HomeMy WebLinkAbout05/06/2014 08 North First Street Revitalization Project, Phase 1, Planning Agreement with HDJ Design GroupBUSINESS OF THE CITY COUNCIL
YAKIMA, WASHINGTON
AGENDA STATEMENT
Item No.
For Meeting of: 5/6/2014
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ITEM TITLE: Resolution authorizing a Professional Services Contract with
HDJ Design Group for preparation of plans and specifications
of the North First Street Revitalization Project, Phase 1.
SUBMITTED BY: Brett Sheffield, Chief Engineer
Joan Davenport, Strategic Project Manager
SUMMARY EXPLANATION:
The Yakima City Council has established that the revitalization of the North First Street Corridor
is an "Economic Development" and "Improving the Built Environment" priority. The City received
a Federal Surface Transportation Program (STP) grant to fund the design, construction plans
and specifications for Phase 1 of the North First Street improvement project.
The city followed the procedures established by the State of Washington to select and
recommend a professional firm using the Municipal Research and Service Center Professional
Services Roster process to conduct the selection of a firm to prepare the engineering plans and
specifications for the construction bid process.
HDJ Design Group submitted a Contractor Qualification Statement, was interviewed, and
recommended by a 6 -person Selection Committee consisting of stakeholders and professional
staff and determined to be the preferred firm to prepare the engineering plans out of the three
firms that submitted a proposal.
Resolution: X
Other (Specify):
Contract: X
Start Date:
Item Budgeted: Yes
Ordinance:
Contract Term:
End Date:
Amount: $225,000
Funding Source/Fiscal Grant from Federal Surface Transportation
Impact: Program (STP)
Strategic Priority: Improve the Built Environment
Insurance Required? No
Mail to:
Phone:
APPROVED FOR
SUBMITTAL:
RECOMMENDATION:
City Manager
Review the information and approve the resolution that authorizes the City Manager to approve
the contract.
ATTACHMENTS:
Description
Upload Date
Resolution Authorizing HDJ Contract 4/25/2014
HDJ contract 5/2/2014
Type
Resollution
Cover Memo
A RESOLUTION
RESOLUTION NO. R -2014 -
authorizing the City Manager to execute a Professional Services
Agreement with HDJ Design Group, PLLC not to exceed $225,000
to prepare civil engineering plans and specifications for the North
First Street Revitalization Project, Phase 1
WHEREAS, the Yakima City Council has established that the revitalization of the
North First Street Corridor is an "Economic Development" and "Improving the Build
Environment" priority; and
WHEREAS, the City of Yakima has followed the procedures established by the
State of Washington to select and recommend a professional firm using the Municipal
Research and Service Center Professional Services Roster process to conduct the
selection of a firm to prepare the engineering plans and specifications for the construction
bid process; and
WHEREAS, HDJ Design Group, PLLC submitted a Contractor Qualification
Statement, was interviewed, and recommended by a 6 -person Selection Committee
consisting of stakeholders and professional staff and determined to be the preferred firm
to prepare the engineering plans; and
WHEREAS, the Scope of Work and Budget included in this Professional Services
Agreement meet the needs and requirements of the City of Yakima for this project;
therefore
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF YAKIMA:
The City Manager is hereby authorized to execute the Professional Services
Agreement with HDJ Design Group, PLLC attached hereto and incorporated herein by
this reference not to exceed Two Hundred Twenty -Five Thousand dollars ($225,000) to
provide the Professional Services as described in the Agreement, now, therefore,
ADOPTED BY THE CITY COUNCIL this 61h day of May 2014.
ATTEST: Micah Cawley, Mayor
Sonya Claar-Tee, City Clerk
Local Agency
Standard Consultant
Agreement
Consultant/Address/Telephone
HDJ Design Group, PLLC
314 W.15th Street
Vancouver, WA 98660-2927
(360) 695-3488
@ Architectural/Engineering Agreement
❑ Personal Services Agreement
Agreement Number
TA-4804
Project Title And Work Description
North 1st Street Revitalization
Rehabilitate pavement and lane markings, enhance
street and pedestrian lighting, construct median
islands, and install various pedestrian and
decorative elements.
Federal Aid Number
STPUS-4579(011)
Agreement Type (Choose one)
❑ Lump Sum
Lump Sum Amount $
❑ Cost Plus Fixed Fee
Overhead Progress Payment Rate
DBE Participation
Overhead Cost Method
❑ Actual Cost
❑ Actual Cost Not To Exceed
%
❑ Yes 0 No
Federal ID Number or Social Security Number
94-1097492
❑ Fixed Overhead Rate
%
Do you require a 1099 for IRS?
❑ Yes ❑ No
Completion Date
December 31, 2016
Fixed Fee $
Total Amount Authorized $
Management Reserve Fund $
Maximum Amount Payable $
219,970.90
@ Specific Rates Of Pay
0 Negotiated Hourly Rate
5,000.00
0 Provisional Hourly Rate
224,970.90
❑ Cost Per Unit of Work
Index of Exhibits (Check all that apply):
® Exhibit A-1 Scope of Work
❑ Exhibit A-2 Task Order Agreement
❑ Exhibit B-1 DBE Utilization Certification
® Exhibit C Electronic Exchange of Data
❑ Exhibit D-1 Payment - Lump Sum
❑ Exhibit D-2 Payment - Cost Plus
® Exhibit D-3 Payment - Hourly Rate
® Exhibit D-4 Payment - Provisional
❑ Exhibit E-1 Fee - Lump/Fixed/Unit
® Exhibit E-2 Fee - Specific Rates
® Exhibit F Overhead Cost
® Exhibit G Subcontracted Work
❑ Exhibit G-1 Subconsultant Fee
THIS AGREEMENT, made and entered into this
® Exhibit G-2 Fee -Sub Specific Rates
® Exhibit G-3 Sub Overhead Cost
® Exhibit H Title VI Assurances
® Exhibit I Payment Upon Termination of Agreement
® Exhibit J Alleged Consultant Design Error Procedures
® Exhibit K Consultant Claim Procedures
❑ Exhibit L Liability Insurance Increase
® Exhibit M -la Consultant Certification
® Exhibit M -lb Agency Official Certification
® Exhibit M-2 Certification - Primary
® Exhibit M-3 Lobbying Certification
® Exhibit M-4 Pricing Data Certification
❑ App. 31.910 Supplemental Signature Page
between the Local Agency of City of Yakima
day of
, Washington, hereinafter called the "AGENCY" ,
and the above organization hereinafter called the "CONSULTANT".
DOT Form 140-089 EF
Revised 09/2013
Page 1 of 8
WITNESSETH THAT:
WHEREAS, the AGENCY desires to accomplish the above referenced project, and
WHEREAS, the AGENCY does not have sufficient staff to meet the required commitment and therefore deems it
advisable and desirable to engage the assistance of a CONSULTANT to provide the necessary services for the PROJECT;
and
WHEREAS, the CONSULTANT represents that he/she is in compliance with the Washington State Statutes relating to
professional registration, if applicable, and has signified a willingness to furnish Consulting services to the AGENCY,
NOW THEREFORE, in consideration of the terms, conditions, covenants and performance contained herein, or attached
and incorporated and made a part hereof, the parties hereto agree as follows:
1 General Description of Work
The work under this AGREEMENT shall consist of the above described work and services as herein defined and
necessary to accomplish the completed work for this PROJECT. The CONSULTANT shall furnish all services, labor, and
related equipment necessary to conduct and complete the work as designated elsewhere in this AGREEMENT.
11 Scope of Work
The Scope of Work and projected level of effort required for this PROJECT is detailed in Exhibit "A" attached hereto and
by this reference made a part of this AGREEMENT.
111 General Requirements
All aspects of coordination of the work of this AGREEMENT with outside agencies, groups, or individuals shall receive
advance approval by the AGENCY. Necessary contacts and meetings with agencies, groups, and/or individuals shall be
coordinated through the AGENCY. The CONSULTANT shall attend coordination, progress and presentation meetings
with the AGENCY and/or such Federal, State, Community, City or County officials, groups or individuals as may be
requested by the AGENCY. The AGENCY will provide the CONSULTANT sufficient notice prior to meetings requiring
CONSULTANT participation. The minimum required hours or days notice shall be agreed to between the AGENCY and
the CONSULTANT and shown in Exhibit "A."
The CONSULTANT shall prepare a monthly progress report, in a form approved by the AGENCY, which will outline in
written and graphical form the various phases and the order of performance of the work in sufficient detail so that the
progress of the work can easily be evaluated.
The CONSULTANT, and each SUBCONSULTANT, shall not discriminate on the basis of race, color, national origin, or
sex in the performance of this contract. The CONSULTANT, and each SUBCONSULTANT, shall carry out applicable
requirements of 49 CFR Part 26 in the award and administration of USDOT-assisted contracts. Failure by the
CONSULTANT to carry out these requirements is a material breach of this AGREEMENT that may result in the
termination of this AGREEMENT.
Participation for Disadvantaged Business Enterprises (DBE), if required, per 49 CFR Part 26, or participation of Minority
Business Enterprises (MBE), and Women Business Enterprises (WBE), shall be shown on the heading of this
AGREEMENT. If D/M/WBE firms are utilized, the amounts authorized to each firm and their certification number will be
shown on Exhibit "B" attached hereto and by this reference made a part of this AGREEMENT. If the Prime
CONSULTANT is a DBE firm they must comply with the Commercial Useful Function (CUF) regulation outlined in the
AGENCY'S "DBE Program Participation Plan". The mandatory DBE participation goals of the AGREEMENT are those
established by the WSDOT' S Highway and Local Programs Project Development Engineer in consultation with the
AGENCY.
All Reports, PS&E materials, and other data furnished to the CONSULTANT by the AGENCY shall be returned. All
electronic files, prepared by the CONSULTANT, must meet the requirements as outlined in Exhibit "C."
All designs, drawings, specifications, documents, and other work products, including all electronic files, prepared by the
CONSULTANT prior to completion or termination of this AGREEMENT are instruments of service for this PROJECT,
and are the property of the AGENCY. Reuse by the AGENCY or by others, acting through or on behalf of the AGENCY
of any such instruments of service, not occurring as a part of this PROJECT, shall be without liability or legal exposure to
the CONSULTANT.
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IV Time for Beginning and Completion
The CONSULTANT shall not begin any work under the terms of this AGREEMENT until authorized in writing by the
AGENCY.
All work under this AGREEMENT shall be completed by the date shown in the heading of this AGREEMENT under
completion date.
The established completion time shall not be extended because of any delays attributable to the CONSULTANT, but
may be extended by the AGENCY in the event of a delay attributable to the AGENCY, or because of unavoidable
delays caused by an act of GOD or governmental actions or other conditions beyond the control of the
CONSULTANT. A prior supplemental agreement issued by the AGENCY is required to extend the established
completion time.
V Payment Provisions
The CONSULTANT shall be paid by the AGENCY for completed work and services rendered under this
AGREEMENT as provided in Exhibit "D" attached hereto, and by reference made part of this AGREEMENT. Such
payment shall be full compensation for work performed or services rendered and for all labor, materials, supplies,
equipment, and incidentals necessary to complete the work. The CONSULTANT shall conform to all applicable
portions of 48 CFR Part 31.
A post audit may be performed on this AGREEMENT. The need for a post audit will be determined by the State
Auditor, WSDOT External Audit Office and/or at the request of the AGENCY'S PROJECT Manager.
VI Sub -Contracting
The AGENCY permits sub -contracts for those items of work as shown in Exhibit "G" attached hereto and by this
reference made part of this AGREEMENT.
Compensation for this sub -consultant work shall be based on the cost factors shown on Exhibit "G."
The work of the sub -consultant shall not exceed its maximum amount payable unless a prior written approval has been
issued by the AGENCY.
All reimbursable direct labor, overhead, direct non -salary costs and fixed fee costs for the sub -consultant shall be
substantiated in the same manner as outlined in Section V. All sub -contracts shall contain all applicable provisions of
this AGREEMENT.
With respect to sub -consultant payment, the CONSULTANT shall comply with all applicable sections of the Prompt
Payment laws as set forth in RCW 39.04.250 and RCW 39.76.011.
The CONSULTANT shall not sub -contract for the performance of any work under this AGREEMENT without prior
written permission of the AGENCY. No permission for sub -contracting shall create, between the AGENCY and sub-
contractor, any contract or any other relationship. A DBE certified sub -consultant is required to perform a minimum
amount of their sub -contracted agreement that is established by the WSDOT Local Programs Project Development
Engineer in consultation with the AGENCY.
VII Employment
The CONSULTANT warrants that they have not employed or retained any company or person, other than a bona fide
employee working solely for the CONSULTANT, to solicit or secure this contract, and that it has not paid or agreed to
pay any company or person, other than a bona fide employee working solely for the CONSULTANT, any fee,
commission, percentage, brokerage fee, gift, or any other consideration, contingent upon or resulting from the award or
making of this contract. For breach or violation of this warrant, the AGENCY shall have the right to annul this
AGREEMENT without liability or, in its discretion, to deduct from the AGREEMENT price or consideration or
otherwise recover the full amount of such fee, commission, percentage, brokerage fee, gift, or contingent fee.
Any and all employees of the CONSULTANT or other persons while engaged in the performance of any work or
services required of the CONSULTANT under this AGREEMENT, shall be considered employees of the
CONSULTANT only and not of the AGENCY, and any and all claims that may arise under any Workmen's
Compensation Act on behalf of said employees or other persons while so engaged, and any and all claims made by a
Page 3 of 8
third party as a consequence of any act or omission on the part of the CONSULTANT'S employees or other persons
while so engaged on any of the work or services provided to be rendered herein, shall be the sole obligation and
responsibility of the CONSULTANT.
The CONSULTANT shall not engage, on a full- or part-time basis, or other basis, during the period of the contract, any
professional or technical personnel who are, or have been, at any time during the period of the contract, in the employ
of the United States Department of Transportation, or the STATE, or the AGENCY, except regularly retired
employees, without written consent of the public employer of such person.
VIII Nondiscrimination
During the performance of this contract, the CONSULTANT, for itself, its assignees, and successors in interest agrees
to comply with the following laws and regulations:
Title VI of the Civil Rights Act of 1964
(42 USC Chapter 21 Subchapter V Section 2000d through 2000d -4a)
Federal -aid Highway Act of 1973
(23 USC Chapter 3 Section 324)
Rehabilitation Act of 1973
(29 USC Chapter 16 Subchapter V Section 794)
Age Discrimination Act of 1975
(42 USC Chapter 76 Section 6101 et seq.)
Civil Rights Restoration Act of 1987
(Public Law 100-259)
American with Disabilities Act of 1990
(42 USC Chapter 126 Section 12101 et. seq.)
49 CFR Part 21
23 CFR Part 200
RCW 49.60.180
In relation to Title VI of the Civil Rights Act of 1964, the CONSULTANT is bound by the provisions of Exhibit "H"
attached hereto and by this reference made part of this AGREEMENT, and shall include the attached Exhibit "H" in
every sub -contract, including procurement of materials and leases of equipment, unless exempt by the Regulations or
directives issued pursuant thereto.
IX Termination of Agreement
The right is reserved by the AGENCY to terminate this AGREEMENT at any time upon ten (10) days written notice to
the CONSULTANT.
In the event this AGREEMENT is terminated by the AGENCY other than for default on the part of the
CONSULTANT, a final payment shall be made to the CONSULTANT as shown in Exhibit "I" for the type of
AGREEMENT used.
No payment shall be made for any work completed after ten (10) days following receipt by the CONSULTANT of the
Notice to Terminate If the accumulated payment made to the CONSULTANT prior to Notice of Termination exceeds
the total amount that would be due when computed as set forth herein above, then no final payment shall be due and the
CONSULTANT shall immediately reimburse the AGENCY for any excess paid.
If the services of the CONSULTANT are terminated by the AGENCY for default on the part of the CONSULTANT,
the above formula for payment shall not apply.
Page 4 of 8
In such an event, the amount to be paid shall be determined by the AGENCY with consideration given to the actual
costs incurred by the CONSULTANT in performing the work to the date of termination, the amount of work originally
required which was satisfactorily completed to date of termination, whether that work is in a form or a type which is
usable to the AGENCY at the time of termination, the cost to the AGENCY of employing another firm to complete the
work required and the time which may be required to do so, and other factors which affect the value to the AGENCY
of the work performed at the time of termination.
Under no circumstances shall payment made under this subsection exceed the amount, which would have been made
using the formula set forth above.
If it is determined for any reason that the CONSULTANT was not in default or that the CONSULTANT' S failure to
perform is without the CONSULTANT'S or it's employee's default or negligence, the termination shall be deemed to
be a termination for the convenience of the AGENCY. In such an event, the CONSULTANT would be reimbursed for
actual costs in accordance with the termination for other than default clauses listed previously.
