGREEMENT, who are the before named CONSULTANT and the before named LOCAL AGENCY, hereby agree that this AGREEMENT constitutes the entire AGREEMENT which is made and concluded in duplicate between the two parties. Both of these parties for and in consideration of the payments to be made, conditions mentioned, and work to be performed; each agree to diligently perform in accordance with the terms and conditions of this AGREEMENT as evidenced by the signatures below. Page 20 of 22 ARTICLE XXXIV NO THIRD PARTY BENEFICIARIES LOCAL AGENCY and CONSULTANT do not intend, by any provision of this contract, to create in any third party, any benefit or right owed by one party, under the terms and conditions of this AGREEMENT, to the other party. ARTICLE XXXV COSTS AND ATTORNEY'S FEES The prevailing party in any action brought to enforce the terms and conditions of this AGREEMENT, or arising out of the performance of this AGREEMENT, may recover its reasonable costs (including claims administration) and attorney's fees expended in connection with such action. ARTICLE XXXVI LOCAL AGENCY BUSINESS LICENSE I OTHER TAXES CONSULTANT shall obtain and maintain during the duration of this contract, a LOCAL AGENCY business license as required by the San Rafael Municipal Code. CONSULTANT shall pay any and all state and federal taxes and any other applicable taxes. LOCAL AGENCY shall not be required to pay for any work performed under this contract, until CONSULTANT has provided LOCAL AGENCY with a completed Internal Revenue Service Form W-9 (Request for Taxpayer Identification Number and Certification). ARTICLE XXXVII WAIVERS The waiver by either party of any breach or violation of any term, covenant or condition of this AGREEMENT, or of any ordinance, law or regulation, shall not be deemed to be a waiver of any other term, covenant, condition, ordinance, law or regulation, or of any subsequent breach or violation of the same or other term, covenant, condition, ordinance, law or regulation. The subsequent acceptance by either party of any fee, performance, or other consideration which may become due or owing under this AGREEMENT, shall not be deemed to be a waiver of any preceding breach or violation by the other party of any term, condition, covenant of this contract or any applicable law, ordinance or regulation. ARTICLE XXXVIII APPLICABLE LAW The laws of the State of California shall govern this AGREEMENT CONSULTANT shall observe and comply with all applicable federal, state and local laws, ordinances, codes and regulations, in the performance of its duties and obligations under this AGREEMENT. CONSULTANT shall perform all services under this AGREEMENT in accordance with these laws, ordinances, codes and regulations. CONSULTANT shall release, defend, indemnify and hold harmless LOCAL AGENCY, its officers, agents and employees from any and all damages, liabilities, penalties, fines and all other consequences from any noncompliance or violation of any laws, ordinances, codes or regulations. Page 21 of 22 ARTICLE XXXIX SIGNATURES CITY OF SAN RAFAEL Cristine Alilovic (Aug29. 202311:03 PDT) CRISTINE ALILOVICH City Manager I_1a1*31 a-enna Numi (fay) Brenna Nurmi (for) (Aug 2q 311:219 LINDSAY LARA City Clerk APPROVED AS TO FORM ROBERT F. EPSTEIN City Attorney PARK ENGINEERING, INC. By. Title: Vice President and By;JarmmP.nY f •, _07317:13PDT, Title: President/CEO/CFO Page 21 of 22 Exhibit A March 7, 2022 Shawn Graf City of San Rafael 111 Morphew Street San Rafael, CA 94901 RE: Construction Management & Material Testing Services — Cost Proposal 3`d Street Safety Improvements Project Dear Shawn, Thank You again for selecting Park Engineering to provide Construction Management & Material Testing Services for the City's 3`d Street Safety Improvements Project, we are looking forward to continue working with the City on this project. Attached please find our cost proposal to furnish the required services to ensure the project's quality & compliance, as well as efforts to complete the project safely for both the workers and the public. If there are any questions, or if any additional information is needed, please contact me on my mobile at 510-701-0319 or at spatterson@park-enp,.com. Sincerely, Steve Patterson, P.E. Vice President Attachments Orinda Office 372 Village Square Orinda, CA 94563 Tel: 925-257-2508 Fax: 925-401-7030 Emeryville Office 3960 Adeline Street, #3 Emeryville, CA 94608 Tel: 925-257-2508 Fax: 925-401-7030 Proposal to Provide City of San Rafael Construction Management, Inspection and Testing Services for the Third Street Safety Improvements Project City Project No. 11362 February 3, 2022 PARK ENGINEERING February 3, 2022 Shawn Graf, Assistant Engineer City of San Rafael 111 Morphew Street San Rafael, CA 94901 RE: Construction Management, Inspection & Material Testing Services for Third Street Safety Improvements Project Dear Shawn, Park Engineering, Inc. is pleased to submit this proposal to provide construction management, inspection & material testing services for the Third Street Safety Improvements Project. We appreciate the opportunity to continue to work with the City on this project that will improve signal operations and pedestrian travel for a number of intersections along V Street near Highway 101. Improvements consist of curb ramp & sidewalk, high -visibility crosswalks, drainage and traffic signal improvements. Steve Patterson, with over 30 years of experience, will be the Resident Engineer for this project. Steve brings expertise in public works and roadway construction with federal funding and has managed multiple local agency roadway, including multiple projects for the City. Most recently, Steve was the Construction Manager for the Francisco Blvd. East Sidewalk Improvement Project, which required extensive public outreach and coordination with utilities, other contractors, businesses, local residents and daily commuters, as well as being federally funded. Assisting Steve on this project is Construction Inspector, Andy Bodo who has 22 years of experience providing construction management and inspection for public works construction projects. Andy has worked on a previous signal improvement project for the City of San Mateo and briefly helped out on the City's 2017 FEMA funded Slide Repair Project. Mike Johnson will be available for an optional 2nd inspector for possible extended day and night work operations. To provide materials testing on the project, we have included Applied Materials & Engineering, a local materials testing and special inspection firm with exceptional experience with Caltrans and ASTM certified testing for roadway and public works construction projects. As principal in charge, I will provide oversight to the construction team as well as provide any other needed support to the City. Our team can meet the challenges anticipated on this project and will ensure that the work is successfully completed in accordance with all local, state and federal regulations. Our team has the necessary technical expertise, as well as soft skills required to complete this project for the City of San Rafael. We have read and will comply with City's sample Professional Service Agreement without changes. Should you have any questions or need additional information, please do not Officelage hesitate to contact me. I can be reached at 372 Village Square, Orinda, CA 94563, 72 Vil 372 Vilclalage Square ipark@park-eng.corn and (925) 818-3756. Orinda, CA 94563 Tel: 925-257-2508 Fax: 925-401-7030 Sincerely, Emeryville Office vl~H 3960 Adeline Street, #3 Emeryville, CA 94608 Jaemin Park, PE Tel: 925-257-2508 President Fax: 925-401-7030 EXPERIENCE & TECHNICAL COMPETENCE FIRM PROFILE Park Engineering, Inc. was founded in 2013 with the vision of providing high quality construction management, construction inspection, program/ project management, project controls, and contract administration services to public agencies on transportation and infrastructure projects. Park Engineering is led by Jaemin Park and Steve Patterson as the principals of the company. Our company of 13 is comprised of experienced professionals who have worked together for numerous transportation and local agencies throughout the San Francisco Bay Area. Our collective project experience includes roadway rehabilitation and repaving, streetscapes including street lighting and signals, sanitary sewer projects, bridge rehabilitation and replacements, rail and grade separations, and many other local agency projects constructed to Local, Caltrans and Federal requirements. Park Engineering specializes in projects with Federal, State, bond, grant and other specialty funding requiring coordination with and audits by, Caltrans, FHWA and other oversight agencies. Specialties Construction Management Resident Engineering Construction Inspection Program Management/Project Management Project Controls and Document Control SWPPP Implementation and Inspection Scheduling and Schedule Control Cost Estimating and Cost Control Utility Coordination Claims Analysis, Negotiation and Resolution Support Value Engineering Permit Compliance Constructability and Bid -ability Review Bid Advertisement and Award Staff Augmentation Federal and State Audit Support Federal Fund Reimbursement and Project Closeout Public and Community Outreach Training and Staff Development Certifications State of California CUCP DBE/UDBE (No. 41711) State of California DGS SBE (No. 1757722) Park Engineering, Inc. 2013 • • Corporation Headquarters: • • 372 Village Square Orinda, CA 94563 Tel: (925) 257-2508 Fax: (925) 401-7030 www.park-eng.com Additional Office: 3960 Adeline Street, #3 Emeryville, CA 94608 Jaemin Park, PE President Cell: (925) 818-3756 E-Mail: ipark@park- eng.com 13 • . Jaemin Park, PE President Steve Patterson, PE Vice President Registered Professional Civil Engineer(s), State of California Park Engineering, Inc. has expertise delivering projects for local agencies that include new roadway and street improvements, bridge replacements, widenings and retrofits, streetscapes, water and sewer lines, buildings, pump stations, signals and lighting, and working in sensitive environments. Our expertise includes administering construction projects to Caltrans Standards and Local Assistance Procedures and administering projects that receive funding from multiple sources, including federal, State, local tax measure, special grant and local funds. We have the skills necessary to ensure thorough reporting and strict adherence to federal and state guidelines. City of San Rafael Construction Management Services for Third Street Safety Improvements Project SIMILAR PROJECT EXPERIENCE Our firm currently holds construction management and inspection contracts with cities and counties throughout the Bay Area. The firm's most recent similar projects to provide Construction Management & Inspection Services include: As -Needed Project Management, Construction Management and Inspection Services; City of San Rafael, Public Works Department, San Rafael, CA Description: Park Engineering is currently working with the Public Works Department. Projects include improvements to roadways and bridges, drainage and pump stations, and facility upgrades at community centers and parking structures. Park Engineering has provided assistance with multiple project studies, designs, project deliveries and the construction management — all phases of the work. Our staff has provided project & construction management & inspection services for the following projects: Francisco Blvd East Sidewalk Improvement Project This federally funded project constructed improvements between Vivian Street & Grand Ave Bridge that included demolition of existing curb ramps, asphalt, curb, gutter, sidewalk and striping; construction of new curb, gutter, sidewalk and driveways to current ADA standards for an 8-foot sidewalk; construction of curb ramps to current ADA standards for multiple intersections along Francisco Blvd East; installation of new and adjustments of existing storm drain systems; adjusting & relocating existing utilities to finish grade; upgrades to traffic signal and street lighting; irrigation and planting improvements; and final roadway striping work. 2017 Storm Damage Slide Repair Project This FEMA funded project repair storm damage slides at three locations throughout the City. The damage for storms in 2017 were repaired through three separate construction projects in 2018 & 2019. The project rebuilt existing failed slopes, added retaining walls, repaired damaged drainage systems & roadways, and worked closely with adjacent impacted residents. Park Engineering provided construction inspection services for all three projects. 2"d Street & Grand Ave Intersection Improvement Project improved this busy intersection with new & RELEVANT PROJECT EXPERIENCE improved curb ramps while widening the northbound approach on Grand Ave. The project also upgraded and replaced all the traffic signal components. Daily traffic control and coordination with adjacent businesses was also a critical component of the project work. Regional Transportation Safety Enhancement Project is an ongoing project to prepare the City's busy downtown / transit area for the arrival of the SMART train. Work includes traffic signal upgrades and extensive sidewalk & curb ramp improvements. H Street Roadway Improvements which replaced a failing drainage system and relocated the existing sanitary sewer main down the middle of H Street. Installation of twin 30-inch pipes required extensive traffic control and coordination with businesses & resident. The entire street was resurfaced as well as curb & sidewalk improvements. Other projects include: • Canal Street Storm Water Pump Station Repair Project ■ 1309 5th Ave Demo & Parking Lot Terra Linda Pool House Renovation B Street Community Center Projects City -Owned Parking Structure Study 3`d & Union Improvements Client Contact April Miller, PE Assistant PW Director 111 Morphew Street San Rafael, CA 94901 (415) 485-3409 �T�ype On -call & project specific work I Contract for public works construction and capital building projects Dates of 2013 — Present Service Dollar Amount Projects range from $30K to of Contract $6M Key Personnel Steve Patterson, PM/RE Jaemin Park, PM/RE Chris Kinser, Inspector James Beauchamp, Inspector Andy Bodo, Inspector RELEVANT PROJECT EXPERIENCE Marin County Public Works, On -Call Construction Management Services Park Engineering is providing on -call construction management and inspection services for County public works projects, including street rehabilitation, bicycle lanes, pedestrian improvements, bridges and roadway improvements. Completed Projects: 2021 Northern Road Rehabilitation Project This $1.9M project includes pavement rehabilitation work on multiple roads in the Lucas Valley Neighborhood just north of San Rafael. Project work involved full width grinding, repairing road base failures, road resurfacing, installing and modifying minor drainage improvements, concrete curb & gutter, sidewalk and accessibility curb ramps; traffic striping and marking, and road sealing. Project work also included traffic control, pedestrian considerations, and water pollution control effort. 