DocuSign Envelope ID: CB444805-0819-4D3D-81DE-AD2C8B2BFD06 PHSKC Contract # 2581 APDE - Amendment 4 AMENDMENT This Amendment between King County and the Contractor changes the referenced Contract for the following purpose(s): This amendment adds $271,841 and extends the end date from July 31, 2019 to July 31, 2020. Outcomes # 2 and # 3 in the scope of work will be updated. All exhibits are modified accordingly. Contractor Name & Address: University of Washington, 4333 Brooklyn Ave NE, Office of Sponsored Programs, Seattle, WA 98105 Project Title: Seattle’s Sweetened Beverage Tax (SBT) Effective Date of Amendment: July 31, 2019 Contract Amount: No Change Change to: July 31, 2020 Contract Period: No Change Change end date to read: $636,754.44 Funding Source Details: No Change Revise the following funding details: Funding Source City of Seattle Exhibits: PHSKC Contract # 2244 APDE No Change Amount $636,754.44 Effective Dates Aug 01 TO Jul 31 2019 2020 New or Revised Revised (adding $271,841.00) Revise as follows: Exhibit A-4 Scope of Work reflects updated Outcomes #2 and #3 and the new Exhibit B Budget, Exhibit C Invoice, reflect the new amount with extended end-date which are attached hereto. Section II Term and Termination: No Change Change end date to read: Other King County Terms & Conditions: No Change Revise as follows: All other terms and conditions of the referenced Contract and any previous Contract amendment not revised herein shall remain unchanged and in full force and effect. CONTRACTOR SIGNATURE PRINTED NAME AND TITLE DATE SIGNED KING COUNTY SIGNATURE PRINTED NAME AND TITLE Marguerite Ro DATE SIGNED Diane Wentz, Ph.D. 9/11/2019 Compliance Analyst/Authorized Signing Official Director, CDIP 9/24/2019 DocuSign Envelope ID: CB444805-0819-4D3D-81DE-AD2C8B2BFD06 Exhibit A – 4 Scope of Work Amendment Number 4 between Public Health – Seattle & King County (PHSKC) AND University of Washington (UW) A comprehensive evaluation of the impacts of the Sweetened Beverage Tax The parties agree to amend the Contract between Public Health – Seattle & King County (PHSKC), and the University of Washington, (UW), as follows: • Contract period will be extended from “September 1, 2017 to July 31, 2019” to “September 1, 2017 to July 31, 2020” • Deliverables for Outcome #2 will be updated from “Complete 1) evaluation plans including data collection plan, data collection instruments, planned analyses and methodologies, a description of limitations, any changes or improvements made to the evaluation over time, description of members of the research team, and non-City funded studies of the SBT tax that Recipient will conduct, and 2) institutional review board approvals as needed & initiate 2018 data collection activities, 3) mid-year report specifying findings from mid-year data collection activities, 4) food security report, and 5) final year 1 evaluation report” To: “Complete 1) evaluation plans including data collection plan, data collection instruments, planned analyses and methodologies, a description of limitations, any changes or improvements made to the evaluation over time, description of members of the research team, and non-City funded studies of the SBT tax that Recipient will conduct, 2) institutional review board approvals as needed & initiate 2019 data collection activities, 3) progress report specifying findings from data collection activities, 4) food security report, 5) progress report on evaluation of the impact on jobs and business revenues*, including: 5a) phase 1 - determining whether planned analysis is feasible using Department of Revenue (DOR) data (e.g., complete data sharing request, receive data, consult with advisors such as Anirban Basu, Lisa Powell, Dave Hennes, and Jennie Romich on feasibility and limitations of proceeding with the study, if not feasible with DOR data, determine whether business revenue data is available through other data sources, and seek potential data sources for unemployment analysis), 5b) phase 2 – if determined feasible, proceed to descriptive and preliminary analyses (e.g., produce preliminary and descriptive analyses for feedback to advisors). 