In the event of the death of any member, partner or officer of the CONSULTANT or any of its supervisory personnel
assigned to the PROJECT, or dissolution of the partnership, termination of the corporation, or disaffiliation of the
principally involved employee, the surviving members of the CONSULTANT hereby agree to complete the work under
the terms of this AGREEMENT, if requested to do so by the AGENCY. This subsection shall not be a bar to
renegotiation of the AGREEMENT between the surviving members of the CONSULTANT and the AGENCY, if the
AGENCY so chooses.
In the event of the death of any of the parties listed in the previous paragraph, should the surviving members of the
CONSULTANT, with the AGENCY'S concurrence, desire to terminate this AGREEMENT, payment shall be made as
set forth in the second paragraph of this section.
Payment for any part of the work by the AGENCY shall not constitute a waiver by the AGENCY of any remedies of
any type it may have against the CONSULTANT for any breach of this AGREEMENT by the CONSULTANT, or for
failure of the CONSULTANT to perform work required of it by the AGENCY. Forbearance of any rights under the
AGREEMENT will not constitute waiver of entitlement to exercise those rights with respect to any future act or
omission by the CONSULTANT.
X Changes of Work
The CONSULTANT shall make such changes and revisions in the complete work of this AGREEMENT as necessary
to correct errors appearing therein, when required to do so by the AGENCY, without additional compensation thereof.
Should the AGENCY find it desirable for its own purposes to have previously satisfactorily completed work or parts
thereof changed or revised, the CONSULTANT shall make such revisions as directed by the AGENCY. This work
shall be considered as Extra Work and will be paid for as herein provided under Section XIV.
XI Disputes
Any dispute concerning questions of fact in connection with the work not disposed of by AGREEMENT between the
CONSULTANT and the AGENCY shall be referred for determination to the Director of Public Works or AGENCY
Engineer, whose decision in the matter shall be final and binding on the parties of this AGREEMENT; provided,
however, that if an action is brought challenging the Director of Public Works or AGENCY Engineer's decision, that
decision shall be subject to de novo judicial review. If the parties to this AGREEMENT mutually agree, disputes
concerning alleged design errors will be conducted under the procedures found in Exhibit "J", and disputes concerning
claims will be conducted under the procedures found in Exhibit "K".
XII Venue, Applicable Law, and Personal Jurisdiction
In the event that either party deems it necessary to institute legal action or proceedings to enforce any right or
obligation under this AGREEMENT, the parties hereto agree that any such action shall be initiated in the Superior
court of the State of Washington, situated in the county in which the AGENCY is located. The parties hereto agree that
all questions shall be resolved by application of Washington law and that the parties to such action shall have the right
of appeal from such decisions of the Superior court in accordance with the laws of the State of Washington. The
CONSULTANT hereby consents to the personal jurisdiction of the Superior court of the State of Washington, situated
in the county in which the AGENCY is located.
Page 5 of 8
XIII Legal Relations
The CONSULTANT shall comply with all Federal, State, and local laws and ordinances applicable to the work to be
done under this AGREEMENT. This contract shall be interpreted and construed in accordance with the laws of the
State of Washington.
The CONSULTANT shall indemnify and hold the AGENCY and the STATE and its officers and employees harmless
from and shall process and defend at its own expense all claims, demands, or suits at law or equity arising in whole or
in part from the CONSULTANT'S negligence or breach of any of its obligations under this AGREEMENT; provided
that nothing herein shall require a CONSULTANT to indemnify the AGENCY or the STATE against and hold
harmless the AGENCY or the STATE from claims, demands or suits based solely upon the conduct of the AGENCY or
the STATE, their agents, officers and employees; and provided further that if the claims or suits are caused by or result
from the concurrent negligence of (a) the CONSULTANT'S agents or employees, and (b) the AGENCY or the
STATE, their agents, officers and employees, this indemnity provision with respect to (1) claims or suits based upon
such negligence (2) the costs to the AGENCY or the STATE of defending such claims and suits shall be valid and
enforceable only to the extent of the CONSULTANT'S negligence or the negligence of the CONSULTANT'S agents
or employees.
The CONSULTANT'S relation to the AGENCY shall be at all times as an independent contractor.
The CONSULTANT shall comply with all applicable sections of the applicable Ethics laws, including RCW 42.23,
which is the Code of Ethics for regulating contract interest by municipal officers. The CONSULTANT specifically
assumes potential liability for actions brought by the CONSULTANT'S own employees against the AGENCY and,
solely for the purpose of this indemnification and defense, the CONSULTANT specifically waives any immunity under
the state industrial insurance law, Title 51 RCW.
Unless otherwise specified in the AGREEMENT, the AGENCY shall be responsible for administration of construction
contracts, if any, on the PROJECT. Subject to the processing of a new sole source, or an acceptable supplemental
agreement, the CONSULTANT shall provide On -Call assistance to the AGENCY during contract administration. By
providing such assistance, the CONSULTANT shall assume no responsibility for: proper construction techniques, job
site safety, or any construction contractor's failure to perform its work in accordance with the contract documents.
The CONSULTANT shall obtain and keep in force during the terms of the AGREEMENT, or as otherwise required,
the following insurance with companies or through sources approved by the State Insurance Commissioner pursuant to
Title 48 RCW.
Insurance Coverage
A. Worker's compensation and employer's liability insurance as required by the STATE.
B. Commercial general liability written under ISO Form CG 00 01 12 04 or its equivalent with minimum limits of
one million dollars ($1,000,000) per occurrences and two million dollars ($2,000,000) in the aggregate for each
policy period.
C. Vehicle liability insurance for any automobile used in an amount not less than a one million dollar ($1,000,000)
combined single limit.
Excepting the Worker's Compensation Insurance and any Professional Liability Insurance secured by the
CONSULTANT, the AGENCY will be named on all policies as an additional insured. The CONSULTANT shall
furnish the AGENCY with verification of insurance and endorsements required by the AGREEMENT. The AGENCY
reserves the right to require complete, certified copies of all required insurance policies at any time.
All insurance shall be obtained from an insurance company authorized to do business in the State of Washington. The
CONSULTANT shall submit a verification of insurance as outlined above within fourteen (14) days of the execution of
this AGREEMENT to the AGENCY.
No cancellation of the foregoing policies shall be effective without thirty (30) days prior notice to the AGENCY.
The CONSULTANT'S professional liability to the AGENCY shall be limited to the amount payable under this
AGREEMENT or one million ($1,000,000) dollars, whichever is the greater, unless modified by Exhibit "L". In no
case shall the CONSULTANT'S professional liability to third parties be limited in any way.
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The AGENCY will pay no progress payments under Section V until the CONSULTANT has fully complied with this
section. This remedy is not exclusive; and the AGENCY and the STATE may take such other action as is available to it
under other provisions of this AGREEMENT, or otherwise in law.
XIV Extra Work
A. The AGENCY may at any time, by written order, make changes within the general scope of the AGREEMENT in
the services to be performed.
B. If any such change causes an increase or decrease in the estimated cost of, or the time required for, performance of
any part of the work under this AGREEMENT, whether or not changed by the order, or otherwise affects any other
terms and conditions of the AGREEMENT, the AGENCY shall make an equitable adjustment in the (1) maximum
amount payable; (2) delivery or completion schedule, or both; and (3) other affected terms and shall modify the
AGREEMENT accordingly.
C. The CONSULTANT must submit any "request for equitable adjustment", hereafter referred to as "CLAIM", under
this clause within thirty (30) days from the date of receipt of the written order. However, if the AGENCY decides
that the facts justify it, the AGENCY may receive and act upon a CLAIM submitted before final payment of the
AGREEMENT.
D. Failure to agree to any adjustment shall be a dispute under the Disputes clause. However, nothing in this clause
shall excuse the CONSULTANT from proceeding with the AGREEMENT as changed.
E. Notwithstanding the terms and conditions ofparagraphs (A) and (B) above, the maximum amount payable for this
AGREEMENT, shall not be increased or considered to be increased except by specific written supplement to this
AGREEMENT.
XV Endorsement of Plans
If applicable, the CONSULTANT shall place their endorsement on all plans, estimates, or any other engineering data
furnished by them.
XVI Federal and State Review
The Federal Highway Administration and the Washington State Department of Transportation shall have the right to
participate in the review or examination of the work in progress.
XVII Certification of the Consultant and the Agency
Attached hereto as Exhibit "M -1(a and b)" are the Certifications of the CONSULTANT and the AGENCY, Exhibit "M
-2" Certification Regarding Debarment, Suspension and Other Responsibility Matters - Primary Covered Transactions,
Exhibit "M-3" Certification Regarding the Restrictions of the Use of Federal Funds for Lobbying and Exhibit "M-4"
Certificate of Current Cost or Pricing Data. Exhibit "M-3" is required only in AGREEMENTS over $100,000 and
Exhibit "M-4" is required only in AGREEMENTS over $500,000.
XVIII Complete Agreement
This document and referenced attachments contain all covenants, stipulations, and provisions agreed upon by the
parties. No agent, or representative of either party has authority to make, and the parties shall not be bound by or be
liable for, any statement, representation, promise or agreement not set forth herein. No changes, amendments, or
modifications of the terms hereof shall be valid unless reduced to writing and signed by the parties as an amendment to
this AGREEMENT.
XIX Execution and Acceptance
This AGREEMENT may be simultaneously executed in several counterparts, each of which shall be deemed to be an
original having identical legal effect. The CONSULTANT does hereby ratify and adopt all statements, representations,
warranties, covenants, and agreements contained in the proposal, and the supporting material submitted by the
CONSULTANT, and does hereby accept the AGREEMENT and agrees to all of the terms and conditions thereof.
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In witness whereof, the parties hereto have executed this AGREEMENT as of the day and year shown in the
"Execution Date" box on page one (1) of this AGREEMENT.
By By
Consultant Gregory P. Jellison
DOT
Agency City of Yakima
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See attached Scope of Work
Exhibit A-1
Scope of Work
Project No.
Documents To Be Furnished By The Consultant
See attached scope of work
DOT Form 140-089 EF Exhibit A-1
Revised 6/05
EXHIBIT A
SCOPE OF WORK
Engineering Design Services
North 1st Street Revitalization Project
N Street to SR -12
City of Yakima, WA
The Standard WSDOT Local Agency Consultant Agreement is amended and supplemented to include the
following provisions regarding the Scope of Services.
Project Description and Background
The City of Yakima seeks to improve the northern section of the North 1 st Street corridor, from N Street to State
Route 12 (SR -12). North 1" Street is classified as a principal arterial and the City recently received a Surface
Transportation Program (STP) grant to revitalize this corridor into the downtown area. The project will replace
the existing sidewalk, install street lighting and pedestrian lighting, and make other upgrades to improve this
important entrance into downtown Yakima.
On March 24, 2014, HDJ Design Group, PLLC (CONSULTANT) was selected by the City of Yakima (City) to provided
design engineering services for the North 1" Street Revitalization Project. The consultant selection also included
the option for the City to supplement this agreement for Construction Administration services.
Hough -Beck and Baird (HBB), a landscape architectural firm was previously contracted by the City to develop a
preferred roadway cross-section. The preferred cross section includes four travel lanes plus center turn lanes
where needed for access. It also includes a landscaped median where necessary for access management, new
curbs and sidewalks, tree grates and street trees, and street/pedestrian lighting. HDJ will coordinate closely with
HBB on the overall design and will incorporate landscape architectural plans prepared by HBB into the final
construction plans.
As part of the HDJ Team approach, we will utilize as much of the prior work as possible in order to retain the
value of that effort and to meet the city's desired 2015 construction schedule. The City contracted previously
with MBG Surveying and HDJ will use that topographic survey data for design purposes. If additional topographic
survey is necessary, then MBG will contract directly with the City to provide the additional data.
HDJ Design Group (HDJ) will complete this project with a design team that includes Civil Engineering,
Traffic/Transportation Engineering, Environmental, Geotechnical Engineering, Public Involvement, and Right of
Way Acquisition Services.
In general, the engineering phase will involve, but not be limited to, the following key components and
deliverables:
1) Public Outreach
2) Access Management
3) Limited Geotechnical Report
4) Cultural Resources Survey
5) Environmental Permitting
6) 30% Conceptual Design Submittal
7) 60% Design Submittal with Cost Estimate
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8) 90% Design Submittal with Specification
9) Right of Way Acquisition Assistance
10) Coordinate & Prepare Construction Stormwater General Permit
11) Final Design Submittal (Bid Ready) Documents
12) Prepare Exhibits and Participate in Public Meetings
13) Completing final plans, specifications, and estimate (PS&E) for the project
14) Assist in Bidding and Award
15) Supplemental if requested — Provide Construction Administration including on-site observation and
testing of materials and overall construction administration.
Assumptions
The design will be based on the following assumptions:
• The City intends for this project to start construction in 2015.
• This project is federally funded.
• Assume that no retaining walls will be required.
• Assume that storm sewer work will be within the project limits of N street to the US 12 Interchange.
No storm sewer design work will be performed on the outfall to Rotary Lake.
• Assume that plan review will be by City of Yakima, with additional review by WSDOT Local Programs,
and FHWA due to funding of the project.
• Assume that there will be up to 8 design meetings, one access management workshop and open
house. One additional Public Outreach meeting and 2 Council meetings at the City of Yakima.
• HDJ will be responsible for providing 30 bound copies of the plans and specifications for potential
bidders. The City will handle advertisement and manage the bidding process.
TASK 1— PROJECT ADMINISTRATION
HDJ shall oversee project tasks and coordinate with City representatives to manage the scope, schedule and
budget for the design engineering phase.
Subtask 1.1— Contract Administration, Invoicing, and Progress Reports
1) Prepare and submit monthly invoices. Each invoice will include: date period covered by invoice,
number of hours worked during the billing period with billing rates shown; expenses and associated
mark-ups; total cost for labor and expenses for the billing period; subconsultants fees including
markups for the billing period; and a total amount summarizing labor, expenses, and subconsultant
fees. The only markup for subconsultants will be for the B&O Tax no additional markup will be included
in the billing by HDJ.
2) Prepare a Contract Summary Report to accompany the monthly invoices. The Contract Summary
Report will list each invoice as well as current invoice with an itemized summary of invoice numbers,
dates, and amounts billed for labor, expenses, and subconsultants as well as total amounts for each
invoice. The Contract Summary Report will also list the total amount billed to date, total amount
remaining under contract, and contract expiration date.
3) Prepare a brief Project Status Report to accompany the monthly invoices. The Project Status Report
will include: date period covered by Status Report, brief summary of work performed during the billing
period, a notice to CITY raising any issues or concerns that could require a contract
amendment/supplement, a brief summary of completed and/or upcoming project milestones, and
action items needed from CITY for project delivery. CONSULTANT shall monitor the status of the
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budget and take corrective actions to correct undesirable budget trends involving the CITY if scope is
im pacted.
4) Prepare and maintain project design schedule. The schedule shall identify CONSULTANT tasks and
items provided by CITY and other consultants. The schedule shall be updated every month or as
circumstances require or as requested by the CITY.
5) Project Management. General coordination with client, subconsultants, other consultants, and
stakeholders and ongoing monitoring of tasks and resources.
6) Maintain all contract -required documentation. Provide copies of project files and records to the CITY
for audits and public information requests. All final documents shall be provided in electronic format
as requested.
7) Deliverables:
a) Monthly invoices, Contract Summary Reports, and Project Status Reports.
b) Project Design Schedule and updates
c) Project Documentation
Subtask 1.2— Meetings
This item includes the coordination and meetings necessary to successfully complete the project.
1) Attend project kickoff meeting in Yakima
2) Internal HDJ design team coordination and meetings
3) Preparation and submittal of a pre -design memorandum
4) Meet with City staff after the review of the 30%, 60%, 90%, and Final plan submittals
5) Site Visit and photo documentation. Project photos of each property at regular overlapping intervals
taken perpendicular to centerline and parallel to centerline in the direction of traffic flow.
6) Attend up to 2 Public Outreach meetings and 2 Council meeting at the City of Yakima.
7) Deliverables:
a) Meeting Agendas and Meeting Summaries
b) Project Photos
TASK 2 — DATA COLLECTION
Subtask 2.1— Surveying and Base Map
HDJ will review the topographic survey and base mapping provided by MBG and the CITY and will request
additional data as necessary to complete the design.
CONSULTANT will conduct site visits, take project photos of every property and conduct field verification of
survey data represented in project base map. CONSULTANT will use photographs to document pre -project
conditions. CONSULTANT shall verify CADD standards.
1) Review existing topographic survey. Confirm that data is accurate and complete. Bring survey into
compatibility with current City software and layering protocol.
2) Take project photos
3) Deliverables:
a) Updated project base map
b) Project Photos
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Subtask 2.2 — Geotechnical Investigation
As part of our geotechnical scope of work, Hart Crowser will conduct a limited pavement study to evaluate
pavement and soil conditions along the project alignment. The pavement study will be geared towards
determining the existing "as built" pavement configuration; analysis of new or rehabilitated pavement sections
will not be completed under this scope. Subsurface explorations and in situ testing will not be completed under
this scope.
