HomeMy WebLinkAboutAGR-7212 - COGSTONE RESOURCE MANAGMENT - PROFESSIONAL SERVICES AGREEMENT FOR ENVIRONMENTAL - CULTURAL RESOURCESG R-a t a,
PROFESSIONAL SERVICES AGREEMENT
Environmental—Cultural Resources Services]
THIS PROFESSION ERVICvS AGREEMENT (the "AgreemenY') is made at
Orange, California, on this ay of 2021 (the "Effective Date") by and
between the CITY OF ORANGE, a municipal corporation ("City"), and COGSTONE
RESOURCE MANAGEMENT, a California corporation("Contractor"),who agree as follows:
1. Services. Subject to the terms and conditions set forth in this Agreement,
Contractor shall provide to the reasonable satisfaction of City the services set forth in Exhibit"A,"
which is attached hereto and incorporated herein by reference. As a material inducement to City
to enter into this Agreement,Contractor represents and warrants that it has thoroughly investigated
and considered the scope of services and fully understands the difficulties and restrictions in
performing the work. The services which are the subject of this Agreement are not in the usual
course of City's business and_City relies on Contractor's representation that it is independently
engaged in the business of providing such services and is experienced in performing the work.
Contractor shall perform all services in a manner reasonably satisfactory to City and in a manner
in conformance with the standards of quality normally observed by an entity provided such
services to a municipal agency. All services provided shall conform to all federal, state and local
laws, rules and regulations and to the best professional standards and practices. The terms and
conditions set forth in this Agreement shall control over any terms and conditions in Exhibit "A"
to the contrary. In addition, Contractor must adhere to the Mandatory Fiscal Federal and Other
Provisions as outlined in Exhibit"B."
Marissa Moshier, Historic Preservation Planner, "City's Project Manager," shall be the
person to whom Gontractor will report for the performance of services hereunder. It is understood
that Contractor's performance hereunder shall be under the supervision of City's Project Manager
or his/her designee), that Contractor shall coordinate its services hereunder with City's Project
Manager to the extent required by City's Project Manager, and that all performances required
hereunder by Contractor shall be performed to the satisfaction of City's Project Manager and the
City Manager.
2. Comnensation and Fees.
a. Contractor's total compensation for all services performed under this
Agreement, shall not exceed SIXTEEN THOUSAND NINE HLTNDRED THIRTY-FOUR
DOLLARS and 40/100($16,934.40)without the prior written authorization of City.
b. The above compensation shall include all costs, including, but not limited
to, all clerical, administrative, overhead, insurance, reproduction, telephone, travel, auto rental,
subsistence and all related expenses.
3. Pavment.
a. As scheduled services are completed, Contractor shall submit to City an
invoice according to the progress payment schedule set forth in the Request for Proposal.
b. All such invoices shall state the basis for the amount invoiced, including
services completed,the number of hours spent and any extra work performed.
c. City will pay Contractor the amount invoiced within thirty (30) days, but
may withhold 10% of any invoice until all work is completed, which sum shall be paid within
thirty(30)days of completion of the work and receipt of all deliverables.
d. Payment shall constitute payment in full for all services, authorized costs
and authorized extra work covered by that invoice.
4. Chan e Orders. No payment for extra services caused by a change in the scope
or complexity of work, or for any other reason, shall be made unless and until such extra services
and a price therefor have been previously authorized in writing and approved by City as an
amendment to this Agreement. City's Project Manager is authorized to approve a reduction in the
services to be performed and compensation therefor. All amendments shall set forth the changes
of work,extension of time,and/or adjustment of the compensation to be paid by City to Contractor
and shall be signed by the City's Project Manager,City Manager or City Council, as applicable.
5. Licenses. Contractor represents that it and any subcontractors it may engage,
possess any and all licenses which are required under state or federal law to perform the work
contemplated by this Agreement and that Contractor and its subcontractors shall maintain all
appropriate licenses, including a City of Orange business license, at its cost, during the
performance of this Agreement.
6. Independent Contractor. At all times during the term of this Agreement,
Contractor shall be an independent contractor and not an employee of City. City shall have the
right to control Contractor only insofar as the result of Contractor's services rendered pursuant to
this Agreement. City shall not have the right to control the means by which Contractor
accomplishes services rendered pursuant to this Agreement. Contractor shall, at its sole cost and
expense, furnish all facilities, materials and equipment which may be required for furnishing
services pursuant to this Agreement. Contractor shall be solely responsible for, and shall
indemnify, defend and save City harmless from all matters relating to the payment of its
subcontractors, agents and employees, including compliance with social security withholding and
all other wages, salaries, benefits, taxes, exactions, and regulations of any nature whatsoever.
Contractor acknowledges that it and any subcontractors, agents or employees employed by
Contractor shall not,under any circumstances,be considered employees of City,and that they shall
not be entitled to any of the benefits or rights afforded employees of City,including,but not limited
to, sick leave, vacation leave, holiday pay, Public Employees Retirement System benefits, or
health, life,dental, long-term disability or workers'compensation insurance benefits.
7. Contractor Not A ent. Except as City may specify in writing, Contractor shall
have no authority, express or implied, to act on behalf of City in any capacity whatsoever as an
agent. Contractor shall have no authority, express or implied, to bind City to any obligation
whatsoever.
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8. Designated Persons. Only those qualified persons authorized by City's Project
Manager, or as designated in Exhibit"A,"shall perform work provided for under this Agreement.
It is understood by the parties that clerical and other nonprofessional work may be performed by
persons other than those designated.
9. Assi nment or Subcontracting. No assignment or subcontracting by Contractor
of any part of this Agreement or of funds to be received under this Agreement shall be of any force
or effect unless the assignment has the prior written approval of City. City may terminate this
Agreement rather than accept any proposed assignment or subcontracting. Such assignment or
subcontracting may be approved by the City Manager or his/her designee.
10. Time of CompleNon. Consultant agrees to commence the work provided for in
this Agreement within ten(10) days of the Effective Date and to diligently prosecute completion
of the work in accordance with the time period set forth in Exhibit "A" hereto or as otherwise
agreed to by and between the representatives of the parties.
11. Time Is of the Essence. Time is of the essence in this Agreement. Contractor shall
do all things necessary and incidental to the prosecution of Contractor's work.
12. Reserved.
13. Delays and Extensions of Time. Contractor's sole remedy for delays outside its
control, other than those delays caused by City, shall be an extension of time. No matter what the
cause of the delay,Contractor must document any delay and request an extension of time in writing
at the time of the delay to the satisfaction of City. Any extensions granted shall be limited to the
length of the delay outside Contractor's control. If Contractor believes that delays caused by City
will cause it to incur additional costs, it must specify, in writing, why the delay has caused
additional costs to be incurred and the exact amount of such cost at the time the delay occurs. No
additional costs can be paid that exceed the not to exceed amount stated in Section 2.a, above,
absent a written amendment to this Agreement.
14. Products of Contractor. The documents, studies, evaluations, assessments,
reports,plans, citations, materials, manuals, technical data, logs, files, designs and other products
produced or provided by Contractor for this Agreement shall become the property of City upon
receipt. Contractor shall deliver all such products to City prior to payment for same. City may
use,reuse or otherwise utilize such products without restriction.
15. Equal Employment Opportunity. During the performance of this Agreement,
Contractor agrees as follows:
a. Contractor shall not discriminate against any employee or applicant for
employment because of race, color,religion, sex,national origin,mental or physical disability, or
any other basis prohibited by applicable law. Contractor shall ensure that applicants are employed,
and that employees are treated during employment, without regard to their race, color, religion,
sex,national origin, mental or physical disability, or any other basis prohibited by applicable law.
Such actions shall include,but not be limited to the following: employment,upgrading,demotion
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or transfer,recruitment or recruitment advertising,layoff or termination,rates of pay or other forms
of compensation and selection for training, including apprenticeship. Contractor agrees to post in
conspicuous places, available to employees and applicants for employment, a notice setting forth
provisions of this non-discrimination clause.
b. Contractor shall, in all solicitations and advertisements for employees
placed by, or on behalf of Contractor, state that all qualified applicants will receive consideration
for employment without regard to race, color, religion, sex, national origin, mental or physical
disability, or any other basis prohibited by applicable law.
c. Contractor shall cause the foregoing paragraphs(a)and(b)to be inserted in
all subcontracts for any work covered by this Agreement, provided that the foregoing provisions
shall not apply to subcontracts for standard commercial supplies or raw materials.
16. Conflicts of Interest. Contractor agrees that it shall not make, participate in the
making, or in any way attempt to use its position as a consultant to influence any decision of City
in which Contractor knows or has reason to know that Contractor, its officers, partners, or
employees have a financial interest as defined in Section 87103 of the Government Code.
Contractor further agrees that it shall not be eligible to work as the design/build firm for the project
that is the subject of this Agreement.
17. Indemnitv.
a. To the fullest extent permitted by law, Contractor agrees to indemnify,
defend and hold City, its City Council and each member thereof, and the officers, officials, agents
and employees of City(collectively the"Indemnitees") entirely harmless from all liability arising
out of:
1) Any and all claims under workers' compensation acts and other
employee benefit acts with respect to Contractor's employees or Contractor's subcontractor's
employees arising out of Contractor's work under this Agreement, including any and all claims
under any law pertaining to Contractor or its employees' status as an independent contractor and
any and all claims under Labor Code section 1720 related to the payment of prevailing wages for
public works projects; and
2) Any claim,loss,injury to or death of persons or damage to property
caused by any act, neglect, default, or omission other than a professional act or omission of
Contractor, or person, firm or corporation employed by Contractor, either directly or by
independent contract, including all damages due to loss or theft sustained by any person, firm or
corporation including the Indemnitees, or any of them, arising out of, or in any way connected
with the work or services which are the subject of this Agreement, including injury or damage
either on or off City's property; but not for any loss, injury, death or damage caused by the active
negligence or willful misconduct of City. Contractor, at its own expense, cost and risk, shall
indemnify any and all claiins, actions, suits or other proceedings that may be brought or instituted
against the Indemnitees on any such claim or liability covered by this subparagraph, and shall pay
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or satisfy any judgment that may be rendered against the Indemnitees, or any of them, in any
action, suit or other proceedings as a result of coverage under this subparagraph.
b. To the fullest extent permitted by law, Contractor agrees to indemnify and
hold Indemnitees entirely harmless from all liability arising out of any claim, loss, injury to or
death of persons or damage to property caused by its negligent professional act or omission in the
perfortnance of professional services pursuant to this Agreement.
c. Except for the Indemnitees, the indemnifications provided in this
Agreement shall not be construed to extend any third party indemnification rights of any kind to
any person or entity which is not a signatory to this Agreement.
d. The indemnities set forth in this section shall survive any closing,
rescission,or tertnination of this Agreement, and shall continue to be binding and in full force and
effect in perpetuity with respect to Contractor and its successors.
