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HomeMy WebLinkAboutHarris & Associates AG-C-413Local Agency Standard Consultant A • reement Consultant/Address /Telephone Harris and Associates 11245 SE 6th Street Suite 210 Bellevue, WA 98004 (425) 453 -0999 0 Architectural /Engineering Agreement ❑ Personal Service Agreement A• reement Number AG -C-413 Project Title And Work Description On -Call Services — Construction Support (Inspection, Administration, Engineering) Federal Aid Number N/A Agreement Type (Choose one) ❑ Lump Sum Lump Sum Amount $ Cost Plus Fixed Fee Overhead Progress Payment Rate % Overhead Cost Method • Actual Cost • Actual Cost Not To Exceed '/o DBE Participation • Yes ►�� No % Federal ID Number or Social Security Number 94- 2385238 UBI 601 - 813 -526 • Fixed Overhead Rate % Fixed Fee $ Do you require a 1099 for IRS? • Yes ►5 No Completion Date 12/31/2012 // Specific Rates Of Pay ►Z� Negotiated Hourly Rate • Provisional Hourly Rate ❑ Cost Per Unit of Work Total Amount Authorized $ 50,000.00 Management Reserve Fund $ 0.00 Maximum Amount Payable $ 50,000.00 Index of Exhibits (Check all that apply): ❑ Exhibit A -I 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 ❑ 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 -]b 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 THIS AGREEMENT, made and entered into this day of Between the Local Agency of 'rn-ve., CAI F )born and the above organization hereinafter called the "CONSULTANT ". DOT Form 140 -089 EF Page 1 of 8 Revised 3/2008 , Washington, hereinafter called the "AGENCY ", 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 apart hereof, the parties hereto agree as follows: I 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. II 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. III 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 oron behalf of the AGENCY of any such instruments of service, not occurring as a part of t is PROJECT, shall \.lie without liability or legal exposure to the CONSULTANT. DOT Form 140 -089 EF Page 2 of 8 Revised 3/2008 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 subcontractor, 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 Highways and 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 DOT Form 140 -089 EF Page 3 of 8 Revised 3/2008 third party as a consequence of any act or omission on the part of the CONSULTANTS 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 RC W 49.60.180 In relation to Title' V1 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 "1" 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 the7CONSULTANTprior 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. DOT Form 140 -089 EF Page 4 of 8 Revised 3/2008 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 fmd 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. DOT Form 140 -089 EF Page 5 of 8 Revised 3/2008 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 and property damage insurance in an aggregate amount not less than two million dollars ($2,000,000) for bodily injury, including death and property damage. The per occurrence amount shall not exceed one million dollars ($1,000,000). 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. DOT Form 140 -089 EF Page 6 of 8 Revised 3/2008 The AGENCY 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', may at any time, by writterrorder, make changes within the general scope of the AGREEMENT in the services to be performed. B. If any such 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 of paragraphs (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. )(VII 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. DOT Form 140 -089 EF Page 7 of 8 Revised 3/2008 In witness whereof, the parties hereto have executed this AGRE NT as of the day and year shown in the "Execution Date" box on page one (1) of this AGREEMENT. By By Consultant / R /5 •4 A -550aA res Agency C it/ L w 1Y1� DOT Form 140 -089 EF Page 8 of 8 Revised 3/2008 Exhibit A -2 Scope of Work (Task Order Agreement) Each item of work under this AGREEMENT will be provided by task assignment. Each assignment will be individually negotiated with the CONSULTANT. The amount established for each assignment will be the maximum amount payable for that assignment unless modified in writing by the AGENCY. The AGENCY is not obligated to assign any specific number of tasks to the CONSULTANT, and the AGENCY'S and CONSULTANT'S obligations hereunder are limited to tasks assigned in writing. Task assignments may include but are not limited to, the following types of work: A. Observation, inspection, and contract administration support for construction projects and preparation of applicable documentation including daily reports. B. Engineering services to support construction activities including reviewing contractor submittals, requests for information, requests for alternates, design clarifications and changes, and other engineering