LIMITED PAVEMENT STUDY
Scope of Work
Hart Crowser will provide the following services for the limited pavement study:
1) Notify the "One Call" service for public utility locates.
2) Prepare traffic control plans for the field explorations. Submit traffic control plans to the City for
review and approval.
3) Advance 6 to 8 cores to 2 feet deep to determine the thicknesses of the existing asphalt, concrete,
and aggregate base layer.
4) Provide traffic control during coring work.
5) Prepare a draft pavement memorandum summarizing the results of the coring and presenting as -built
thicknesses of the existing pavement section.
6) Prepare a final pavement memorandum incorporating requested changes/updates from the project
team's review of the draft pavement memorandum.
7) Provide project management and support for our work, including coordinating Hart Crowser staff and
subcontractors, invoicing, email and telephone communications with the project team, other
incidental administrative services required for the project, and attendance at up to one project
meeting in HDJ's Vancouver office.
Assumptions and Limitations
The above pavement study scope of work and attached fee estimate are based upon the following
assumptions and limitations:
1) Field work will be performed during daylight hours with approved traffic control.
2) HDJ survey crews will or others will mark the proposed core locations in white paint on the pavement
prior at least one week prior to our field work.
3) If needed, the City will issue a street use permit at no cost to the Consultant.
4) Analysis of new or rehabilitated pavement sections will not be completed.
Deliverables
a) Draft pavement memorandum (electronic PDF copy)
b) Final pavement memorandum (electronic PDF copy and up to 5 hard copies)
Documents/Materials to be Furnished by the City or Others
1) Site topographic survey and plans in AutoCAD format.
2) Street use permit.
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TASK 3 — PERMITTING
Subtask 3.1— Application and Permits
HDJ will coordinate with the Department of Ecology for the Construction Stormwater General Permit application
and transfer of permit to the selected Contractor. HDJ will also prepare the NOI Application for City signature
and submittal. HDJ will prepare the Transfer of Coverage and Notice of Termination forms for the City and
Contractor signature and submittal, which will constitute transfer of coverage to the Contractor. H DJ will prepare
a draftTemporary Erosion and Sediment Control (TESC) Plan as part of the Construction Plans that the Contractor
may or may not use in the Stormwater Pollution Prevention Plan (SWPPP) that the Contractor develops for the
construction site.
Deliverables:
a) Prepare NOI Application
b) Prepare draft TESC Plan
c) Prepare Transfer of Coverage Form
d) Prepare Notice of Termination Form
TASK 4 — ENVIRONMENTAL
HDJ and Widener and Associates (W&A) will perform the environmental permitting and coordination
for this project. This Scope of Work is intended to complete the NEPA documentation and federal permitting
for the project. It is anticipated that the following environmental documentation will be required:
• Section 106 Documentation
• Biological Assessment
• Environmental Justice
• Hazmat Memo
• Environmental Classification Summary
Subtask 4.1— Design Assistance and Early Agency Coordination
W&A will provide early input into the formation of project alternatives to ensure each alternative includes
provisions to minimize impacts to the surrounding environment. This coordination within the various design
elements of the project will identify and incorporate minimization measures early in the alternative
development phase of the project and will ensure that an appropriate range of alternatives are developed prior
to the agency coordination.
Subtask 4.2 — Section 106 Consultation
This work would include the preparation of the Section 106 report in accordance with the State Historic
Preservation Office standards and guidelines. The work will include the following subtasks.
1) Pertinent literature on the archaeology, ethnography, and history of the project area will be reviewed
to determine the existence of archaeological sites and to refine the probability of archaeological
resources and traditional cultural places in the project areas.
2) Widener will maintain contact with the local tribes through WSDOT for any information on historic
Indian use of the project area.
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3) A systematic field reconnaissance will be conducted to identify previously recorded and/or
unrecorded archaeological sites for the proposed project where ground -disturbing activities are
expected to take place. Field reconnaissance will consist of the traverse of pedestrian transects at
varying intervals, depending on terrain throughout the proposed project area. Shovel probes (digging
a hole with a shovel) will be excavated, as deep as feasible, and in areas expected to have a high
probability for cultural resources. Shovel probes will be augmented through auger probes to explore
the deepest possible deposits. Shovel probes will be screened in highly probable areas and in soil
matrixes too dense to identify small chipping debris.
4) All new sites will be mapped, photographed, and recorded on Washington State Archeological
Inventory forms and submitted to the state Office of Archeological and Historic Preservation (OAHP)
for Smithsonian numbers. Every effort will be made to include Tribal cultural resources personnel in
assisting the field effort. Rights -of -entry will be provided by the City.
Assumptions
1) The project limits are from N street north to the south side of the US 12 interchange with N 1 st Street.
No archeological exploration will be performed north of the project limit, through the US 12
interchange or around Rotary Lake, the Naches or Yakima Rivers.
Deliverables
1) An Area of Potential Effect (APE)
2) Final Section 106 Report
Subtask 4.3 — Biological Assessment
Biological Evaluation (BA) and Essential Fish Habitat Evaluation (EFH). The Consultant will prepare a brief effect
determination letter on species listed as threatened under the ESA (assumed to be "no effect" and completed
on as part of the ECS) and an EFH evaluation. We will obtain updated species lists from the agencies web sites
and also request site specific habitat information from the Washington State Department of Fish and Wildlife
priority habitats and species database. Evaluation of specific project details such as construction techniques and
equipment used, timing of construction, temporary sediment and erosion control measures, and best
management practices will be based on information developed for this project. Information on the amount of
new impervious surfaces, stormwater detention, and stormwater quality treatment will be based on information
provided by the design team.
Assumptions
1) The project will have no effect on listed species or their designated critical habitat and a detailed
Biological Assessment will not be required.
Deliverables
No deliverable; the results of the investigation will be documented as part of the ECS.
Subtask 4.4 — Environmental Justice Survey
Services required to complete an Environmental Justice (EJ) analysis includes the following main components:
1) Collecting demographic data for the project area using local data sources and the US Census Data.
2) Identifying any environmental justice populations in the area (minority or low-income populations).
3) Review public outreach activities to ensure potential EJ populations are offered an opportunity to
participate in project planning and decision-making.
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4) Identifying any potential disproportionate effects to EJ populations from project activities and
identifying how impacts could not be avoided or minimized and what mitigation measures could be
implemented.
5) Deliverables
a) Three copies of the draft EJ documentation will be provided.
b) Three copies of the final EJ documentation will be provided incorporating City comments.
c) Three copies of the final EJ documentation will be provided incorporating WSDOT/FHWA
comments if required. It is assumed that WSDOT/FHWA comments will not alter the basic
conclusion of the documentation or require further alternative studies.
Subtask 4.5— Hazardous Materials Memo
A Hazardous Materials Memo will be prepared to evaluate the presence, or likely presence, of potential
hazardous substances within the physical limits of the project that would have an effect on the overcrossing
project. Sites with potential for environmental issues/impacts include those that indicate current or past uses as
service stations, battery shops, dry cleaners, chemical storage, or manufacturing facilities; sites with fuel or
chemical storage tanks or drums present; or those with strong pungent or noxious odors. The scope of services
for this study will include:
1) A review of the results of a federal, state, and local environmental database search provided by an
outside environmental data service for listings of known or suspected environmental problems at the
sites or nearby properties within the search distances specified by WSDOT.
2) A review of historical aerial photographs, fire insurance maps, city directories, chain -of -title reports,
and tax assessor records, as available and appropriate, to identify past development history on the
parcels relative to the possible use, generation, storage, release, or disposal of hazardous substances.
An attempt to identify uses of the sites from the present to the time that records show no apparent
development of the site, or to 1940, whichever is earlier.
3) Conduct of a visual reconnaissance of the parcels and adjacent properties to identify visible evidence
of potential sources of contamination..
4) A letter report that will summarize the results of this study. The letter report will briefly discuss the
project activities and include a table ranking the parcels (low, moderate, high) by their potential for
contamination from either on-site or off-site sources. A draft letter report will be provided for review
and comment. Upon receiving comments, the letter will be modified as appropriate and made final.
5) Deliverables
a) Three copies of the draft Hazmat Memo will be provided.
b) Three copies of the Hazmat Memo will be provided incorporating City comments.
c) Three copies of the final Hazmat Memo will be provided incorporating WSDOT/FHWA
comments if required. It is assumed that WSDOT/FHWA comments will not alter the basic
conclusion of the documentation or require further alternative studies.
Subtask 4.6 — NEPA Documentation and Approval
Services will be provided to prepare the Environmental Classification Summary (ECS) form by reviewing technical
reports related to the project, applying project -specific data to the form and coordinating approval for the
project by both WSDOT and FHWA.
1) Deliverables
a. Three copies of the draft ECS will be provided.
b. Three copies of the final ECS documentation will be provided incorporating City comments.
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c. Three copies of the final ECS documentation will be provided incorporating WSDOT/FHWA
comments if required. It is assumed that WSDOT/FHWA comments will not alter the basic
conclusion of the documentation or require further alternative studies.
Subtask 4.7 — SEPA Documentation and Approval
HDJ will supply information to the City for completion of the SEPA documentation, including all needed studies,
modeling, and analysis in accordance with State Environmental Policy Act (RCW 43.21C) and SEPA Rules (WAC
197-11). HDJ will coordinate with the City to address comments on the SEPA Checklist and provide support for
the SEPA process. The City presently anticipates a SEPA Mitigated Determination of Non Significance.
1) Deliverables
a. Information and data for the SEPA checklist
Assumptions
1) The City will complete and file the SEPA checklist. The City will obtain the Determination of Non -
Significance
TASK 5 — MEDIAN PLACEMENT CONCEPT DEVELOPMENT AND EVALUATION
Objective
A bottom-up public engagement approach will be used to develop a median placement and corridor access
management plan for the North 1" Street study corridor. A 1 -day workshop will be held with corridor property
owners, business owners, stakeholders, and public to identify the following:
• Present and review information about existing conditions, opportunities, and constraints.
• Identify key constraints for median placement/access management.
• Develop an initial set of median placement and access management alternatives (through maps and
graphics) and conduct a high-level screening of the alternatives.
• Refine and select a preliminarily preferred median placement/access management plan for the corridor.
Subtasks
5.1 Obtain an electronic aerial photograph of the study area from the City.
5.2 Obtain the current GIS mapping for the study area from the City. This will include, but is not limited to:
a. Parcels
b. Rights-of-way and easements
c. Road centerlines
d. Physical infrastructure (railroad, signals, storm drain, bridges, utilities, etc.)
e. Environmental features
5.3 Inventory and generally assess the following in the study area:
a. Existing roadways
b. Existing zoning, type, and location of current land uses
c. Existing public and private access driveways
d. Traffic control devices
e. Existing and year 2035 traffic volumes (peak hour and daily where available) - (all traffic volume
information will be provided by the City)
5.4 Identify land use development patterns and vacant land within the study area and in the nearby area.
5.5 Develop a project map (aerial background) to establish the base existing conditions for the study
corridor, including but not limited to:
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a. Project study area boundary
b. Existing land use and zoning
c. Existing parcels and access driveways
d. Existing transportation facilities and traffic control
e. Existing traffic volumes (peak hour and daily) and operations
f. Programmed and planned transportation facilities
g. Year 2035 traffic volumes (peak hour and daily) and operations (all traffic volume information will
be provided to us by the City)
5.6 Workshop coordination meeting (via conference call) with City staff to discuss meeting logistics,
expectations, and responsibilities.
5.7 Prepare and develop a presentation, hands-on tools, maps, and other materials for the workshop.
5.8 Workshop — Conduct a one -day median placement and access management workshop. The workshop
must incorporate the following activities:
a. Opening session with key members of the consultant team, city staff, and property/business/citizen
stakeholders to review and discuss existing conditions, opportunities, and constraints.
b. Consultant team and city -staff design sessions to develop and illustrate different concepts.
c. Review session with identified property/business/citizen stakeholders to review and refine
alternatives.
d. An evening public open house to review the Workshop results and solicit feedback from all
previously involved and the larger citizen community.
5.9 Prepare a workshop report that describes the following:
a. Results of meetings, discussions, and comments
b. Summary of concepts developed and reviewed during the process
c. Presentation of the preferred median placement/access management alternative including maps,
illustrations, and narrative text.
Project Team Deliverables
5A Base mapping for the workshop
5B Prepare for and lead the workshop
5C Workshop Report
City Responsibilities
• City will develop the property owner, business owner, stakeholder contact list.
• City shall provide a location for the workshop which must include sufficient space for design work and
space for meetings with corridor property owners, business owners, stakeholders, and public citizens.
• City shall provide all identified GIS base mapping layers.
• City will notify community members about the workshop and opportunities to participate via posting
workshop announcements via local media announcements and working with community groups to
encourage their constituents to attend.
TASK 6 — RIGHT OF WAY SERVICES
Subtask 6.1— Temporary Construction Permits (TCP)
HDJ, and Universal Field Services will work together to accomplish this item of work. This item includes all work
necessary to identify TCP needs, and acquire TCP's as defined below. The negotiation phase cannot start until
NEPA is completed and approved by FHWA and all work will be completed in accordance with WSDOT LAG
Manual requirements. It is assumed that up to 22 TCP's for driveway reconnections will be required. It is also
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assumed that no right-of-way acquisition or temporary construction permits are required and therefore no
appraisals will be required.
1) Project Meetings — Universal's project manager or agent will be available for team meetings as
needed.
2) Title Reports and Documents — City/HDJ to provide property owner list and tax lot information. Title
reports will not be needed for this project. City to provide document formats, or if needed, Universal
Field Services (UFS) will submit examples for review.
3) Property Appraisals —Appraisals will not be required.
4) Owner Contacts — With prior approval from the City, UFS will mail each property owner temporary
construction permits for the reconnection of the access to their property. UFS will send out a project
information letter with a copy of the temporary construction permit document and a return envelope
for the owner's review. Universal will follow up with a phone call with each property owner to resolve
issues if any and to answer questions from the owners. If Universal is unable to get the needed
signatures, the agent will notify HDJ/City for a follow-up from the City.
5) Universal will provide HDJ with a weekly tracking report on the status of the project.
6) File Completion - Provide the City with a file of all executed documents for each temporary
construction permit. The file will include the written contact report with each property owner and all
correspondence, including any electronic correspondence.
Assumptions
1) Owner Contacts — UFS will work with each property owner to reach satisfactory agreement to
obtain temporary construction permits for the reconnection of the access to their property. UFS
will send out a project information letter with a copy of the temporary construction permit
document and a return envelope for the owner's review. Universal will follow up with a phone call
with each property owner to resolve issues if any and to answer questions from the owners. If
Universal is unable to get the needed signatures, the agent will notify HDJ/City for a follow-up
from the City.
TASK 7 — UTILITY COORDINATION
HDJ will perform utility coordination for this project portion of the project will be handled by Murray Smith and
Associates.
Subtask 7.1— Utility Coordination
1) Identify all utilities and obtain system mapping from utilities located within the project limits. Use this
mapping to verify project base -mapping from survey and existing GIS data.
2) Conduct a full reconnaissance of the entire project area to determine visual evidence of underground
and aboveground utility facilities and confirm utility provided facility maps and project base map
completeness.
3) Coordinate with overhead utility providers for undergrounding of their lines within a joint utility
trench.
4) Coordinate with utility providers on three-dimensional location information on select underground
utilities that may be in conflict with the project work and coordinate with the utility owners to resolve
those potential conflicts.
5) Submit a monthly report summarizing the type of contact made with each utility, the status of work
on each utility relocation plan and the anticipated completion date of each phase or activity for both
City and non -City owned utilities.
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Subtask 7.2 — Utility Meetings
1) Prepare for and attend up to two meetings for strategizing and planning utility coordination and
relocations with City and/or Project Design Team
2) Organize group/individual utility meetings as necessary to provide latest overall project information.
Such meetings will address known facilities, potential for impact, timing requirements for potential
relocations, initial information of reimbursable requirements. Meetings will also allow the exchange
of each utility's relocation plans with the other utilities in order to maximize compatibility of relocation
designs and utility and roadway construction sequencing. Organize up to two meetings. Prepare and
transmit meeting agendas and meeting summaries to all concerned parties.
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TASK 8 — DESIGN
Subtask 8.1— 30% Plan Preparation
This item includes all work necessary to bring the design to a 30% design phase for incorporation in the
environmental permit documentation.
1) The 30% civil plans shall include:
a) Cover Sheet.
b) Civil Legend Sheet
c) Plan over Profile Sheets showing basic roadway geometry information and incorporating
recommended median locations and access management implementation.
d) Plan sheets showing conceptual utility layout for any new water, sanitary sewer, storm, and joint
utility trenches.
2) Deliverables:
a. 30% Civil Plans (3 copies on 11X17 and a PDF of the plan set)
b. 30% Construction Cost Estimate
Subtask 8.2— 60% Submittal
This item includes work necessary to bring the design to a 60% plan phase and determine project impacts and
temporary construction permit needs as defined below.