18. Insurance.
a. Contractor shall carry workers' compensation insurance as required by law
for the protection of its employees during the progress of the work. Contractor understands that it
is an independent contractor and not entitled to any workers' compensation benefits under any
City program.
b. Contractor shall maintain during the life of this Agreement the following
minimum amount of comprehensive general liability insurance or commercial general liability
insurance: the greater of (1) One Million Dollars ($1,000,000) per occurrence; or (2) all the
insurance coverage and/or limits carried by or available to Contractor. Said insurance shall cover
bodily injury, death and property damage and be written on an occunence basis.
c. Contractor shall maintain during the life of this Agreement, the following
minimum amount of automotive liability insurance: the greater of(1) a combined single limit of
One Million Dollars ($1,000,000); or (2) all the insurance coverage and/or limits carried by or
available to Contractor. Said insurance shall cover bodily injury, death and property damage for
all owned,non-owned and hired vehicles and be written on an occunence basis.
d. Any insurance proceeds in excess of or broader than the minimum required
coverage and/or minimum required limits which are applicable to a given loss shall be available
to City. No representation is made that the minimum insurance requirements of this Agreement
are sufficient to cover the obligations of Contractor under this Agreement.
e. Each policy of general liability and automotive liability shall provide that City, its
officers, officials, agents, and employees are declared to be additional insureds under the terms of
the policy, but only with respect to the work performed by Contractor under this Agreement. A
policy endorsement to that effect shall be provided to City along with the certificate of insurance.
In lieu of an endorsement, City will accept a copy of the policy(ies)which evidences that City is
an additional insured as a contracting party. The minimum coverage required by Subsection 18.b
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and c, above, shall apply to City as an additional insured. Any umbrella liability insurance that is
provided as part of the general or automobile liability minimums set forth herein shall be
maintained for the duration of the Agreement.
f.Contractor shall maintain during the life of this Agreement professional
liability insurance covering errors and omissions arising out of the performance of this Agreement
with a minimum limit of One Million Dollars ($1,000,000) per claim. Contractor agrees to keep
such policy in force and effect for at least five (5) years from the date of completion of this
Agreement.
g. The insurance policies maintained by Contractor shall be primary insurance
and no insurance held or owned by City shall be called upon to cover any loss under the policy.
Contractor will determine its own needs in procurement of insurance to cover liabilities other than
as stated above.
h. Before Contractor performs any work or prepares or delivers any materials,
Contractor shall furnish certificates of insurance and endorsements, as required by City,
evidencing the aforementioned minimum insurance coverages on forms acceptable to City,which
shall provide that the insurance in force will not be canceled or allowed to lapse without at least
ten(10) days' prior written notice to City.
i.Except for professional liability insurance coverage that may be required by
this Agreement, all insurance maintained by Contractor shall be issued by companies admitted to
conduct the pertinent line of insurance business in California and having a rating of Grade A or
better and Class VII or better by the latest edition of Best Key Rating Guide. In the case of
professional liability insurance coverage, such coverage shall be issued by companies either
licensed or admitted to conduct business in California so long as such insurer possesses the
aforementioned Best rating.
j Contractor shall immediately notify City if any required insurance lapses or
is otherwise modified and cease performance of this Agreement unless otherwise directed by City.
In such a case, City may procure insurance or self-insure the risk and charge Contractor for such
costs and any and all damages resulting therefrom, by way of set-off from any sums owed
Contractor.
k. Contractor agrees that in the event of loss due to any of the perils for which
it has agreed to provide insurance, Contractor shall look solely to its insurance for recovery.
Contractor hereby grants to City,on behalf of any insurer providing insurance to either Contractor
or City with respect to the services of Contractor herein,a waiver of any right to subrogation which
any such insurer may acquire against City by virtue of the payment of any loss under such
insurance.
1.Contractor shall include all subcontractors, if any, as insureds under its
policies or shall furnish separate certificates and endorsements for each subcontractor to City for
review and approval. All coverages for subcontractors shall be subject to all of the requirements
stated herein.
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19. Termination. City may for any reason terminate this Agreement by giving '
Contractor not less than five (5) days' written notice of intent to terminate. Upon receipt of such
notice, Contractor shall immediately cease work, unless the notice from City provides otherwise.
Upon the termination of this Agreement, City shall pay Contractor for services satisfactorily
provided and all allowable reimbursements incurred to the date of termination in compliance with
this Agreement, unless termination by City shall be for cause, in which event City may withhold
any disputed compensation. City shall not be liable for any claim of lost profits.
20. Maintenance and InsAection of Records. In accordance with generally accepted
accounting principles, Contractor and its subcontractors shall maintain reasonably full and
complete books, documents, papers, accounting records, and other information (collectively, the
records")pertaining to the costs of and completion of services performed under this Agreement.
City and its authorized representatives shall have access to and the right to audit and reproduce
any of Contractor's records regarding the services provided under this Agreement. Contractor shall
maintain all such records for a period of at least three(3)years after termination or completion of
this Agreement. Contractor agrees to make available all such records for inspection or audit at its
offices during normal business hours and upon three(3)days' notice from City,and copies thereof
shall be furnished if requested.
21. Comnliance with all Laws/Immisration Laws.
a. Contractor shall be knowledgeable of and comply with all local, state and
federal laws which may apply to the performance of this Agreement.
b. If the work provided for in this Agreement constitutes a"public works,"as
that term is defined in Section 1720 of the California Labor Code,for which prevailing wages must
be paid, to the extent Contractor's employees will perform any work that falls within any of the
classifications for which the Department of Labor Relations of the State of California promulgates
prevailing wage determinations, Contractor hereby agrees that it, and any subcontractor under it,
shall pay not less than the specified prevailing rates of wages to all such workers. The general
prevailing wage determinations for crafts can be located on the website of the Department of
Industrial Relations(www.dir.ca.ov/DLSR). Additionally,to perform work under this Contract,
Contractor must meet all State registration requirements and criteria,including project compliance
monitoring.
c. Contractor represents and warrants that Contractor:
1) Has complied and shall at all times during the term of this
Agreement comply, in all respects, with all immigration laws, regulations, statutes, rules, codes,
and orders, including, without limitation, the Immigration Reform and Control Act of 1986
IRCA); and
2) Has not and will not knowingly employ any individual to perform
services under this Agreement who is ineligible to work in the United States or under the terms of
this Agreement; and
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3) Has properly maintained, and shall at all times during the term of
this Agreement properly maintain, all related employment documentation records including,
without limitation, the completion and maintenance of the Form I-9 for each of Contractor's
employees; and
4) Has responded, and shall at all times during the term of this
Agreement respond, in a timely fashion to any government inspection requests relating to
immigration law compliance and/or Form I-9 compliance and/or worksite enforcement by the
Department of Homeland Security, the Department of Labor, or the Social Security
Administration.
d. Contractor shall require all subcontractors or subconsultants to make the
same representations and warranties as set forth in Subsection 21.c.
e. Contractor shall, upon request of City, provide a list of all employees
working under this Agreement and shall provide,to the reasonable satisfaction of City,verification
that all such employees are eligible to work in the United States. All costs associated with such
verification shall be liorne by Contractor. Once such request has been made, Contractor may not
change employees working under this Agreement without written notice to City, accompanied by
the verification required herein for such employees.
f.Contractor shall require all subcontractors or sub-consultants to make the
same verification as set forth in Subsection 21.e.
g. If Contractor or subcontractor knowingly employs an employee providing
work under-this Agreement who is not authorized to work in the United States, andlor fails to
follow federal laws to determine the status of such employee,that shall constitute a material breach
of this Agreement and may be cause for immediate termination of this Agreement by City.
h. Contractor agrees to indemnify and hold City, its officers, officials, agents
and employees harmless for,of and from any loss,including but not limited to fines,penalties and
corrective measures City may sustain by reason of Contractor's failure to comply with said laws,
rules and regulations in connection with the performance of this Agreement.
22. Governins Law and Venue. This Agreement shall be construed in accordance
with and governed by the laws of the State of California and Contractor agrees to submit to the
jurisdiction of California courts. Venue for any dispute arising under this Agreement shall be in
Orange County, California.
23. Inte rallon. This Agreement constitutes the entire agreement of the parties. No
other agreement,oral or written,pertaining to the work to be performed under this Agreement shall
be of any force or effect unless it is in writing and signed by both parties. Any work performed
which is inconsistent with or in violation of the provisions of this Agreement shall not be
compensated.
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24. Notice. Except as otherwise provided herein, all notices required under this
Agreement shall be in writing and delivered personally, by e-mail, or by first class U.S. mail,
postage prepaid, to each party at the address listed below. Either party may change the notice
address by notifying the other party in writing. Notices shall be deemed received upon receipt of
same or within three (3) days of deposit in the U.S. Mail,whichever is earlier. Notices sent by e-
mail shall be deemed received on the date of the e-mail transmission.
CONTRACTOR" CITY"
Cogstone Resource Management City of Orange
1518 W Taft Avenue 300 E. Chapman Avenue
Orange, CA 92865 Orange, CA 92866-1591
Attn.: Molly Valasik, CFO/CEO Attn.: Marissa Moshier
Telephone: 714-974-8300 Telephone: 714-744-7243
E-Mail: mvalasik@cogstone.com E-Mail: mmoshier@cityoforange.org
25. Counterparts. This Agreement may be executed in one or more counterparts,each
of which shall be deemed an original, but all of which together shall constitute one and the same
instrument. Signatures transmitted via facsimile and electronic mail shall have the same effect as
original signatures.
Remainder of page intenNonally left blank; signatures on next page]
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IN WITNESS of this Agreement, the parties have entered into this Agreement as of the
year and day first above written.
CONTRACTOR" CITY"
COGSTONE RESOURCE MANAGEMENT,CITY OF ORANGE, a municipal corporation
a California orporation
xBy. By.
Printe me: e 2 Z ck Ott , City Manager
Title: V`Q Sl JL
By: ' I` d, APPROVED AS TO FORM:
Printed ame: CI'y'PS'1' L-i1,9 dC
Title: i't C--0`
Mary E. Bi ning
Senior Ass tant City Attorney
NOTE: City requires the following signature(s) on behalf of the Contractor:
1)the Chairman of the Board,the President or a Vice-President,AND(2)the
Secretary, the Chief F inancial Officer, the Treasurer, an Assistant 5ecretary
or an Assistant Treasurer. If only one corporate officer exists or one corporate
officer holds more than one corporate office,please so indicate. OR
The corporate officer named in a corporate resolution as authorized to enter
into this Agreement. A copy of the corporate resolution, certified by the
Secretary close in time to the execution of the Agreement,must be provided to
City.