2019 Southern Region Project This $2M project includes pavement rehabilitation work on 3 roads in the Strawberry Neighborhood in southern Marin County. Beyond repaving, the three roads will receive sidewalk improvements, accessibility features, bicycle safety upgrades, updated traffic striping and signage, improved drainage infrastructure, and a radar speed feedback sign. The improvement project will be covered by the County's Road and Bridge Rehabilitation Fund and the California Senate Bill 1 (SB1) funding. Client Contact Eric Miller, PE Principal Civil Engineer Marin County Public Works 3501 Civic Center Drive San Rafael, CA 94903 (415)473-6453 Dates of Service 2019 - Current Project Value $2 & 1.9M (Construction Value) Key Personnel Jaemin Park, Project Manager Steve Patterson, PM/RE Andy Bodo, Const. Inspector Danielle White, Inspector Marin County Transit District — 2018 State of Good Repair Bus Stop Improvement Project Park Engineering provided construction management and inspection services for this project that included re -construction of 10 existing bus stops throughout Marin County with work in Novato, San Anselmo, Corte Madera, Tiburon, Larkspur, Ross & San Rafael. Bus stop improvements included concrete removal & replacement work to meet current ADA standards with some locations also installing new Bus Shelters and site furnishings. Coordination with the various cities, Caltrans, adjacent residents & businesses and Bus Services were necessary to complete the improvements. Client Contact Anna Pennoyar Senior Capital Analyst Marin Transit 711 Grand Ave, Suite 110, San Rafael, CA 94901 (415) 226-0867 Dates of Service 2018 - Current ue $500,000 (Construction Value) nel FF Steve Patterson, Res. Engineer Andy Bodo, Const. Inspector City of Novato, Public Works Department, Measure A, Group 10 Pavement Rehab Project This $1.6M project includes rehabilitation of the pavement on Nave Drive between Alameda Del Prado and Bel Marin Keys Blvd, Be[ Marin Keys Blvd from Nave Drive to 200 ft. North of Digital Drive, and Bolling Drive from Nave Drive to Marin Valley Drive. The improvements will include construction of ADA compliant access ramps, removal and replacement of damaged concrete curb, gutter and sidewalk, replacement of existing traffic signal detection, pavement repairs consisting of asphalt concrete dig -out and patches, slurry seal application at some locations, grinding of the existing pavement, placement of reinforcing fabric, hot mix asphalt overlay, replacement of pavement striping and markings, and installation of new traffic signs. Client Contact Gosia Woodfin, PE Project Engineer City of Novato Public Works 922 Machin Ave Novato, CA 94945 (415)899-8997 Dates of Service 2019 - Current Project Value $1M (Construction Value) Key Personnel Jaemin Park, Resident Engineer City of San Rafael Construction Management Services for Third Street Safety Improvements Project RELEVANT PROJECT EXPERIENCE City of Concord Project Management, Construction Management and Inspection Services, Concord, California Description: Park Engineering has provided construction management and inspection services for City public works projects, including street rehabilitation, bicycle lanes, pedestrian improvements, bridges and roadway improvements. Projects include: Clayton Road Traffic Operations Improvements This $450k locally funded project involves the installation of fiber optic communications cable in conduit, conduits, pull boxes, fiber optic splicing and testing, fiber optic switches, fiber optic small form pluggable modules, fiber pig tails, and other items required by the contract documents. Other work includes potholing, traffic control and construction signage, pedestrian detours, and water pollution control. Denkinger Road Pavement Rehabilitation This $1.2M locally funded project rehabilitated the existing pavement for approximately 1/2 mile along Denkinger Road by a full depth reclamation process. 7 curb ramps were also upgraded, spot repairs were made at various curb location, and final re -striping of the roadway and adjacent intersection with Concord Blvd. Measure Q Paving Rehabilitation, Project #8 This $1.3M project included roadway reconstruction work on 8 local residential roadways, including construction of 14 new curb ramps and replacement of existing valley gutters and curb & gutter. Roadway reconstruction methods were varied degrees of grinding & repaving with some pavement failure digouts and use of RHMA as the final wearing course. West Concord Bikeways This $80,000 project work involved the installation of new buffered bike lanes on Meridian Parkway Blvd. and Galaxy Way / John Glenn Drive. Citywide Accessibility Improvement Projects #4, 5,6and 7 These projects involved the re -construction of pedestrian curb ramps at various intersections throughout the City, with a number of locations included as Alternate Bid Items to allow the City flexibility to add or remove this specific work based on bid results. i' "_N "y Central Concord Pedestrian Improvements Project included roadway resurfacing work of both the mill and fill method for Willow Pass Road and a slurry seal for Broadway, as well as replacement of non-ADA compliant curb ramps for 25 intersections in downtown Concord, new traffic signal, and streetscape features installed near the Concord BART Station. Detroit Avenue Bicycle and Pedestrian Improvements Project This federally funded (OBAG) Project constructed roadway and streetscape improvements on Detroit Avenue from Monument Blvd. to Clayton Road. Work on this $4M project involves full street rehabilitation including, grading, AC paving, signals and lighting, new curb, gutter and sidewalks, new curb ramps, drainage improvements, irrigation and lighting, and enhanced striping and pavement markings. Ellis Lake Restroom Building Project This locally funded project included the site preparation and utility installation to accept a pre- fabricated 4-unit restroom building. New sidewalk, re -installation of irrigation and grass and a new picket fence were also part of the project. City-wide Bridge Rehabilitation Program — Package 1 Project work included construction of maintenance repairs for six bridges throughout the City that include: Willow Pass Road Over Mount Diablo Creek, Kirker Pass Road Over Mount Diablo Creek, Diamond Blvd over Walnut Creek — Left, Diamond Blvd over Walnut Creek — Right, Cowell Road Over Galindo Creek, and Walnut Ave Over Contra Costa Canal. FClient Contact Bernard Enrile, PE Manager, CIP City of Concord (925)671-3031 Dates of Service 2015 - Current Project Value $80,000 to $4M (Construction Value) Key Personnel Jaemin Park, Project Manager Steve Patterson, Res. Engineer Chris Kinser, Const. Inspector Pete Martin, Constr. Inspector James Beauchamp, Inspector RELEVANT PROJECT EXPERIENCE On -Call Construction Management and Inspection Services - City of San Mateo, Public Works Department, San Mateo, California Client Contact Jay Yu, Engineering Manager City of San Mateo (650) 522-7323 jyu@cityofsanmateo.org Type of Public works construction. Project(s) roadway and bridges Date of 2014 to Present Performance Construction $1M to $6M (Construction Cost Value); Key Personnel Jaemin Park, PM Steve Patterson, RE Andy Bodo, Inspector James Beauchamp, Inspector Description: Park Engineering staff provided construction management and inspection services for several bridge and roadway improvement projects for the City of San Mateo. Services have included full construction management including CCO, RFI and submittal management, schedule, constructability reviews, bidding assistance, and federally funded project support including contract administration, contract compliance, audit support and fund reimbursement. Projects included: Downtown Parking Technology Improvements Project This federally funded project upgraded single & multi -space parking meter systems in the downtown area. New level -by -level count systems were installed in the City's five downtown parking structures as well as installation of new way finding signs for parking. Citywide Crosswalk Improvement Project This federally funded project constructed high visibility crosswalks in 40 locations throughout San Mateo. In addition to the crosswalk upgrades, work consisted of new and relocated signage, a pedestrian refuge island, installation of a retro- reflective flashing beacon system, accessible ramp improvements, thermoplastic pavement markings, and green bike lane and box installation. E. 3rd Ave Street Rehabilitation Project This project scope included concrete improvements; asphalt concrete pavement grinding and removal, hot mix asphalt paving, pavement striping, storm drain replacement and utility structure adjustments. Poplar Corridor Safety Improvement Project The project constructed a median island on Poplar Ave from Amphlett Blvd to Idaho St, as well as traffic calming improvements along Humboldt St. Traffic calming improvements included: bulbouts, landscaping with new trees, pedestrian level lighting, radar feedback signs, and signal upgrades at Humboldt/Poplar. 2014 Street Rehabilitation Project Project consisted of removal and replacement of curb & gutter, sidewalk, driveways and construction of new Handicap ramps, bulb outs, islands, new drainage inlets and storm drain pipes, relocation of street lights. Work also involved grinding and paving city streets and parking lots, striping and pavement markings, and installing new tree grates. Additional projects included: • 2014-15 Street Rehabilitation Phase 1 2015 Community Development Block Grant (Federally Funded) Downtown San Mateo Creek Bridge (Federally Funded) East Hillsdale Bridge Seismic Retrofit (Federally Funded) • Norfolk Street Bridge Replacement (Federally Funded) Delaware Street Bike Lane and Streetscape Improvement Project (Federally Funded) El Camino Real Master Plan, Phase 1 Improvements (Federally Funded) f Page 6 City of San Rafael R'FMa Construction Management Services for Third Street Safety improvements Project RELEVANT PROJECT EXPERIENCE City of Orinda Multiple Project -Specific Construction Services & On -Call Construction and Project Management Services Client Contact Jason Chen, PE FORMER City Engineer City of Orinda (925) 949-9776 Dates of Service 2014 — Current Project Value $140,000 to $10M Key Personnel Steve Patterson, PM/RE Jaemin Park, PM/RE Linda DeBolt, PM James Beauchamp, Danielle White - Inspectors Description: Park Engineering provided the City construction & project management services for multiple capital project. Services included project delivery, resident engineering, construction inspection, and materials testing. Also representing the City during construction for interactions with public / homeowners directly impacted. Projects have included: Orinda Way Pavement Rehabilitation Construction Cost: $10M Park Engineering provided construction management for this $650,000 federally funded project. The project included rehabilitation of Orinda Way using Mill and Fill rehabilitation method. In addition, the work includes pavement (digout) repairs, curb ramp reconstruction, drainage improvements, utility adjustments, replacing detector loops, striping and curb, gutter and sidewalk repair. 2017 Annual and Measure J & L Paving Rehabilitation Project Construction Cost: $10M Park Engineering provided construction management for this project. The project work consisted of improvements occurring on 65 different streets within the City. Roadway rehabilitation was primarily through Full Depth Reclamation with an HMA overlay, extensive drainage and concrete curb & gutter replacement work. Other work consisted of utility adjustments, replacement of HMA dikes & swales and roadway delineation. The project was locally funded with the use of both City funds and Contra Costa County Measure funds. Crossroads Area & BART Wayfinding Signage Construction Cost: $140,000 Park Engineering managed the planning and design and will manage the construction of this project that will furnish and install new custom fabricated wayfinding signs, wall graphics and fabricated light cabinet, concrete foundation, replacement of existing sidewalk where needed, extension of electrical conduits and conductor as needed. BART-Downtown Access Ramp & Lighting Construction Cost: $900,000 Park Engineering provided construction management for this project. The project work consisted of removing an existing concrete stairway and replacing with a new stairway and ADA compliant ramp to link the City's busy Theater District with the adjacent Orinda BART Station. A series of seven retaining walls were constructed to achieve the ADA ramp in small work area, located on Caltrans right-of-way. Other work included improved lighting and new landscaping with an improved irrigation system. 2014 Annual and Measure J Paving Rehab Project Construction Cost: $1.40M Park Engineering provided construction management for this project. The project work consisted of a combination of pavement rehabilitation, both slurry seal and mill of existing pavement with Hot Mix Asphalt paving; base failure repairs, both digout repairs and Full Depth Reclamation; minor drainage improvements and repairs; and re -installation of striping and pavement markings. The project was locally funded with the use of both City and Contra Costa County Measure L funds. City of Son Rofoel Construction Management Services for a.