1. The 60% civil plans shall include:
a. Cover Sheet
b. Civil Legend Sheet
c. Typical Sections
d. Plan over Profile Sheets showing basic roadway geometry information
e. Utility Plan — Updated general concepts and locations for water, and stormwater facilities. No
sanitary sewer line replacement or installation is proposed or included.
f. Joint Utility Trench Plan for undergrounding of overhead utilities.
g. Intersection Layouts
h. Preliminary Erosion Control and Grading Plans
i. Preliminary Erosion Control Notes Detail Sheets
j. Preliminary Site Prep/Demolition Plans
k. Preliminary street light and pedestrian light layout based on details and fixtures provided by the
City of Yakima and used previously on the Yakima Avenue corridor.
I. Preliminary Construction Staging Plans
m. Preliminary Construction Signing Plan
n. Preliminary Landscape Plans provided by HBB under separate contract with the City and
incorporated in the HDJ plan set.
o. Preliminary signing and striping plan.
2. Detailed geometric layout of intersections and grading for ADA purposes.
3. Preliminary cut and fill line determination.
4. Preliminary stormwater analysis using HydroCAD software, preliminary basin delineation map, and
conceptual layout.
5. Coordination in Task 7 with dry utility companies for the relocation of their facilities. HDJ will provide
AutoCAD copy of the plans to assist the utility companies with their relocations.
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6. Calculate quantities and prepare a 60% engineer's estimate of construction costs shown on the civil
plans.
7. Submit 60% plan set and cost estimate for review
8. Deliverables
a. 60% Level Plans, including Cost Estimates (3 copies of the plans 11X17 and a PDF of the plan
set and cost estimate)
Sub -task 8.3 — 90% Submittal
This item includes all work necessary to bring the design to a 90% plan phase as defined below.
1. Address the 60% comments. The 90% plan set shall include the following and be approximately 40
sheets:
a) Cover Sheet
b) General Notes and Legend Sheet
c) Typical Sections
d) Erosion Control and Grading Plans
e) Erosion Control Notes Detail Sheets
f) Site Prep/Demolition Plans
g) Plan over Profile Sheets
h) Utility Plan and Profile for water, stormwater, and the joint utility trench.
i) Stormwater Facility Plan and Detail Sheet
j) Miscellaneous Details Sheet
k) Signing and Striping Plan
I) Lighting plan with details of luminaires, conduits and power
m) Site specific Traffic Control Plans
n) Construction Staging Plans
o) Construction Signing Plan
p) Standard Detail Sheets
q) Landscape Plans incorporated from HBB
r) Landscape Detail Sheets from HBB
s) Preliminary Irrigation Plans by HDJ
t) Preliminary Irrigation Detail Sheet by HDJ
2. Compile preliminary stormwater analysis from 60%, update the analysis to match the 90% level design
and prepare the preliminary stormwater report.
3. Compute quantities and prepare an engineer's estimate of construction costs shown on the plans.
Identify which bid items will require special provisions.
4. Prepare 90% Level Project Specifications including current WSDOT amendments, GSP's and special
provisions necessary for this project.
5. Submit 90% plan set, specifications, and cost estimate for review
6. Deliverables
a. 90% Plans, Specifications, and Cost Estimates
b. Preliminary Stormwater Report
Sub -task 8.4 — Final Submittal
This item includes all work necessary to complete the design and prepare the final project bid package.
1. Address the 90% comments. 100% and final design phase plan set shall include:
a. Cover Sheet
City of Y lkIrTia Was Mii1f;t..of
North M IN Sti oot R' ea/Nal :a-6bin "soiovt N Sti oot t:o NI' t fiC. II of
b. General Notes and Legend Sheet
c. Typical Sections
d. Erosion Control and Grading Plans
e. Erosion Control Notes Detail Sheets
f. Site Prep/Demolition Plans
g. Plan over Profile Sheets
h. Utility Plan and Profile for water and stormwater
i. Stormwater Facility Plan and Detail Sheet
j. Miscellaneous Details Sheet
k. Structural Detail Sheet
I. Signing and Striping Plans
m. Lighting Plan and Details
n. Site specific Traffic Control Plans
o. Construction Staging Plans
p. Construction Signing Plan
q. Standard Detail Sheets
r. Landscape Plans incorporated from HBB
s. Landscape Detail Sheets incorporated from HBB
t. Irrigation Plans
u. Irrigation Detail Sheet
2. Address preliminary stormwater report comments, and submit final stormwater report for approval.
3. Prepare final special provisions as needed for non standard items shown on the plans, and compile
the project specifications.
4. Compute quantities and prepare an engineer's estimate of construction costs.
5. Submit 100% PS&E for Review
6. Address City review comments regarding the plans, specs, and estimate.
7. Preparation of the project NPDES permit application, and posting the Notice of Intent (N.O.I.) in an
appropriate local news paper
8. Preparation of the project SWPPP
9. Prepare final bid package
10. Submit final bid package
11. Provide assistance during bidding including attendance at pre-bid meeting, preparation of addenda,
answering bidder questions and assisting the City with bid evaluation and recommendation for award.
12. Deliverables
a. Copy of NPDES Permit Application
b. Copy of SWPPP
c. 100% PS&E (3 copies on 11X17 and a pdf of the plan set) Contract Documents in word format
and cost estimate in excel. Final CAD drawings and Civil 3D.
d. Final Stormwater Report
e. Copies of Bid Package, assume a maximum of 30 copies to bidders
Reimbursable Expenses
This work includes non -salary costs associated with printing, mileage, copies, exhibit preparation, etc. Invoices
will be submitted with billings for any items covered under reimbursable expenses. Specific items that will be
provided under reimbursable expenses include:
• Copies: Expenses for submittal copies as described above.
• Travel: Mileage at current Federal rate.
• Delivery: Expenses for courier, package delivery, and mail services.
City of.. lkiJT1 ;sl gi t:oifl
North w est Sti eet N°tevitaliertion
N Stl eet t:o
Page 14of
Extra Work
This work includes any item not covered in the above scope of work or specifically excluded below. No costs
have been included for extra work within the Base Design Budget Total.
Specific Exclusions
The following items of work are specifically excluded from the scope of this agreement:
• Design of any dry utilities such as electric, gas, cable, phone, etc. Coordination with these utilities will be
performed as defined in the Utility Coordination Task. Coordination will include confirmation that their
changes/improvements properly fit within the proposed project.
• Preparation of Utility Relocation Plans for the various utilities that may be affected by the construction of
the project except as necessary for the City owned water, and stormwater utilities which will be designed
by HDJ.
• Traffic signal design or modifications to any existing signals including the existing pedestrian signal north of
N. Street.
• Negotiation of utility easements for private utilities.
• Payments of any plan review, application, or permit fees
• Construction support after bidding, administration, inspection, and materials testing
• Design changes during construction and change order writing
• Construction staking, and as -built survey
• Preparation of as -built drawings.
Client Responsibilities
The City of Yakima will provide the following items and / or services:
• Consultant identified pertinent and reasonable maps of the project and other currently available maps,
including aerial photos, assessor maps, and standard details.
• Provide copy of any existing plans, specifications, as-builts, geotechnical reports, and other design
documentation for the site vicinity
• Provide final approval of all materials produced for Public Outreach, including external documents, plans,
strategies and talking points.
• Provide copies of notes/summaries from previous North 1st Street public outreach efforts and corridor
design committee meetings.
• Assist HDJ in arranging for safe access to enter upon public and private property as required for HDJ and
subconsultants to perform services included in this scope of work.
• Direction regarding decisions related to design standards and design related issues.
• Pay any fees associated with this project (application fees, plan review fees, permit fees etc.).
• Sign and submit the NPDES permit application (prepared by HDJ) to the DOE (The Department of Ecology
(DOE) will not accept NPDES permit applications unless they are signed and submitted by the "Owner").
• Negotiate easement and ROW agreements with utility companies affected by this project. If the City desires
the HDJ team can assist with easement negotiations and ROW agreements.
• Provide HDJ with city standard specifications, details, and project notes.
City cif Y rk11113„ Waal migtoi
North M ht Street D: evtalh boli Project ... N Street to SIRPa. Page vg 0
North 1st Street Revitalization Project
Taskend Description
Sub -task 1.1 Contact Administration, Invoicing, and Progress Reports
Sub -task 1.2 Meetings
TASK 2 -DATA COLLECTION
Sub -task 2.1 Surveying and Base Map
Sub -task 2.2 Geotechnical Investigation
Sub -task 3.1 Application and Permits
Sub -task 4.1 Design Assistance and Early Agency Coordination
Sub-task4.2 Section 106 Consultation
Sub -task 4.3 Biological Assessment
Sub -07) 4.4 Environmental Justice Survey
Sub -task 4.5 Hazardous Materials Memo
Sub -task 4.6 NEPA Documentation and Approval
Sub -task 4.7 SEPA Documentation and Approval
TASK S -MEDIAN PLACEMEN0C0N4EPT DWEIOPMENTAND EVALUATION
Sub -task 5.1 Median Placement Concept Development and Evaluation
TASK 6- RIOHTOF WAY SERI/ICES
TASK 7 NTILITYCOURDINACION
5ubtask 7.1 - Utility Coordination
5ubtask 7.2 - Utility Meetings
TASKS- DESHION
Sub -task 9.1 - 3011 Plan Preparation
Sub -task 9.2 - 60% Submittal
Sub -task 9.3 - 9011 Submittal
Sub -task 9.4 - Final Submittal
TASKS -CONSTRUCTION SERVICES
Sub -task 9.1 Bidding and Award Assistance
Copies
Travel
e&01,1.8%
TOTAL HOURS
HOURLY RATES
TOTAL DOLLARS
EXHIBIT B-2
HPI Deslgn 0mup ' 1C
.: {Enginro Ing/M nagement}
SUBCoNSULTANTS
BUDOET
AMOUNT
HW
rra11
rowxyumnwn
SUB
7OTAE
BNG-Pmtpl
2N0-Mngr 7,
ENG -NAV
ENfi-III
UNG -II
ENGI
TECH-,
'010111
ADMIN
Expense
TOTAL
ISUelsnn
Han Crowser
UFS
WWenet
748,
4.00
9.00
24.00
1.00
5,140 00
0.00
$5,140.00
2.00
6.00
20.00
20.00
9.00
6,609 00
0.00
$6,609.00
at1551S,Obi.
6.00
19.00
32.00
9.00
7,176 00
0.00
$7,176.00
0.00
9,359 00
9,359.0[
$9,359.00
$2,111 1)
4.00
16.00
2,144 00
0.00
$2,144.00
828,510A0i.
2.00
9.00
1,344 00
1,210 00
1,210.0[
$2,554.00
0.00
9,736 00
9,736 OC
$9,736.00
0.00
936.00
936.0[
$936.00
0.00
7,496 00
7,496.0[
$7,496.00
0.00
2,726 00
2,726 OC
$2,726.00
0.00
3,00000
3,0000[
$3,00000
200
9.00
1,07200
0.00
$1,07200
10.00
20.00
4,090 00
9,99700
9,997 OC
$13,977.00
0.00
0.00
$0.00
fi20,978,04,.
0.00
16,672.00
16,672.0C
$16,672.00
0.04
DAD
$DAO,:
2.00
9.00
9.00
2,15200
0.00
$2,15200
2.00
9.00
9.00
2,15200
0.00
$2,15200
0.00
0.00
$0.00
125,7WA01
9.00
20.00
20.00
70.00
190.00
10.00
30,930 00
0.00
$30,930.00
6.00
16.00
30.00
70.00
190.00
10.00
32,074 00
0.00
$32,074.00
6.00
10.00
22.00
70.00
190.00
10.00
30,154 00
0.00
$30,154.00
6.00
10.00
36.00
70.00
199.00
10.00
32,706 00
0.00
$32,706.00
$DOD:,:
0.00
0.00
$0.00
50000
500.00
$500.00
150000
1500.00
25000
250 OC
$1,750.00
1,066 90
1,066 90
$1,066.90
32.00
: 9200
220.11
400
37240
0OO
774.00
4000
1.00
$ 3,066.90
$ 160,698.90
$ 9,897.00
$ 8,359.00
$ 16,672.00
$ 24344.00
$ 59,272.00
$219,970.90
ago
144.00
A320o
OD
0
8800
$ 6,080.00
$ 13,248.00
$ 29,040.00
$ -
$ 37,572.00
$ -
$ 68,112.00
$ 3,520.00
$ 60.00
Exhibit C
Electronic Exchange of Engineering and Other Data
In this Exhibit the agency, as applicable, is to provide a description of the format and standards the
consultant is to use in preparing electronic files for transmission to the agency. The format and standards to
be provided may include, but are not limited to, the following:
I. Surveying, Roadway Design & Plans Preparation Section
A. Survey Data
AutoCadd TTploadahle File (_atif)
Digital Terrain Model (DTM) TandXMT,
B. Roadway Design Files
Civillf
C. Computer Aided Drafting Files
Antnrariri
D. Specify the Agency's Right to Review Product with the Consultant
E. Specify the Electronic Deliverables to Be Provided to the Agency
See scope of work for deliverables
F. Specify What Agency Furnished Services and Information Is to Be Provided
See scope of work for agincy provided materials
II. Any Other Electronic Files to Be Provided
DOT Form 140-089 EF Exhibit C
Revised 10/2013
III. Methods to Electronically Exchange Data
A. Agency Software Suite
B. Electronic Messaging System
C. File Transfers Format
DOT Form 140-089 EF Exhibit C
Revised 10/2013
Exhibit D-3
Payment (Negotiated Hourly Rate)
The CONSULTANT shall be paid by the AGENCY for completed work and services rendered under this
AGREEMENT as provided hereinafter. Such payment shall be full compensation for work performed or
services rendered and for all labor, materials, supplies, equipment, and incidentals necessary to complete the
work. The CONSULTANT shall conform to all applicable portions of 48 CFR Part 31.
1. Hourly Rates: The CONSULTANT shall be paid by the AGENCY for work done, based upon the
negotiated hourly rates shown in Exhibit "E" and "F" attached hereto and by this reference made
part of this AGREEMENT. The rates listed shall be applicable for the first twelve (12) month
period and shall be subject to negotiation for the following twelve (12) month period upon request
of the CONSULTANT or the AGENCY. If negotiations are not conducted for the second or
subsequent twelve (12) month periods within ninety (90) days after completion of the previous
period, the rates listed in this AGREEMENT, or subsequent written authorization(s) from the
AGENCY shall be utilized. The rates are inclusive of direct salaries, payroll additives, overhead,
and fee. The CONSULTANT shall maintain support data to verify the hours billed on the
AGREEMENT.
2. Direct Non -Salary Costs: Direct Non -Salary Costs will be reimbursed at the Actual Cost to the
CONSULTANT. These charges may include, but are not limited to, the following items: travel,
printing, long distance telephone, supplies, computer charges and sub -consultant costs.
a.
Air or train travel will be reimbursed only to economy class levels unless
otherwise approved by the AGENCY. The CONSULTANT shall comply with
the rules and regulations regarding travel costs (excluding air, train, and rental
car costs) in accordance with the AGENCY'S Travel Rules and Procedures.
However, air, train, and rental car costs shall be reimbursed in accordance with
48 CFR Part 31.205-46 "Travel Costs."
b. The billing for Direct Non -Salary Costs shall include an itemized listing of
the charges directly identifiable with the PROJECT.
c.
The CONSULTANT shall maintain the original supporting documents in their
office. Copies of the original supporting documents shall be supplied to the
AGENCY upon request.
d. All above charges must be necessary for the services provided under this
AGREEMENT.
3. Management Reserve Fund: The AGENCY may desire to establish a Management Reserve Fund to
provide the Agreement Administrator with the flexibility to authorize additional funds to the
AGREEMENT for allowable unforeseen costs, or reimbursing the CONSULTANT for additional
work beyond that already defined in this AGREEMENT. Such authorization(s) shall be in writing
and shall not exceed the lesser of $100,000 or 10% of the Total Amount Authorized as shown in the
heading of this AGREEMENT. The amount included for the Management Reserve Fund is shown
in the heading of this AGREEMENT. This fund may not be replenished. Any changes requiring
additional costs in excess of the Management Reserve Fund shall be made in accordance with
Section XIV, "Extra Work."
DOT Form 140-089 EF Exhibit D-3
Revised 3/09
4. Maximum Total Amount Payable: The Maximum Total Amount Payable by the AGENCY to the
CONSULTANT under this AGREEMENT shall not exceed the amount shown in the heading of
this AGREEMENT. The Maximum Total Amount Payable is comprised of the Total Amount
Authorized, and the Management Reserve Fund. The Maximum Total Amount Payable does not
include payment for Extra Work as stipulated in Section XIV, `Extra Work." No minimum
amount payable is guaranteed under this AGREEMENT.