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EXHIBIT"A"
SCOPE OF SERVICES
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SECTION 106 COMPLIANCE REPORTS
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S. Glassell Street at Palmyra Avenue
New Traffic Signal Project (SP-4114)
HSIPL-5073(093)
RFP 20-21.38
ORANGE CIVIC CENTER 300 E•CHAPMAN AVENUE ORANGE,CA 92866
SCOPE OF WORK
The City is seeking proposals from qualified contractors to prepare Section 106 cultural resources reports including
the Area of Potential Effect (APE) map, and an Archaeological Survey Report (ASR), Historic Resources
Evaluation Report(HRER)Historic Property Survey Report(HPSR),and Finding of Effect Report(FOE).Reports
must comply with industry standards, Section 106 regulations and California Department of Transportation
Caltrans) and Federal Highway Administration (FHWA) guidelines. Caltrans/FHWA guidelines for cultural
resources reports can be found in the Caltrans Standard Environmental Reference(SER,Volume 1,Chapter 28 and
SER Volume 2). (https://dot.ca.ov/pro rams/environmental-analysis/standard-environmental-reference-ser)
TASK 1—Area of Potential Effect Map:
The Contractor shall review the project description,plans,and project site to develop an understanding of the project
scope and prepare the APE map in compliance with Caltrans/FHWA guidelines and submit the draft APE to the
City and Caltrans/FHWA for approval. The City has 60% level engineering drawings that can be provided to the
Contractor.
Development of the APE Map shall include coordination with appropriate Native American tribes and interested
local historical societies.The Contractor shall obtain a contact list for the project vicinity from the Native American
Heritage Commission (NAHC) and shall send informational letters to all NAHC-listed contacts with cultural
affiliations with the project vicinity. In addition, the Contractor shall send informational letters to the Old Towne
Preservation Association and Orange Community Historical Society to provide an opportunity to comment on the
project. Follow-up telephone calls for non-responses shall be made to ensure a good-faith effort at public
participation.Results of this coordination shall be described in the ASR and HRER.
Deliverables:
Draft(s)of APE Map
Final APE Map
TASK 2—Archaeological Survey Report:
Once the APE is approved, the Contractor shall prepare an ASR and submit the draft ASR to the City and
Caltrans/FHWA for approval. The work effort includes,but is not limited to, a reconnaissance survey of the site
and background research to determine whether there are previously recorded sites within or in close proximity to
the APE or previously unidentified sites that may be affected by the project. The ASR shall include the records
search of the project site,including an appropriate radius buffer,in the California Historical Resources Information
System, and review of the Sacred Lands File with the Native Arnerican Heritage Commission(NAHC).
The research, evaluation, findings, and recommendations must be documented in a written report which meets
Caltrans/FHWA format and requirements. The report must be approved by the City and Caltrans/FHWA. The
Contractor is responsible for preparing/revising the report as needed to obtain City and Caltrans/FHWA approval.
The project area is mostly paved and has been disturbed during previous development activities including past
roadway construction.As such,the project area is already highly disturbed.The project involves ground disturbance
at depths up to 12 feet for concrete replacement and boring for new signal pole foundations.
Deliverables:
Draft(s)of ASR
Final ASR
Page 3 of 10
TASK 3—Historic Resources Evaluation Report
Once the APE is approved,the Contractor shall prepare an HRER. The HRER must document historic buildings,
structures,objects,districts,cultural landscapes,and historical archaeological sites(if any)within the project area.
In addition to previously identified historic resources, the HRER must evaluate and document whether there are
additional built-environment resources within the APE that meet National-Register eligibility criteria and may be
affected by the project). The work effort includes but is not limited to performing a survey of the site, conducting
background research, documenting evaluation findings on State DPR 523 forms (if needed), and evaluating and
analyzing project impacts to historic resources. The research, evaluation, findings, and recommendations must be
documented in a written report that meets Caltrans/FHWA format and requirements.The report must be approved
by the City and Caltrans/FHWA.The Contractor is responsible for preparing/revising the report as needed to obtain
City and Caltrans/FHWA approval.
The project"footprint"area contains the landscaped parkway,sidewalk,citrb,gutter,and paved roadway as well as
existing pole mounted pedestrian safety signage and street light poles.All construction would take place within the
existing City street right-of-way. The project site is located in the National Register-listed Old Towne Orange
Historic District.The properties adjacent to the northwest and northeast corners of the S.Glassell Street and Palxnyra
Avenue intersection are identified as contributors to the historic district. These properties were recorded on State
DPR 523 forms during a 2005 historic resources survey update conducted by the City.
Deliverables:
Draft(s)of HRER
Final HRER
TASK 4—Historic Property Survey Report
The Contractor shall prepare an HPSR to summarize the results of the cultural resource studies(HRER and ASR)
for Caltrans/FHWA approval and State Historic Preservation Officer (SHPO) concurrence. The report shall
summarize the project description,APE,research and identification of cultural resources,coordination efforts with
interested public parties and Native American tribes, and documentation of the proposed effects findings as
appropriate.The report must meet Caltrans/FHWA format and requirements and must be approved by the City and
Caltrans/FHWA and SHPO.The Contractor is responsible for preparing/revising the report as needed to obtain City
and Caltrans/FHWA approval and SHPO concurrence.
Deliverables:
Draft(s)of HPSR.
Final HPSR
TASK 5—Finding of Effect
The Contractor shall prepare the FOE by applying the Criteria of Adverse Effect to the project and evaluating how
the projec.t will affect historic properties within the APE.It is anticipated that the project will result in a Finding
of No Adverse Effect.The report must meet Caltrans/FHWA format and requirements and must be approved by
the City and Caltrans/FHWA and SHPO.The Contractor is responsible for preparing/revising the report as needed
to obtain City and Caltrans/FHWA approval and 5HP0 concunence.
MISCELLANEOUS
1) All deliverables shall be provided in hardcopy and electronic form. Electronic submittals shall be in PDF
and Microsoft Word format. Caltrans will require three(3)hardcopies and a PDF copy for each submittal.
The City will accept electronic submittals for draft submittals but will require rivo(2)hardcopies and a PDF
copy for final submittals.
Page4of10
2) Meetings and coordination will be ongoing for the duration of the project and will provide for the necessary
communications needed to insure the project goals are met.A minimum one-hour meeting for each task is
anticipated to discuss progress of the project. The scheduled meetings do not preclude contractor or City
Project Manager to call for intermediate meetings to resolve issues at hand.
3) This scope of work will not include the preparation or filing of a Notice of Exemption pursuant to California
Environmental Quality Act(CEQA).
4) Progress payments shall be based on the sequence of deliverables as follows:
10%of total payment after satisfactory completion of Task 1
25%of total paytnent after satisfactory completion of Task 2
35%of total payment after satisfactory completion of Task 3
15%of total payment after satisfactory completion of Task 4
15%of total payment after satisfactory completion of Task 5
5) The City shall provide:
60%level engineering plans for the project.
Copy of the Historical Records Search from the California Historical Resources Information
System at the South Central Coastal Information Center for the project area and a %z-mile
radius,dated 12/23/2020.
Geographic Information System(GIS)map layers of project site to assist with creation of APE
Map.
Copy of DPR 523 Forms for properties adjacent to the project site,prepared in 2005
Copy of the signed Preliminary Environmental Study Form,dated 1/4/2021.
Page 5 of 10
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CULTURAL RESOURCES SERVICES: SECTION 106 COMPLIANCE
REPORTS FOR SOUTH GLASSELL STREET AT PALMYRA AVENUE
NEW TRAFFIC SIGNAL PROJECT (SP-4114)
HSIPL-5073(093)
RFP 20-21.38
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Prepared by:
Cogstone Resource Management, Inc. (Cogstone)
1518 VUest Taft Avenue
Orange, CA 92865
April 1, 2021
t5i8 West Taft Avenue Branch Offices cogstone.com
Orange,CA g2865 San Diego-Riverside-Morro Bay-Sacramento-Arizona Toll tree(8881333-32 2
Office(7 41974-8300
Federal Certifications WOSB,EDWOSB,SDB
State Certifications DBE,WBE,SBE,UDBE
co stone
q. • 20 YEARS OF
PRESERVING THE PAST
April 1, 2021 Cogstone 5296
Ms. Marissa Moshier
Historic Preservation Planner
City of Orange-Community Development Department
300 East Chapman Avenue
Orange, CA 92886
RE:Cultural Resources Services: Section 106 Compliance Reports for the South Glassell Street at
Palmyra Avenue New Traffic Signal Project(SP-4114)HSIPL-5073(093)
Dear Ms. Moshier:
Thank you for inviting our scope and cost proposal for the above referenced Project for our specific
technical expertise in archaeological and historical resources. As a dedicated cultural resources
consulting firm, we can offer the City of Orange (City) the most timely, thorough, and cost-effective
solutions. Our key staff includes professionals with over 24 years of experience in cultural resources
management, including projects within the City, within Orange County, and within California Department
of Transportation(Caltrans) District 12.
With Caltrans acting as the lead federal agency, all work will also be completed in accordance with the
guidelines and recommended procedures outlined in Volume 2 (Cultural) of Caltrans' Standard
Environmental Reference (SER) Handbook. The work will be supervised or performed by personnel who
meet or exceed the Secretary of the Interior's Standards and Guidelines for Archaeology and Historic
Preservation (36 CFR Part 61) and the professional qualifications standards outlined in Attachment 1 to
the Section 106 Programmatic Agreement with the Federal Highway Administration (FHWA).
Molly Valasik, M.A., RPA will be the Project Manager and provide overall Quality Assurance and Quality
Control (QA/QC). With more than 12 years of experience in cultural resources management, she will
supenrise all aspects of the contract, from reviewing the background information to final reporting.
Shannon Lopez, M.A., will serve as the Architectural Historian. Cogstone's subconsultant, Public
Archaeology Laboratory(PAL)will provide QA/QC for Section 106 compliance on the Historic Resources
Evaluation Report and Finding of Effect Deliverables.
The City has established a Disadvantaged Business Enterprise (DBE) mandatory participation goal of
45% for the Project. Cogstone is a certified DBE (CPUC#49374) and will be responsible for 77.24% of
the Project spend. The remaining 22.76% will be used by PAL for review of historic resources
deliverables.