-opci.. l Third Street Safety Improvements Project RELEVANT PROJECT EXPERIENCE On -Call Construction Management and Inspection Services Contra Costa County Public Works Department, Contra Costa County, California Client Contact Adelina Huerta, PE Division Manager Contra Costa County Design and Construction (925)313-2305 Dates of Service 2014 — Current Project Value $2M to $25M (Construction Value) Key Personnel Jaemin Park, PM & RE Steve Patterson, RE James Beauchamp, RE & ARE Mike Johnson, ARE/Inspector Andy Bodo, ARE/Inspector Danielle White, ARE/Inspector Description: Park Engineering's personnel provided construction management and inspection for County public works projects through an on -call Construction Management and Inspection contract. The team worked on several federally funded public works as well as privately funded developer projects, such as new subdivision construction and the expansion of local roadways and arterial improvements. Projects include: Kirker Pass Road Northbound Truck Climbing Lane Project —The project improves safety and reduces congestion along Kirker Pass Road by constructing a truck climbing lane in the northbound direction. The project is approximately 1 mile in length, beginning at the Concord Pavilion and ending at the northern Hess Road intersection. Road widening requires significant retaining walls due to the existing slopes and drainage adjacent to the roadway. The project also includes pavement rehabilitation on the north and south bound lanes between the City of Concord/County limits to approximately 4,200 feet north of North Hess Road for a total of about 1.6 miles. The total project length is about 2 miles. The project is funded by Federal grants, State SB1 funds, and local County funds. San Pablo and Wildcat Creeks Levee Remediation — FEMA mandated levee remediation to raise freeboard to 100 year flood requirements. Work involved installation of sheetpile walls, levee fill, concrete walls, and HMA pavement to raise levee roads. The project required close environmental monitoring and coordination with various entities including East Bay Regional Park District and County Flood Control District. The project was funded by local County funds and State funds. 2015 Asphalt Rubber Cape Seal; 0672-61.12149 The work consisted of applying an asphalt rubber chip seal covered with a type II slurry seal to approximately 259,020 square yards of roadway located at East Richmond Heights area of west Contra Costa County and Shadow Creek area of Blackhawk in the East Contra Costa. Work also included installation of 40 survey monuments, surface preparation, striping removal, and placement of thermoplastic striping and pavement markings. Bollinger Canyon Bridge over Japonica Creek (Federally Funded) = South Dougherty Road Bridge and North Dougherty Road Bridge Vasco Road Safety Improvements, Phase I (Federal and CCTA Funded) Countywide Microsurfacing Project Giaramita Street Rehabilitation (federal Block Grant Funds) Services Provided: Park Engineering staff managed several overall construction projects, including performing field reviews; preparing daily Resident Engineer reports and project status reports for the County; managing correspondence; and maintaining communication with the general public and other, numerous related public agencies. r7 T` Page S City of Son Rafael Construction Management Services for * Third Street Safety Improvements Project TEAM ORGANIZATION & KEY PERSONNEL KEY PERSONNEL Park Engineering is a DBE firm that brings an experienced construction team to represent the City for this improvement project. We specialize in providing construction management and inspection services to public agencies for projects just like this. Our team is knowledgeable of Caltrans, Federal and Greenbook requirements, and has experience completing comparable projects and will meet all the City's Quality Assurance Plan requirements. Steve Patterson, PE, Project Manager/Resident Engineer will be primary contact managing all aspects of the project for the City and management of Park Engineering team. Steve has over 30 years of experience providing project management, construction management, and construction administration for local agency, highway, bridge, building and public works infrastructure projects throughout the Bay Area. He has worked with state, regional and local agencies in the capacity of project principal, project manager, resident engineer, construction inspector, project engineer, and office engineer. He has worked on numerous projects for the City for the past 8 years, with both federal & local funding involved. Steve is also currently the RE for a signal interconnect project for the City of Concord. Andy Bodo, Construction Inspector Andy Bodo has 22 years of experience providing construction management and inspection for roadway, bridge and public works construction projects. His experience has included roadway rehabilitations, underground utilities, and streetscapes. Andy is proficient in Caltrans construction manuals and specifications and has experience with federal and bond funded projects. Mike Johnson, Construction Inspector (if needed) Mike has over 35 years of experience as an inspector for transportation and public works construction projects that have included bridges and other structures roadways and highways, drainage, signal & lighting, and multiple utility installation / relocations. Mikes has extensive experience working with local agencies on federal and local funded projects most recently completing San Pablo Avenue Complete Streets Project. Applied Materials & Engineering Park Engineering Team Member Applied Materials & Engineering, Inc. (AME) will provide quality assurance testing as required. Testing will be performed in the frequencies required by the City's Quality Assurance Program and the Caltrans Local Assistance Procedures Manual. AME will provide summary of tests performed and results of tests performed to support quality of the work. They will provide sufficient information so that the resident engineer can satisfy the requirements of certifying that all materials used on the project meet the contract requirements. Jaemin Park, PE, Principle In Charge will be providing technical support, oversight and management of the project. Jaemin has 30 years of experience providing project management, construction management, construction administration, and design of highway, bridge, building and public works infrastructure projects throughout California. Availability All members of the team are available within the duration of the contract and will not be substituted without the City's permission. Please see resumes at back of this proposal Pages City of San Rafael Construction Management Services for Third Street Safety Improvements Project i PROJECT UNDERSTANDING & APPROACH PROJECT UNDERSTANDING There are many challenges that come with the responsibility of providing quality service on public works construction projects. At Park Engineering, we understand that a public agency has to answer to elected officials, oversight and permitting agencies, and third -party funding sources. We also understand the public relations pressures on visible community improvements projects and that public perception can make the difference to the success of a project. Our resident engineers and construction inspectors take ownership of our projects and act in the City's best interest to manage, coordinate and inspect the project to successful completion. Park Engineering specializes in providing construction management and inspection services to public agencies for projects just like this and our proposed team of professionals has the experience and expertise to ensure that this project is completed successfully. For this contract, we will provide a part-time Project Manager/Resident Engineer and a full-time inspector for the duration of the project. A possible second inspector will be available for combined day & night work that may occur. All will report directly to the City's project manager For this project, the work occurs at specific intersections along 3rd Street from Grand Ave to Lootens Place. Improvements consist of curb ramp & sidewalk improvements, high -visibility crosswalks, drainage work and traffic signal improvements related to improved pedestrian safety. The engineer's estimate is approximately $2.5 million and is federally funded. Project duration is estimated at 120 working days with an anticipated start time of late April. KEY ISSUES Having performed construction inspection for similar projects, we have identified elements of the work that are key to the success of this project. They include, but are not limited to: • Public Outreach & Safety —The planned curb ramp, sidewalk and signal improvements will impact the normal patterns of the daily foot traffic — both school / business routes and daily routines of exercise & dog walks. Advance notice for any closures of the traveled lanes, sidewalks and driveways for the improvement work to limit impacts to businesses, residents, the traveling public, delivery, emergency and transit customers will be essential. Additionally, strict adherence to approved traffic handling plans, work schedules related to business access, no parking postings, and closely monitoring pedestrian access will help keep the public informed on what to expect and when, will improve the project's safety during construction and minimize issues with the public. • Coordination — Multiple stakeholders are directly involved with this project. Accurate construction details will need to be provided to Caltrans, SMART, and local transit along with the adjacent businesses already mentioned. Improvements will be performed adjacent to the City's bus transit center and the SMART station. Additional impacts may occur to local deliveries and services, along with postal, garbage and emergency services. Lastly, the City will have a concurrent larger improvement project along 3rd Street that will require coordination to avoid conflicting activities and/or traffic control. Weekly progress meetings will be a beneficial tool to help identify work activities, and their related schedule, that have a need for coordination with any of the multiple involved project partners. F4�509m` Page 10 City ofSon Rafael Construction Management Servicesfor v Third Street Safety Improvements Project PROJECT UNDERSTANDING & APPROACH Tracking of Costs & Schedule — Constant monitoring and reporting of project quantities constructed to control bid quantity overruns that can occur and for any change order work to prevent escalated contract costs are critical to keep the project on budget. Daily Inspection Reports and progress pictures will be kept current and provided to the City in a timely manner to benefit the monitoring of the project's schedule. Project Documentation and Administration With federal funding, making sure that the project is administered in accordance with the Caltrans Local Assistance Procedures Manual, will ensure swift and easy audits. It is critical that the project is administered using standard, recognized administration systems that meet the needs and established system of the City. Project documents, such as our inspection reports, supporting calculations for progress payments and employee interviews, will be developed for the project files and provided to the City in a timely manner. Our experience in documenting the important aspects of similar projects will provide key information of the work performed, compliance with the contract requirements and well -organized project documents for federal funding audits. Quality of Work —Acceptance of only the best quality work ensures the funds utilized are well invested and the improvements will last. Strict adherence to the City's quality assurance program (QAP), City, County & Caltrans standards, performing the required acceptance testing to verify quality of the completed work and documenting results for compliance with local, state and federal requirements. Project Appearance / Environmental Concerns / Permits/ Water Pollution Control — A clean project will promote a positive public perception, increase the project safety and aid the effort to compliance with Permits, Environmental and Water Pollution Control requirements. Installing water pollution control measures and maintaining it regularly is very important to prevent violations to permits from Regional Water Quality Control Board. Additionally, weekly project cleanup will provide a safer environment for the public and the project personnel. WORK PLAN Park Engineering will support the City by providing construction management, inspection, and materials testing & survey services for this project. We will perform all the duties required in the RFP, including, but not limited to the following:. TASK ONE — Resident Engineer & Construction Inspection Services Pre -Construction Services • Park Engineering's Project Manager/Resident Engineer, Steve Patterson, will conduct and/or attend coordination meetings with permitting agencies, utility companies and the public— residents & businesses. City of Son Rafael Construction Management Services for Third Street Safety Improvements Project PROJECT UNDERSTANDING & APPROACH Prior to bidding the project, a constructability review can be performed with identified issues detailed and discussed with the project Design Team. If requested, we can assist the City with Project Advertisement & Award. We will lead the pre -construction meeting with all involved parties. Meeting minutes will be prepared and distributed to ensure that all discussions, agreements and understandings are documented. Project Administration • Act as the single point of contact for all communications and coordination between the contractor, utility companies, regulatory agencies, local businesses and residents, the designer, and the City. • Coordinate, conduct and summarize weekly progress meetings with the Contractor during construction. • Maintain close contact with City Project Manager for project status to ensure that the City is kept up to date on all project matters. • Review contractor's planned schedule for conformance with the specifications and for reasonableness of the sequence and duration of the activities. • Review work progress as compared to the planned schedule and notify contractor of schedule slippage. • Photo documentation of project work and the project site before, during & after construction. • Monitor and report on project budget and construction status and provide any necessary info needed for update reports. • Maintain all project records specific to Contractor's activities including schedule, costs, correspondence, submittals and documenting all daily activities. • Prepare, monitor & distribute Weekly Statements of Working Days