5. Monthly Progress Payments: Progress payments may be claimed on a monthly basis for all costs
authorized in 1 and 2 above. The monthly billing shall be supported by detailed statements for
hours expended at the rates established in Exhibit "E", including names and classifications of all
employees, and billings for all direct non -salary expenses. To provide a means of verifying the
billed salary costs for the CONSULTANT'S employees, the AGENCY may conduct employee
interviews. These interviews may consist of recording the names, titles, salary rates, and present
duties of those employees performing work on the PROJECT at the time of the interview.
6. Final Payment: Final Payment of any balance due the CONSULTANT of the gross amount earned
will be made promptly upon its verification by the AGENCY after the completion of the work
under this AGREEMENT, contingent upon receipt of all PS&E, plans, maps, notes, reports,
electronic data and other related documents which are required to be furnished under this
AGREEMENT. Acceptance of such Final Payment by the CONSULTANT shall constitute a
release of all claims for payment, which the CONSULTANT may have against the AGENCY
unless such claims are specifically reserved in writing and transmitted to the AGENCY by the
CONSULTANT prior to its acceptance. Said Final Payment shall not, however, be a bar to any
claims that the AGENCY may have against the CONSULTANT or to any remedies the AGENCY
may pursue with respect to such claims.
The payment of any billing will not constitute agreement as to the appropriateness of any item
and at the time of final audit, all required adjustments will be made and reflected in a final
payment. In the event that such final audit reveals an overpayment to the CONSULTANT, the
CONSULTANT will refund such overpayment to the AGENCY within thirty (30) days of notice
of the overpayment. Such refund shall not constitute a waiver by the CONSULTANT for any
claims relating to the validity of a finding by the AGENCY of overpayment. The CONSULTANT
has twenty (20) days after receipt of the final POST AUDIT to begin the appeal process to the
AGENCY for audit findings.
7. Inspection of Cost Records: The CONSULTANT and their sub -consultants shall keep available for
inspection by representatives of the AGENCY, STATE and the United States, for a period of three
(3) years after receipt of final payment, the cost records and accounts pertaining to this
AGREEMENT and all items related to or bearing upon these records with the following
exception: if any litigation, claim or audit arising out of, in connection with, or related to this
contract is initiated before the expiration of the three (3) year period, the cost records and accounts
shall be retained until such litigation, claim, or audit involving the records is completed.
Exhibit D-4
Payment (Provisional Hourly Rate)
The CONSULTANT shall be paid by the AGENCY for completed work and services rendered under this
AGREEMENT as provided hereinafter. Such payment shall be full compensation for work performed or
services rendered and for all labor, materials, supplies, equipment, and incidentals necessary to complete the
work. The CONSULTANT shall conform to all applicable portions of 48 CFR Part 31.
1. Hourly Rates: The CONSULTANT shall be paid by the AGENCY for work done based upon the
provisional hourly rates shown in Exhibit "E" and "F" attached hereto and by this reference
made part of this AGREEMENT. The actual hourly rates will be determined by an audit of the
CONSULTANT'S last completed fiscal year and/or their current projected fiscal year. The
provisional and/or audited rates listed shall be applicable for the first twelve (12) month period
and shall be subject to negotiation for the following twelve (12) month period upon request of
the CONSULTANT or the AGENCY. If negotiations are not conducted for the second or
subsequent twelve (12) month periods within ninety (90) days after completion of the previous
period, the rates listed in this AGREEMENT, or subsequent written authorization(s) from the
AGENCY shall be utilized. The rates are inclusive of direct salaries, payroll additives, overhead,
and fee. The CONSULTANT shall maintain support data to verify the hours billed on the
AGREEMENT.
In the event re -negotiation of the hourly rates is conducted, the AGENCY reserves the right to
audit for any change in the overhead rate currently in use by the CONSULTANT and modify the
hourly rates to be paid to the CONSULTANT subsequent to the re -negotiation accordingly. Any
changes in the CONSULTANT'S fixed hourly rates may include salary or overhead adjustments.
2. Direct Non -Salary Costs: Direct Non -Salary Costs will be reimbursed at the Actual Cost to the
CONSULTANT. These charges may include, but are not limited to, the following items: travel,
printing, long distance telephone, supplies, computer charges and sub -consultant costs.
a. Air or train travel will be reimbursed only to economy class levels unless
otherwise approved by the AGENCY. The CONSULTANT shall comply with
the rules and regulations regarding travel costs (excluding air, train, and rental
car costs) in accordance with the AGENCY'S Travel Rules and Procedures.
However, air, train, and rental car costs shall be reimbursed in accordance with
48 CFR Part 31.205-46 "Travel Costs."
b. The billing for Direct Non -Salary Costs shall include an itemized listing of
the charges directly identifiable with the PROJECT.
c. The CONSULTANT shall maintain the original supporting documents in their
office. Copies of the original supporting documents shall be supplied to the
AGENCY upon request.
DOT Form 140-089 EF Exhibit D-4
Revised 6/08
d. All above charges must be necessary for the services provided under this
AGREEMENT.
3. Management Reserve Fund: The AGENCY may desire to establish a Management Reserve Fund to
provide the Agreement Administrator with the flexibility to authorize additional funds to the
AGREEMENT for allowable unforeseen costs, or reimbursing the CONSULTANT for additional
work beyond that already defined in this AGREEMENT. Such authorization(s) shall be in writing
and shall not exceed the lesser of $100,000 or 10% of the Total Amount Authorized as shown in the
heading of this AGREEMENT. The amount included for the Management Reserve Fund is shown
in the heading of this AGREEMENT. This fund may not be replenished. Any changes requiring
additional costs in excess of the Management Reserve Fund shall be made in accordance with
Section XIV, "Extra Work."4. Maximum Total Amount Payable: The Maximum Total Amount
Payable by the AGENCY to the CONSULTANT under this AGREEMENT shall not exceed the
amount shown in the heading of this AGREEMENT. The Maximum Total Amount Payable is
comprised of the Total Amount Authorized, and the Management Reserve Fund. The Maximum
Total Amount Payable does not include payment for Extra Work as stipulated in Section XIV,
"Extra Work." No minimum amount payable is guaranteed under this AGREEMENT.
4. Monthly Progress Payments: Progress payments may be claimed on a monthly basis for all costs
authorized in 1 and 2 above. The monthly billings shall be supported by detailed statements for
hours expended at the rates established in Exhibit "E" including names and classifications of all
employees, and billings for all direct non -salary expenses. To provide a means of verifying the
billed salary costs for the CONSULTANT'S employees, the AGENCY may conduct employee
interviews. These interviews may consist of recording the names, titles, salary rates, and present
duties of those employees performing work on the PROJECT at the time of the interview.
5. Final Payment: Final Payment of any balance due the CONSULTANT of the gross amount earned
will be made promptly upon its verification by the AGENCY after the completion of the work
under this AGREEMENT, contingent upon receipt of all PS&E, plans, maps, notes, reports,
electronic data and other related documents which are required to be furnished under this
AGREEMENT. Acceptance of such Final Payment by the CONSULTANT shall constitute a
release of all claims for payment, which the CONSULTANT may have against the AGENCY
unless such claims are specifically reserved in writing and transmitted to the AGENCY by the
CONSULTANT prior to its acceptance. Said Final Payment shall not, however, be a bar to any
claims that the AGENCY may have against the CONSULTANT or to any remedies the AGENCY
may pursue with respect to such claims.
The payment of any billing will not constitute agreement as to the appropriateness of any item
and at the time of final audit, all required adjustments will be made and reflected in a final payment.
In the event that such final audit reveals an overpayment to the CONSULTANT, the
CONSULTANT will refund such overpayment to the AGENCY within thirty (30) days of notice of
the overpayment. Such refund shall not constitute a waiver by the CONSULTANT for any claims
relating to the validity of a finding by the AGENCY of overpayment. The CONSULTANT has
twenty (20) days after receipt of the final POST AUDIT to begin the appeal process to the
AGENCY for audit findings.
6. Inspection of Cost Records: The CONSULTANT and their sub -consultants shall keep available
for inspection by representatives of the AGENCY, STATE and the United States, for a period
of three (3) years after receipt of final payment, the cost records and accounts pertaining to
this AGREEMENT and all items related to or bearing upon these records with the following
exception: if any litigation, claim or audit arising out of, in connection with, or related to this
contract is initiated before the expiration of the three (3) year period, the cost records and
accounts shall be retained until such litigation, claim, or audit involving the records is
completed.
Exhibit E-2
Sheet 1 of 2
Consultant Fee Determination - Summary Sheet
(Specific Rates of Pay)
Fee Schedule
HDJ Design Group, PLLC
Personnel Billing Rate
Engineer - Principal $190.00
Engineer - Associate Principal $175.00
Engineer - Manager VI $144.00
Engineer - Project V $132.00
Engineer IV $121.00
Engineer III $110.00
Engineer II $101.00
Engineer I $93.00
Design Technician - IV $112.00
Design Technician - III $108.00
Design Technician - II $100.00
Design Technician - I $88.00
Traffic Engineer - Manager VI $152.00
Traffic Engineer - Project V $126.00
Traffic Technician $115.00
Traffic Counter $68.00
Geotechnical Engineering $144.00
Geohydrologist $144.00
Geophysicist $144.00
Surveyor - Principal $142.00
Surveyor - Manager $133.00
Surveyor - PLS $115.00
Surveyor - LSIT $93.00
Survey Technician - 1 $85.00
Surveyor Assistant $68.00
Crew Chiel - 3 person $189.00
Crew Chief - 2 Person $145.00
Crew Chief - Person W/Robotic Equipment $122.00
Landscape - Manager VI $134.00
Landscape - Project V $118.00
Landscape IV $101.00
Landscape -III $88.00
Landscape II $82.00
Landscape I $77.00
Planning - Manager V $126.00
Planner - Project IV $112.00
Planner - III $94.00
Planner - II $82.00
Planner - I $77.00
Construction - Sr. Manager VI $140.00
Construction - Manager V $126.00
Construction Inspector - III $106.00
Construction Inspector - II $88.00
Construction Inspector - I $76.00
CADD - Manager $115.00
CADD Drafter - III $88.00
CADD Drafter - II $79.00
CADD Drafter - I $68.00
Graphic Specialist $88.00
Administrative $60.00
Direct Non -Salary Expenses Cost+10%
Direct non -salary expenses are identifiable charges for travel, long distance telephone, postage,
drafting supplies not normally kept on hand, printing and binding, film processing, etc.
$165.00 OT
$140.00 OT
$114.00 OT
$110.00 OT
The above hourly rates are based on a WSDOT conditional provisional indirect cost rate and will be applicable until
a new WSDOT audited rate is available and shall be subject to negotiation for the following 12 month period.
HDJ 2014-04-07-Rates-GPJEdits.xlsCostSum
BILLING RATES
Personnel/Class.
Exhibit E-2
Sheet 2 of 2
Consultant Fee Determination -Summary Sheet
(Specific Rates of Pay)
Fee Schedule
HDJ Design Group, PLLC
Rates
Overhead (OH)= 150.00% Profit(P)=
Max Max
Pav Rate" +
OH*PR + P"PR = Billing Rate*
25%
Engineer - Principal $80.00 $120.00 $20.00 $220.00
Engineer - Associate Principal $65.00 $97.50 $16.25 $178.75
Engineer - Manager VI $57.00 $85.50 $14.25 $156.75
Engineer - Project V $48.00 $72.00 $12.00 $132.00
Engineer IV $44.00 $66.00 $11.00 $121.00
Engineer III $40.00 $60.00 $10.00 $110.00
Engineer II $37.00 $55.50 $9.25 $101.75
Engineer I $34.00 $51.00 $8.50 $93.50
Design Technician - IV $43.00 $64.50 $10.75 $118.25
Design Technician - III $40.00 $60.00 $10.00 $110.00
Design Technician - II $37.00 $55.50 $9.25 $101.75
Design Technician - I $32.00 $48.00 $8.00 $88.00
Traffic Engineer - Manager VI $57.00 $85.50 $14.25 $156.75
Traffic Engineer - Project V $46.00 $69.00 $11.50 $126.50
Traffic Technician $42.00 $63.00 $10.50 $115.50
Traffic Counter $25.00 $37.50 $6.25 $68.75
Geotechnical Engineering $57.00 $85.50 $14.25 $156.75
Geohydrologist $57.00 $85.50 $14.25 $156.75
Geophysicist $57.00 $85.50 $14.25 $156.75
Surveyor - Principal $65.00 $97.50 $16.25 $178.75
Surveyor- Manager $55.00 $82.50 $13.75 $151.25
Surveyor - PLS $42.00 $63.00 $10.50 $115.50
Surveyor - LSIT $34.00 $51.00 $8.50 $93.50
Survey Technician - 1 $31.00 $46.50 $7.75 $85.25
Surveyor Assistant $25.00 $37.50 $6.25 $68.75
Crew Chiel - 3 person $69.00 $103.50 $17.25 $189.75
Crew Chief - 2 Person $53.00 $79.50 $13.25 $145.75
Crew Chief - Person W/Robotic Equipment $47.00 $70.50 $11.75 $129.25
Landscape - Manager VI $49.00 $73.50 $12.25 $134.75
Landscape - Project V $43.00 $64.50 $10.75 $118.25
Landscape IV $37.00 $55.50 $9.25 $101.75
Landscape -III $32.00 $48.00 $8.00 $88.00
Landscape II $30.00 $45.00 $7.50 $82.50
Landscape I $28.00 $42.00 $7.00 $77.00
Planning - Manager V $46.00 $69.00 $11.50 $126.50
Planner- Project IV $41.00 $61.50 $10.25 $112.75
Planner - III $35.00 $52.50 $8.75 $96.25
Planner - II $30.00 $45.00 $7.50 $82.50
Planner - I $28.00 $42.00 $7.00 $77.00
Construction - Sr. Manager VI $51.00 $76.50 $12.75 $140.25
Construction - Manager V $46.00 $69.00 $11.50 $126.50
Construction Inspector - III $40.00 $60.00 $10.00 $110.00
Construction Inspector - II $33.00 $49.50 $8.25 $90.75
Construction Inspector - I $28.00 $42.00 $7.00 $77.00
CADD - Manager $42.00 $63.00 $10.50 $115.50
CADD Drafter - III $34.00 $51.00 $8.50 $93.50
CADD Drafter - II $29.00 $43.50 $7.25 $79.75
CADD Drafter - I $25.00 $37.50 $6.25 $68.75
Graphic Specialist $32.00 $48.00 $8.00 $88.00
Administrative $23.00 $34.50 $5.75 $63.25
0 $0.00 $0.00 $0.00
*Max pay rate and billing rates shown. Agency will be invoiced at rates shown on sheet 1 of 2.
HDJ 2014-04-07-Rates-GPJEdits.xlsRate-Travel
Exhibit F
Breakdown of Overhead Cost
Hash, Kenneth F.
From: Kelsey, Stacie <KelseyS@wsdot.wa.gov>
Sent: Monday, April 07, 2014 9:52 AM
To: Jellison, Gregory P.; Hash, Kenneth F.
Subject: Conditional Rate
Hi Greg,
I have been in contact with Martha Roach regarding the indirect cost rate discussion/review. I am hopeful we can
establish something mutually acceptable — so we can move this engagement forward. Here is what I have in mind:
I am offering a conditional provisional indirect cost rate of 150%, and fixed fee of 25%, with the understanding that your
office will complete a desk review through WSDOT's Internal Audit Office prior to June 30, 2014.
Upon successful completion of a desk review you will be able to renegotiate to implement the new approve indirect cost
rate. The new indirect cost rate would be applied from the point of approval forward, on current and future contracts.
We hope this offer enables everyone to move forward in a mutually beneficial way, quickly! Please feel free to contact
me with any questions or concerns.
Best Regards,
Stacie Kelsey
Stacie Kelsey
ocai Programs
tmacf,amts & Procedures s f agiru ear
11/7orUjay 1hursday 6:00 3:30 &
Friday 6:00 _ 7000
(36) /0 2'383 of l ice
(360) 239 5362 cod
"Motivation is what gets you started
Habit is what keep you going."
1
Exhibit G
Subcontracted Work
The AGENCY permits subcontracts for the following portions of the work of this AGREEMENT:
Geotechnical exploration and pavement desi•
Fnvironmental permitting, SFPA and NEPA documentation
Traffic planning and F,ngineering services
Right of way permits and certification
DOT Form 140-089 EF Exhibit G
Revised 6/05
11100
T R A NI S k D R i A T 1 D NI E N G I N EER I N G/ F
Exhibit G-2
Consultant Fee Determination - Summary Sheet
(Specific Rates of Pay)
Fee Schedule
Job Title
Hourly
Rate*
Overhead @
211.76%
Profit @
25%
Billing Rate
Per Hour
Senior Principal
$ 63.89
$ 135.30
$ 15.97
$ 215.16
Julia Kuhn
Principal Engineer / Planner
$ 59.56
$ 126.12
$ 14.89
$ 200.57
Associate Engineer / Planner
$ 45.04
$ 95.38
$ 11.26
$ 151.68
Matt Hughart
Senior Engineer / Planner
$ 39.55
$ 83.76
$ 9.89
$ 133.20
Engineer/Planner
$ 34.26
$ 72.56
$ 8.57
$ 115.39
Transportation Analyst
$ 30.23
$ 64.02
$ 7.56
$ 101.81
Associate Technician
$ 39.24
$ 83.09
$ 9.81
$ 132.14
Senior Technician
$ 35.85
$ 75.93
$ 8.96
$ 120.74
Technician II
$ 29.49
$ 62.46
$ 7.37
$ 99.32
Technician I
$ 20.73
$ 43.89
$ 5.18
$ 69.80
Office Support
$ 9.79
$ 20.72
$ 2.45
$ 32.95
* Above rates are actual wage rates for key personnel and average billing rates for classifications without
key personnel specifically identified. All classifications include a 3% escalation as roles & responsibility
pay increases will occur July 1, 2014.