Cogstone has reviewed Addendum 1 dated March 26, 2021, for the Project and has no exceptions. We
look forward to the opportunity to work with you and the City on this Project.
Sincerely,
i
Molly Valasik
CFO/CEO
mvalasikCa coqstone.com
1
TABLE OF CONTENTS
ProjectUnderstanding...............................................................................................................................3
Key Staff, Qualifications and Experience...............................................................................................3
KeyPersonnel.....:.................................................................................:.................................................3
Qualifications...........................:...............................................................................................................5
Selected Project Experience.................................................................................................................6
Scopeof Work..................................................:.........................................................................................8
Task 1 -Area of Potential Effect Map (APE)..................................................................................9
Task 2-Archaeological Survey Report (ASR)..............................................................:...............9
Task 3- Historic Resources Evaluation Report(HRER)............................................................10
Task 4- Historic Property Survey Report(HPSR)......................................................................11
Task 5- Finding of Effect(FOE)............................................................................................:.......11
ProposedProject Schedule...........................................:.....:..................................................................1z
Insurance Coverage 8 DBE Compliance.............................................................................................14
AppendixA. Key Staff Resumes............................................................................................................17
2
PROJECT UNDERSTANDING
Cogstone.is pleased to provide this response to the Request for Proposals (RFP) 20-21.38 to
prepare Section 106 of the National Historic Preservation Act (NHPA) Compliance Reports for
the South Glassell Street at Palmyra Avenue New Traffic Signal Project (Project; SP-4114). The
City of Orange (Ciry) proposes to install a new traffic signal at the intersection of Glassell Street
and Palmyra Avenue, which is within the City's National Register of Historic Places (NRHP) Old
Towne Orange Historic District(District).
The proposed Project will consist of the installation of a two-phase traffic signal at the
intersection of Palmyra Avenue and South Glassell Street. Dedicated left-turn pockets will be
added to the north and southbound approaches to the intersection along Glassell Street.
Construction will be limited to the City's right-of-way (ROW) and will not require any ROW
acquisition. Two existing light poles located on the northwest and southeast corners of the
intersection and the pedestrian flashing beacon and pole located on the southwest corner will
be removed along with traffic signs and posts for the existing two-way stop and pedestrian
crossing. New decorative signal poles will be installed on all four corners of the intersection that
are compatible with the District.
The cultural resources portion of the work requires compliance with Section 106 of the NHPA.
With Caltcans acting as the lead Federal agency, all cultural resources work will be completed in
accordance with the guidelines and recommended procedures outlined in Volume 2 on cultural
resources of Caltrans' Standard Environmental (SER) Handbook. The work will be supervised
or performed by personnel who meet or exceed the Secretary of the Interior's Standards and
Guidelines for Archaeology and Historic Preservation (36 CFR Part 61) and the professional
qualifications standards outlined in Attachment 1 to the Section 106 Programmatic Agreement
with the Federal Highway Administration (FHWA). All documents will be prepared in Caltrans
format with the expectation that Caltrans will be the lead Federal agency.
Based on our understanding of the project, the regulatory requirements for Section 106 and
NEPA, and Caltrans' standards, our scope includes coordination and approval by Caltrans of an
Area of Potential Effects (APE) Map, an Archaeological Survey Report (ASR), a Historic
Resources Evaluation Report (HRER), a Historic Property Survey Report (HPSR), and a
Finding of Effect (FOE). The RFP states that a Finding of No Adverse Effect (FNAE) is
anticipated and Cogstone concurs based on a preliminary review and our experience within the
National Register-listed Old Towne Orange Historic District. We have included subconsultant
Public Archaeology Laboratory (PAL) to provide their expertise and conduct Quality Assurance
and Quality Control (QA/QC) reviews of the HRER and FOE deliverables to ensure
Caltrans/FHWA approval and SHPO concurrence.
KEY STAFF, QUALIFICATIONS AND EXPERIENCE
KEY PERSONNEL
Cogstone will provide a formidable team of subject matter specialists and key personnel on this
project with direct prior experience with the City and Caltrans. Molly Valasik, M.A., RPA will be
3
the Project Manager and provide QA/QC for the Project. With more than 12 years of experience
in cultural resources management and is knowledgeable of the standards outlined in
Attachment 1 to Caltrans Section 106 Programmatic Agreement with the FHWA; and Ghapter 2
on cultural resources, of the Caltrans Standard Environmental Reference (SER). Ms. Valasik
will supervise all aspects of the contract, from reviewing the background information to final
reporting. Shannon Lopez, M.A., will serve as the Architectural Historian for the Project. John
Gust, Ph.D., will. serve as the Principal Investigator for Archaeology. Virginia Adams, M.A, of
PAL, will provide QA/QC review for Section 106 compliance of historic resources deliverables.
MOLLY VALASIK, M.A., RPA
Project Manager&QA/QC
Ms. Valasik is a Registered Professional Archaeologist (RPA) with 12 years of experience. She
is a skilled professional who is well-versed in the compliance procedures of CEQA and Section
106 of the NHPA and regularly prepares cultural resources assessment reports for a variety of
federal, state, and local agencies throughout California. Ms. Valasik has managed a variety of
projects at Cogstone in the water, transportation, energy, development, and federal sectors.
She meets the qualifications required 6y the Secretary of the Interior's Sfandards and
Guidelines for Archaeology and Hisforic Preservation. She is accepted as a principal
investigator for prehistoric archaeology by the State Office of Historic Preservation.
SHANNON LOPEZ, M.A.
Architectural Historian
Ms. Lopez is a qualified historian and she meets the Secretary of the Interior's Standards and
Guidelines for Architectural History. Ms. Lopez is experienced in architectural history research
and surveys along with photo documentation and recording of built environment resources for
local and federal projects. Ms. Lopez is acknowledged as an approved Architectural Historian by
Caltrans. She has extensive knowledge with Native American consultation, consultation with city
and county historical societies, and analysis of primary and secondary sources. Additionally,
she is an approved Reader at the Huntington Library by the Los Angeles Office of Historic
Resources.
JoHry Gusr, PH.D.
Principal Investigator for Archaeology
Dr. Gust is a Registered Professional Archaeologist (RPA) with over 9 years of experience in
field archaeology. He meets the qualifications required by the Secretary of the Interior's
Standards and Guidelines for Archaeology and Historic Preservation and his field expertise
includes pedestrian surveys, excavation monitoring, resource recording, and historic artifact
analysis. Dr. Gust has managed a variety of projects at Cogstone in the transportation, water,
development, residential, telecommunications, and public works sectors. Dr. Gust is a member
of the Society for California Archaeology, Society for American Archaeology, and the American
Anthropological Association.
VIRGINIA ADAMS, M.A.
PAL- Senior Architectural Historian
Ms. Adams is a senior architectural historian with 43 years of experience in cultural resources
management and historic preservation planning. Ms. Adams has worked in state historic
preservation offices in the Massachusetts National Register program and as an environmental
review coordinator in Rhode Island. Ms. Adams' experience includes overseeing and conducting
large scale town and agency surveys; National Register of Historic Places eligibility evaluations
and nominations; and state and federal-level historic archival documentation projects, and
historic structures reports for a wide variety of resources, project seales, and locations.
4
QUALIFICATIONS
Cogstone Resource Management Inc. (Cogstone) is a California corporation formed in April
2001 and a certified DBE (#49374). Specializing in archaeology, paleontology, and history,
Cogstone serves both public- and private-sector clients throughout California. For 20 years,
Cogstone has provided quality environmental services to assist clients in meeting project
compliance requirements for federal, state, and local regulations, including the California
Environmental Quality Act (CEQA), National Environmental Policy Act (NEPA), and Section 106
of the NHPA, Native American Grave Protection and Repatriation Act (NAGPRA), Senate Bill
18, Assembly Bill 52, among others. Cogstone recognizes the importance of producing thorough
and defensible work products that stand up to both industry review and legal challenge. This
includes every facet of the cultural resource management process, from initial review and client
consultations through implementation of mitigation programs during construction to reporting
and public outreach.
Ca/frans and Transportation Experience. Cogstone has served as prime and
subconsultant on hundreds of transportation projects throughout California. Cogstone's
professional staff is familiar with the compliance requirements of Caltrans, FHWA, and
Federal Transit Administration (FTA). We have addressed the impacts to cultural resources
associated with new construction or improvements for roadways, interchanges, freeways,
bridges, and grade separations in urban and unincorporated environments. Our experience
encompasses multiple projects and task orders for on-call contracts, and local assistance
projects in all Caltrans Districts.
Cultural Resources. Cogstone's cultural resources specialists have extensive project
experience with Caltrans as the federal or state lead agency. Key personnel have prepared
APE maps and numerous cultural reports and evaluations in accordance with Caltrans
standards, such as short form and narrative HPSR, ASR, Extended Phase I (XPI) Reports,
HRER, and FOE. Typical tasks include APE maps, literature reViews, consultations,
geomorphology analyses, pedestrian surveys, and recording resources on California
Department of Parks and Recreation 523 (DPR 523)forms:
Historic Preservation/Architecfural History. Cogstone has extensive experience
conducting archival research, documenting and evaluating historic properties, preparing
historic contexts, evaluating historic properties for listing in the National Register of Historic
Places (NRHP) and the California Register of Histo ical Resources (CRHR), preparing DPR
523 forms, assessing adverse effects, and consultations with the California State Office of
Historic Preservation (SHPO).
G/S Database Experience. Cogstone employs experienced GIS Specialists to create high
resolution maps for our technical reports. In-house capabilities of our GIS Department
include ESRI's ArcGIS software that allows us to efficiently integrate technical studies more
frequently with GIS data. ArcGIS is used to manipulate, analyze, and interpret data from
many sources, including aerial photography, satellite imagery, digital elevation models, and
topographic maps.
5
SELECTED PROJECT EXPERIENCE
FAITH HOME/GARNER ROAD CONNECTION PROJECT, ,,_. "v::
CALTRANS DISTRICT 10, STANISLAUS COUNTY, CA. . ° a. `"" --' yl
Stanislaus County, working in cooperation with . , iG „
Caltrans and the Stanislaus Council of c -
Govemments, proposed to construct a four-lane
expressway from the existing Faith Home
Road/Hatch Road intersection north to the Garner
Road/Finch Road intersection. The total length of
the project would be approximately one mile. The
Stanislaus County Department of Public Works
acted as the lead agency under CEQA and
Caltrans acted as lead agency under NEPA.