to monitor project schedule. • Manage and coordinate with project stakeholders, schools, residents, and any necessary utility coordination for conflicts or relocation work required. • Assist with the review and approval of contractor submittals required by the construction contract plans and specifications including traffic control plans, Storm Water Pollution Control Plans, sewer by-pass systems/plans and various mix designs. • Support the management of submittals from the contractor, tracking date submitted, duration for review and making sure that submittals are reviewed and returned within the allotted time to prevent any delays. • Coordinate, manage and respond to Requests for Information (RFI's) submitted by the contractor, including tracking RFI's sent to the designers and/or other agencies for timely replies. • Review contract documents to determine validity of change orders and provide support to the City. • Evaluate contractor's change order requests and claims and make recommendations to the City based on the merit and circumstances. • Review and approve change orders with the City's concurrence. • Review cost estimates and back up documentation for any contract change order work. City of San Rafael IRE Construction Management Servicesfor Third Street Safety Improvements Project PROJECT UNDERSTANDING & APPROACH • Prepare independent cost estimates to verify contractor's cost proposals for change orders. • Negotiate and prepare any contract change orders with justification memorandums for the City's approval. • If change order prices cannot be agreed upon with the contractor, perform work at force account and track all labor equipment and materials. • Identify actual and potential problems associated with the construction project and recommend sound engineering solutions to the City Project Manager. • We will analyze, negotiate, provide recommendation and supporting information to resolve any outstanding potential claims. • We will support the City to fight and resolve any outstanding issues, looking out for the best interests of the City. • Prepare supporting quantity calculations for work performed, including any contract change orders, and progress pay estimates on a monthly basis. • Review contractor's invoices to verify accuracy and "sign -off' on construction progress pay estimates for City's payment approval. • Review and approve extra work bills verifying hours of labor, equipment and materials and rates for labor, equipment as well as costs for material. • Include change order payments in monthly progress payments and review. contractor's invoices to ensure accuracy. • Assist with the review of contractor's weekly certified payroll for compliance with prevailing wage requirements and conduct any necessary labor compliance interviews of Contractor's field staff. • Monitor contractor's construction activities for conformance with the approved Water Pollution Control Plan, SWPPP and NPDES General Permit requirements. • Work with the contractor's staff to prepare and transition, official and accurate construction record drawings. Conduct, review, and follow up on inspection work to assure completion of the contract including any punch list items of work. Perform final inspection of all work for acceptance. Field Inspection Services • Review all contract documents to become familiar with all project details — plans, specs, schedule & sequence, traffic control and any permit requirements / restrictions. • Attend the project's Pre -Construction Meeting and pro -actively discuss potential project issues. • Perform all field inspection activities to monitor compliance with the contract plans and specifications. Record all items of work, labor, equipment, materials incorporated, materials tested, traffic control utilized and any other pertinent information in a daily diary for permanent record. • Monitor all field work for contract compliance and document with daily reports and pictures. Notify the City's RE about any non-compliance items / issues. • Project photographs and video documentation of project progress and major work components will be done on a weekly basis and kept for permanent records to support disputes and verify quality for acceptance. n Y� Page 13 City of San Rafael 1� Construction Management Services for Third Street Safety Improvements Project PROJECT UNDERSTANDING & APPROACH • Work closely with City staff on project schedule, field progress and issues to monitor overall project completion. • Prepare supporting quantity calculations for work performed, including any contract change orders, and progress pay estimates on a monthly basis. • Review, evaluate & discuss proposed change orders and estimates for accurate scope, cost and time impacts. • Maintain and enforce safety awareness for the protection of workers and public • Review all necessary sampling and testing of materials for the project — performed by both the Contractor and AME —to meet the specifications and City's QAP to ensure all materials meet the contract requirements. Failing results will be detailed to the RE. • Attend any progress or public meetings as requested. • Conduct interviews of field personnel for EEO / Labor Compliance monitoring. • Work closely with City Staff on final punchlist and acceptance of the contract work. • Assist City Staff as needed on various project administration tasks, such as review of certified payrolls, submittals and/or RFIs. Public & Community Relations • Ensure all public notifications are accurate and posted in a timely manner • Coordinate and communicate with adjacent businesses and residents to minimize impact and maintain a neighborly reputation for the project. • Coordinate with any businesses and property owners, City Staff, transit agencies and delivery services to inform them of the project's upcoming work. • Coordinate any necessary utility agency coordination for conflicts and/or relocation needed. • Assist in organization and execution of any public outreach meetings and events. • Assist with questions from the public concerning the project work and schedule. • Address public concerns on a daily, weekly, and monthly basis. Post Construction • Review/assist with the preparation of all required close-out documents, as required, as submitted by the Contractor. • Coordinate efforts with the Designer for the conversion of the As -Built Drawings to the Record Drawings for the project work. • Finalize all bid item and change order totals for the project's Final Progress Payment. • Maintain the construction contract accounting, filing and administration in accordance with City requirements and provide files (electronically and/or paper files) to the City upon project completion & acceptance. • Provide a list and details of any lessons learned during construction specific to the work performed for use on future City projects. • If requested, and necessary, provide supporting information to dispute construction claims and/or perform an as - built schedule analysis. :��,�,,:�„r � a-'4��+ter*■_:..- ,� 1' Page 14 City of San Rafael Construction Monagement Services for { Third Street Safety Improvements Project PROJECT UNDERSTANDING & APPROACH TASK TWO — Materials Testing / Sampling Services • Review all necessary sampling and testing of materials for the project, performed by the Contractor, in accordance with the specifications and ensure that all materials meet the contract requirements. • Make sure that the Contractor performs necessary quality control sampling & testing required. • Review test data and materials certifications submitted by the contractor and suppliers for compliance with the contract requirements. • Schedule and coordinate acceptance and quality assurance sampling and testing to be performed by Applied Materials & Engineering. • Applied Materials & Engineering will provide materials testing and sampling services to ensure the installation of materials is in accordance with contract requirements and the City's QAP. Materials include: - Native Soils / Subgrade Compaction - Trench Backfill & Base Rock - Hot Mix Asphalt (minor) - Concrete placed • All tester certifications will be provided • We will review quality assurance testing as required. Testing will be performed in the frequencies required by the City's Quality Assurance Program (QAP) and any other required State and Federal guidelines like the Caltrans Local Assistance Procedures Manual and Construction Manual. • Observe and document final testing & acceptance of the utility work performed. • Maintain and enforce safety awareness for the protection of workers and public. • Analyze records of materials used in the project in accordance with ASTM and California Standard Test Methods. Page 15 City of San Rafael �'ni iy�:y7 Construction Management Services for Third Street Safety Improvements Project APPENDIX - KEY PERSONNEL STEVE PATTERSON, P.E., RESIDENT ENGINEER / PROJECT MANAGER Years of Experience 30 Education B.S. Civil Engineering, Michigan State University, East Lansing, 1991 Professional Registrations Professional Engineer: California, #C54481, 1995 QSD / QSP: Certificate #22073 Key Qualifications Steve Patterson's experience includes roadway widening and rehabilitation, highways and interchanges, emergency slide and flood repairs, sound walls, MSE walls, retaining walls, storm box culverts, utility installations and relocations. He has worked in the capacity of Project Manager, Resident Engineer, Construction Inspector, and Office Engineer. Steve is familiar with the Caltrans Standard Specifications, Standard Plans, Construction Manual, Local Assistance Procedures Manual, and the "Greenbook" Standard Specifications for Public Works Construction. Steve is experienced with supervising inspection staff, CPM schedules, project controls and costs, quality control/quality assurance, analyzing claims, preparing reports, planning personnel resources, negotiating contract change orders. Steve coordinated project work with utility companies, cities, counties, Caltrans, California Department of Fish and Game, Regional Water Quality Control Board, Union Pacific Railroad, private businesses, and the public. Representative Project Experience City of San Rafael Public Works, Francisco Blvd East Sidewalk Improvement Project Steve is the construction manager on this $5M federally funded project that widens the existing sidewalk to 8-feet for almost a mile along the busy Francisco Blvd East, Vivian to Grand. Other work includes replacing existing storm drain systems & street lighting, installing new irrigation & trees, and pedestrian improvements to the signal at Medway. Contra Cost County Public Work, Kirker Pass Road Northbound Truck Climbing Lane Project, Concord Steve is the construction manager on this $14.1M federally funded project that constructs an additional lane for improved truck climbing safety. The project constructs six retaining walls to complete the widening lane, as well as grind & pave of all lanes (4) for approximately 2 miles, related drainage improvements and restriping work. Coordination is needed with the Cities of Concord *& Pittsburg, Union 76 for their close proximity gas line and the Concord Pavilion. City of San Rafael, Public Works & Engineering Department, San Rafael, CA City Owned Property Improvements, Roadway and Drainage Improvements Steve was Project Manager and Resident Engineer for numerous City Projects ranging in construction costs from $30,000 to $2 million and including street rehabilitation, curb ramp improvements, drainage improvements, bridge resurfacing, City -owned facility improvements and sanitary sewer replacements. Assisted City Staff to develop and/or assist delivery of project documents for construction, advertise projects for bidding, answer pre -bid questions and evaluate bids, and monitor contract progress. • City of Concord, Multiple Projects Steve was the Resident Engineer/Project Manager on the following projects: ✓ Denkinger Road Pavement Rehabilitation Project, $1.2M Rehabilitated the existing pavement for approximately 1 mile along Denkinger Road by full depth reclamation process. 7 curb ramps were also upgraded, spot repairs made at various locations. City of San Rafael Construction Management Services for ��i Third Street Safety Improvements Project APPENDIX - KEY PERSONNEL ✓ Citywide Accessibility Improvement Project #6, $300,000 Federally funded project that upgraded 30 curb ramps with signal & striping improvements. ✓ Measure Q Pavement Repair Project #8, $1.3M Rehabilitated the existing pavement on 8 local streets along with the construction of ADA curb ramps and valley gutters. ✓ West Concord Bikeways, $80k Revised the existing striping to create a buffered Class II bike lane in both directions. ✓ Citywide Accessibility Improvements #4, $365k Federally funded project that upgraded 45 curb ramps with signal & striping improvements. ✓ Central Concord Pedestrian Improvements Streetscape Project, $3M — Roadway resurfacing project that included work of both the mill and fill method and slurry seal, curb ramps for 25 intersections in downtown Concord, a new traffic signal, and streetscape features. ✓ Ellis Lake Restroom Project, $120k—This locally funded project included the site preparation, utility connections and installation of a prefabricated 4-unit restroom building. City of Orinda, 2017 Paving Rehabilitation Project & BART-Downtown Access Ramp & Lighting Project Construction Cost: $10M & $900,000 (respectively) Construction Manager for this project that required work to occur on 65 different streets within the City. Roadway rehabilitation is primarily through Full Depth Reclamation with extensive drainage and concrete curb & gutter replacement work. Other work consists of utility adjustments, replacement AC dikes and roadway delineation. BART-Downtown Access Ramp consisted of removing an existing concrete stairway and replacing with a new stairway and ADA compliant ramp to link the City's busy Theater District with the adjacent Orinda BART Station. A series of seven retaining walls were constructed to achieve the ADA ramp in small work area, located on Caltrans right-of-way. Other work includes improved lighting and new landscaping with an improved irrigation system. • Moraga Road Utility Undergrounding, Sidewalks & Pavement Resurfacing Projects, Town of Moraga, CA - $2.7M Steve was the Resident Engineer/Project Manager on these three projects for the Town of Moraga that were construction simultaneously. ✓ Utility