EXHIBIT G-2
SUBCONSULTANT FEE DETERMINATION - SUMMARY SHEET
(Specific Rates of Pay)
Fee Schedule
Project: North 1st Street
Subconsultant: Hart Crowser
Task: Geotechnical Investigation
Job Title
Hourly Rate
Overhead @
203.19%
Profit @
30.00%
Rate per
Hour
Senior Principal
$77.99
$158.47
$23.40
$ 259.85
Principal
$70.82
$143.90
$21.25
$ 235.97
Senior Associate
$55.44
$112.65
$16.63
$ 184.72
Associate
$46.26
$94.00
$13.88
$ 154.13
Senior Project
$35.50
$72.13
$10.65
$ 118.28
Project
$31.16
$63.31
$9.35
$ 103.82
Senior Staff
$28.63
$58.17
$8.59
$ 95.39
Staff
$24.43
$49.64
$7.33
$ 81.40
Drafter
$27.16
$55.19
$8.15
$ 90.49
Technician
$22.25
$45.21
$6.68
$ 74.13
Project Assistant
$23.95
$48.66
$7.19
$ 79.80
4/4/2014 Page 1 of 1
Exhibit G-2
Subconsultant Fee Determination - Summary Sheet
(Specific Rates of Pay)
Fee Schedule
DIRECT LABOR COSTS
Classification
(Exam Dies1
Direct Salary Rate
Overhead
Fee
Billing Rate
48.09%
30.00%
Miniumum
I Maximum
Miniumum
Maximum
Minimum
Maximum
Minimum
1 Maximum
Regional Manager
$50.00
$60.00
$24.05
$28.85
$15.00
$18.00
$89.05
$106.85
Project Manager
$40.00
$48.00
$19.24
$23.08
$12.00
$14.40
$71.24
$85.48
Right of Way Agent
$26.00
$32.00
$12.50
$15.39
$7.80
$9.60
$46.30
$56.99
Sr. R/W Agent
$30.00
$38.00
$14.43
$18.27
$9.00
$11.40
$53.43
$67.67
Sr. Title Specialist
$22.00
$28.00
$10.58
$13.47
$6.60
$8.40
$39.18
$49.87
Sr. Admin Assistant
$14.00
$20.00
$6.73
$9.62
$4.20
$6.00
$24.93
$35.62
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
Bill Rates are based on current 2011 rates.
Note:
All travel will be billed per WSDOT Travel Regulations;
All sub -consultant costs and direct reimbursables will be at cost with no mark-ups; and
The max. rates include 5% escalation.
4/4/2014
Chapter 31
Appendix 31.99
Using Consultants
Local Agency Standard Consultant Agreement
Exhibit G-2
Subconsultant Fee Determination
Exhibit G-2
Subconsultant Fee Determination - Summary Sheet
(Specific Rates of Pay)
Fee Schedule
Subconsultant
DGK Inc. DBA Widener & Associates
Discipline or Job Title
Hourly Overhead
Rate @ 110 %
Profit
@a 30 %
Rate
Per Hour
Environmental Project Mngr.
64 70.40
19.20
153.60
Biologist
31 34.10
9.30
74.40
Archaeologist
50
55
15
120.00
DOT 140-089 EF Exhibit E-2
8/07
�) W, i Y) v) v) v) v) v) v) v) v) v) v) v) v) v)
1 D)l))) )) )I1 )1 )Y D)))))N111 )Y D)))))N111 )Y D)))))N111 )Y D)))))N111 )Y D)))))N111 )Y D)))))N111 )Y D)))))N111 )Y D)))))N111 )Y D)))))N111 )Y D)))))N111 )Y D)))))N111 )Y D)))))N111 )Y D)))))N111 )Y D))
m2))„))y)Jy�J)yW„)�l)JJ),W),y�)y)➢N�l))�J„))y),)yyN),l),�J)),W))�)))„)�1)JJ),W),y�)y)➢N�l))�J„))y),)yyN),l),�J)),W))�)))„)�1)JJ),W),y�)y)➢N�l))�J„))y),)yyN),l),�J)),W))�)))„)�1)JJ),W),y�)y)➢N�l))�J„))y),)yyN),l),�J)),W))�)))„)�1)JJ),W),y�)y)➢N�l))�J„))y),
y�,�)).,�Iy,)v),��1,�)1,))I,�i),�)),�I%�ii9,)v),��1,�)1,))I,�i),�)),�I%�ii9,)v),��1,�)1,))I,�i),�)),�I%�ii9,)v),��1,�)1,))I,�i),�)),�I%�ii9,)v),��1,�)1,))I,�l
WSDOT Local Agency Guidelines M 36-63.04
October 2008
Page 31-77
.„„,.
s
001
111,
e
Lynn Peterson
Secretary of Transportation
August 26, 2013
Janette Lennon, Controller
Kittelson & Associates
610 SW Alder St. Suite 700
Portland, OR 97205-3608
Kittelson & Associates, Indirect Cost Rate Schedule
Fiscal Year End December 31, 2012
Dear Ms. Lennon:
Transportation Building
310 Maple Park Avenue S.E.
PO. Box 47300
Olympia, WA 98504-7300
360-705-7000
TTY: 1-800-833-6388
vvvvw.wsdot.wa.gov
We accept the audit work performed by Deemer, Dana & Froehle related to the Indirect Cost Rate
schedule for the above referenced fiscal year for Kittelson & Associates. Our office did not review the
work performed by Deemer, Dana & Froehle.
The schedule was audited by the Deemer, Dana & Froehle for compliance with Part 31 of the Federal
Acquisition Regulations. Deemer, Dana & Froehle accepted an Indirect Cost Rate for the year ended
December 31, 2012, at 211.76% of direct labor.
Based on the work performed by the CPA, we are issuing this letter establishing Kittelson & Associates
Indirect Cost Rate for the fiscal year ending December 31, 2012, at 211.76% (rate includes Facilities
Cost of Capital of 0.21%) of direct labor. Costs billed to actual agreements will still be subject to audit
of actual costs.
Please check with the WSDOT Consultant Services Office (HQ) and/or the WSDOT Area Consultant
Liaison to determine when this reviewed rate will be applicable to your WSDOT agreement(s).
If you, or any representatives of Kittelson & Associates, have any questions, please contact Martha
Roach, Jeri Sivertson, or Steve McKerney at (360) 705-7003.
Sincerely,
-7/7/Caraltix.-
Martha S. Roach
Agreement Compliance Audit Manager
MR:lt
Enclosure
cc: Steve McKerney, Director of Internal Audit
Jeri Sivertson, Assistant Director of Internal Audit
Larry Schofield, MS 47323
File
DEEMER DANA
& FROEHLE LLP
Codified Public Accountants
INDEPENDENT AUDITOR'S REPORT ON THE STATEMENT OF DIRECT LABOR,
FRINGE BENEFITS, AND GENERAL OVERHEAD
Board of Directors
Kittelson & Associates, Inc.
Report on the Statement
We have audited the accompanying Statement of Direct Labor, Fringe Benefits, and General Overhead
(hereinafter referred to as "overhead statement" or "the Statement°) of Kittelson & Associates, Inc. (the
"Company") for the year ended December 31, 2012 and the related notes to the Statement.
Management's Responsibility for the Statement
Management is responsible for the preparation and fair presentation of this Statement in accordance with the
basis of accounting practices prescribed by Part 31 of the Federal Acquisition Regulation ("FAR") and certain
other Federal and State regulations; this Includes the design, Implementation, and maintenance of internal
control relevant to the preparation and fair presentation of a Statement that is free from material misstatement,
whether due to fraud or error.
Auditor's Responsibility
Our responsibility Is to express an opinion on the Statement based on our audit. We conducted our audit in
accordance with auditing standards generally accepted in the United Slates of America and the standards
applicable to financial audits contained in the Government Auditing Standards, issued by the Comptroller
General of the United States of America. Those standards require that we plan and perform the audit to
obtain reasonable assurance about whether the Statement Is free of materiel misstatement.
An audit involves performing procedures to obtain audit evidence about the amounts and disclosures In the
Statement. The procedures selected depend on the auditor's judgment, including the assessment of the risks
of material misstatement of the Statement, whether due to fraud or error. In making those risk assessments,
the auditor considers intemal control relevant to the entity's preparation and falr presentation of the Statement
in order to design audit procedures that are appropriate In the circumstances, but not for the purpose of
expressing an opinion on the effectiveness of the entity's Internal control. Accordingly, we express no such
opinion. An audit also includes evaluating the appropriateness of accounting policies used and the
reasonableness of significant accounting estimates made by management, as well as evaluating the overall
presentation of the Statement.
We believe that the audit evidence we have obtained Is sufficient and appropriate to provide a basis for our
audit opinion,
Opinion
In our opinion, the overhead statement referred to above presents fairly, in all material respects, the direct
labor, fringe benefits, and general overhead of the Company for the year ended December 31, 2012 on the
basis of accounting described in Note 2.
118 Park of Commerce Drive • Savannah, GA 31405 • PO Box 9706 (31412)
TF 877.238.1008 P 912-238-1001 F 912.238.1701
2905 Premiere Parkway, Suite 100 • Duluth, GA 30097
TF 800-852-6075 P 770.498.1400 F 770.498.1419
Kiltelson & Associates, Inc.
Page Two
Basis of Accounting
We draw attention to Note 2 of the Statement, which describes the basis of accounting. The accompanying
overhead statement was prepared on a basis of accounting practices prescribed by Part 31 of the Federal
Acquisition Regulation ("FAR") and certain other Federal and State regulations, which is a basis of accounting
other than accounting principles generally accepted in the United States of America. Our opinion is not
modified with respect to this matter.
Other Matter
In accordance with the Government Auditing Standards, we have also issued our report dated April 26, 2013
on our consideration of the Company's intemal control over financial reporting as It relates to the Statement
and on our tests of its compliance with certain provisions of laws, regulations and contracts, Including
provisions of the applicable sections of Part 31 of the Federal Acquisition Regulation. The purpose of that
report Is to describe the scope of our testing of Internal control over financial reporting and compliance and the
results of that testing, and not to provide an opinion on the Internal control over financial reporting or an
compliance. That report is an integral part of an audit performed In accordance with Government Auditing
Standards and should be considered in assessing the results of our audit.
,S.i0A5t24, ..t.mitie cz'o(i°
Duluth, Georgia
April 26, 2013
Deemer Dana & Froehle LLP, Certified Public Accountants
Description
KITTELSON 6, ASSOCIATES, INC.
STATEMENT OF DIRECT LABOR, FRINGE BENEFITS, AND GENERAL OVERHEAD
December 31, 2012
General Ledger Unallowable
Balance CosIs
FAR
Reference
DIRECT LABOR
FRINGE BENEFITS:
Paid lime off
Payroll taxes
Workers compensation
Retirement plan expense
Bonuses
Employee group Insurance
Tote! Fringe Benellis
GENERAL OVERHEAD:
Indirect labor
Computer expense
Conferences/seminars/training
Depreciation and amortization
General/prolesslonal
liability Insurance
Professional service costs
Professional registrallons/dues/
subscriptions
Taxes and licenses
Office supplies
Payroll processing
Postage/shipping/delivery
PrIntIng/reproduction
Recruitment expense
Leases
Rent/01111os
Repairs and maintenance
Telephone/communicallons
Travel/transportation/lodging
Vehicle expense
Advertising
Relocation
Bad debt expense
Bank service charges
Contributions
Company sponsored activities
Employee welfare
Interest expense
Gins
Meals and entertainment
Officer's life Insurance
Management fee
State income taxes
Total General Overhead
TOTAL INDIRECT COSTS
Facilities Capital Cost of Money
See accompanying notes.
6,477,004 5
5 1,257,392 5
949,687
68,147
1,755,996
881,708
121,810
5,034,740
4,384,726 408,984 (1) 31.205-1
(13) 31.205-6
561,245
93,817
319,013
226,967
525,142 114,010
69,861 9,227
82,932 6,417
107,2.97 13,310
16,629
54,440 2,326
71,307 44,713
14,177 300
24,000
(14) 31.205-27
(1) 31.205-1
(9) 31.205-22
(6) 31.205-15
(1) 31.205-1
(1) 31.205-1
(1) 31.205-1
(1) 31.205-1
1,548,688 10,018 (14) 31.205-27
82,192 -
400,759 -
525,096 70,720 (1) 31.205-1
(10) 31,205-45
80,732 7,766 (1) 31.205-1 72,966
263 263 (1) 31,2,05-1
39,143 •
90,000 90,000 (2) 31.205-3
19,952 187 (2) 31.205-3
58,066 58,086 (3) 31.205-8
68,616 68,616 (5) 31.205-14
54,585 54,505 (4) 31.205-13
67,545 67,545 (8) 31.205-20
(6) 31.205-15
8,100 8,100 (1) 31.205-1
180,537 74,586 (5) 31.205-14 105,951
(1) 31.205-1
(10) 31.205-46
(12) 31,201-2(d)
19,786 19,765 (7) 31.205-19 -
(105,782) - (105,782)
29,536 22,322 (11) 31,205-41 7.214
% of
Audited Direct Labor
6,477.004
5 1,257,392
049,687
68,147
1,755,996
881,708
121,810
5,034,740 77,73%
3,975,742
661,245
93,817
319,013
226,967
411,132
60,634
76,515
93,987
16,629
52,122
26,594
13,877
24,000
1,538,670
82,192
400,759
454,376
39,143
19,765
9,819,395 1,151,867
5 14,854,135 ,151,867
Deemer Dana & Froehle UP, Certified Public Accountants
8,657,528 133.82%
5 13,702,268 211.55%
13.420 0.21%
3
KITTELSON & ASSOCIATES, INC.
DESCRIPTION OF FAR REFERENCES AND OTHER AUDIT ADJUSTMENTS
December 31, 2012
(1) 31.205-1 Public relations and advertising costs are unallowable.
(2) 31.205-3 Bad debts expense and associated legal costs are unallowable.
(3) 31.205-8 Contributions and donations are unallowable.
(4) 31.205-13 Employee morale costs are unallowable.
(5) 31.205-14 Costs of amusement, diversions, social activities, and any directly associated
costs are unallowable.
(6) 31.205-15 Penalties and fines are unallowable.
(7) 31.205-19 Key Man Life insurance premiums are unallowable.
(8) 31.205-20 Interest on borrowings and other financial costs are unallowable.
(9) 31.205-22 Lobbying and political costs are unallowable.
(10) 31.205-46 Travel costs In excess of the Federal Travel Regulations are unallowable.
(11) 31.205-41 State and local taxes paid are allowable.
(12) 31.201-2(d) Expenses not supported by proper documentation are unallowable.
(13) 31.205-6 Compensation In excess of allowable limits is unallowable.
(14) 31.205-27 All expenditures In connection with planning or executing the organization or
reorganization of the corporate structure of a business, Including mergers and
acquisitions, or raising capital are unallowable.
4
Deemei Dana & Froehle LLP, Certified Public Accountants
KITTELSON & ASSOCIATES, INC.
NOTES TO THE STATEMENT OF DIRECT LABOR, FRINGE BENEFITS, AND GENERAL OVERHEAD
December 31, 2012
NOTE 1. DESCRIPTION OF THE COMPANY AND ITS ACCOUNTING POLICIES
Kittelson & Associates, inc. (the "Company") was organized in 1985 under Oregon law and made an election
under Subchapter S of the Internal Revenue Code, wherein all Income and expense items are passed through
to stockholders and reported on their respective individual income tax returns. The Company pays any state
composite tax due and any built In gains tax related to an acquisition. The Company's principal business
activities are transportation planning, engineering, and research services for clients in both the public and
private sector. The Company maintains its accounting records on the accrual basis for financial reporting,
while using the cash method of accounting for Income tax purposes. The audited Statement of Direct Labor,
Fringe Benefits, and General Overhead has been prepared on the accrual basis.
The Company has offices in eight states.
The audited overhead rate Is a unitary rate for all offices and disciplines. Direct project costs are included in
project cost records.
The Company maintains a job -order cost accounting system for the recording and accumulation of costs
incurred under its contracts. If applicable, direct costs incurred in providing services billed to clients on the
basis of a published fee schedule are charged by functional accounts and accumulated as a single project or
grouping to allow segregation of such costs from other direct costs. Each project Is assigned ajob number so
that costs may be segregated and accumulated in the Company's job -order cost accounting system.