tasks as assigned. C. Other tasks related to the construction projects as assigned. Task assignments made by the AGENCY shall be issued in writing by a Formal Task Assignment Document similar in format to page 2 of this exhibit. An assignment shall become effective when a formal Task Assignment Document is signed by the CONSULTANT and the AGENCY, except that emergency actions requiring a 24 -hour or less response can be handled by an oral authorization. Such oral authorization shall be followed up with a Formal Task Assignment Document within four working days, and any billing rates agreed to orally (for individuals, subconsultants, or organizations whose rates were not previously established in the AGREEMENT) shall be provisional and subject to final negotiation and acceptance by the AGENCY. 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The format and standards to be provided may include, but are not limited to, the following: I. Construction Documentation Section A. Design Files — 2009 AutoCAD B. Computer Aided Drafting Files — 2009 AutoCAD C. Spreadsheets — 2003 Microsoft Excel D. Word Processing — 2003 Microsoft Word E. Electronic Scans/Documents — Adobe PDF II. Methods to Electronically Exchange Data A. CD or DVD B. FTP or Sharepoint site provided by the CONSULTANT DOT Form 140 -089 EF Exhibit C Revised 6/05 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. DOT Form 140 -089 EF Exhibit D -3 Revised 3/09 ExhibitE -2 Consultant Fee Determinatio n' -_ Summary Sheet (Specific Rates of'Pay) Fee Schedule Discipline or Job Title Project Manager Construction Manager Senior Inspector Inspector Office Engineer Senior Administration Assist. Administration Assist. DOT Form 140 -089 EF Exhibit E -2 Revised 6/05 Hourly Overhead Profit Rate Rate @ 192.47% @ 30.00% Per Hour $65.12 $125.34 $19.54 $210.00 53.96 103.85 16.19 174.00 41.87 80.57 12.56 135.00 34.74 .. 66.84 10.42 112.00 36.91 71.02 11.07 119.00 31.94 61.48 9.58 103.00 27.29 52.52 8.19 88.00 Exhibit F Breakdown of Overhead Cost See attached Campbell Taylor & Company Audit. DOT Form 140 -089 EF Exhibit F Revised 6/05 CTC CAMPBELL TAYLOR & COMPANY ♦ AnAccountancyCorporation CERTIFIED PUBLIC ACCOUNTANTS & CONSULTANTS INDEPENDENT AUDITOR'S REPORT ON THE STATEMENT OF DIRECT LABOR AND GENERAL OVERHEAD UNDER FEDERAL ACQUISITION REGULATIONS To the Board Directors Harris & Associates, Inc. Concord, California Steven A. Campbell Stephen B. Taylor Linda L. House Kelly L. O'Brien E. Preston Hatch We have audited the Statement of Direct Labor and General Overhead under Federal Acquisition Regulations ( "schedule ") for the fiscal year ended December 31, 2010 and 2009. The schedule is the responsibility of the Harris & Associates' management. Our responsibility to express an opinion on the schedule based on our audit. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audits to obtain reasonable assurance about whether the schedule is free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the schedule. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the schedule. We believe that our audit provides a reasonable basis for our opinion. The accompanying schedule 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 as discussed in Note 1, and is not intended to be a presentation in conformity with generally accepted accounting principles. In our opinion, the schedule referred to above present fairly, in all material respects, the direct labor and general overhead of Harris & Associates, Inc. and subsidiary as of December 31, 2010 and 2009 on the basis of accounting described in Note 1. In accordance with Government Auditing Standards, we have also issued our report dated April 4, 2011, on our consideration of Harris & Associates' internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and other matters. This report is intended solely for the use and information of Harris & Associates and government agencies or other customer related to contract employing the cost principles of the Federal Acquisition Regulation and should not be used for any other purpose. Campbell Taylor & Company An Accountancy Corporation April 4, 2011 Roseville, California 3741 Douglas Blvd., Suite 350 • Roseville, CA 95661 • E -Mail: mail @campbelltaylor.com • Fax: ( 916) 929 -7443 • (916) 929 -3680 HARRIS & ASSOCIATES, INC. STATEMENT OF DIRECT LABOR AND GENERAL OVERHEAD UNDER THE FEDERAL ACQUISITION REGULATIONS For the Years Ended December 31, 2010 and 2009 2010 2009 Direct labor $ 14,533,549 $ 18,389,620 Operating Expenses: Salaries Rent Payroll taxes Employee benefits Insurance Travel Computer services & supplies Depreciation Vehicle leases Telephone & utilities Living/moving & miscellaneous Legal & accounting Outside services Equipment rental Auto allowances Taxes & licenses Employee recruiting Vehicle maintenance Office supplies Meetings & conferences Printing expense Repairs & maintenance Dues, books & subscriptions Morale /amenities