Undergrounding, $1.7M — A Rule 20A project with PG&E for the Town to convert existing overhead utilities to new underground facilities along one of the main roadways for the Town. Work consisted of extensive daily traffic control for vehicles and pedestrians to perform the installation of new joint trench and utility vault systems. ✓ Bicycle & Pedestrian Improvements, $160k — A federally funded project to construct about 300 LF of sidewalk to connect two critical side streets along Moraga Road. ✓ Resurfacing Project, $800k — A federally funded project that removed and replaced the top 3- inches of existing Moraga Road. Pone of the Town's busiest roadways and only a 2-lane road, daily one-way traffic control was required. Advance notice and monitoring of traffic control was critical to the community outreach on the project. • City of Orinda 2014 Street Rehabilitation Project, Orinda, CA Resident Engineer for this $1.4 million pavement rehabilitation project. Steve was responsible for managing all aspects of this project including contract administration, contract compliance and acceptance, project costs and schedule, and public relations. • City of Emeryville, Safe Routes to School Project, Emeryville, CA Resident Engineer for this federally funded $650K project that upgraded multiple cross -walk intersections, installed rectangular rapid flash beacon systems and speed feedback assemblies, and upgraded an existing traffic signal. Work was coordinated with Caltrans, as it was performed on State Route 123 (San Pablo Ave). City of San Rafael •.. Construction Management Services for Third Street Safety Improvements Project APPENDIX - KEY PERSONNEL ANDREW BODO, EIT, SENIOR CONSTRUCTION INSPECTOR Years of Experience 22 Education B.S. Construction Engineering & Construction Management, Western Michigan University, 1999 Registration Engineer -in -Training, No. 115429, CA Key Qualifications Mr. Bodo has more than 22 years of construction management experience in bridge and highway construction to Caltrans specifications. He has provided field inspection, office engineering, and contract administration to Caltrans highway and bridge and local assistance projects built to Caltrans specifications. His technical knowledge encompasses bridge construction and demolition, active utilities crossing the bridge, CISS piles, construction over water, stage construction, slope protection, AC paving, striping, pavement markings, and signage, streetlights, safety, SWPPPP, and traffic control, bridges, bridge falsework, masonry soundwalls, retaining walls and MSE walls, and electrical and low -voltage system construction, including temporary and permanent intersections, traffic signal loop detectors, ramp metering, and fiber optic cable. Representative Project Experience Highway 101 Multi -Use Path Overcrossing Project (Federally funded), City of Palo Alto Andy is the Structures Inspector for this $13 million project that consists of construction of a new bridge over Highway 101. Specific items of work include construction of the east and west concrete approach ramps; construction and installation of the prefabricated steel truss principal span; prefabricated steel truss at Adobe and Barron Creeks confluence; abutments and cast -in -drilled hole (CIDH) pile foundations; overlook, railing and fencing, crosswalks, driveways, and sidewalks improvements, pavement, traffic control, stormwater pollution control, street and bridge lighting, signs, potholing, surveying, striping, landscaping and irrigation, art elements installation coordination, and Adobe Creek Reach Trail. The project funded by federally HBP program and on State Right of Way requiring contract administration in accordance with Caltrans Local Assistance Procedures Manual and subject to Caltrans audits, and oversight from Caltrans. 1-880 Express Lane Conversion Project, MTC - BAIFA Structures Inspector for the project that converted the existing 1-880 HOV lanes from Hegenberger Road to Dixon Landing Road. The conversion involved lane striping and installing sign gantries, signs, FasTrak° toll tag readers, traffic monitoring video cameras, a data communications network and CHP observation areas. Project work resulted in 51 express lane miles from Oakland to Milpitas. This project was coordinated with Caltrans' project to replace the median barrier on 1-880 with an approximate construction cost of $45M, funded by BAIFA using local funds. Poplar Corridor Safety Improvement Project, City of San Mateo The project constructs a median island on Poplar Ave from Amphlett Blvd to Idaho St, as well as traffic calming improvements along Humboldt St. from Peninsula Ave to E. Poplar Ave as a result of the traffic diversion. Traffic calming improvements include: bulbouts at College/ Humboldt intersection and mid - block in front of the court house, landscaping with new trees, pedestrian level lighting, radar feedback signs, and signal upgrades at Humboldt/Poplar. Andy performed construction inspection and daily documentation of contractor's activities; assisted RE with submittal reviews and RFI correspondence; plan review and compliance of project plans and specifications; monitoring traffic control, pedestrian safety, and residential noise regulations; monitoring permitting compliance; and SWPPP inspection. City of Son Rafael � Construction Management Services for ��J i Third Street Safety Improvements Project APPENDIX - KEY PERSONNEL San Pablo and Wildcat Creeks Levee Remediation, Contra Costa County Construction Inspector for this FEMA mandated levee remediation to raise freeboard to 100-year flood requirements. Work involved installation of sheetpile walls, levee fill, concrete walls, and HMA pavement to raise levee roads. The project required close environmental monitoring and coordination with various entities including East Bay Regional Park District and County Flood Control District. The project was funded by local County funds and State funds. Hercules Intermodal Transit Center San Francisco Bay Trail Project Phase 1, City of Hercules This $6 million dollar project included the construction of four large soil nail retaining walls with architectural finishes, new sewer and storm drains, a 48" culvert for a brackish stream, and an asphalt pedestrian trail. The two biggest challenges of this project were working in close proximity to UPRR/ Amtrak, and two active fuel lines. Andy's responsibilities included, construction inspection, daily documentation of the contractor's activities, scheduling materials testing at on and off site locations, ensuring contractor adherence to all involved agency regulations, contract designs and specifications. 1-680 Contra Costa South Express Lane Project Structures Inspector for the project that converts existing HOV lanes to express lanes on 1-680 from Alcosta Rd. and Livorna Rd. (NB) and from Rudgear Rd. to Alcosta Blvd. (SB). The conversion includes striping lanes and installing overhead and roadside signage, FasTrak® toll tag readers, and traffic monitoring equipment. Concrete barrier modifications are required for the lane reconfiguration. The estimated construction cost is $19.2 million is fully funded by BAIFA using local funds. As Structures Inspector, Andy is providing field inspection for all structural work items. Roberts Road Bridge Reconstruction, Town of Los Gatos Construction Inspector for $2.5 million project that included replacing an existing two -span bridge on Roberts Road with a single span structure; constructing cast -in -drilled -hole pile foundations, soldier pile, and tieback walls; constructing retaining walls, curb, gutter, sidewalks, and road resurfacing; and water and gas utility relocation. The residential area required outreach to keep the public informed and adherence to project noise restrictions. Andy performed construction inspection and daily documentation of contractor's activities; assisted RE with submittal reviews and RFI correspondence; plan review and compliance of project plans and specifications; monitoring traffic control, pedestrian safety, and residential noise regulations; monitoring permitting compliance; and SWPPP inspection. Charles Hill/ Honey Hill/ Miner Road Pavement Rehabilitation, City of Orinda Construction Inspector for reconstructing failing pavement by grinding and placing overlay; constructing roadway improvements; installing new striping and pavement markings; and providing traffic control and public outreach for nearby businesses. Andy provided inspection and field observation and documentation for the entire project. San Bruno Grade Separation Program, Peninsula Corridor Joint Powers Board Assistant Structures Representative for this project that raised the railroad in a retained embankment and lower roadways crossing the Caltrain right-of-way from just south of the 1-380 flyover. The at -grade vehicular crossings were eliminated at San Bruno Avenue, San Mateo Avenue, and Angus Avenues and the existing San Bruno Caltrain station was relocated onto an elevated structure at San Bruno and San Mateo Avenues. Mr. Bodo's responsibilities included: construction inspection and daily documentation of contractor's activities; assisting the Resident Engineer with submittal reviews and RFI correspondence; plan review and compliance of project plans and specifications; monitoring traffic control, pedestrian safety, and residential noise regulations; monitoring permit compliance with regulatory agencies; and Stormwater Pollution Prevention Program (SWPPP) inspection. • " City of San Rofoel {- 7 `• (� Construction Management Services for cY--..,t•.J Third Street Safety Improvements Project APPENDIX - KEY PERSONNEL MIKE JOHNSON, SENIOR CONSTRUCTION INSPECTOR Years of Experience 35+ Certifications and Training California Standard Test Methods: 201, 202, 216, 217, 226, 227, 231, 375, 518, 533, 539-541 Nuclear Gauge Certified, ACI Level 1, Concrete Technician 40-Hour HazMat Certified Key Qualifications Mike's experience in the construction industry includes construction inspection and materials testing on highway, bridge, and underground utility projects. He has intimate knowledge of Caltrans standards and has performed construction inspection and material testing in accordance with Caltrans requirements. He is skilled in construction inspection, materials testing, concrete sampling, asphalt pavement inspection, pile driving and concrete placement, excellent communication skills, submittal review, progress pay estimates, and effective teaming with contractors, designers, oversight agencies, and the general public. Representative Project Experience San Pablo Avenue Complete Streets Project (Federally Funded), City of San Pablo Mike was Construction Inspector for this $6M, multiple grant funded, roadway improvement project including streetscape and pavement rehabilitation. The Project is located along San Pablo Avenue between Rivers Street and Hilltop Drive. The project will improve San Pablo Avenue for all roadway users by adding Class 2 bike lanes in both directions of travel, constructing sidewalk along the western side of San Pablo. Existing traffic signals at all intersections will be replaced or modified and a new signalized intersection at La Puerta will be constructed. Two new retaining walls will be constructed along with a new soil nail wall to allow the roadway to be widened sufficiently to accommodate the new facilities for non -motorized roadway use. San Pablo and Wildcat Creeks Levee Remediation, Contra Costa County Construction Inspector for this FEMA mandated levee remediation to raise freeboard to 100-year flood requirements. Work involved installation of sheetpile walls, levee fill, concrete walls, and HMA pavement to raise levee roads. The project required close environmental monitoring and coordination with various entities including East Bay Regional Park District and County Flood Control District. The project was funded by local County funds and State funds. Kirker Pass Northbound Truck Climbing Lane, Contra Costa County, CA Construction inspector for a $14 million, mile -long truck safety lane on Kirker Pass Road, one of Contra Costa County's most traveled and most dangerous commute routes. Pavement widening on the east side of the roadway provides a 12-foot truck lane and an 8-foot paved shoulder. Project construction of six retaining walls adjacent to the road and paving of both north and southbound lanes. Funding sources include Measure J, the state Transportation Improvement Program, a state match, a local Streets and Road Program and gas tax revenues. East Contra Costa Bay Area Rapid Transit (BART) Extension Project Transfer Platform and Guideway Improvements, Pittsburg, CA. Construction Inspector. Site work constructed approximately 3.5 miles of rail transit facilities within the median of SR-4, West of BART's existing Pittsburg/Bay Point Station. Work included the construction of a platform for BART riders to switch trains, (from existing electrical to new diesel trains), electrical facilities, including an ancillary train control building, median traffic barriers and City of San Rafael Construction MonagementServicesfor Third Street Safety Improvements Project APPENDIX - KEY PERSONNEL subgrade construction. Additional work encased an EBMUD 96" underground aqueduct with reinforced concrete (staging, excavation, placement). San Francisco International Airport (SFIA) Indicator Pile Program, City and County of San Francisco, San Francisco, CA. Field Inspector. Mike was the field inspector for all piles exceeding 120 LF, for the SFIA Master Plan Expansion Project. In this capacity, Mike inspected fabrication and storage of pre-tensioned/pre-cast concrete piles, inspected and monitored pile driving operations to determine bearing capacity and embedment needed, as well as the inspection and monitoring of load testing. 