An intensive pedestrian survey of the entire archaeological APE was conducted for the ASR
which identified five new built historic archaeological sites and one newly recorded isolated find.
DPR 523 forms were prepared for the isolated find and appended to the ASR. DPR 523 forms
were also prepared for the historic built archaeological sites, which were evaluated in the
HRER. Combined AB 52/Section 106 consultation letters composed by the County were sent by
Cogstone, who managed the responses related to tribal resources or heritage sites within the
APE. In addition, Cogstone prepared a combined Paleontological Identification Report and
Paleontological Evaluation Report (PIR/PER) to assess the potential to impact paleontological
resources and also conducted a geoarchaeological sensitivity analysis for the ASR to determine
the potential for buried sites within the APE. Constraints included hardscaping, abundant
vegetation, and one area of the APE that was fenced. The analysis included a review of soils
and locations to determine grain sizes, slope, and environmental indicators that contribute to the
preservation of archaeological sites.
A total of 64 built resources are located within and immediately adjacent to the APE on a total of
29 parcels. Of these, eight built resources were newly-recorded during an intensive pedestrian
and built-environment survey. These resources were evaluated for historic significance
including historic farmhouses and barns). In addition, one linear irrigation feature was newly
recorded and one linear irrigation feature was updated. Thirteen buildings were re-evaluated
and their DPR 523 forms were updated and appended to the HRER. The built-environment
sunrey included photographing all built resources within the APE. GIS mapping for the project
included survey coverage maps, Geology maps, soils maps, built environment maps, and
mapping for all DPR 523 forms. The HRER evaluated the eight newly recorded historic
archaeological resources and one,historic linear irrigation feature as well as the previously
recorded 13 buildings and one linear irrigation feature. These evaluations determined that none
of the buildings or structures were recommended eligible for listing on the NRHP or the CRFiR.
S ze: Archaeological (Direct)APE: 181 Acres; Built Environment(Indirect)APE: 355
Acres
CosT: 43,319.80
KEY STAFF: Molly Valasik, Shannon Lopez, John Gust
DuRnTioN: 2017-2020
Sus To: Sycamore Environmental Consultants, Inc.
CONTACT: John Whitehouse- Caltrans District 10
559)445-6312- iohn.whitehouse(a dot.ca.qov
6
I-605/KATELLA AVENUE INTERCHANGE IMPROVEMENTS PROJECT, CALTRANS DISTRICT 12, OCTA,
CITY OF LOS ALAMITOS, ORANGE COUNTY, CA.
OCTA, in cooperation with Caltrans District 12 ,
p,. . '' '`' _
and the City of Los Alamitos, proposed to " =
A 4 ,,,
improve the local interchange at Interstate 605
and Katella Avenue to improve freeway access
and arterial connection, improve interchange
traffic operations, enhance safety, and improve
pedestrian and bicycle facilities within the =
y.:.;
interchange area. Cogstone provided cultural "`-'-`,
and paleontological resources consulting
services to support the improvements intended to
improve freeway access and arterial connection, ;:
c `"a , p ;M:., , ",:"l .
improve interchange traffic operations, enhance ti',: .
safety, and improve pedestrian and bicycle
facilities within the Project limits while minimizing adjacent right of way, environmental, and
economic impacts.
Cogstone prepared an ASR, HPSR,
Historic Resources Evaluation Report
r R' HRER, and a combined Paleontological
r
Identification and Evaluation Report
PIR/PER). A total of five potentially historic
properties were newly-recorded and
y5., `' ;„., evaluated as part of the HRER. In addition,
A .r '..
4 .
t 13 buildings were re-evaluated and DPR
y ,' . .:523 forms were updated. Cogstone
1 performed a geomorphological analysis
4--during the ASR which included the
r - ' preparation of stratigraphic sections and
sedimentology descriptions as well as
paleoenvironmental analysis. Based on the observations made during the pedestrian survey for
the ASR, Cogstone also performed an Extended Phase I Testing (XPI) of a potential shell
midden site within the APE. The XPI was negative for cultural resources.
S ze: Direct APE: 49 Acres; Indirect APE: 93.1 Acres
CosT: 40,534.00
KEY STAFF: Molly Valasik
DURATION: 2017-2018
Sus To: Michael Baker International
CoNrACT: Jonathon Wright—Caltrans District 12
949) 724-2701 —Ionathon.wriqhtCa dot.ca_qov
7
SR-57 ORANGEWOOD TO KATELLA AVENUE NORTHBOUND IMPROVEMENT PROJECT, CALTRANS
DISTRICT 12, OCTA, CITY OF ANAHEIM AND CITY
OF ORANGE, ORANGE COUNTY, CA. The project
was proposed by OCTA in cooperation with ti- t
Caltrans District 12 and with assistance from the
Cities of Anaheim and Orange. Cogstone s
provides cultural and paleontological resources
consulting services to support the proposed
widening and restriping of the northbound side of
the freeway from Orangewood Avenue on-ramps
to the Katella Avenue off-ramps wifh additional
enhancements to improve freeway operations k r .,
within Caltrans District 12 and the Cities of
Anaheim and Orange.
Cogstone prepared an ASR with geomorphological analysis which included the preparation of
stratigraphic sections and sedimentology descriptions as well as paleonevironmental analysis,
HPSR, and PIR. Services included records searches, intensive-level pedestrian survey of the
accessible areas of the 39.35-acre APE, assistance with Native American consultation, Sacred
Lands File search request from the NAHC, literature review, extended ethnographic
background, and reporting. No archaeological resources were located within the APE. Given the
historic hydrogeologic setting described above where the riverwash sediments would be too
active to contain buried archaeological deposits, the flood control measures used to deepen the
Santa Ana channel to a depth below where prehistoric sites are likely to occur, the previous
disturbances within the river from construction of the existing freeway and annual ground
disturbing activities conducted by Orange County Flood Control District, as well as the lack of
previously recorded prehistoric archaeological resources in the vicinity of the river, it is
concluded that the potential for subsurface archaeological deposits within this segment of the
Santa Ana River is low. Four Bridges are located within the APE. All have been evaluated by
Caltrans as Category 5 bridges and determined as not eligible for listing on the NRHP.
S ze: Direct APE: 39.35 Acres; Indirect APE: 123.37 Acres
CosT: 16,080.36
KEY STAFF: Molly Valasik
DURATION: 2017-2018
Sus To: WSP USA, Inc.
CONTACT: Cheryl Sinopoli—Caltrans District 12
949) 724-2855—cheryl.sinopoli(a dot.ca.qov
SCOPE OF WORK
Cogstone will prepare an APE Map, ASR, HRER, HPSR, and FOE for the Project. The
approach for each deliverable is described below with key tasks listed for each deliverable.
Assumptions are included for each deliverable which show any anticipated issue areas and
solutions to these problems.
8
TASK 1 -AREA OF POTENTIAL EFFECT MAP(APE)
Cogstone will develop an APE Map in compliance with Caltrans/FHWA guidelines. Development
of the APE Map will include consultation with appropriate Native American tribes provided by
the Native American Heritage Commission (NAHC) and interested local historical societies
including the Old Towne Preservation Society and Orange Community Historical Society.
Cogstone will attempt to contact these individuals and societies a total of three times and will
document these efforts in the ASR, HRER, and HPSR. Key tasks will include:
Meetings: Cogstone will attend a one-hour meeting at the beginning of this task. All
meetings will be digital.
APE Map
o Develop appropriate APE maps in coordination with the City, Native American
tribes, and interested local historical societies.
o Prepare and submit draft APE map for review and approval by the City and
Caltrans/FHWA.
o Obtain Caltrans signatures on draft APE Map.
o Provide electronic version of the APE map to Caltrans.
Section 106 Native American Consultations: Cogstone will conduct consultations to
meet the requirements of Section 106. Tasks will include requesting a Sacred Lands File
search from the NAHC. Cogstone will then provide assistance in communicating with the
Native American individuals, groups, or tribes provided by the NAHC regarding the
project. Cogstone will maintain a log of a minimum of three attempts to obtain
comments. All letters will be sent via United States Postal Service (USPS)Certified Mail.
Historical Society Consultations: Contact interested local historic preservation groups
including the Old Towne Preservation Society and Orange Community Historical Society
to obtain information and concerns regarding the APE. Cogstone will follow-up two
times. All letters will be sent via USPS Certified Mail.
Deliverables: Draft(s)of APE Map; Final APE Map
Assumptions: A one-hour meeting is included. The City will provide 60% level engineering
drawings per the RFP. Geographic Information System (GIS) map layers of the Project will be
provided by the City. We assume the City will complete Assembly Bill 52 Consultation per
Addendum 1 dated March 26, 2021. In-depth ethnographic research for Tribal Cultural
Resources (TCRs)will not be required.
TASK 2-ARCHAEOLOGICAL SURVEY REPORT(ASR)
Cogstone will prePare an ASR once the APE Map has been approved. We understand that the
Project APE is highly disturbed due to previous development activities such as roadway
construction. The ASR will consist of a California Historical Resources Information System
CHRIS) cultural resources records search, geomorphology analysis, background research, and
an intensive pedestrian survey of exposed ground surfaces within the APE. The Sacred Lands
File search provided by the NAHC and consultations with Native American tribes completed
under Task 1 -APE Map will be included in the ASR. The draft ASR will be submitted to the City
and Caltrans/FHWA for approval. Cogstone will include time to respond to comments and revise
the report to obtain City and Caltrans/FHWA approval. Key tasks include:
Meetings: Cogstone will attend a one-hour meeting at the beginning of this task. All
meetings will be digital.
9
Gogstone will review the results of the CHRIS records search dated December 23, 2020,
which will be provided by the City.
Geomorphology Analysis: Cogstone will conduct a geomorphology analysis to
determine the sensitivity for subsurface archaeological deposits.
Background Research: Conduct research to develop brief contexts for prehistoric,
ethnographic, and historic resources.
Survey: Cogstone will conduct an intensive pedestrian archaeological sunrey by a
qualified archaeologist of the entire APE. We assume no archaeological resources will
require recording or updating on Department of Parks and Recreation 523 (DPR 523)
forms.
ASR
o Prepare the ASR in accordance with Volume 2 (Cultural)of Caltrans' Standard
Environmental Reference (SER) Handbook
o Three rounds of responses to comments and revision of the Draft ASR are
included.