The allocation basis for indirect costs is direct labor.
In-house costs such as computers, equipment, and computer software programs are included In the firm's
overhead rate.
The Company has separate expense accounts for sub -consultants and reproduction costs that are project
related.
Other Direct Costs ("ODCs") are consistently charged to projects, regardless of whether the ODCs are billable
under the contracts. ODCs that are charged to projects include but are not limited to sub -consultants, travel,
and postage.
The Company's method of estimating costs for pricing purposes during the proposal process is consistent with
the accumulation and reporting of costs under its job order cost accounting system.
NOTE 2. BASIS OF ACCOUNTING
The Company's statement was prepared on the basis of accounting practices prescribed In Part 31 of the
Federal Acquisition Regulation ("FAR"). Accordingly, the Statement of Direct Labor, Fringe Benefits, and
General Overhead is not intended to present the results of operations of the Company in conformity with
generally accepted accounting principles.
NOTE 3. LABOR RELATED COSTS
The Company distributes labor costs to direct projects for all employee classifications. Overtime premium
costs are included in indirect costs.
The Company did not pay certain salaried employees for time worked in excess of 40 hours per week. The
time In excess of 40 hours Is credited to the Indirect cost pool.
5
Deemer Dana & Froehle LLP, Certified Public Accountants
Certification of Final Indirect Costs
Film Name: Kitte2aan & .Associates, Inc.
Indirect Cost Rate Proposal: 211.55%
Date of Proposal Preparation (mmlddlyyyy): 4/27/2013
Fiscal Period Covered (mm/ddlyyyy to mmiddiyyyy): 1/1/12- 12/31/12
1, the undersigned, certify that 1 have reviewed the proposal to establish final Indirect cost rates
for the fiscal period as specliled above and to the best of my knowledge and bellef.-
1.) All costs Included In this proposal to establish final Indirect cost rates are allowable In
accordance with the cost principles of the Federal Acquisition Regulations (FAR) of title 48,
Code of Federal Regulations (CFR), pail 31.
2.) This proposal does not include any costs which are expressly unallowable under the cost
principles of the FAR of 48 CFR 31.
All known material transactions or events that have occurred affecting the firm's ownership,
organization and Indirect cost rates have been disclosed
Signature:
Name of Certifying Official' (Print): LaVf!93ce A. van Dyke
Title: Chief Financial officer
Date of Certification (mmlddlyyyy): 6/7/13
'The 'Certifying Official" must be an Individual executive or financial officer of the firm at a level
no lower than a Vice President or Chief Financial Officer, or equivalent, who has the authority to
represent the financial information utilized to establish the Indirect cost; rate for use under Agency
contracts.
Ref. FHWA Directive 4470.1A available on tine at:
http : /lwww fhwa dot,q ovAegsregs /direglil es /ordeEgM4701a htm
O/H Certification; Nov 2010
Exhibit G-3
Breakdown of Subconsultants Overhead Cost
Account Title
$ Beginning Total
% of Direct Labor
Direct Labor
Overhead Expenses:
FICA
Unemployment
Health/Accident Insurance
Medical Aid & Industrial Insurance
Holiday/Vacation/Sick Leave„,;,;1'i°00"""
Commission/Bonus/Pension
111111111
Total Fringe Benefits
11,14,
General Overhead:
State B&O Taxes
%
i;"""
��„„VIII
Insurance
Administration & Time Not Assignable „< Vi
Printing, Stationery & Supplies
'„
Professional Services�
Travel Not Assinabl ����,"""'
g e„ 1;l,, f
11
Telephone & Tel Ih NWAssignable
Fees, Dues & Profe ll nal Meetings
Utilities & Maintenance
Professional Development
Rent
Equipment Support
Office, Miscellaneous & Postage
Total General Overhead
Total Overhead (General + Fringe)
Overhead Rate (Total Overhead / Direct Labor)
0'"°"' "
DOT Form 140-089 EF Exhibit G-3 Revised 8/07
Page 22
4111111k
WWashington State
ASTF Department of Transportation
February 10, 2014
TO: Erik Jonson, WSDOT Contracts Administrator
MS 47323
FROM: Martha Roach, Agreement Compliance Audit Manager C\kfir6
Memorandum
SUBJECT: Hart Crowser, Inc. Indirect Cost Rate for fiscal year end June 30, 2013
We accept the audit work performed by T. Wayne Owens & Associates, PC related to
Hart Crowser's Indirect Cost Rate for the above referenced fiscal year. T. Wayne Owens
& Associates audited Hart Crowser's indirect costs for compliance with Federal
Acquisition Regulations (FAR), Subpart 31; our office did not review their audit work.
Based on our acceptance of the CPA's audit, we are issuing this memo establishing 1-Iart
Crowser's Indirect Cost Rate for fiscal year ending June 30, 2013 at 203.19% of direct
labor (rate includes 0.22% Facilities Cost of Capital).
Costs billed to agreements will still be subject to audit of actual costs, based on the terms
and conditions of the respective agreement.
This was not a cognizant review. Any other entity contracting with the firm is
responsible for determining the acceptability of the Indirect Cost Rate.
If you have any questions, feel free to call me at (360) 705-7006 or via email at
roachmaOwsdot.wa. zov
MR:ds
Attachment
cc: Steve McKerney
File
DOT Form 700-008 EF
Revised 5/90
Description
HART CROWSER, INC.
STATEMENT OF DIRECT LABOR, FRINGE BENEFITS, AND GENERAL OVERHEAD
FOR THE YEAR ENDED JUNE 30, 2013
% of
Pinoncia|Strnt Unallowable Direct
Expense Costs FAR Ref Total Proposed Labor
Direct Labor
INDIRECT COSTS
Fringe Benefits:
Vacation, sick, holiday
Incentive Compensation
Retirement plan contributions
Employee group insurance
Payroll taxes
Worker's compensation
Other employeo benefits
915,556
678,166
274,334
839,554
646,731
27,838
20,410
(14,811)
Total Fringe Benefits $ 3,402,589
(1)
915,556
678,166
274,334
839,554
631,920
27,838
20,410
(14.811) 3,387'778 80.51%
General Overhead:
Indirect labor $ 1.641.058 $ (3,250) (2) $ 1.637.808
Bad debt 50,000 (50000) (16) -
Bank Charges and Processing Fees 6.810 6.816
Bids and proposals 1.513.817 (288,218) (3)(4)(5)(6)(7)(8)(9) 1.225.598
Accounting Fees 17.896 17.896
Advertising 10\464 (10.464) (3)(4)
Automobile expense 100.053 (787) (10) 99,276
Contributions 3.040 (2.040) (6)
Depreciation and amortizatjon 301.162 (45.000) (11) 256,162
Dues and professional Iicenses 33.874 (6.629) (5)(8)(12) 27.245
Entertainment/employee morale 63,322 (42,280) (5)(7) 21,042
Fines and penalities 39 (39) (17) -
Insurance 132.946 182.946
Interest 14.980 (14.980) (13) '
Leased equipment 13,023 - 13.023
Meals expense 70.070 (17,851) (3)(5)(9)(14) 52,219
Office supplies and postage 110.870 110.870
Professional services 99.717 99.717
Recruitment expense 47.555 (23) (4) 47.532
Rent 914.488 (11) (13) 914.477
Repairs and maintenance 39.453 39.455
Seminars and professional education 100.429 (1.682) (3)(9) 98,797
Supplies 05.070 65.070
Taxes and licenses 809.110 (418.188) (12)(15) 390.922
Telecommunications 241,954 - 241.954
Travel 76,813 (19.239) (3)(4) 57,574
Recovery accounts (403,463) - (403,463)
Total General Overhoad $ 6,074.566 $ (921.631) $ 5.152.935 122.46%
Total Indirect Costs $ 9,477,155 . . � (936442) $ 8,540,713 . 202.87%
Facilities Capital Cost mfMoney (FCCM) $ 9,462 0.22%
See accompanying independent auditors' report and notes.
3
HART CROWSER, INC.
DESCRIPTION OF FAR REFERENCES AND AUDIT ADJUSTMENTS
FOR THE YEAR ENDED JUNE 30, 2013
(1) 31.201-6 (a) Accounting for unallowable costs - When an unallowable cost is incurred, its directly associated costs are also
unallowable.
(2) 31.205-6(m)(2) - Compensation for Personal Services - The portion of the cost of a company -furnished automobile that
related to personal use is unallowable.
(3) 31.205-1 (f) Public relations and advertising costs - Public relations and advertising costs designed to call favorable attention
to the contractor and its activities is unallowable.
(4) 31.205-46 (a) 2 Travel costs — Costs that exceed, on a daily basis, the maximum per diem rates in effect at the time of travel
as set forth in the Federal Travel Regulations are unallowable.
(5) 31.205-14 - Entertainment costs - Costs of amusement, diversions, social activities, and any directly associated costs such
as tickets to shows or sports events, meals, lodging, rentals, transportation, and gratuities are unallowable.
(6) 31.205-8 Contributions or donations - Contributions or donations, including cash, property and services, regardless of
recipient, are unallowable.
(7) 31.205-13 (b) Employee morale, health, welfare, food service, and dormitory costs and credits - Costs of gifts are
unallowable.
(8) 31.205-22 (a) (1) Lobbying and political activity costs - Costs associated with attempts to influence the outcomes of any
Federal, State, or local election, referendum, initiative, or similar procedure, through in kind or cash contributions,
endorsements, publicity, or similar activities are unallowable.
(9) 31.201-2(d) Determining allowability - Costs not supported with documentation are unallowable.
(10) 31.202 (a) Direct costs - Direct costs of the contract shall be charged directly to the contract. All costs specifically
identified with other final cost objecti\es of the contractor are direct costs of those cost objectives and are not to be charged
to the contract directly or indirectly.
(11) 31.205-49 Goodwill - Any costs for amortization, expensing, write-off, or write down of goodwill (however represented) are
unallowable.
(12) 31.201-2 (d) - Determining allowability - Accounting for costs for another period are unallowable.
(13) 31.205-20 - Interest and other financial costs - Interest on borrowings (howel,er represented) are unallowable.
(14) 31.205-51 Costs of alcoholic beverages - Costs of alcoholic beverages are unallowable.
(15) 31.205-41 (b) (1) Taxes - Federal income and excess profits taxes are unallowable.
(16) 31.205-3 Bad debts - Bad debts, including actual or estimated losses arising from uncollectible accounts receivable due
from customers and other claims, and any directly associated costs such as collection costs, and legal costs are
unallowable.
(17) 31.205-15 Fine, penalties, and mischarging costs - Costs of fines and penalties are unallowable.
4
APR. 4. 2014 5:OOPM UNIVERSAL FIELD SVCS NO. 4068
Universal Field Services, Inc,
Statement of Direct Labor, Fringe Benefits and General Overhead
For the Year Ended October 31, 2013
Total
Costs
Direct
Disallowed
Costs
Allowable % of
Costs Direct Labor
Direct Labor
Fristge Benefits
Paid time off
Payroll taxes
Insurance
401(k) matching contributions
Bonuses
Total fringe benefits
General Overhead
Indirect labor
Advertising and public relations
Automotive expenses
Conferences and meetings
Contributions
Depreciation
Dues and subscriptions
Meals and entertainment
Insurance
Interest
Licenses and Certifications
Mileage
Printing and reproduction expense
Professional fees
Rental expense
Repairs and maintenance
Shipping and postage
Subcontractors
Supplies and miscellaneous
Faxes
Telephone
Air travel
Other travel
Tuition, and professional education
Utilities
Total general overhead
Total indirect cost
$ 26,562,984 $
$ 26,562,984
$ 1,999,918 $
2,973,674
1,867,777
170,909
513,124
$ $ 1,999,918
2,973,674
20,696 (1) 1,847,081
170,909
513,124
7,525,402
20,696 7,504,706
2,932,232
38,647
53,808
39,874
15,866
127,558
20,361
2,716,044
125,589
5,702
27,794
3,345,766
141,765
908,536
1,610,631
129,132
194,928
2,441,525
769,356
239,261
219,591
96,261
7,151,386
28,802
405,384
27,504
1,451
2,618,974
1,895
9,269
3,268,072
139,759
221,346
1,127,555
39,438
150,058
2,441,525
522,785
57,246
124,166
36,079
7,036,763
135
259,556
48,673 (2) 2,883,559
38,647 (3) -
26,304
38,423
15,866 (4) -
9,648 (5) 117,910
1,113 (6) 19,248
97,070 (7) -
- 123,694
5,702 (8) -
18,525
77,694
- 2,006
687,190
88,574 (9) 394,502
89,694
44,870
246,571
107,163 (10) 74,852
- 95,425
60,182
19,719 (11) 94,904
28,667
145,828
23,785,799
S 31.311.201
18,083,576 432,175
18,083,576 $ 452,871 $ 12,774,754 48.09%
5,270,048
' The accompanying notes are an integral part of this financial statement.
sha
p
et
te
Tra s
Lynn Peterson
Secretary of Transportation
February 27, 2014
Jeanette Widener, President
DGK Inc.
10108 32nd Avenue W, Suite D
Everett, WA 98204-1302
Transportation Building
310 Maple Park Avenue S.E.
P.O. Box 47300
Olympia, WA 98504-7300
360-705-7000
ITV: 1-800-833-638E3
wwwAvsdot.vva.gov
Re: DGK (dba Widener & Associates) Safe Harbor Indirect Cost Rate
Dear Ms. Widener:
Washington State is one of ten states who have received approval from Federal Highway
Headquarters to participate in the Test and Evaluation Program (TE -045) for use of a "safe
harbor" indirect cost rate on engineering and design related service contracts, as well as for
Local Public Agency projects.
We have completed our risk assessment for DGK. Our assessment was conducted based on the
documentation provided by the firm. The reviewed data included, but was not limited to, a
description of the company, basis of accounting, accounting system and the basis of indirect
costs. Based on our review, your firm is eligible to use the Safe Harbor rate for the City of
Bellingham West Horton Road Project.
We are issuing the Safe Harbor Indirect Cost Rate of 110% of direct labor for DGK. The Safe
Harbor rate is effective on February 27, 2014.
DGK has agreed to improve Internal Controls and timekeeping processes in order to be able to
develop an Indirect Cost Rate Schedule in future accordance to Federal cost principles (48 CFR
FAR). The WSDOT Internal Audit Office has provided guidance and information related to
FARs and the AASHTO Audit Guide.
The Safe Harbor Rate will not be subject to audit. Please coordinate with WSDOT Consultant
Services (CSO) or your WSDOT Local Programs Manager if you have questions about when to
apply the Safe Harbor rate to your agreement.
Page 2
DGK
February 27, 2014
If you or any representatives of DGK have any questions, please contact Martha Roach, Jeri
Sivertson, or Steve McKerney at (360)705-7003.
Sincerely,
Martha S. Roach
Agreement Compliance Audit Manager
cc: Steve McKerney, Director of Internal Audit
Jeri Sivertson, Assistant Director of Internal Audit
Larry Schofield, MS 47323
File
CERTIFICATION OF FINAL INDIRECT COSTS FOR A SAFE 1-IARBOR INDIRECT COST RATE
Firm Natne:
Project Number/Name:
c.tS
119r -(9-1 g.a,r
45StZ.
1, the undersigned, certift that/ have reviewed the proposal to establish the Safe Harbor rate.
The firm is electing to use the SAFE; HARBOR INDIRECT COST RATE of 110%. To the best of my
knowledge and belief
a) The firm has not had a FAR compliant indirect cost rate previously accepted by any other state
agency.
h) The firin will provide reports as required by the SAFE HARBOR RATE program 017 their
progress toward contpliance with the cost principles of the Federal Acquisition Regulations
(FAI?) of title 48, Code of Federal Regulations (CFR), part 31.
All known material transactions or events that have occurred qllecling ihfir,ii': ownership. organi:ation
and prior & currenl indirect cost rates have been disclosed
Thefirm agrees to follow the 'Path to Compliance". Steps noted below:
The Pathway must include:
• A timekeeping system which includes the internal Controls described in chapter 6 qf AASIITO
• An accounting .system which separates indirect costs and direct costs
• An accounting system which separates allowable and unallowable cost
• A compliantjob cost system which is general ledger driven
• Trainingfor accounting personae/ and key management on Pai 31 of the Federal Acquisition Regulations,
Contract Cost Principles and Procedures
• A strong written internal control polity with a policy and procedures manual
*Signature: C._\
*Name ofCertiffing Official (Print):
*Title:
i-tH ci.14> 1Git
er_e_ / tO 6t -Ai
Date of Certification (min/cId/yyyy): 0 a
*Note: This form is to be cotnpleted by an individual executive or financial officer of the consultant at a
level no lower than a Vice President or Chief Financial Officer, or equivalent, who has the authority to
represent the financial information utilized to establish the indirect cost rate proposal submitted in
conjunction with the agreement.