1-80/ Central Avenue Operational Improvements Project — Phase I, Contra Costa Transportation Authority (CCTA), Richmond, CA Construction Inspector. This project improves the traffic operations at the 1-80/Central Avenue interchange and along Central Avenue between Rydin Road and San Pablo Avenue. The project will be completed in two phases. This phase redirects left turns from westbound Central Avenue onto 1-80 WB to the adjacent 1-580 eastbound on -ramp at Rydin Road during weekend peak hours; and installs traffic signals at the 1-580 ramps. Safe Routes to School - Cycle 1 Improvements, Federal -Aid Project No. SRTS-5137(038), City of Richmond, Engineering Services Department; Richmond, CA. Construction Inspector. The Safe Routes to School Cycle 1 Improvements Project enhanced pedestrian safety near Ford, Grant, King, and Lincoln elementary schools in Richmond, by making improvements to asphalt and concrete infrastructure, including installing in -roadway lights, constructing ADA- compliant curb ramps, installing pavement striping and markings, and erecting safety signs. East Hillsdale Bridge Seismic Retrofit, (federally funded) City of San Mateo, CA Assistant Resident Engineer and primary bridge inspector for this federally -funded project, which installed 48" cast -in -steel -shell (CISS) out -board piles and post -tensioned bent -cap strengthening. Mike provided the extensive traffic handling and coordination required to create the work area necessary to perform the retrofit work. He provided field inspection of the project's construction activities, verified work conformance to requirements of the project plans and specs, inspected large diameter CISS pile extension incorporated into enlarged post -tensioned bent -caps, and documented the construction contractor's activities in a daily report. Additionally, Mike was accountable for pay quantities calculation, documented work performed, and provided quality assurance for materials used. Hammer Lane Grade Separation, City of Stockton/Union Pacific Railroad (UPRR), Stockton, CA. Structures Construction Inspector. Site work constructed two (2) new cast -in -place concrete railroad bridges, retaining walls, new roadway, a pump station, coordination with extensive roadway and track detours, utility, lighting and electrical work, as well as curb, gutter and sidewalks. Mike inspected for excavation shoring, inspected and monitored false -work erection and removal, pile driving and foundation construction, rebar placement and concrete placement, verified elevations for sub- structure and super -structure, as well as inspected and monitored post -tensioning. He also inspected roadway construction. East Contra Costa Bay Area Rapid Transit (BART) Extension Project Transfer Platform and Guideway Improvements, Pittsburg, CA. Construction Inspector. Site work constructed approximately 3.5 miles of rail transit facilities within the median of SR-4, West of BART's existing Pittsburg/Bay Point Station. Work included the construction of a platform for BART riders to switch trains, (from existing electrical to new diesel trains), electrical facilities, including an ancillary train control building, median traffic barriers and subgrade construction. Additional work encased an EBMUD 96" underground aqueduct with reinforced concrete (staging, excavation, placement). �. City of San Rafael .`m Construction MonogementServicesfor Third Street Safety Improvements Project APPENDIX - KEY PERSONNEL JAEMIN PARK, P.E., PRINCIPAL IN CHARGE Years of Experience 29 Education B.S. Civil Engineering, Cal Poly Pomona 1992 Licenses and Registrations Professional Engineer: California, #C54476, 1995 Licensed General Contractor #770073, California 1999 Key Qualifications Jaemin has over 28 years of experience providing project management, construction management, construction administration, and design of highway, bridge, building and public works infrastructure projects throughout California. He has worked with state, regional and local agencies in all capacities, as well as contributed to numerous constructability/bid-ability reviews and value engineering studies. He has provided claims analysis, mitigation and resolution support to state, regional and local agencies. Jaemin is an expert in federally funded projects including HBP, HBRR, ARRA, SRTS, NTPP, and TIGER funds. Representative Project Experience • On -Call Construction Management, Inspection and Materials Testing Services - Contra Costa County Jaemin was the Project Manager for this on -call contract constructing numerous public works projects, federally funded, tax measure funded, locally funded and developer projects throughout the County, including new roads, bridges and bridge widenings, concrete curb, gutter and sidewalks, storm drains, traffic signals, culverts, parks and playgrounds, and utilities. • On -Call Construction Management and Inspection Services — City of San Mateo Jaemin was the Project Manager for this on -call contract constructing numerous public works projects throughout the City for over 13 years. Projects were funded from various sources including federal grant funds, state grant funds, local funds and developer funds. • John Daly Boulevard Streetscape Improvements Project (federally funded), City of Daly City Resident Engineer/Project Manager for this $3.3 million federally funded streetscape improvements project that includes roadway modifications, installation of a concrete walkway, ADA compliant ramps, landscaping, irrigation using recycled water, bioswales, Class II bicycle lanes, and pedestrian amenities such as benches and trash/recycling receptacles • Contra Costa Boulevard Improvements and Pavement Rehabilitation Project (Federally Funded), City of Pleasant Hill, CA Project Manager and Resident Engineer for this $4 million project funded through three federal HSIP and STP grant funds and CCTA measure J grant fund. Project included traffic safety, roadway and other improvements, including full depth pavement restoration, grind and overlay, intersection and traffic signal upgrades, bike lanes, enhanced sidewalks and crosswalks, new irrigation and landscaping, and decorative street median and pedestrian lighting on the main arterial through a busy commercial district. John Daly Boulevard OC Widening (Federally Funded), City of Daly City, CA Jaemin was the Project Manager and Resident Engineer for this $4 million project that consisted of widening the structure to add one additional traffic lane and a wider pedestrian walkway. Jaemin provided construction management and administration for this bridge -widening and interchange modification project that crossed over both 1-280 and Highway 1 and was adjacent to the Daly City BART station, requiring traffic control for heavy vehicular and pedestrian traffic. The project was also federally funded requiring cooperation with Caltrans Local Assistance. "}� City of Son Rafael il.+� Construction MonogementServicesfor ?_ Third Street Safety Improvements Project Local Assistance Procedures Manual EXHBIT 10-Q Disclosure of Lobbying Activities No Lobbying activities to report. EXHIBIT 10-Q DISCLOSURE OF LOBBYING ACTIVITIES COMPLETE THIS FORM TO DISCLOSE LOBBYING ACTIVITIES PURSUANT TO 31 U.S.C. 1352 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: ❑ a. contract ❑ a. bid/offer/application ❑ a. initial ❑ b. grant ❑ b. initial award ❑ b. material change ❑ c. cooperative agreement ❑ c. post -award ❑ d. loan For Material Change Only: ❑ e. loan guarantee year quarter ❑ f. loan insurance date of last report 4. Name and Address of Reporting Entity 5. If Reporting Entity in No. 4 is Subawardee, Enter Name and Address of Prime: ❑ Prime ❑ Subawardee Tier , if known Congressional District, if known 6. Federal Department/Agency: 8. Federal Action Number, if known: Congressional District, if known 7. Federal Program Name/Description: CFDA Number, if applicable 9. Award Amount, if known: 10. Name and Address of Lobby Entity 11. Individuals Performing Services (If individual, last name, first name, MI) (including address if different from No. 10) (last name, first name, MI) (attach Continuation Sheet(s) if necessary) 12. Amount of Payment (check all that apply) 14. Type of Payment (check all that apply) $ ❑ actual ❑ planned ❑a. retainer El b. one-time fee 13. Form of Payment (check all that apply): El c. commission ❑ a. cash ❑d. contingent fee ❑ b. in -kind; specify: nature ❑e. deferred Value ❑f. other, specify 15. Brief Description of Services Performed or to be performed and Date(s) of Service, including officer(s), employee(s), or member(s) contacted, for Payment Indicated in Item 12: (attach Continuation Sheet(s) if necessary) 16. Continuation Sheet(s) attached: ❑ Yes ❑No 17. Information requested through this form is authorized by Title r�T� 31 U.S.C. Section 1352. This disclosure of lobbying reliance Signature: was placed by the tier above when his transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. Print Name: Steve Patterson, PE 1352. This information will be reported to Congress semiannually and will be available for public inspection. Any person who fails to file the required disclosure shall be subject Title: Vice President to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Telephone No.: 510,701.0319 Date: Federal Use Only: Form LLL Rev. 04-28-06 Distribution: Orig- Local Agency Project Files 014MR. Authorized for Local Reproduction Standard Form - LLL Page 1 LPP 13-01 May 8, 2013 Local Assistance Procedures Manual Exhibit 10-01 Consultant Proposal DBE Commitment 1. Local Agency: EXHIBIT 10-01 CONSULTANT PROPOSAL DBE COMMITMENT City of San Rafael 2. Contract DBE Goal: 13% 3. Project Description: Third Street Safety Improvements 4. Project Location: San Rafael, CA 5. Consultant's Name: Park Engineering, Inc. 6. Prime Certified DBE: 7. Description of Work, Service, or Materials 8. DBE Certification 9. DBE Contact Information 10. DBE % Supplied Number Construction management and inspection services 41711 Park Engineering, Inc., 925.257.2508 Steve Patterson, Vice President 88 Local Agency to Complete this Section 17. Local Agency Contract Number: 11. TOTAL CLAIMED DBE PARTICIPATION 88 18. Federal -Aid Project Number: 19. Proposed Contract Execution Date: 20. Consultant's Ranking after Evaluation: IMPORTANT: Identify all DBE firms being claimed for credit, Local Agency certifies that all DBE certifications are valid and information on regardless of tier. Written confirmation of each listed DBE is this form is complete and accurate. required. ^� 2/1/22 21. Local Agency Representative's Signature 22. Date 12. Preparer's Signature 13. Date Steve Patterson, PE 510.701.0319 23. Local Agency Representative's Name 24. Phone 14. Preparer's Name 15. Phone Vice President 25. Local Agency Representative's Title 16. Preparer's Title DISTRIBUTION: Original — Included with consultant's proposal to local agency. ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654- 3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814. LPP 18-01 Page 1 of 2 January 2019 Local Assistance Procedures Manual Exhibit 10-01 Consultant Proposal DBE Commitment INSTRUCTIONS — CONSULTANT PROPOSAL DBE COMMITMENT CONSULTANT SECTION 1. Local Agency - Enter the name of the local or regional agency that is funding the contract. 2. Contract DBE Goal - Enter the contract DBE goal percentage as it appears on the project advertisement. 3. Project Location - Enter the project location as it appears on the project advertisement. 4. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc.). 5. Consultant's Name - Enter the consultant's firm name. 6. Prime Certified DBE - Check box if prime contractor is a certified DBE. 7. Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant's own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms. 8. DBE Certification Number - Enter the DBE's Certification Identification Number. All DBEs must be certified on the date bids are opened. 9. DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted consultants. Also, enter the prime consultant's name and phone number, if the prime is a DBE. 10. DBE % - Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation. 11. Total Claimed DBE Participation % - Enter the total DBE participation claimed. If the total % claimed is less than item "Contract DBE Goal," an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM). 12. Preparer's Signature - The person completing the DBE commitment form on behalf of the consultant's firm must sign their name. 13. Date - Enter the date the DBE commitment form is signed by the consultant's preparer. 14. Preparer's Name - Enter the name of the person preparing and signing the consultant's DBE commitment form. 15. Phone - Enter the area code and phone number of the person signing the consultant's DBE commitment form. 16. Preparer's Title - Enter the position/title of the person signing the consultant's DBE commitment form. LOCAL AGENCY SECTION 17. Local Agency Contract Number - Enter the Local Agency contract number or identifier. 18. Federal -Aid Project Number - Enter the Federal -Aid Project Number. 19. Proposed Contract Execution Date - Enter the proposed contract execution date. 20. Consultant's Ranking after Evaluation — Enter consultant's ranking after all submittals/consultants are evaluated. Use this as a quick comparison for evaluating most qualified consultant. 21. Local Agency Representative's Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate. 22. Date - Enter the date the DBE commitment form is signed by the Local Agency Representative. 23. Local Agency Representative's Name - Enter the name of the Local Agency Representative certifying the consultant's DBE commitment form. 24. Phone - Enter the area code and phone number of the person signing the consultant's DBE commitment form. 25. Local Agency Representative Title - Enter the position/title of the Local Agency Representative certifying the consultant's DBE commitment form. LPP 18-01 Page 2 of 2 January 2019 r �s�----•cam - � �•� ���-�"`� �w►�"F���i cam- • ...' � V` a =i'G< Y� _ ~✓�_u•�LJ!`�.%wL'i(•srv'a .