Postage and delivery Professional development Benefits administration Aircraft expense Education 401(K) match Sick leave bonus ESOP Contribution Loss on disposition of assets 12,600,127 16,104,172 3,198,826 3,041,638 1,975,774 2,591,024 1,846,247 2,312,674 1,266,085 1,436,640 881;069 1,164,959 773,300 332,153 614,873 510,866 417,451 742,337 547,667 776,525 542,441 660,476 453,530 993,943 440,585 255,223 382,489 395,936 341,880 317,567 265,692 249,452 217,388 61,974 166,191 261,241 152,739 195,078 146,601 197,560 128,999 153,366 123,622 230,141 115,216 163,767 107,527 151,855 84,268 129,113 65,005 175,714 54,344 133,567 30,261 24,399 18,954 54,196 9,336 350,377 4,815 107,694 1,242,013 198,903 Total FAR Allowable Expenses $ 27,973,302 $ 35,716. FAR Overhead Rate 192.47% 194.22% 18 HARRIS & ASSOCIATES, INC. STATEMENT OF DIRECT LABOR AND GENERAL OVERHEAD UNDER THE' FEDERAL ACQUISITION REGULATIONS (CONTINUED) For the, Years Ended December 31, 2010 and 2009 2010 2009 Non - Allowable FAR Expenses: Bad debts $ 790,285 $ 320 Advertising 106,967 182,493 Legal settlement costs 55,400 5,934 Officers' professional fees 50,210 38,671 Officers' life insurance 41,533 66,292 Contributions 32,454 22,339 Conferences 29,730 42,478 Entertainment 25,977 32,852 Travel 17,446 27,353 Miscellaneous 12,264 25,983 Accounting fees 5,988 3,811 Meeting expenses 567 835 Harris wear 252 1,199 Penalties 100 44 Business Solicitation salaries 32 ESOP contribution 352,782 Total FAR Non - Allowable Operating Expenses 1,169,173 803,418 Total Operating Expenses 29,142;475 36,519,961 Other Non - Allowable Expenses: Interest expense 76,414 122,314 Late fees 2, 103' 3,266 Total Expenses $ 29,220,992 $ 36,645541 19 HARRIS & ASSOCIATES, INC. NOTES TO STATEMENT OF DIRECT LABOR AND GENERAL OVERHEAD UNDER THE FEDERAL ACQUISITION REGULATIONS December 31, 2010 and 2009 NOTE 1: DESCRIPTION OF OVERHEAD RATE STRUCTURE The Statement of Direct Labor and General Overhead under the Federal Acquisition Regulations has been prepared on the accrual basis, using accounting practices prescribed by Part 31 of the Federal Acquisition Regulation. The audited overhead rate is a unitary rate for all locations and disciplines. Direct project costs and allocated indirect costs are included in project cost records. The allocation basis for indirect costs is direct labor dollars. Information systems, vehicles and other costs are included in the Company's overhead rate. The Company has separate direct expense accounts for all direct project costs including labor, sub - consultants, and vehicles. The accounting system is maintained to capture all direct expense by project number. All direct expenses are charged to the related direct expense category per the terms of the project contract. Project costs are captured through timesheets, accounts payable, or employee expense reimbursement. NOTE 2: LABOR - RELATED COSTS Project Labor Costs The direct labor cost base for determining indirect overhead rate is based on actual labor dollars. Overtime Costs Overtime costs are incurred in meeting certain deadlines. If a non- exempt employee is eligible for overtime, the premium portion of paid overtime incurred on behalf of a specific contract is charged to direct labor. Administrative overtime is charged to indirect cost. Highly Compensated Employees /Officers /Owners Compensation of highly compensated employees, officers and owners are evaluated using nationwide, state and regional independent surveys. The Company's executive compensation was compared to professional service and engineering companies of similar size, operating in California, with a concentration of business in the greater San Francisco Bay Area and was not in excess of FAR guidelines. Paid Time Off Paid time off is accrued based on straight time hours of work performed and years of service. 20 Exhibit G Subcontracted Work The AGENCY does not permit subcontracts for this AGREEMENT. DOT Form 140 -089 EF Exhibit H Revised 6/05 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 a part 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 subconsultant 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, STATE 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. DOT Form 140 -089 EF Exhibit H Revised 6/05 Exhibit I 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 I 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 appropriafe`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. 