Deliverables: Draft(s)of ASR; Final ASR
Assumptions: A one-hour meeting is included. The City will provide a copy of the records
search results from the South Central Coastal Information Center(SCCIC) dated December 23,
2020. The City will provide the DPR 523 forms for the properties adjacent to the site, which
were prepared in 2005. The City will provide a copy of the Preliminary Environmental Study
PES) form dated January 4, 2021. No archaeological resources will require recording or
updating on DPR 523 forms. No subsurface testing or evaluation of archaeological resources
will be required. Responses to one round of comments from the City and two rounds of
comments from Caltrans/FHWA are included. All reports will be delivered electronically.
Changes in scope will require a change order.
TASK 3-HISTORIC RESOURCES EVAWATION REPORT(HRER)
Cogstone will prepare the HRER once the APE Map has been approved. Cogstone will
document all historic buildings, structures, objects, districts, cultural landscapes, and historical
archaeological sites within the Project APE. Based on a review of the RFP, two historic
buildings adjacent to the no thwest and northeast corners of the South Glassell Street and
Palmyra Avenue intersection will require DPR 523 updates. These two buildings have been
identified as contributors to the Old Towne Orange Historic District and were previously
recorded on DPR 523 forms during a 2005 historic resources survey update conducted by the
City. Cogstone will include time to respond to comments and revise the report to obtain City and
Caltrans/FHWA approval. Key tasks include
Meetings: Cogstone will attend a one-hour meeting at the beginning of this task. All
meetings will be digital.
Background Research: Cogstone's Architectural Historian will conduct archival
research and review associated documents for the District and the two historic buildings.
Built Environment Survey: Cogstone's Architectural Historian will conduct a built
environment survey. We assume two historic properties and one historic district will
require updating on DPR 523 forms.
HRER
o Prepare the HRER in accordance with Volume 2 (Cultural) of Caltrans' Standard
Environmental Reference (SER) Handbook
10
o Three rounds of responses to comments and revision of the Draft HRER are
included.
Deliverab/es: Draft(s)of HRER; Final HRER
Assumptions:A one-hour meeting is included. The City will provide the 2005 historic resources
survey update. Two historic buildings will require updating on DPR 523 forms. Responses to
one round of comments from the City and two rounds of comments from Caltrans/FHWA are
included. All reports will be delivered electronically. Changes in scope will require a change
order.
TASK 4-HISTORIC PROPERTY SURVEY REPORT(HPSR
Cogstone will prepare the HPSR to summarize the results of the HRER and ASR for
Caltrans/FHWA approval and for State Historic Preservation Office (SHPO) concurrence. The
HPSR will summarize the project description, APE, research and identification of cultural
resources, consultation efforts with interested public parties and Native American tribes, and
document the proposed effects findings, as appropriate. The HPSR will be submitted to the City
and Caltrans FHWA for approval before it is submitted to SHPO for concurrence. Cogstone will
include time to respond to comments and revise the report to obtain City, Caltrans/FHWA, and
SHPO approval. Key tasks include:
Meetings: Cogstone will attend a one-hour meeting at the beginning of this task. All
meetings will be digital.
HPSR
o Prepare the HPSR which summarizes the HRER and ASR in accordance with
Caltrans' SER Volume 2.
o Four rounds of response to comments and revision are included.
Deliverab/es: Draft(s)of HPSR; Final HPSR
Assumptions:A one-hour meeting is included. Responses to one round of comments from the
City, one round of comments from Caltrans/FHWA, and two rounds of comments from SHPO
are included. All reports will be delivered electronically. Changes in scope will require a change
order.
TASK 5-FINDING OF EFFECT(FOE
Cogstone will prepare the FOE by applying the Criteria of Adverse Effect to the Project and
evaluate how the Project will affect the historic properties within the APE. The RFP states that
an FNAE is anticipated and Cogstone concurs based on a preliminary review and our
experience within the Historic District. The FOE will be prepared in compliance with
Caltrans/FHWA requirements and submitted for approval to the City, Caltrans/FHWA, and
SHPO. Cogstone will include time to respond to comments and revise the report to obtain City,
Caltrans/FHWA, and SHPO approval. Key tasks include:
Meetings: Cogstone will attend a one-hour meeting at the beginning of this task. All
meetings will be digital.
FNAE
o Prepare the FNAE in accordance with Caltrans' SER Volume 2.
o Four rounds of response to comments and revision are included.
11
Deliverables: Draft(s) of FNAE; Final FNAE
Assumptions: A one-hour meeting is included. The anticipated deliverable is a FNAE.
Responses to one round of comments from the City, one round of comments from
Caltrans/FHWA, and two rounds of comments from SHPO are included. All reports will be
delivered electronically. Changes in scope will require a change order.
PROPOSED PROJECT SCHEDULE
Task Management and Begin immediately upon receipt
Project Manager: 1
Meetings of executed contract.
Principal Investigator(PI)
for Archaeolo : 1
Draft APE Maps submitted
Within two weeks of executed Project Manager: 1
1 for City and
contract. GIS Specialist: 8
Caltrans/FHWA review
Begin immediately upon receipt
of executed contract.
Native American Anticipate 14 days
1 Coordination and turnaround with NAHC. PI for Archaeology:2
Assistance Anticipate up to 30-day
Supervisor: 12
turnaround by Native
American tribes.
Begin immediately upon receipt
Consultation with
of executed contract.
Historical Societies
Anticipate up to 30-day Architectural Historian:4
turnaround by historical
societies.
2
Task Management and Begin immediately upon receipt Project Manager: 1
Meetings of executed contract. PI for Archaeolo : 3
2
Cultural Resources Upon receipt of CHRIS records
Supervisor:2
Records Search Review search from the Cit .
2 Geomorphology Analysis
thin two weeks after receipt of PI for Paleontology: 6
an a roved APE Ma . GIS S ecialist: 1
2 Background Research
Begin immediately upon receipt
Supervisor:4
of executed contract.
Within two weeks after receipt of
Intensive Pedestrian an approved APE Map.
2
Survey
Supervisor:4
Assumes no issues with
ermission to enter.
Project Manager: 3
Within 30 days after completion PI for Archaeology:8
2 Submit Draft ASR
of the pedestrian survey.
Supervisor: 14
GIS Specialist:4
Technical Editor:2
Response to Three
Each round of comments will be
2 Rounds of Comments and
addressed and resubmitted PI for Archaeology: 8
Final ASR
within finro weeks from receipt of Supervisor:6
comments.
12
Project Manager: 1
3
Task Management and Begin immediately upon receipt Senior Architectural
Meetings of executed contract. Historian:2
Architectural Historian: 1
3 Background Research
Begin immediately upon receipt
Architectural Historian: 16
of executed contract.
Within two weeks after receipt of
an approved APE Map.
3 Built Environment Survey Architectural Historian:4
Assumes no issues with
ermission to enter.
Within 30 days after completion
Architectural Historian: 12
3 DPR 523 Forms
of the built environment surve .
Supervisor:2
y GIS S ecialist:2
Project Manager: 1
Within 30 days after completion
Senior Architectural
3 Submit Draft HRER
of the built environment survey.
Historian: 8
Architectural Historian: 20
Technical Editor:2
Response to Three
Each round of comments will be Senior Architectural
3 Rounds of Comments and
addressed and resubmitted Historian:4
Final HRER
within two weeks from receipt of Architectural Historian: 8
comments.
4
Task Management and Begin immediately upon receipt Project Manager: 1
Meetin s of executed contract. A chitectural Historian: 1
Within two weeks of drafting the
Project Manager: 1
HRER and ASR
Senior Architectural
Historian:2
4 Submit Draft HPSR
SHPO review of deliverables will P fo Archaeology: 8
occur after approval by the City
Architectural Historian: 1
and Caltrans/FHWA.
Supervisor:4
GIS S ecialist: 1
Each round of comments will be
Senior Architectural
Response to Three Historian: 2
addressed and resubmitted
4 Rounds of Comments and
Within two weeks from receipt of P for Archaeology:2
Final HPSR A chitectural Historian: 1
comments.
Su ervisor:2
Project Manager: 1
5
Task Management and Begin immediately upon receipt Senior Architectural
Meetings of executed contract. Historian: 2
Architectural Historian: 1
Within 30 days after completion
project Manager: 1
of the pedestrian survey. Senior Architectural
Submit Draft FOE
5 (
assumes FNAE) SHPO review of deliverables will
Historian: 8
occur after a roval b the Cit
Architectural Historian: 16
and Caltrans/FHWA.
y y Technical Editor: 1
Response to Three Each round of comments will be Senior Architectural
5 Rounds of Comments and
addressed and resubmitted
Historian:4
Final HPSR
within two weeks from receipt of
Architectural Historian: 8
comments.
13
INSURANCE COVERAGE & DBE COMPLIANCE
If awarded the contract, Cogstone understands and agrees to all insurance requirements listed
in the RFP. See next page for Cogstone's Certificate of Liability Insurance.
The City has established a Disadvantaged Business Enterprise (DBE) mandatory participation
goal of 45%for the Project. Cogstone is a certi ed DBE (CPUC#49374) and will be responsible
for 77.24% of the Project spend. The remaining 22.76% will be used by PAL for review of
historic resources deliverables.
14
4 oCRO CERTIFICATE OF LIABILITY INSURANCE
p
srzsnoz o
THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER THIS
CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATNELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES
BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETV4EEN THE ISSUING INSURER{S),AUTHORIZED
REPRESENTATIVE OR PRODUCER,AND THE CERTIFICATE HOLDER.
IMPORTANT: If tha certiFlaate holder Is an ADDITIONAL INSURED,the policypea)must have A DITIONAL INSURED provislons or be endorsed.
If SUBROGATION IS WAIVED,subJect to the terms and eonditlons oF the policy,certaln policies may require an endorsement A statement on
this certtfleata doas not conPar rigMs to the certlfieate holder In Ileu oI such endorsemerd(s).
VRODOCER
xan: Elizabeth Lee
D Heffeman Insurance Brokers vxoxe
35 Carlback Avenue 925934-8500 No 925934 278
Walnut Creek CA 94596 AD DR ESS elizabethi effins.com
IN9IRENR FFORDING COVER/IGE NAIG K
warsEax:The Travelers Indemnit Com an of Connecdcut 25682
a p COOBRES-01
wsuaeaa:Travelers Prope Casual Compan ofAmerica 25674
stone Resource Management Inc.