<3� �. . __ - - -- • _a r..YY'_•uv.' 372 Village Square Orinda, CA 94563 (925) 257.2508 EXHIBIT 10-A A&E CONSULTANT FINANCIAL DOCUMENT REVIEW REQUEST Caltrans Division of Local Assistance (Completed by Local Agencies, One per Contract) (For New Proposed A&E Consultant Local Agency Contracts of $150,000 or Greater) (For Amendments, use only when there are additional subconsultants or changes in ICR) EMAIL TO: California State Department of Transportation Independent Office of Audits and Investigations Federal/State Project No.: HSIPL-5043 (043) conl'ormmiice.review @doi.ca.aov Attention: Audit Manager, External Contracts -Local Agencies Please check one:✓ New Contract []Amendment ❑Other A&E Contract No.: City Project No. 11362 Total Contract or Amended amount of $ 258,498.65 Prime Consultant Full Legal Name: Park Engineering, Inc. Date: 3/7/2022 The Project Description is: Providing Construction Management & Materials Testing Services for the 3rd Street Safety Improvement Project Complete below for Prime and all Sub -consultants on this contract. Consultant's Name Participation Amount Category 1, 2, 3, 4, 5 Caltrans ICR Acceptance ID # (if available) Park Engineering $228,498 65 2 D2021-0896 (11/18121) Applied Materials & Engineering, Inc $30,000.00 2 L2021-1481 (12/06/21) Note: Add pages if necessary. I verify we received financial documents from the prime and sub -consultants based on the requirements specified in the Exhibit 10-A Checklist. Name Title Name of Local Agency and Department: Address: Phone No.: Signature February 2019 P.0i biI III- \ ( hecWW CALTRANS A&I FINANCIAL DOCUMENT REVIEW REQUIREMENTS FOR ARCHITECTURAL AND ENGINEERING (A&E) CONSULTANTS ON LOCAL GOVERNMENT AGENCY CONTRACTS Requirements For total contract amount equal to or greater than S150,000. Local Government Agency must provide the following: 1 ) A&E Consultant Financial Document Review Request Letter (Exhibit 10-A) (a) 2) Local Agency and Prime Consultant's Points of Contact APPLICABLE ONLY IF NOI Prime and all sub -consultants ninst provide the following documents based on their applicable category. CATEGORY 1, 2, or 3 CATEGORY I CATEGORY 2: CATEGORV 3: CATEGORY 4: CATEGORY 5: Firms with Firms with Firms Requesting Consultant Consultant Cognizant Caltrans Safe Harbor Rate Participation Participation Type of Financial Documents and Information Approval Letter Acceptance ID (SHR) Amount Leas Amount Equal to for ICR FYE proposed + for ICR FYE Number for ICR than $150K or Greater than Proposed FYE Proposed S150K Cost Proposals (Examples at Exhibit 10-H1 through 10-H4) ✓ ✓ ✓ ✓ ✓ Consultant Annual Certification of Indirect Costs and Financial Management ✓ ✓ System (Exhibit 10-K) Indirect Cost Rate (ICR) Schedule with FAR References For Disallowed Costs (b) Note: Prime Consultant must have a CPA Audited ICR Schedule for contracts ✓ ✓ ✓ equal to or greater than SIM. Cognizant Approval Letter for the TCR FYE proposed i Caltrans' ICR Acceptance ID its For ICR FYE proposed ** ✓ AASHTO Internal Control Questionnaire (TCQ) Appendix B (c) i Post Closing Trial Balance (d) Prevailing Wage (PW) Policy for PW work (e) ✓ ✓ ✓ ... ✓ ✓ Safe Harbor Rate Documents: Consultant Certification of Eligibility of Contract Costs and Financial Management System (Attachment IR) ✓ When applicable, additional documents may be requested: Prior Year ICR Schedule Supplemental Reconciliation Schedule (to tie the proposed ICR Schedule to the Trial Balance) (d) Chart of Accounts Income Statement (d) Uncompensated Overtime Adjustments (f) Vacation/Sick Policy Bonus Policy Executive Compensation Analysis (ECA) (d) Related Party Rent Analysis (d) Vehicle, Equipment, and Other Direct Costs Schedules (d) n 2m. Local Assistance Proc d— Menuel Exhibit 10-.A Ch,d M * ICR FYE = Indirect Cost Rate Fiscal Year End. Items on this checklist may not be all inclusive. A&I reserves the right to request additional documentats as deemed necessary. ** Caltrans ICR Acceptance ID # is an identification number issued by Caltrans upon review and acceptance of consultant's indirect cost rate(s) schedule for a specific fiscal year. This ID # can be referenced for use on fitture contracts using the same FYE ICR. ***Firms using SHR can be reimbursed.for the prevailing wage deltas either as an Other Direct Cost or as an Overhead/Indirect Cost - refer to A&I's PW Interpretive Guidance on Mute//ire.dot.ca.jeov/resourcesleeruraironod.html (a) Local Agencies are required to complete Exhibit 10-A and include all applicable required documents upon .submission. (b) See Table 8-1 of the AASHTO Audit Guide, fora listing of common unallowable costs. For financial document packages received between January 1, 2019 to June 30, 2019, the 2017 FYE ICR could be submitted if the FYE 2018 ICR is not available. Foy -financial document packages received between July 1, 2019 to December 31, 2019, the 20181CR must be submitted. (c) Go to AASHTO website @ audit. transportation.org, for Appendix B-Internal Control Questionnaire (d) Accounts and balances must match costs proposed on the ICR schedule. (e) Consultants performing Prevailing Wage (PW) work are required to provide written PW Policy. The policy must specify their accounting method for treatment of delta base and delta fringe. Refer to A&1's PW Interpretive Guidance on htW.-11.e.dot, ca.gov/resources/,eentrainmod. html Fbra 2019 Local Assistance Procedures Manual EXHIBIT 10-HI COST PROPOSAL Page I oF3 EXHIBIT 10-H1 Cost Proposal COST -PLUS -FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (DESIGN, ENGINEERING AND ENVIRONMENTAL STUDIES) Note: Mark-ups are Not Allowed ❑� Prime Consultant ❑ Subconsultant ❑ 2"1 Tier Subconsultant Consultant Park Engineering, Inc. Project No. 11349 Contract No. HSIPL-5043 (043) Date 03/04/2022 DIRECT LABOR Classification/Title Name Hours Actual Hourly Rate Total Constr. Inspector Andy Bodo - Regular Rate 980.00 $ 65.73 $ 98.60 $ 88.64 $ 68.55 $ 64,415.40 $ 1,972.00 $ 29,251.20 $ 5,484.00 Constr. Inspector" Andy Bodo - Overtime Rate 20.00 Resident Engineer Steve Patterson 330.00 80.00 Constr. Inspector " Chris Kinser LABOR COSTS a) Subtotal Direct Labor Costs b) Anticipated Salary Increases (see page 2 for calculation) $ 101,122.60 c) TOTAL DIRECT LABOR COSTS [(a) + (b)] $ 101,122.60 INDIRECT COSTS d) Fringe Benefits (Rate: 42.17°i) e) Total Fringe Benefits [(c) x (d)] $ 42,643.40 0 Overhead (Rate: 63.25% ) g) Overhead [(c) x (f)] $ 63,960.04 h) General and Administrative (Rate: 0.00% ) i) Gen & Admin [(c) x (h)] $ 0.00 j) TOTAL INDIRECT COSTS [(e) + (g) + (i)] $ 106,603.44 FIXED FEE k) TOTAL FIXED FEE [(c) + O)] x fixed fee10.00% ] $ 20,772.60 1) CONSULTANT'S OTHER DIRECT COSTS (ODCI — ITEMIZE (Add additional napes if necessarvl Description of Item Quantitv Unit I Unit Cost Total Mileage Costs $ 0.00 Eouioment Rental and StloDlies $ 0.0 Permit Fees $ 0.0 Plan Sheets $ 0.0 Test $ 0.00 I) TOTAL OTHER D1REC"P COSTS g n on m) SUBCONSULTANTS' COSTS (Add additional pages if necessary) Subconsultant 1: Applied Materials & Engineering. Inc- Subconsultant 2: Subconsultant 3: Subconsultant 4: $ 30,000.00 m) TOTAL SUBCONSULTANTS' COSTS $ 30.000.00 n) TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS [(I)+(m)] $ 9n ant) nn TOTAL COST [(c) + 0) + (k) + (n)] $ 258.498.65 NOTES: 1. Key personnel must be marked with an asterisk(*) and employees that are subject to prevailing wage requirements must be marked with two asterisks (**). All costs must comply with the Federal cost principles. Subconsultants will provide their own cost proposals. 2. The cost proposal format shall not be amended. Indirect cost rates shall be updated on an annual basis in accordance with the consultant's annual accounting period and established by a cognizant agency or accepted by Caltrans. 3. Anticipated salary increases calculation (page 2) must accompany. Page 1 of 9 January 2020 Local Assistance Procedures Manual EXHIBIT 10-1-11 Cost Proposal EXHIBIT 10-H1 COST PROPOSAL Page 2 of 3 COST -PLUS -FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (CALCULATIONS FOR ANTICIPATED SALARY INCREASES) 1. Calculate Average Hourly Rate for 1st year of the contract (Direct Labor Subtotal divided by total hours) Direct Labor Total Hours per Avg 5 Year Subtotal per Cost Cost Proposal Hourly Contract Proposal Rate Duration $250,000.00 500 = $50.00 Year 1 Avg Hourly Rate 2. Calculate hourly rate for all years (Increase the Average Hourly Rate for a year by proposed escalation %) Avg Hourly Rate Proposed Escalation Year 1 $50.00 + 2% _ $51.00 Year 2 Avg Hourly Rate Year 2 $51.00 + 2% _ $52.02 Year 3 Avg Hourly Rate Year 3 $52.02 + 2% _ $53.06 Year 4 Avg Hourly Rate Year 4 $53.06 + 2% _ $54.12 Year 5 Avg Hourly Rate 3. Calculate estimated hours per year (Multiply estimate % each year by total hours) Estimated % Completed Total Hours per Cost Total Hours per Each Year Proposal Year Year 1 20.0% 5000 = 1000 Estimated Hours Year 1 Year 2 40.0% 5000 = 2000 Estimated Hours Year 2 Year 3 15.0% 5000 = 750 Estimated Hours Year 3 Year 4 15.0% 5000 = 750 Estimated Hours Year 4 Year 5 10.0% 5000 = 500 Estimated Hours Year 5 Total 100% Total = 5000 4. Calculate Total Costa including Escalation (Multiply Average Hourly Rate by the number of hours) Avg Hourly Rate Estimated hours Cost per (calculated above) (calculated above) Year Year 1 $50.00 1000 = $50,000.00 Estimated Hours Year 1 Year 2 $51.00 2000 = $102,000.00 Estimated Hours Year 2 Year 3 $52.02 750 = $39,015.00 Estimated Hours Year 3 Year 4 $53.06 750 = $39,795.30 Estimated Hours Year 4 Year 5 $54.12 500 = $27,060.80 Estimated Hours Year 5 Total Direct Labor Cost with Escalation = $257,871.10 Direct Labor Subtotal before Escalation = $250,000.00 Estimated total of Direct Labor Salary = Transfer to Page 1 Increase $7,871.10 NOTES: 1. This is not the onlyway to estimatesalaly increases. Other methodswill be accepted if they clearlyindicate the % increase, the # of years of the contract, and a breakdown of the labor to be performed each year. 2. An estimation that is based on direct labor multiplied by salary increase % multiplied by the # of years is not acceptable. (i.e. $250,000 x 2% x 5 yrs = $25,000 is not an acceptable methodology) 3. This assumes that one year will be worked at the rate on the cost proposal before salary increases are granted. 4. Calculations for anticipated salary escalation must be provided. Page 2 of 9 January 2020 Local Assistance Procedures Manual EXHIBIT 10-1-11 Cost Proposal EXHIBIT 10-1-111 COST PROPOSAL Page 3 of 3 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are actual, reasonable, allowable, and allocable to the contract in accordance with the contract terms and the following requirements: 1. Generally Accepted Accounting Principles (GAAP) 2. Terms and conditions of the contract 3. Title 23 United States Code Section 112 - Letting of Contracts 4. 48 Code of Federal Requlations Part 31 - Contract Cost Principles and Procedures 5. 23 Code of Federal Requlations Part 172 - Procurement, Management, and Administration of Engineering and Design Related Service 6. 48 Code of Federal Regulations Part 9904 - Cost Accounting Standards Board (when applicable) All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the projectfiles and be in compliance with applicable federal and state requirements. Costs that are noncompliant with the federal and state requirements are not eligible for reimbursement Local governments are responsible for applying only cognizant agency approved or Caltrans accepted Indirect Cost Rate(s). Prime Consultant or Subconsultant Certifying: Name: Steve Patterson Sigaature Title' Vice President Date of Certification (mm/dd/yyyy): 03/07/2022 Email spatterson@park-eng.com Phone Number: (510) 701-0319 Address.372 Village Square. Orinda, CA 94563 *An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower than a Vice President or a Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the cost proposal for the contract -Ist services the consultant is providinq under the proposed contract: Construction Management and Materials Testing Services for the 3rd Street Safety Improvements Project. Page 3 of 9 January 2020 Local Assistance Procedures Manual Exhibit 10-K Consultant Annual Certification of Indirect Costs and Financial Management System EXHIBIT I O-K CONSULTANT ANNUAL CERTIFICATION OF INDIRECT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If a Safe Harbor Indirect Cost Rate is approved, this form is not required.) Consultant's Full Legal Name: Important: Consultant means the individual or consultant providing engineering and design related services as a party of a contract with a recipient or sub -recipient of Federal assistance. Therefore, the Indirect Cost Rate(s) shall not be combined with its parent company or subsidiaries. Indirect Cost Rate: Combined Rate 105.43 % OR Home Office Rate % and Field Office Rate (if applicable) % Facilities Capital Cost of % (if applicable) Memodyperiod * 1 /l /2020 — 12/31 /2020 * Fiscal period is annual one year applicable accounting period that the Indirect Cost Rate was developed (not the contract period). The Indirect Cost Rate is based on the consultant's one-year applicable accounting period for which financial statements are regularly prepared by the consultant. I have reviewed the proposal to establish an Indirect Cost Rate(s) for the fiscal period as specified above and have determined to the best of my knowledge and belief that: • All costs included in the cost proposal to establish the indirect cost rate(s) are allowable in accordance with the cost principles of the Federal Acquisition Regulation (FAR) 48, Code of Federal Regulations (CFR), Chapter 1, Part 31 (48 CFR Part 31); • The cost proposal does not include any costs which are expressly unallowable under the cost principles of 48 CFR Part 31; • The accounting treatment and billing of prevailing wage delta costs are consistent with our prevailing wage policy as either direct labor, indirect costs, or other direct costs on all federally - funded A&E Consultant Contracts. • All known material transactions or events that have occurred subsequent to year-end affecting the consultant's ownership, organization, and indirect cost rates have been disclosed as of the date of this certification. I am providing the required and applicable documents as instructed on Exhibit 10-A. Financial Management System: Our labor charging, job costing, and accounting systems meet the standards for financial reporting, accounting records, and internal control adequate to demonstrate that costs claimed have been incurred, appropriately accounted for, are allocable to the contract, and comply with the federal requirements as set forth in Title 23 United States Code (U.S.C.) Section 1 I2(b)(2); 48 CFR Part 31.201-2(d), 23 CFR. Chapter 1, Part 172.11(a)(2); and all applicable state and federal rules and regulations. Our financial management system has the following attributes: • Account numbers identifying allowable direct, indirect, and unallowable cost accounts; • Ability to accumulate and segregate allowable direct, indirect, and unallowable costs into separate cost Page 1 of 2 March 2018 Local Assistance Procedures Manual Exhibit 10-K Consultant Annual Certification of indirect Costs and Financial Management System accounts; • Ability to accumulate and segregate allowable direct costs by project, contract and type of cost; • Internal controls to maintain integrity of financial management system; • Ability to account and record costs consistently and to ensure costs billed are in compliance