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 DOT Form 140 -089 EF Exhibit J Revised 6/05 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. DOT Form 140 -089 EF Exhibit J Revised 6/05 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 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. DOT Form 140 -089 EF Exhibit K Revised 6/05 Exhibit M -1(a) Certification Of Consultant Project No. Local Agency I hereby certify that I am David P. Breen and duly authorized representative of the firm of Harris & Associates whose address is 11245 SE •h Street, Suite 210, Bellevue Washington 98004 and that neither I nor the above firm I here represent has: (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. /Le Phi 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 -me C4-'o- PJ ij. rn 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. FEB 6 2012 Date DOT Form 140 -089 EF Exhibit M -1(b) Revised 6/05 Signature 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. H. 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): Harris & Associates, Inc. DOT Form 140 -089 EF Exhibit M -2 Revised 6 /05 Id 1.44,J (Signature) President or Authorized Official Consultant 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 :ofany 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 amaterial 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): Harris & Associates, Inc. I/12-/12-- (Date) (Signature) President or Authorized Official 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 breakdown of overhead costs * are accurate, complete, and current as of April 4, 2011**. This certification includes the cost or pricing data supporting any advance agreements and forward pricing rate agreements between the offeror and the Goveiiiment that are part of the proposal. Firm Harris & Associates Name David P. Breen Title Vice President, Northwest Area Manager Date of Extension * ** January 12, 2012 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 Appendix 31.910 Revised 6/05 CITY OF e AD,BuRN* Peter B. Lewis, Mayor WASHINGTON 25 West Main Street * Auburn WA 98001-4998 * www.aubumwa.gov * 253-931-3000 December 19, 2012 I Scott Hodgins Harris & Associates 11245 SE 6" Street, Suite 210 Bellevue, WA 98004 RE. Supplemental Agreement #1 to Agreement for Professional Services, AG-C-413, On-Call Services — Construction Support Dear Mr Hodgins: Enclosed please find an executed copy of the above-referenced Supplemental Agreement #1 This supplement is for a time extension only This supplement extends the term of the agreement to December 31, 2013 For the City's tracking and record keeping purposes, please reference AG-C-413 on all correspondence and related material. As the project manager, I am the designated contact for this agreement and all amendments. Questions, assignments and coordination shall be routed through me. You can contact me at 253-804-3113. Sincerely, i Ingr a- Assistant ity Engineer Department of Public Works IG/ad/mh i Enclosure cc: Dani Daskam, City Clerk (copy letter only) AG-C-413 AUBURN MOU. THAN YOU IMAGINLD Organization and Address Supplemental Agreement # 1 Harris and Associates pp 9 11245 SE 61"Street Suite 210 Bellevue,WA 98004 Agreement Number Phone AG-C-413 425 453-0999 Project Number Federal Aid Number N/A N/A Project Title New Maximum Amount Payable On-Call Services-Construction Support $50,000.00 Description of Work On-Call Services—Construction Support(Inspection, Administration, Engineering) The Local Agency of the City of Auburn desires to supplement the agreement entered into with Harris and Associates and executed on 6th day of February. 2012 and identified as Agreement No. AG-C-413. All provisions in the basic agreement remain in effect except as expressly modified by this supplement. The changes to the agreement are described as follows: I Section I, SCOPE OF WORK, is hereby changed as follows: No Change I I Section IV TIME FOR BEGINNING AND COMPLETION, is amended to change the number of calendar days for completion of the work to read: December 31 2013 III j Section V PAYMENT shall be amended as follows: No Change If you concur with this supplement and agree to the changes as stated above, please sign in the appropriate spaces below and return to this office for final action. By di e-kae N/o r1/ By' ter B. Lewis Mayor Consultant Sig ature Approving Authority Slg ature}4(�. 7//Z_- DEC 17 �Al� Date Date I i ANNUAL CONTRACT TASK ASSIGNMENT DOCUMENT AGREEMENT NO: AG-C-413 TASK NO: 4Gyi3-Too/ CONSULTANT: Harris & Associates PROJECT NO: CP1207 'D' Street Utility Improvements Contract # 13-10 The general provisions and clauses of the Agreement referenced above shall be in full force and effect for this Task Assignment. Location of Project: 'D' Street NE between Auburn Way North and S. 277th Street and 49th Street NE between Auburn Way North and 'D' Street NE Maximum Amount Payable per this Task Assignment: $35,000.00 Completion Date: December 31, 2013 Scope of Work: This task order provides for on-site construction inspection services for the above listed project in accordance with the general scope of services for the on-call contract as follows: A. Observation and inspection for construction projects and preparation of applicable documentation including daily reports in coordination with the CITY's Inspector and Project Manager. This work involves the following: • conducting routine, daily on-site inspections of