15 8 W Taft Ave msur ac:U.S.S edal Insurance Com an 29599
Orange CA 92865 BlSURERD:
WSURERE:
MSURERF:
COVERAGES CERTIFICATE NUMBER:971750910 REVISIDN NUMBER:
hIIS IS TO CERl1FY THAT THE POLICIES OF INSURANCE fJSTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INOICA7ED. NONATHSTANDING ANY REGUIREMENT,TERM OR CCdJDITION OF ANY CONIRACT OR OTH92 DOCUMENT NATH F SPECT TO 1M ICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN,THE INSURANCE AFFORDED BY THE POIJCIES DESCRIBED HEREIN IS SUBIECT TO ALL THE TERMS,
DCCLUSIONS AND CONDITIaJS OF SUCH POLICIES.LIMITS SHOWN MAY HAVE BEEN F DUCED BY PAID CLAIMS.
iYPEOFQISURpNCE POIICYNI1t1BER t L 7 TS
A X CO'WEffRCIALGENERALLIABWIY 6809N7990502047 911Q020 911l2021 EpCHOCCURRENCE 52,000,000
ClA1MSMADE OCCUR PREMI9E9 aoccurrence 51,000,000
MEDD(P(AMoneparsor 55,000
PERSONALBADVIWURY fZ,00O,000
OENLAOOREOA7ELIMITAPPLIEBPER: OENERALAOOREOA7E .i4.000,000
POLICY E LOC PRODUCTS-COMP10P 00 E4.000,000
OTHER: s
n auToasoeae weam BA9N19939920GRP 9l1Q020 9112021 a aBc BD'SINOLE L1MR s 1,000,000
X ANY AUi'0 BODILY INJURY(Per OersoN S
OWNED BCHEDULED
BODILYINIURY(Peraccltlert) EAUTOSONLYAUT08
HIRED NON OWNED PROPERTYDqMAOE $
AUTOS ONLY AUT08 ONLY er accl nt
8
B X M1'PELLALUIB X OCCUR CUP9N199596 9J12020 9f112021 EpCHOCCURRENCE E5,000,000
E%CESSLIAB CLAIMSMADE AOOREOATE i$,OOO,OOO
DED RETENTION$ S
g wonxERSCOeu+NsnTwN U89N199295Z047G 9/1R020 911R021 X gTqME ERµJINDEdP1.OYER5L1AB9.rtY Y1N
AMPROPPoETORIPARTNERIIXECUfNE E.LEACHACCIDENf 51.000,000
OFFICERIIAEMBERIXCLlAED7 N A
61mWaloryinNH) E.LDISEA9E-EAEMPLOYEE 51,000,000
If ye&aescri0e untlef
DE8CRIPTION OF OPERpTIONS elow E.L DISEABE-POUCY L1MR f 1,000,000
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DESCWPiIOH OF OPERAilONS lLOCATIONS JYEHICLES(IICORD 107,IltldWanal RemaMs SchalWe,maq be attached 7mo e spxe Is required)
CERTIFICATE HOLDER CANCELLATION
SHOULD ANY OF TNE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
TNE EXPiRATION DATE THEREOF, NOTICE iMLL BE DELNERED IN
ACCORDANCE WRHTHE POLICY PROVISIONS.
Pr f of Cwerage
I I7NOHI7F0 RFVRFiFNTATIVF
O 1988 2016 ACORD CORPORATION.All rlghts reserved.
ACORD 26(2016l03) The ACORD name and logo are registered marks of ACORD
15
Local Assistance Procedures Manual Erhibit 10-OI
Consultunt Proposal DBE Commitment
EXHIBIT 10-01 CONSULTANT PROPOSAL DBE COMMITMENT
1.Local Agency: City of O[ange 2.Contract DBE Goal: 45%
3.Project oescription: HSIPL-5073(093);SP-4114 S.Glassell St at Palmyra Ave New Traf£c Signal Project
a.Project LocaGon: The intersection of S.Glassell Street at Palmyra Avenue
5.Consultanfs Name: CogStone Resource Management,Inc. 6.Prime Cedified OBE:
7.Description of Work,Service,or Materials
8.DBE
o
Supplied
Cert cation 9.DBE Contact Infarmation 10.DBE/
Number
CulwralRcsuurccsSarvic s:ScctionlUGComplianceRepotls 4937q y a v..ceacFo.,9,-;oo.m a yvu«r.om 7'].24
Local Agency to Complete this Section
17.Local Agency Conlract Number.
11.TOTAL CLAIAAED DBE PARTICIPATION "]'J,24%
18.Federal-Aid Project Number: HSIPL-5073(093)
19.Proposed Contract Execution Date:
20.ConsultanYs Ranking after Evaluation:
IMPORTANT:IdenFify all DBE ftrms being clalmed for credit,
Local Agency cert es that all DBE certifications are valid and infortnation on
e9ardless of tier.Written confirtnation of each listed DBE is
this tartn is complete and accurate.
required.
a'V°"" 03/30/2021
12.Preparers Signature 13.Date
Molly Valasik 7l4)974-8300
14.Preparers Name 15.Phone
CEO/CFO
16.Preparers Title
DISTRIBUTION: Original-Included with consultant's praposal to local agency.
ADA Notlee: For individuals with sensory disa6ililies,this dacument is avallaCle fn altemate formats. For in(ortnatlon rall(916)654-6A70 or TDD(916)654-
3880 or write Records and Forms Management,1120 N Street,MS•88,Secramento,CA 95814.
LPP l8-Ol Page 1 of 2
January 2019
16
i
IT-
Principal Principal
d Program Director& Architectural TechnicalGlassell&Palmyra(Cogstone 5296) F Q
Investigator for Investigator for
Historian
Supervisor II Supervisor II GIS Specialist
Editor
Paleontology II Archaeology I
RAW Hourl Rates 48J0 37 60 34.00 27 00 29A0 30 00 28.00 30 00
Hours Hours Hours Hours Hours Hours Hours Hours
TOTAL TOTAL
LABOR HOURS LABOR COSTS
ask 1. Area of Potential Effect(APE)Map
A. APE Map 1.00 4.00 5 00 $ 146.00
B SecUon 106 Consultations 2 00 12.00 14.00 $ 404.00
C Histoncal Society Consultabons 4 00 4 00 3 108.00
w ' rE .E:... ,t. .
r
e-. . „• s. ',,.,... t. N:';3d K.a..
Y
fi=.
rr
i E
P .. a;,' w w
ask 2. ASR
A Cultural Resources Records Search Review 2 00 2.00 $ 60.00
8. Geomorphology Analysis 6.00 1.00 7.00 $ 253.60
C Background Researoh 2.00 2.00 $ 56.00
D. Intensive Pedestnan Survey 4A0 4.00 $ 116.00
E Draft ASR 2 00 8 00 16A0 4 00 2A0 32 00 $ 1,021 40
F Response to Three Rounds of Comments and Finai ASR 6 00 4 00 10 00 $ 324.00
w. r -. :. _
a..e x. , ... :.... r,_.v , .. ,... s s.'r
ask 3.HRER
A Background Researoh 12 00 12A0 $ 324.00
B. Built Enviranment Survey 4 00 4 00 $ 108.00
C. OPR 523 Forms(2 historic buildmg updates) 12 00 2 00 2.00 16 00 $ 440 00
D Draft HRER 2.00 20 00 1.00 2 00 25.00 $ 775 40
E. Respo se to Three Rounds ot Comments and Final HRER 6_00 6.00 $ 162 00
a€. : - . . ,,f
g
y
ask 4.HPSR
A Draft HPSR 200 4 00 6.00 1 00 13.00 $ 441.40
B Response to Three Rounds of Comments and Final NPSR 1.00 3 00 d.00 $ 150 70
M .,ia
a
i ..-''w.
e F _s .<_. . c:-. -:_=. . a . ..: ,
ask 5.FOE(assumes FNAE)
A Draft FNAE 1.00 16 00 1 00 1 A0 19.00 $ 538)0
B Res onse to Three Round oi Commenfs and Fnal FPJRE 6 00 6 00 S 162 00
r. , rtn-r r r i
5,541.20 ota irect bor osts
1 B. Certified Mail 8.00 $ 4 000 $ 32.00 6,672.16 OVHD(120 41%)
i C Certified Mail 2 00 4 000 $ 8 00 977.07 PROFIT(8%)
i 40.00 s
3,703 97 Subconsultant PAL
Assumptions i •
t.Five one-hour meetings are included.All meetings will be digital or teleconference due to COVID-19.
2.The City will provide the results of the records search dated 12/23/2020 per the RFP.
3.Assembly Biil 52 consultations will be completed by the City.
4.No archaeological resources will require recording or updating on DPR 523 forms.
5.We assume two histonc buildings will be updated on DPR 523 forms.
6.Three rounds of responses to comments and final report for each deliverable are inciuded.
7.All reports delivered electronically.
8.Changes in scope wil!require a change order
EXHIBIT "B"
MANDATORY FISCAL,FEDERAL AND OTHER PROVISIONS
Beneath this sheet.]
EXHI IT"B"
FISCAL,FEDERAL AND OTHER PROVISIONS
1. PERFORMANCE PERIOD
This Agreement shall go into effect on the Effective Date and Contractor shall commence work
within ten (10) days thereafter. The Agreement shall terminate as provided in the Agreement,
unless extended by mutual agreement of the parties.
2. TERMINATION
A. Upon termination, City shall be entitled to all work, including but not limited to, reports,
investigations, appraisals, inventories, studies, analyses, drawings and data estimates
performed to that date,whether completed or not.
B. City may temporarily suspend this Agreement, at no additional cost to City, provided that
Contractor is given written notice of temporary suspension. If City gives such notice of
temporary suspension, Contractor shall immediately suspend its activities under this
Agreement. A temporary suspension may be issued concurrent with a notice of termination.
C. Notwithstanding any provisions of this Agreement,Contractor shall not be relieved of liability
to City for damages sustained by City by virtue of any breach of this Agreement by Contractor,
and City may withhold any payments due to Contractor until such time as the exact amount of
damages, if any, due City from Contractor is determined.
3. COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS
A. Contractor agrees that 48 CFR Part 31,Contract Cost Principles and Procedures, shall be used
to determine the allowability of individual terms of cost.
B. Contractor also agrees to comply with federal procedures in accordance with 2 CFR Part 200,
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal
Awards.
C. Any costs for which payment has been made to Contractor that are determined by subsequent
audit to be unallowable under 48 CFR Part 31 or 2 CFR Part 200 are subject to repayment by
Contractor to City.
D. When a Contractor or subcontractor is a non-profit organization or an institution of higher
education,the cost principles for Title 2 CFR Part 200,Uniform Administrative Requirements,
Cost Principles, and Audit Requirements for Federal Awards shall apply.
Exhibit"B"
Page 1 of 5
4. AUDIT REVIEW PROCEDURES
A. Contractor and subcontractor Agreements, including cost proposals and Indirect Cost Rates
ICR),may be subject to audits or reviews.If selected for audit the document will be reviewed
to verify compliance with 48 CFR Part 31 and other related laws and regulations. The
document shall be adjusted by Contractor and approved by City's Project Manager to conform
to the audit or review recommendations.