Exhibit H
Title VI Assurances
During the performance of this AGREEMENT, the CONSULTANT, for itself, its assignees, and successors in
interest agrees as follows:
1. Compliance with Regulations: The CONSULTANT shall comply with the Regulations relative to non-
discrimination in federally assisted programs of the AGENCY, Title 49, Code of Federal Regulations, Part
21, as they may be amended from time to time (hereinafter referred to as the "REGULATIONS"), which
are herein incorporated by reference and made apart of this AGREEMENT.
2. Non-discrimination: The CONSULTANT, with regard to the work performed during the
AGREEMENT, shall not discriminate on the grounds of race, color, sex, or national origin in the selection
and retention of sub -consultants, including procurement of materials and leases of equipment. The
CONSULTANT shall not participate either directly or indirectly in the discrimination prohibited by
Section 21.5 of the REGULATIONS, including employment practices when the AGREEMENT covers a
program set forth in Appendix B of the REGULATIONS.
3. Solicitations for Sub -consultants, Including Procurement of Materials and Equipment: In all solicitations
either by competitive bidding or negotiations made by the CONSULTANT for work to be performed
under a sub -contract, including procurement of materials or leases of equipment, each potential sub -
consultant or supplier shall be notified by the CONSULTANT of the CONSULTANT'S obligations under
this AGREEMENT and the REGULATIONS relative to non-discrimination on the grounds of race, color,
sex, or national origin.
4. Information and Reports: The CONSULTANT shall provide all information and reports required by the
REGULATIONS or directives issued pursuant thereto, and shall permit access to its books, records,
accounts, other sources of information, and its facilities as may be determined by AGENCY, STATE or
the Federal Highway Administration (FHWA) to be pertinent to ascertain compliance with such
REGULATIONS, orders and instructions. Where any information required of a CONSULTANT is in the
exclusive possession of another who fails or refuses to furnish this information, the CONSULTANT shall
so certify to the AGENCY, STA IL or the FHWA as appropriate, and shall set forth what efforts it has
made to obtain the information.
5. Sanctions for Non-compliance: In the event of the CONSULTANT'S non-compliance with the non-
discrimination provisions of this AGREEMENT, the AGENCY shall impose such AGREEMENT
sanctions as it, the STATE or the FHWA may determine to be appropriate, including, but not limited to:
Withholding of payments to the CONSULTANT under the AGREEMENT until the
CONSULTANT complies, and/or;
• Cancellation, termination, or suspension of the AGREEMENT, in whole or in part
DOT Form 140-089 EF Exhibit H
Revised 6/05
6. Incorporation of Provisions: The CONSULTANT shall include the provisions of paragraphs (1) through
(5) in every sub -contract, including procurement of materials and leases of equipment, unless exempt by
the REGULATIONS, or directives issued pursuant thereto. The CONSULTANT shall take such action
with respect to any sub -consultant or procurement as the AGENCY, STATE or FHWA may direct as a
means of enforcing such provisions including sanctions for non-compliance.
Provided, however, that in the event a CONSULTANT becomes involved in, or is threatened with,
litigation with a sub -consultant or supplier as a result of such direction, the CONSULTANT may request
the AGENCY and the STATE enter into such litigation to protect the interests of the AGENCY and the
STATE and, in addition, the CONSULTANT may request the United States enter into such litigation to
protect the interests of the United States.
Exhibit 1
Payment Upon Termination of Agreement
By the Agency Other Than for
Fault of the Consultant
(Refer to Agreement, Section IX)
Lump Sum Contracts
A final payment shall be made to the CONSULTANT which when added to any payments previously made shall
total the same percentage of the Lump Sum Amount as the work completed at the time of termination is to the
total work required for the PROJECT. In addition, the CONSULTANT shall be paid for any authorized extra
work completed.
Cost Plus Fixed Fee Contracts
A final payment shall be made to the CONSULTANT which when added to any payments previously made, shall
total the actual costs plus the same percentage of the fixed fee as the work completed at the time of termination is
to the total work required for the Project. In addition, the CONSULTANT shall be paid for any authorized extra
work completed.
Specific Rates of Pay Contracts
A final payment shall be made to the CONSULTANT for actual hours charged at the time of termination of this
AGREEMENT plus any direct nonsalary costs incurred at the time of termination of this AGREEMENT.
Cost Per Unit of Work Contracts
A final payment shall be made to the CONSULTANT for actual units of work completed at the time of
termination of this AGREEMENT.
DOT Form 140-089 EF Exhibit 1
Revised 6/05
Exhibit J
Alleged Consultant Design Error Procedures
The purpose of this exhibit is to establish a procedure to determine if a consultant's alleged design error is of a
nature that exceeds the accepted standard of care. In addition, it will establish a uniform method for the resolution
and/or cost recovery procedures in those instances where the agency believes it has suffered some material damage
due to the alleged error by the consultant.
Step 1 — Potential Consultant Design Error(s) is Identified by Agency's Project Manager
At the first indication of potential consultant design error(s), the first step in the process is for the Agency's
project manager to notify the Director of Public Works or Agency Engineer regarding the potential
design error(s). For federally funded projects, the Region Highways and Local Programs Engineer
should be informed and involved in these procedures. (Note: The Director of Public Works or Agency
Engineer may appoint an agency staff person other than the project manager, who has not been as
directly involved in the project, to be responsible for the remaining steps in these procedures.)
Step 2 - Project Manager Documents the Alleged Consultant Design Error(s)
After discussion of the alleged design error(s) and the magnitude of the alleged error(s), and with the
Director of Public Works or Agency Engineer's concurrence, the project manager obtains more detailed
documentation than is normally required on the project. Examples include: all decisions and
descriptions of work; photographs, records of labor, materials and equipment.
Step 3 — Contact the Consultant Regarding the Alleged Design Error(s)
If it is determined that there is a need to proceed further, the next step in the process is for the project
manager to contact the consultant regarding the alleged design error(s) and the magnitude of the alleged
error(s). The project manager and other appropriate agency staff should represent the agency and the
consultant should be represented by their project manger and any personnel (including sub -consultants)
deemed appropriate for the alleged design error(s) issue.
Step 4 — Attempt to Resolve Alleged Design Error with Consultant
After the meeting(s) with the consultant have been completed regarding the consultant's alleged design
error(s), there are three possible scenarios:
• It is determined via mutual agreement that there is not a consultant design error(s). If
this is the case, then the process will not proceed beyond this point.
•
DOT Form 140-089 EF Exhibit J
Revised 6/05
It is determined via mutual agreement that a consultant design error(s) occurred. If this
is the case, then the Director of Public Works or Agency Engineer, or their
representatives, negotiate a settlement with the consultant. The settlement would be
paid to the agency or the amount would be reduced from the consultant's agreement
with the agency for the services on the project in which
the design error took place. The agency is to provide H&LP, through the Region
•
Local Programs Engineer, a summary of the settlement for review and to make
adjustments, if any, as to how the settlement affects federal reimbursements. No
further action is required.
There is not a mutual agreement regarding the alleged consultant design error(s). The
consultant may request that the alleged design error(s) issue be forwarded to
the Director of Public Works or Agency Engineer for review. If the Director of
Public Works or Agency Engineer, after review with their legal counsel, is not able
to reach mutual agreement with the consultant, proceed to Step 5.
Step 5 — Forward Documents to Highways and Local Programs
For federally funded projects all available information, including costs, should be forwarded through the
Region Highways and Local Programs Engineer to H&LP for their review and consultation with
the FHWA. H&LP will meet with representatives of the agency and the consultant to review the
alleged design error(s), and attempt to find a resolution to the issue. If necessary, H&LP will
request assistance from the Attorney General's Office for legal interpretation. H&LP will also
identify how the alleged error(s) affects eligibility of project costs for federal reimbursement.
• If mutual agreement is reached, the agency and consultant adjust the scope of work
and costs to reflect the agreed upon resolution. H&LP, in consultation with FHWA,
will identify the amount of federal participation in the agreed upon
resolution of the issue.
• If mutual agreement is not reached, the agency and consultant may seek settlement
by arbitration or by litigation.
Exhibit K
Consultant Claim Procedures
The purpose of this exhibit is to describe a procedure regarding claim(s) on a consultant agreement. The following
procedures should only be utilized on consultant claims greater than $1,000. If the consultant's claim(s) are a total
of $1,000 or less, it would not be cost effective to proceed through the outlined steps. It is suggested that the
Director of Public Works or Agency Engineer negotiate a fair and reasonable price for the consultant's claim(s)
that total $1,000 or less.
This exhibit will outline the procedures to be followed by the consultant and the agency to consider a potential
claim by the consultant.
Step 1 — Consultant Files a Claim with the Agency Project Manager
If the consultant determines that they were requested to perform additional services that were outside of the
agreement's scope of work, they may be entitled to a claim. The first step that must be completed is the
request for consideration of the claim to the Agency's project manager.
The consultant's claim must outline the following:
• Summation of hours by classification for each firm that is included in the claim;
• Any correspondence that directed the consultant to perform the additional work;
• Timeframe of the additional work that was outside of the project scope;
• Summary of direct labor dollars, overhead costs, profit and reimbursable costs associated with
the additional work; and
• Explanation as to why the consultant believes the additional work was outside of the
agreement scope of work.
Step 2 — Review by Agency Personnel Regarding the Consultant's Claim for Additional Compensation
After the consultant has completed step 1, the next step in the process is to forward the request to the
Agency's project manager. The project manager will review the consultant's claim and will met with
the Director of Public Works or Agency Engineer to determine if the Agency agrees with the claim. If
the FHWA is participating in the project's funding, forward a copy of the consultant's claim and the
Agency's recommendation for federal participation in the claim to the WSDOT Highways and Local
Programs through the Region Local Programs Engineer. If the claim is not eligible for federal
participation, payment will need to be from agency funds.
If the Agency project manager, Director of Public Works or Agency Engineer, WSDOT Highways and
Local Programs (if applicable), and FHWA (if applicable) agree with the consultant's claim, send a
request memo, including backup documentation to the consultant to either supplement the agreement,
or create a new agreement for the claim. After the request has been approved, the Agency shall write
the supplement and/or new agreement and pay the consultant the amount of the claim. Inform the
consultant that the final payment for the agreement is subject to audit. No further action in needed
regarding the claim procedures.
DOT Form 140-089 EF Exhibit K
Revised 6/05
If the Agency does not agree with the consultant's claim, proceed to step 3 of the procedures.
Step 3 —Preparation of Support Documentation Regarding Consultant's Claim(s)
If the Agency does not agree with the consultant's claim, the project manager shall prepare a summary
for the Director of Public Works or Agency Engineer that included the following:
• Copy of information supplied by the consultant regarding the claim;
Agency's summation of hours by classification for each firm that should be included in the
claim;
• Any correspondence that directed the consultant to perform the additional work;
• Agency's summary of direct labor dollars, overhead costs, profit and reimbursable costs
associated with the additional work;
• Explanation regarding those areas in which the Agency does/does not agree with the
consultant's claim(s);
• Explanation to describe what has been instituted to preclude future consultant claim(s); and
• Recommendations to resolve the claim.
Step 4 — Director of Public Works or Agency Engineer Reviews Consultant Claim and Agency
Documentation
The Director of Pubic Works or Agency Engineer shall review and administratively approve or
disapprove the claim, or portions thereof, which may include getting Agency Council or
Commission approval (as appropriate to agency dispute resolution procedures). If the project
involves federal participation, obtain concurrence from WSDOT Highways and Local Programs
and FHWA regarding final settlement of the claim. If the claim is not eligible for federal
participation, payment will need to be from agency funds.
Step 5 — Informing Consultant of Decision Regarding the Claim
The Director of Public Works or Agency Engineer shall notify (in writing) the consultant of their final
decision regarding the consultant's claim(s). Include the final dollar amount of the accepted claim
(s) and rationale utilized for the decision.
Step 6 —Preparation of Supplement or New Agreement for the Consultant's Claim(s)
The agency shall write the supplement and/or new agreement and pay the consultant the amount of the
claim. Inform the consultant that the final payment for the agreement is subject to audit.
Exhibit M -1(a)
Certification Of Consultant
I hereby certify that I am Gregory P. Jellison
representative of the firm of HDJ Design Group, PLLC
314 W. 15th Street, Vancouver, WA 98660
firm I here represent has:
Project No.
Local Agency
and duly authorized
whose address is
and that neither I nor the above
(a) Employed or retained for a commission, percentage, brokerage, contingent fee, or other
consideration, any firm or person (other than a bona fide employee working solely for me or the
above CONSULTANT) to solicit or secure the AGREEMENT;
(b) Agreed, as an express or implied condition for obtaining this contract, to employ or retain the
services of any firm or person in connection with carrying out this AGREEMENT; or
(c) Paid, or agreed to pay, to any firm, organization or person (other than a bona fide employee
working solely for me or the above CONSULTANT) any fee, contribution, donation, or
consideration of any kind for, or in connection with, procuring or carrying out this AGREEMENT;
except as hereby expressly stated (if any);
I acknowledge that this certificate is to be available to the Washington State Department of
Transportation and the Federal Highway Administration, U.S. Department of Transportation in
connection with this AGREEMENT involving participation of Federal -aid highway funds, and is
subject to applicable State and Federal laws, both criminal and civil.
Date Signature
DOT Form 140-089 EF Exhibit M -1(a)
Revised 6/05
Exhibit M -1(b)
Certification Of Agency Official
I hereby certify that I am the AGENCY Official of the Local Agency of City of Yakima
Washington, and that the consulting firm or its representative has not been required, directly or indirectly as an
express or implied condition in connection with obtaining or carrying out this AGREEMENT to:
(a) Employ or retain, or agree to employ to retain, any firm or person; or
(b) Pay, or agree to pay, to any firm, person, or organization, any fee, contribution, donation, or
consideration of any kind; except as hereby expressly stated (if any):
I acknowledge that this certificate is to be available to the Washington State Department of
Transportation and the Federal Highway Administration, U.S. Department of Transportation, in
connection with this AGREEMENT involving participation of Federal -aid highway funds, and is
subject to applicable State and Federal laws, both criminal and civil.
Date Signature
DOT Form 140-089 EF Exhibit M -1(b)
Revised 6/05
Exhibit M-2
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters -Primary Covered Transactions
I. The prospective primary participant certifies to the best of its knowledge and belief, that it and its
principals:
A. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any federal department or agency;
B. Have not within a three-year period preceding this proposal been convicted of or had a civil
judgment rendered against them for commission or fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction or
contract under a public transaction; violation of federal or state antitrust statues or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of records, making false
statements, or receiving stolen property;
C. Are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (federal, state, or local) with commission of any of the offenses enumerated in paragraph (I)
(B). of this certification; and
D. Have not within a three (3) year period preceding this application/proposal had one or more
public transactions (federal, state, or local) terminated for cause or default.
II. Where the prospective primary participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
Consultant (Firm): HDJ Design Group, PLLC
(Date) (Signature) President or Authorized Official of Consultant
DOT Form 140-089 EF Exhibit M-2
Revised 6/05
Exhibit M-3
Certification Regarding The Restrictions
of The use of Federal Funds for Lobbying
The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her
knowledge and belief, that:
1.No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or employee of any Federal
agency, a member of Congress, an officer or employee of Congress, or an employee of a member
of Congress in connection with the awarding of any Federal contract, the making of any Federal
grant, the making of any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan,
or cooperative agreement.
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 Federal agency, a member of
Congress, an officer or employee of Congress, or an employee of a member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying," in accordance
with its instructions.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who
fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and
not more than $100,000 for each such failure.
The prospective participant also agrees by submitting his or her bid or proposal that he or she shall
require that the language of this certification be included in all lower tier subcontracts which
exceed $100,000 and that all such subrecipients shall certify and disclose accordingly.
Consultant (Firm): HDJ Design Group, PLLC
(Date) (Signature) President or Authorized Official of Consultant
DOT Form 140-089 EF Exhibit M-3
Revised 6/05
Exhibit M-4
Certificate of Current Cost or Pricing Data
This is to certify that, to the best of my knowledge and belief, the cost or pricing data (as defined in
section 15.401 of the Federal Acquisition Regulation (FAR) and required under FAR subsection 15.403-4)
submitted, either actually or by specific identification in writing, to the contracting officer or to the
contracting officer's representative in support of North 1st Street Revitalization *
are accurate, complete, and current as of * * . This certification includes
the cost or pricing data supporting any advance agreements and forward pricing rate agreements between
the offeror and the Government that are part of the proposal.
Firm HDJ Design Group, PLLC
Name Gregory P. Jellison
Title Member/Principal
Date of Execution***
* Identify the proposal, quotation, request for price adjustment, or other submission involved,
giving the appropriate identifying number (e.g., RFP No.).
* * Insert the day, month, and year when price negotiations were concluded and price agreement
was reached.
* * * Insert the day, month, and year of signing, which should be as close as practicable to the date
when the price negotiations were concluded and the contract price was agreed to.
DOT Form 140-089 EF Exhibit M-4
Revised 6/05