Safe_Harbor_Rate_Form.pdf
PDF 85 KB Posted
- Attached to
- Systemic Traffic Signals Improvements Project
- Solicitation number
- 26-055
- Issued by
- Alameda County, California
About this file
This is a Safe Harbor Indirect Cost Rate (SHR) Program certification form issued by the State of California for consultant firms participating in state and local contracts, specifically applicable to the City of Hayward's Systemic Traffic Signals Improvements Project (RFP 26-055). The form establishes eligibility requirements and financial management system standards for consultant firms seeking to utilize the Safe Harbor indirect cost rates of 120% for home office work and 90% for field work. Consultant firms must certify they are not prime contractors on Caltrans contracts exceeding $3.5 million or local government contracts exceeding $1 million, have not used SHR for more than three years, and lack relevant contract cost history or previously accepted indirect cost rates from a cognizant agency. The certification requires firms to demonstrate adequate financial management systems capable of accumulating and tracking allowable, allocable, and reasonable direct labor and other direct costs by contract, segregating indirect costs, and removing unallowable costs in accordance with 2 CFR 200, Subpart D, and 48 CFR Part 31.
The questionnaire component of the form requires detailed responses regarding the firm's business structure, service types, government contracting experience, accounting system capabilities, and cost tracking methodologies. Consultant firms must confirm they maintain separate direct and indirect accounts, employ systems to identify and remove unallowable costs, assign unique project identification numbers, separate direct and indirect labor by cost objectives on timesheets, maintain written policies for accounting practices including overtime and prevailing wage compliance, and track vehicle mileage logs where applicable. The certification affirms management responsibility for the accuracy of all responses and represents that the firm's financial systems comply with federal cost principles, Title 23 U.S.C. Chapter 1 Section 112, and AASHTO Uniform Audit & Accounting Guide standards.
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Text version
California Safe Harbor Indirect Cost Rate Program
SHR Form Revised 9/25/2020 1
Consultant Firm Certification of Eligibility and Certification of Financial Management System
Consultant Firm Name _____________________________________________________________
Local Agency (if applicable) _______________________________________________________
Contract Number / Federal Project Number ________________________________________
Contract Total $ ___________________________________________________________________
For Subconsultant Firms – estimated % of work to be performed ____________________ %
Safe Harbor Indirect Cost Rate (SHR): Home: 120% and/or Field: 90% Field SHR will be utilized for contracts where the work deliverables are not completed from the consultant offices (i.e. Construction Inspection, Material Testing, Sources Inspection, others).
Consultant Firm Certification of Eligibility
I, the undersigned, certify that I am eligible to use the Safe Harbor indirect cost rate as I:
1. Am not a Prime Consultant Firm on a Caltrans contract > $3.5M, or Local Government contract > $1M, regardless of the participation amount.
2. Have not used SHR for more than three (3) years since entering the program on a state or federally funded contract.
AND
1. Do not have relevant contract cost history to use as a base for developing a Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31 compliant ICR.
2. Do not have a previously accepted ICR by a cognizant agency, or with an audited/accepted actual ICR, and do not have an existing contract with a provisional rate.
Certification of Financial Management System
I, the undersigned, certify that our financial management system in place for this contract and moving forward meets the standards for the Safe Harbor indirect cost rate requirements and financial reporting, accounting records, internal and budget control as set forth in 2 CFR 200, Subpart D. These standards require consulting firms have an accounting system
SHR Form Revised 9/25/2020 2 adequate to accumulate, and track allowable, allocable, and reasonable direct labor and other direct costs by contract; segregate indirect costs and remove unallowable costs.
Print Name ________________________________________________
Signature ________________________________________________ (Electronic Signature Allowed)
Title ________________________________________________
Date Completed _______________________
Note: The certification of this Safe Harbor Rate was made by, and are the responsibility of, the Company’s management.
Definition of Terms
Direct Cost is any cost that is identified specifically with a particular cost objective. Direct costs are not limited to items that are incorporated in the end products as material or labor.
Costs identified specifically with a contract are direct costs of that contract. All costs identified with other final cost objectives of the contractor are direct costs of those objectives, 48 CFR 31.202.
Indirect or overhead cost is any cost that is not directly identified with a single final cost objective but is identified with two or more final cost objectives or with at least one intermediate cost objective, 48 CFR 31. 203.
References
Title 48 Code of Federal Regulations (CFR) Part 31 -Federal cost principles.
Title 48 CFR Chapter 99, Subchapter B - Procurement Practices and Cost Accounting Standards.
Title is 2 CFR 200 Subpart D, Standards for Financial and Program Management.
Title 23 United States Code (U.S.C.), Chapter 1, Section 112 - Letting of Contracts.
Title 23 CFR, Chapter 1, Part 172 - Procurement, Management, and Administration of Engineering and Design Related Services.