the Contractor's work for the purposes of determining if the work generally conforms to the Contract Documents and that the integrity of the design concept as reflected in the Contract Documents has been implemented and preserved by the Contractor. • prepare written Inspector Daily Reports (IDR's), and other records of their inspections, which will be provided to the CITY. Including photography of the work in progress and site conditions. • generally maintain one inspector on-site when Contractor construction activities are underway. • Should the CONSULTANT discover or believe that any work by the Contractor is not in general accordance with the Contract Documents, or is otherwise defective, or not conforming to requirements of the Contract Documents, the CONSULTANT will bring this to the attention of the Contractor and the CITY. The CONSULTANT will thereupon monitor the Contractor's corrective actions and shall advise the CITY as to the Page 1 of 3 acceptability of the corrective actions. At the advanced approval of the CITY, the CONSULTANT will issue Correction Notices or Stop Work Notices. • The CONSULTANT will identify subcontractors on site and insure that they have a pre-approved request to sublet on file before allowing work to be done by the sub contractor. • Attend the pre-construction conference and weekly meetings with the Contractor. • The CONSULTANT will issue field instructions, orders or similar documents during construction as provided in the contract for construction as approved by the City. B. Engineering services to support construction activities including reviewing contractor submittals, requests for information, requests for alternates, design clarifications and changes, and other engineering tasks as assigned in coordination with the CITY's Inspector and Project Manager. This work includes the following: • For progress payments, the CONSULTANT will prepare paynotes for all work performed, including appropriate documentation of force account and bid item documentation. The CONSULTANT will use the CITY's standard documentation format in the preparation of these paynotes. Documentation may include the following: field measurement sheets, Material tickets, force account documentation, and lump sum item breakdowns. • For submittals, The city will be managing submittals and issuing approvals as appropriate. The CONSULTANT shall provide review of shop drawings, samples, and submittals shall be for general conformance with the Contract Documents when asked by the City. Typical submittals include traffic control plans, material approvals, lump sum breakdowns, schedules, and other documents requiring evaluation and review. Such review shall not relieve the Contractor from its responsibility for performance in accordance with the Contract Documents, nor is such review a guarantee that the work covered by the shop drawings, samples, and submittals is free of errors, inconsistencies, or omissions. • The CONSULTANT shall review the Contractor's requests for construction contract changes. The CONSULTANT will make recommendations to the CITY regarding the acceptability of the Contractor's request and, upon approval of the CITY, assist the'CITY in negotiations of the requested change. The City will complete the development and execution of a change order document • The CONSULTANT will review questions and issues raised by the Contractor as a formal Requests for Information (RFIs) made on the City's standard form and provide comments to the CITY. The CONSULTANT will review the Contractor's Requests For Information (RFIs) and coordinate Page 2 of 3 such review with the CITY. The CITY will coordinate, approve, and issue responses to the RFIs. For purposes of this task order, the City will provide overall contract administration, construction staking and material testing services. The CONSULTANT will be responsible for reviewing staking requests from the Contractor for adequacy and providing them to the CITY's survey staff. In addition, the CONSULTANT will be responsible for coordinating with the CITY's testing service to insure all required testing is completed appropriately. Approvals: Consultant: Signature: At-- Date: 9, z3 . /3 G. Scott Hodgins — Busin-ss Development Manager City Project Manager: Signature: �_! Date: M 5/ City Mayor: 9/eQly/ate\j Signature: — Date: Page 3 of 3 � 3. \lv•1 AMENDMENT #2 TO TASK ASSIGNMENT AGC413 -TO01 FOR ON -CALL PROFESSIONAL SERVICES AGREEMENT NO. AG -C-413 AGREEMENT #: AG -C -413 CONSULTANT: Harris & Associates TASK AMENDMENT NO.: AGC413 -T001 PROJECT #: CP1207 'D' Street Utility Improvements Contract #13 -10 The general provisions and clauses of the Task Assignment and Agreement referenced above shall be in full force and effect for this Task Assignment Amendment. Location of Project: No Change Maximum Amount Payable per this Task Assignment: The total task assignment amount is increased by $8,387.50 for a total not to exceed amount of $58,387.50 which is the Maximum Amount Payable per this Task Assignment. This amendment authorizes the work for Task Assignment #AGC413 -T001 and provides for payment therefore. Completion Date: No Change Scope of Work: There is no change in the scope of work. All other terms and conditions of On -Call Professional Services Agreement No. AG -C -413, as amended, shall remain unchanged and in full force and effect. Approvals: Consultant Pro' ct Manager: Signature: Date: City Project Manager: Signature: Date: / /'3' // '% Zsi4 Mayor Signature: Date: 2-b -14 3. 