with FAR; • Ability to ensure and demonstrate costs billed reconcile to general ledgers and job costing system; and • Ability to ensure costs are in compliance with contract terms and federal and state requirement Cost Reimbursements on Contracts: I also understand that failure to comply with 48 CFR Part 16.301-3 or knowingly charge unallowable costs to Federal -Aid Highway Program (FAHP) contracts may result in possible penalties and sanctions as provided by the following: • Sanctions and Penalties - 23 CFR Part 172.11 (c)(4) • False Claims Act - Title 31 U.S.C. Sections 3729-3733 • Statements or entries generally - Title 18 U.S.C. Section 1001 • Major Fraud Act - Title 18 U.S.C. Section 1031 All A&E Contract Information: • Total participation amount $ 8,036,617 on all State and FAHP contracts for Architectural & Engineering services that the consultant received in the last three fiscal periods. • The number of states in which the consultant does business is 1 • Years of consultant's experience with 48 CFR Part 31 is 21 • Audit history of the consultant's current and prior years (if applicable) ❑ Cognizant ICR Audit R1 Local Gov't ICR Audit ❑ Caltrans ICR Audit El CPA ICR Audit El Federal Gov't ICR Audit I, the undersigned, certify all of the above to the best of my knowledge and belief and that I have reviewed the Indirect Cost Rate Schedule to determine that any costs which are expressly unallowable under the Federal cost principles have been removed and comply with Title 23 U.S.C. Section 1 12(b)(2), 48 CFR Part 31, 23 CFR Part 172, and all applicable state and federal rules and regulations. i also certify that i understand that all documentation of compliance must be retained by the consultant. I hereby acknowledge that costs that are noncompliant with the federal and state requirements are not eligible for reimbursement and must be returned to Caltrans. Name**: Jaemin Park Title**: President/CEO/CFO Signature: Date of Certification (mm/dd/yyyy): 3/7/2022 Email**: jparl mark-eng.com Phone Number**: 925-818-3756 **An individual executive or financial officer of the consultant's or subconsultan i's organization at a level no lower than a Vice President, a Chief Financial Officer, or equivalent, who has authority to represent the financial information used to establish the indirect cost rate. Note: Both prime and subconsultants as parties of a contract must complete their own Exhibit 10-Kforms. Caltrans will not process local agency's invoices until a complete Exhibit 10-Kform is accepted and approved by Caltrans Audits and Investigations. Distribution: 1) Original - Local Agency Project File 2) Copy - Consultant 3) Copy -Caltrans Audits and Investigations Page 2 of 2 March 2018 Local Assistance Procedures Manual Exhibit 10-K Consultant Annual Certification of Indirect Costs and Financial Management System EXHIBIT 10-K CONSULTANT ANNUAL CERTIFICATION OF INDIRECT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If a Safe Harbor Indirect Cost Rate is approved, this form is not required) Consultant's Full Legal Name: Applied Materials & Engineering, Inc. Important: Consultant means the individual or consultant providing engineering and design related services as a party of a contract with a recipient or sub -recipient of Federal assistance. Therefore, the Indirect Cost Rate(s) shall not be combined with its parent company or subsidiaries. Combined Rate % OR Home Office Rate 157.86 % and Field Office Rate (if applicable) % Facilities Capital Cost of Money % (if applicable) Fiscal period * 1 /1 /20 to 12/31 /20 * Fiscal period is annual one year applicable accounting period that the Indirect Cost Rate was developed (not the contract period). The Indirect Cost Rate is based on the consultant's one-year applicable accounting period for which financial statements are regularly prepared by the consultant. I have reviewed the proposal to establish an Indirect Cost Rate(s) for the fiscal period as specified above and have determined to the best of my knowledge and belief that: • All costs included in the cost proposal to establish the indirect cost rate(s) are allowable in accordance with the cost principles of the Federal Acquisition Regulation (FAR) 48, Code of Federal Regulations (CFR), Chapter 1, Part 31 (48 CFR Part 31); • The cost proposal does not include any costs which are expressly unallowable under the cost principles of 48 CFR Part 31; • The accounting treatment and billing of prevailing wage delta costs are consistent with our prevailing wage policy as either direct labor, indirect costs, or other direct costs on all federally - funded A&E Consultant Contracts. • All known material transactions or events that have occurred subsequent to year-end affecting the consultant's ownership, organization, and indirect cost rates have been disclosed as of the date of this certification. I am providing the required and applicable documents as instructed on Exhibit 10-A. Financial Management System: Our labor charging, job costing, and accounting systems meet the standards for financial reporting, accounting records, and internal control adequate to demonstrate that costs claimed have been incurred, appropriately accounted for, are allocable to the contract, and comply with the federal requirements as set forth in Title 23 United States Code (U.S.C.) Section 1 12(b)(2); 48 CFR Part 31.201-2(d), 23 CFR, Chanter 1. Part 172.1 1(a)(2); and all applicable state and federal rules and regulations. Our financial management system has the following attributes: • Account numbers identifying allowable direct, indirect, and unallowable cost accounts; • Ability to accumulate and segregate allowable direct, indirect, and unallowable costs into separate cost Page 1 of 2 March 2018 Local Assistance Procedures Manual Exhibit 10-K Consultant Annual Certification of Indirect Costs and Financial Management System accounts; • Ability to accumulate and segregate allowable direct costs by project, contract and type of cost; • Internal controls to maintain integrity of financial management system; • Ability to account and record costs consistently and to ensure costs billed are in compliance with FAR; • Ability to ensure and demonstrate costs billed reconcile to general ledgers and job costing system; and • Ability to ensure costs are in compliance with contract terms and federal and state requirement Cost Reimbursements on Contracts: I also understand that failure to comply with 48 CFR Part 16.301-3 or knowingly charge unallowable costs to Federal -Aid Highway Program (FAHP) contracts may result in possible penalties and sanctions as provided by the following: • Sanctions and Penalties - 23 CFR Part 172.11(c)(4) • False Claims Act - Title 31 U.S.C. Sections 3729-3733 • Statements or entries generally - Title 18 U.S.C. Section 1001 • Major Fraud Act - Title 18 U.S.C. Section 1031 All A&E Contract Information: • Total participation amount $--$600,000 on all State and FAHP contracts for Architectural & Engineering services that the consultant received in the last three fiscal periods. • The number of states in which the consultant does business is 31.00 • Years of consultant's experience with 48 CFR Part 31 is 25.00 • Audit history of the consultant's current and prior years (if applicable) ❑ Cognizant ICR Audit ❑ Local Gov't ICR Audit ❑ Caltrans ICR Audit I] CPA ICR Audit ❑ Federal Gov't ICR Audit I, the undersigned, certify all of the above to the best of my knowledge and belief and that I have reviewed the Indirect Cost Rate Schedule to determine that any costs which are expressly unallowable under the Federal cost principles have been removed and comply with Title 23 U.S.C. Section I I2(b)(2), 48 CFR Part 31 23 CFR Part 172, and all applicable state and federal rules and regulations. I also certify that I understand that all documentation of compliance must be retained by the consultant. I hereby acknowledge that costs that are noncompliant with the federal and state requirements are not eligible for reimbursement and must be returned to Caltrans. Name": Applied Materials & Engineering, Inc. Title": President Signature: Email": dushyant@appmateng.com Date of Certification (mm/dd/yyyy): 11 /16/2021 Phone Number": (510) 420-8190 **An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower than a Vice President, a Chief Financial Officer, or equivalent, who has authority to represent the financial information used to establish die indirect cost rate. Note: Both prime and subconsultants as parties of a contract must complete their own Exhibit 10-Kforms. Caltrans will not process local agency's invoices until a complete Exhibit 10-Kform is accepted and approved by Caltrans Audits and Investigations. Distribution: l) Original - Local Agency Project File 2) Copy -Consultant 3) Copy-Caltrans Audits and Investigations Page 2 of 2 March 2018 RAP i 2 o Y '^/ITH P CONTRACT ROUTING FORM INSTRUCTIONS: Use this cover sheet to circulate all contracts for review and approval in the order shown below. TO BE COMPLETED BY INITIATING DEPARTMENT PROJECT MANAGER: Contracting Department: Public Works Project Manager: Nataly Torres (For Philip Buckley) Extension: 3353 Contractor Name: Park Engineering, Inc. Contractors Contact: Steve Patterson Contact's Email: sptterson@park-eng.com ❑ FPPC: Check if Contractor/Consultant must file Form 700 Step RESPONSIBLE DESCRIPTION COMPLETED REVIEWER DEPARTMENT DATE Check/Initial 1 Project Manager a. Email PINS Introductory Notice to Contractor Click here to C enter a date. b. Email contract (in Word) and attachments to City 4/13/2022 Attorney c/o Laraine.Gittens@cityofsanrafael.org ❑X IKK 2 City Attorney a. Review, revise, and comment on draft agreement 4/13/2022 ® LG and return to Project Manager 4/13/2022 ® LG b. Confirm insurance requirements, create Job on PINS, send PINS insurance notice to contractor 3 Department Director Approval of final agreement form to send to 7/11/2023 © AM contractor 4 Project Manager Forward three (3) originals of final agreement to 8/7/2023 lZ contractor for their signature 5 Project Manager When necessary, contractor -signed agreement ❑ N/A agendized for City Council approval * *City Council approval required for Professional Services Agreements and purchases of goods and services that exceed Or $75,000; and for Public Works Contracts that exceed $175,000 4/18/2022 Date of City Council approval PRINT CONTINUE ROUTING PROCESS WITH HARD COPY 6 Project Manager Forward signed original agreements to City Attorney with printed copy of this routing form 7 City Attorney Review and approve hard copy of signed agreement 8 City Attorney Review and approve insurance in PINS, and bonds (for Public Works Contracts) 9 City Manager / Mayor Agreement executed by City Council authorized official Attest signatures, retains original agreement and 10 City Clerk forwards copies to Project Manager Final Federal PSA - Third St Rehab - Park Engineering - CM and Materials testing Final Audit Report 2023-08-29 Created: 2023-08-07 By: Nataly Torres (nataly.torres@cityofsanrafael.org) Status: Signed Transaction ID: CBJCHBCAABAAFsZjxXiAwh3d9dUxjE6IAY1ZdgjiY3-j "Final Federal PSA - Third St Rehab - Park Engineering - CM an d Materials testing" History Document created by Nataly Torres (nataly.torres@cityofsanrafael.org) 2023-08-07 - 11:48:53 PM GMT E-I Document emailed to Steve Patterson (spatterson@park-eng.com) for signature 2023-08-07 - 11:54:00 PM GMT Email viewed by Steve Patterson (spatterson@park-eng.com) 2023-08-07 - 11:54:32 PM GMT 6o Document e-signed by Steve Patterson (spatterson@park-eng.com) Signature Date: 2023-08-07 - 11:55:16 PM GMT - Time Source: server E' Document emailed to Jaemin Park apark@park-eng.com) for signature 2023-08-07 - 11:55:20 PM GMT Email viewed by Jaemin Park apark@park-eng.com) 2023-08-08 - 0:01:39 AM GMT �© Document e-signed by Jaemin Park Qpark@park-eng.com) Signature Date: 2023-08-08 - 0:13:06 AM GMT - Time Source: server C'-► Document emailed to Laraine Gittens (laraine.gittens@cityofsanrafael.org) for approval 2023-08-08 - 0:13:10 AM GMT Email viewed by Laraine Gittens (laraine.gittens@cityofsanrafael.org) 2023-08-08 - 7:13:52 PM GMT Ey New document URL requested by Laraine Gittens (laraine.gittens@cityofsanrafael.org) 2023-08-16 - 4:53:49 PM GMT Powered by ' ` SAN RAFAEL I Adobe 1%01`"`" """" SiO� Acrobat Sign Email viewed by Laraine Gittens (laraine.gittens@cityofsanrafael.org) 2023-08-16 - 4:54:00 PM GMT &o Document approved by Laraine Gittens(laraine.gttens@cityofsanrafael.org) Approval Date: 2023-08-16 - 4:54:15 PM GMT - Time Source: server �'� Document emailed to Genevieve Coyle (genevieve.coyle@cityofsanrafael.org) for signature 2023-08-16 - 4:54:21 PM GMT Email viewed by Genevieve Coyle (genevieve.coyle@cityofsanrafael.org) 2023-08-16 - 5:01:48 PM GMT 6o Document e-signed by Genevieve Coyle (genevieve.coyle@cityofsanrafael.org) Signature Date: 2023-08-16 - 5:12:10 PM GMT - Time Source: server L'. Document emailed to city.clerk@cityofsanrafael.org for approval 2023-08-16 - 5:12:16 PM GMT Email viewed by city.clerk@cityofsanrafael.org 2023-08-16 - 5:22:13 PM GMT &a Signer city.clerk@cityofsanrafael.org entered name at signing as Brenna Nurmi 2023-08-16 - 5:22:26 PM GMT b© Document approved by Brenna Nurmi(city.clerk@cityofsanrafael.org) Approval Date: 2023-08-16 - 5:22:28 PM GMT - Time Source: server C'. Document emailed to cristine.alilovich@cityofsanrafael.org for signature 2023-08-16 - 5:22:32 PM GMT n Email viewed by cristine.alilovich@cityofsanrafael.org 2023-08-21 - 4:53:32 AM GMT t Email viewed by cristine.alilovich@cityofsanrafael.org 2023-08-29 - 6:01:11 PM GMT �© Signer cristine.alilovich@cityofsanrafael.org entered name at signing as Cristine Alilovich 2023-08-29 - 6:03:52 PM GMT 6o Document e-signed by Cristine Alilovich (cristine.alilovich@cityofsanrafael.org) Signature Date: 2023-08-29 - 6:03:54 PM GMT - Time Source: server C'� Document emailed to city.clerk@cityofsanrafael.org for signature 2023-08-29 - 6:03:59 PM GMT Email viewed by city.clerk@cityofsanrafael.org 2023-08-29 - 6:21:17 PM GMT & SAN RAFAEL � Powered by i Adobe Adobe THE ❑rvv,mi-'mIss:o,v Acrobat Sign Signer city.clerk@cityofsanrafael.org entered name at signing as Brenna Nurmi (for) 2023-08-29 - 6:21:42 PM GMT 6© Document e-signed by Brenna Nurmi (for)(city.clerk@cityofsanrafael.org) Signature Date: 2023-08-29 - 6:21:44 PM GMT - Time Source: server Agreement completed. 2023-08-29 - 6:21:44 PM GMT u/ 1Lli.t SAN RAFAEL Adobe Adobe =;;ry H a izs cv Acrobat Sign