B. Neither the pendency of an audit dispute nor its consideration by City will excuse Contractor
from full and timely performance, in accordance with the terms of this Agreement.
5. SUBCONTRACTING
A. Any subcontract entered into as a result of this Agreement, shall contain all the provisions
stipulated in this entire Agreement to be applicable to subcontractors unless otherwise noted.
B. Contractor shall pay its subcontractors within fifteen (15) calendar days from receipt of each
payment made to Contractor by City. In the event that there is a good faith dispute over all or
any portion of the amount due on a pro,gress payment from Contractor, Contractor may
withhold no more than 150 percent of the disputed amount. Any violation of this requirement
shall constitute a cause for disciplinary action and shall subject the Contractor to a penalty,
payable to the subconsultant, of 2 percent of the amount due per month for every month that
payment is not made.
C. No retainage will be held by City from progress payments due to Contractor. Contractor is
prohibited from holding retainage from subconsultants. Any delay or postponement of
payment may take place only for good cause and with City's prior written approval. Any
violation of these provisions shall subject the Contractor to the penalties, sanctions, and other
remedies specified in Section 3321 of the California Civil Code.This requirement shall not be
construed to limit or impair any contractual, administrative or judicial remedies, otherwise
available to Contractor in the event of a dispute involving late payment or nonpayment by
Contractor, deficient subconsultant performance and/or noncompliance by a subconsultant.
This clause applies to both DBE and non-DBE subconsultants.
D. Any substitution of subcontractors must be approved in writing in advance by the City's
Project Manager.
6. CONFLICT OF INTERE5T
A. Contractor shall disclose any financial,6usiness,or other relationship with City that may have
an impact upon the outcome of this Agreement or any ensuing City construction project.
Contractor shall also list current clients who may have a financial interest in the outcome of
this Agreement or any ensuing City construction project which will follow.
B. Contractor shall disclose to City any actual,apparent,or potential conflicts of interest that may
exist relative to the services to be provided pursuant to this Agreeinent. Contractor shall advise
City of any actual, apparent or potential conflicts of interest that may develop subsequent to
the date of execution of this Agreement. Contractor further agrees to complete any statements
of economic interest if required by either City ordinance or state law.
Exhibit"B"
Page 2 of 5
C. Contractor hereby certifies that it does not now have nor shall it acquire any financial or
business interest that would conflict with the performance of services under this Agreement.
7. REBATES,HICKBACKS OR OTHER UNLAWFUL CONSIDERATION
Contractor warrants that this Agreement was not obtained or secured through rebates, kickbacks
or other unlawful consideration either promised or paid to any City employee. For breach or
violation of this warranty, City shall have the right, in its discretion, to terminate this Agreement
without liability, to pay only for the value of the work actually performed, or to deduct from this
Agreement price or otherwise recover the full amount of such rebate,kickback or other unlawful
consideration.
8. DEBARMENT AND SU5PENSION CERTIFICATION
A. Contractor's signature affixed herein shall constitute a certification under penalty of
perjury under the laws of the State of California, that the Contractor or any person
associated therewith in the capacity of owner,partner,director, officer or manager:
1. Is not currently under suspension,debarment,voluntary exclusion,or determination
of ineligibility by any federal agency;
2. Has not been suspended, debarred, voluntarily excluded, or determined ineligible
by any federal agency within the past three(3)years;
3. Does not have a proposed debarment pending; and
4. Has not been indicted, convicted, or had a civil judgment rendered against it by a
court of competent jurisdiction in any matter involving fraud or official misconduct
within the past three(3)years.
B. Any exceptions to this certification must be disclosed to City. Exceptions will not
necessarily result in denial of recommendation for award, but will be considered in
deternuning responsibility. Disclosures must indicate the party to whom the exceptions
apply,the initiating agency, and the dates of agency action.
C. Exceptions to the Federal Government Excluded Parties List System maintained by the
U.S. General Services Administration are to be determined by FHWA.
9. DISADVANTAGED SUSINESS ENTERPRISES (DBE)PARTICIPATION
A. Contractor and City shall take necessary and reasonable steps to ensure that DBEs have
opportunities to participate in the contract(49 CFR 26). To ensure equal participation of
DBEs provided in 49 CFR 26.5, City shows a contract goal of 45% for DBEs. Contractor
shall make work available to DBEs and select work parts consistent with available DBE
subconsultants and suppliers.
B. Contractor shall meet the DBE goal shown elsewhere in these special provisions or
demonstrate that they made adequate good faith efforts to meet this goal. It is Contractor's
responsibility to verify that the DBE firm is certified as DBE at date of proposal opening
and document the record by printing out the California Unified Certification Program
CUCP) data for each DBE firm.
Exhibit"B"
Page 3 of 5
C. All DBE participation will count toward the Galifomia Department of Transportation's
federally mandated statewide overall DBE goal.Credit for materials or supplies Contractor
purchases from DBEs counts towards the goal in the following manner:
100 percent counts if the materials or supplies are obtained from a DBE manufacturer.
60 percent counts if the materials or supplies are purchased from a DBE regular dealer.
Only fees, commissions, and charges for assistance in the procurement and delivery of
materials or supplies count if obtained from a DBE that is neither a manufacturer nor
regular dealer.49CFR26.55 defines "manufacturer"and"regular dealer."
D. This Agreement is subject to 49 CFR Part 26, "Participation by Disadvantaged Business
Enterprises in Department of Transportation Financial Assistance Programs." Contractor
shall assist City in a good faith effort to achieve Califomia's statewide overall DBE goal.
E. The goal for DBE participation for this Agreement is 45%. Participation by DBE Contractor
or subcontractors shall be in accordance with information contained in Exhibit 10-01:
Consultant Proposal DBE Commitment , or in E ibit 10-02: Consultant Contract DBE
Commitment attached hereto and incorporated as part of the Agreement. If a DBE
subcontractor is unable to perform, Contractor must make a good faith effort to replace it with
another DBE subcontractor, if the goal is not otherwise met.
F. Contractor can meet the DBE participation goal by either documenting commitments to DBEs
to meet the Agreement goal, or by documenting adequate good faith efforts to meet the
Agreement goal. An adequate good faith effort means that Contractor must show that it took
all necessary and reasonable steps to achieve a DBE goal that, by their scope, intensity, and
appropriateness to the objective, could reasonably be expected to meet the DBE goal. If
Contractor has not met the DBE goal, complete and submit Exhibit 15-H: DBE Information—
Good Faith Efforts to document efforts to meet the goal. Refer to 49 CFR Part 26 for guidance
regarding evaluation of good faith efforts to meet the DBE goal.
G. Contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and
administration of DOT-assisted contracts. Failure by Contractor to carry out these
requirements is a material breach of this Agreement.
H. A DBE firm may be terminated only with prior written approval from City and only for the
reasons specified in 49 CFR §26.53(. Prior to requesting City consent for the termination,
Contractor must meet the procedural.requirements specified in 49 CFR §26.53(fl. If a DBE
subcontractor is unable to perform,Contractor must make a good faith effort to replace it with
another DBE subcontractor, if the goal is not otherwise met.
I. Contractor shall comply with all other requirements of federal law regarding termination and
substitution of DBEs and commitment and utilization of DBEs.
J. Contractor shall not be entitled to any payment for such work or material unless it is performed
or supplied by the listed DBE or by other forces (including those of Contractor) pursuant to
prior written authorization of City's Project Manager.
K. A DBE is only eligible to be counted toward the Agreement goal if it performs a commercially
useful function (CUF). A DBE performs a CUF when it is responsible for execution of the
work of the Agreement and is carrying out its responsibilities by actually performing,
managing, and supervising the work involved. To perform a CUF, the DBE must also be
Exhibit"B"
Page 4 of 5
responsible, with respect to materials and supplies used on the Agreement, for negotiating
price,determining quality and quantity,ordering the material and installing(where applicable),
and paying for the material itself. To determine whether a DBE is performing a CUF,evaluate
the amount of work subcontracted, industry practices, whether the amount the firm is to be
paid under the Agreement is commensurate with the work it is actually performing, and other
relevant factors.
L. A DBE does not perform a CUF if its role is limited to that of an extra participant in a
transaction, Agreement, or project through which funds are passed in order to obtain the
appearance of DBE participation. In determining whether a DBE is such an extra participant,
examine similar transactions,particularly those in which DBEs do not participate.
M. If a DBE does not perfoim or exercise responsibility for at least thirty percent (30%) of the
total cost of its Agreement with its own work force, or the DBE subcontracts a greater portion
of the work of the Agreement than would be expected on the basis of normal industry practice
for the type of work involved, it will be presumed that it is not perfornung a CUF.
N. Contractor shall maintain records of materials purchased or supplied from all subcontracts
entered into with certified DBEs. The records shall show the name and business address of
each DBE or vendor and the total dollar amount actually paid each DBE or vendor,regardless
of tier. The records shall show the date of payment and the total dollar figure paid to all firms.
DBE prime Contractors shall also show the date of work performed by their own forces along
with the corresponding dollar value of the work.
O. Upon completion of the Agreement, a summary of these records shall be prepared and
submitted on the form entitled, Exhibit 17-F: Final Report-Utilization of Disadvanta e_d_
Business Enterprise (DBE) First-Tier Subconsultants, certified correct by Contractor or
Contractor's authorized representative and shall be furnished to the City's Project Manager
with the final invoice. Failure to provide the summary of DBE payments with the final invoice
will result in twenty-five percent(25%)of the dollar value of the invoice being withheld from
payment until the form is submitted. The amount will be returned to Contractor when a
satisfactory "Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First-
Tier Subconsultants"is submitted to the City's Project Manager.
P. If a DBE subcontractor is decertified during the life of the Agreement, the decertified
subcontractor shall notify Contractor in writing with the date of decertification. If a
subcontractor becomes a certified DBE during the life of the Agreement, the subcontractor
shall notify Contractor in writing with the date of certification.Any changes should be reported
to City's Project Manager within thirty(30)calendar days.
Q. After submitting an invoice for reimbursement that includes a payment to a DBE,but no later
than the l Ot'of the following month,the prime contractor shall complete and email Exliibit 9-
F: Disadvantaged Business Enterprise Running Tally of Payments to
business.support.unit u,dot.ca.gov with a copy to City.
R. Any subcontract entered into as a result of this Agreement shall contain all of the provisions
of this section.
Exhibit"B"
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