10.9 The Local Agency of the City of Auburn desires to supplement the agreement entered into with Harris and Associates and executed on 6th day of February, 2012 and identified as Agreement No. AG -C -413. All provisions in the basic agreement remain in effect except as expressly modified by this supplement. The changes to the agreement are described as follows: Section I, SCOPE OF WORK, is hereby changed as follows: Section IV, TIME FOR BEGINNING AND COMPLETION, is amended to change the number of calendar days for completion of the work to read: December 31 2015. Section V, PAYMENT, shall be amended as follows: If you concur with this supplement and agree to the changes as stated above, please sign in the appropriate spaces below and return to this office for final action. By: 0 ��// l/�"e� By: Nancy Backus Mayor Consultant Signature ilk z�� Date Ap vi g Authority Signature DE 1 2614 Date Organization and Address SuSupplemental A reement # 3 Harris and Associates PP 9 11245 SE 6" Street Suite 210 Bellevue, WA 98004 Agreement Number Phone AG -C -413 425 453 -0999 Project Number Federal Aid Number N/A N/A Project Title New Maximum Amount Payable On -Call Services - Construction Support $175,000.00 Description of Work On -Call Services — Construction Support (Inspection, Administration, Engineering) The Local Agency of the City of Auburn desires to supplement the agreement entered into with Harris and Associates and executed on 6th day of February, 2012 and identified as Agreement No. AG -C -413. All provisions in the basic agreement remain in effect except as expressly modified by this supplement. The changes to the agreement are described as follows: Section I, SCOPE OF WORK, is hereby changed as follows: Section IV, TIME FOR BEGINNING AND COMPLETION, is amended to change the number of calendar days for completion of the work to read: December 31 2015. Section V, PAYMENT, shall be amended as follows: If you concur with this supplement and agree to the changes as stated above, please sign in the appropriate spaces below and return to this office for final action. By: 0 ��// l/�"e� By: Nancy Backus Mayor Consultant Signature ilk z�� Date Ap vi g Authority Signature DE 1 2614 Date CIITTYTOF WASHINGTON December 4, 2014 Sam Yaghmaie Harris and Associates 11245 SE 6`h Street, Suite 210 Bellevue, WA 98004 Nancy Backus, Mayor 25 West Main Street * Auburn WA 98001 -4998 x www.auburnwa.gov i 253- 931 -3000 RE: Supplemental No. 3 to Agreement for Professional Services, AG -C -413 On -Call Construction Support Services Dear Mr. Yaghmaie Enclosed please find an executed copy of the above - referenced Supplemental No. 3. This supplement is for a time extension only and extends the term of the agreement to December 31, 2015. For the City's tracking and record keeping purposes, please reference AG -C -413 on all correspondence and related material As the project manager, I am the designated contact for this agreement and all supplements. Questions, assignments and coordination shall be routed through me. You can contact me at 253 - 804 -3118. Sincerely, Jacob weeting, P.E. / Asst. City Engineer Community Development & Public Works Department JS /ad /mm Enclosure cc: Dani Daskam, City Clerk (copy letter only) AG -C -413 .AUBURN* MORE THAN YOU IMAGINED * CITY OF lc * AT �T�BU Nancy Backus, Mayor WASH I NGTON 25 West Main Street * Auburn WA 98001-4998 * www.auburnwa.gov* 253-931-3000 January 5, 2016 Sam Yaghmaie Harris and Associates 11245 SE 6th Street, Suite 210 Bellevue, WA 98004 RE: Agreement for Professional Services, AG-C-413 On-Call Construction Support Services Dear Mr. Yaghmaie: This letter is to inform you that the above-referenced Agreement for Professional Services is being closed at this time. Our records indicate that we processed the final payment for this agreement on February 7, 2014, for invoice#23564 in the amount of$17,887.50. If you feel that this Agreement for Professional Services should not be closed, or if there are any outstanding invoices, please inform me by January 15, 2016. Thank you for your firm's on-call construction support services. If you should have any questions, feel free to give me a call at 253.804.3118. Sin y at�Ø' 4 JacoL. Sweet , P.E. Assistant City Engineer Community Development & Public Works Department JS/ad/as cc: City Clerk AG-C-413 AUBURN * MORE THAN YOU IMAGINED