American Association of State Highway and Transportation Officials (AASHTO) Uniform Audit & Accounting Guide (2016 Edition).
SHR Form Revised 9/25/2020 3
Caltrans Contract
If participating on a Caltrans Contract, also attach a completed copy of the following Safe Harbor Indirect Cost Rate Questionnaire for Evaluating Consultant Firm’s Financial Management System.
SHR Form Revised 9/25/2020 4
Questionnaire for Evaluating Consultant Firm’s Financial Management System Consultant Firm Name _____________________________________________________________
Firm Headquarters Address _________________________________________________________
Accounting Records
• Location where Accounting records are held ________________________
• Name and Title _____________________________________________________
• Email and Phone ____________________________________________________
• Mailing Address _____________________________________________________
To be eligible for Safe Harbor indirect cost rate (SHR), the Consultant Firm’s financial management system must be adequate to accumulate and track direct labor and other direct costs by contract, segregate indirect costs, and remove unallowable costs in accordance with 48 CFR 31 for the different business segments.
Instructions
1. Answer all questions and provide an explanation and additional supporting documentation where requested.
2. If additional space is required, please attach a separate sheet and refer to items being answered by number.
Has the Firm developed an indirect cost rate in the past? Yes ____ No ___ If “Yes”, you are NOT ELIGIBLE to use the SHR.
DO NOT CONTINUE with this Questionnaire and please complete the AASHTO Appendix B ICQ and provide an ICR Schedule.
Is the Firm a Prime Consultant Firm on a Caltrans contract > $3.5M Yes ____ No ___ Or Local Government contract > $1M, regardless of the participation Amount?
If “Yes”, you are NOT ELIGIBLE to use the SHR.
DO NOT CONTINUE with this Questionnaire and please complete the AASHTO Appendix B ICQ and provide an AUDITED ICR Report.
SHR Form Revised 9/25/2020 5
1. What form of business entity is the Firm?
Sole Proprietorship ___ Partnership ____ C Corporation __ S Corporation __
Other __________________________________________________
2. What types of services will the Firm provide for this contract? (Select all that apply.)
Architectural and Engineering Services ____ Program Management ____
Preliminary Engineering ____ Design Engineering ____
Surveying ____ Feasibility Studies ____
Mapping or Architectural Related Services ____ Other _____________________
3. Does the Firm have prior government contracting experience? Yes ____ No ____
4. Does the general ledger contain separate direct and indirect accounts for the following?
Labor Yes ___ No _____ Non-Labor Yes ____ No ____
5. Does the company have a system in place to identify and remove form the indirect cost pools all unallowable cost? Yes_____ No ____
6. Does the firm assign a unique identification/project number in your accounting system for each contract/project?
Yes _____ No _____
7. Is indirect and direct labor separated by contract/project/cost objectives on employee timesheets with unique reporting codes?
Yes _____ No _____
SHR Form Revised 9/25/2020 6
8. Do you have written policies on the following cost categories?
Accounting Yes ___ No ____ Overtime Yes _____ No ____
Billing Yes ___ No ____ Direct/Indirect Expenses Yes _____ No ____
Timesheet Preparation Yes ___ No ____ Prevailing Wage Yes _____ No ____
Bonus Yes ___ No ____
9. What types of employee status will the Firm provide for this contract?
Non-exempt ____ Exempt-salaried ___ Exempt-hourly ___ Contract Employee ___
Other __________________________________________________
10. Does the Firm pay overtime for exempt employees?
Yes _____ No ___
11. Besides labor, does the Firm normally bill/invoice the following as direct contract/project costs? (Select all that apply)
Vehicle _____ Shipping ______
Computer/CADD _____ Lab ______
Printing _____ Travel ______
Specialty Equipment ____ (List below)
Other (List below) ______
12. Are mileage logs maintained for all vehicles? If no, please explain below.
Explanation _____________________________________________________________________
Where is the vehicle stored after work? ___________________________________________
Does employee use vehicle for personal use? Yes ______________________ No_______
What is the recovery/billing rate used for Firm or personal vehicle mileage reimbursement?
$ ________ per mile
SHR Form Revised 9/25/2020 7
I certify that to the best of my knowledge and belief the responses to this questionnaire are accurate.
Print Name ________________________________________________
Signature ________________________________________________ (Electronic Signature Allowed)
Title ________________________________________________
Date Completed _______________________
Note: The certification of this Safe Harbor Rate was made by, and are the responsibility of, the Company’s management.
| Consultant Firm Certification of Eligibility and Certification of Financial Management System |
| Consultant Firm Certification of Eligibility |
| Certification of Financial Management System |
| Questionnaire for Evaluating Consultant Firm’s Financial Management System |
File details come from the government source that posted it. Updated .