5c) phase 3 – if confident that results are reliable and meaningful, proceed with final analyses and interpretation *Each sub-phase should be done sequentially and will be reimbursed as completed. And 6) final year 1 evaluation report” APDE 2581, Amendment 4 -UW Office of Sponsored Programs 1 DocuSign Envelope ID: CB444805-0819-4D3D-81DE-AD2C8B2BFD06 • Deliverables for Outcome #3 will be updated from “Complete 1) evaluation plans including data collection plan, data collection instruments, planned analyses and methodologies, a description of limitations, any changes or improvements made to the evaluation over time, description of members of the research team, and non-City funded studies of the SBT tax that Recipient will conduct, and 2) institutional review board approvals as needed & initiate 2018 data collection activities, and 3) final year 1 evaluation report” To: “Complete 1) evaluation plans including data collection plan, data collection instruments, planned analyses and methodologies, a description of limitations, any changes or improvements made to the evaluation over time, description of members of the research team, and non-City funded studies of the SBT tax that Recipient will conduct, and 2) institutional review board approvals as needed & initiate 2019 data collection activities, 3) progress report specifying findings from data collection activities and 4) final year 1 evaluation report” • Deliverables review process will be updated (see highlighted text in deliverables review process section for changes) • Budget Section updated - changes to reflect awarded budget for Year 3 (2nd evaluation year): The budget will be updated from: Recipient Budget Year 1 (baseline) Year 1 (baseline): Added additional funding for Ironwood Survey of comparison area outside of Seattle University of Washington Year 2 (1st evaluation year): First half of 1st evaluation year Dollar Awarded ($) $156,105.00 $24,752.50 $92,027.97 (evaluation plan & initiation of data collection activities) Year 2 (1st evaluation year): Second half of 1st evaluation year $92,027.97 (mid-year report, food security report, & year 1 evaluation report) Total Awarded Budget Year 1 (baseline) & Year 2 (1st evaluation year) Not to exceed: $364,913.44 To: Recipient Year 1 (baseline) Dollar Awarded ($) $156,105.00 Year 1 (baseline): $24,752.50 Budget University of Washington APDE 2581, Amendment 4 -UW Office of Sponsored Programs 2 DocuSign Envelope ID: CB444805-0819-4D3D-81DE-AD2C8B2BFD06 Added additional funding for Ironwood Survey of comparison area outside of Seattle Year 2 (1st evaluation year): First half of 1st evaluation year $92,027.97 (evaluation plan & initiation of data collection activities) Year 2 (1st evaluation year): Second half of 1st evaluation year (mid-year progress report, food security report, & year 1 evaluation report) Year 3 (2nd evaluation year) Total Awarded Budget: Year 1 (baseline), Year 2 (1st evaluation year), Year 3 (2nd evaluation year) APDE 2581, Amendment 4 -UW Office of Sponsored Programs $92,027.97 $271,841.00 Not to exceed: $636,754.44 3 DocuSign Envelope ID: CB444805-0819-4D3D-81DE-AD2C8B2BFD06 Amendment 4 Exhibit A - Scope of Work A comprehensive evaluation of the impacts of the Sweetened Beverage Tax Recipient: University of Washington (UW) Contract Period: September 1, 2017 to July 31, 2020 DESCRIPTION OF OUTCOMES Outcome 1. Co-lead SBT evaluation team. UW will co-lead SBT evaluation activities with PHSKC to assure that the evaluation activities as specified in the ordinance are conducted rigorously and that the evaluation plan includes all of the elements described in Ordinance 125324, are developed in collaboration with the Community Advisory Board, and are within budget allocations approved by the City. In addition, UW will facilitate (or designate a facilitator for) all evaluation team meetings and provide consultation to overall evaluation design and implementation to PHSKC, City, and Community Advisory Board. Deliverables: Create agendas for all evaluation team meetings and develop reports and project proposal memos and related budget for SBT evaluation activities, which PHSKC will finalize and submit to the City. Outcome 2. Evaluate the impact of the tax on economic outcomes. UW will be responsible for designing and implementing the impact evaluation of the tax on taxed and untaxed beverage prices, jobs, and business revenues. Dr. Jones-Smith, Associate Professor in Health Services and Epidemiology with UW, will provide oversight on evaluation design. UW staff will collect, enter, code, and analyze data as needed, provide consultation to PHSKC, City, evaluation staff, and Community Advisory Board about assessing and revising ideas for improvement. As part of this work, UW will also conduct descriptive statistics for food security questions from existing healthy food access program studies, assess stores for availability and cost of a sample of foods, and assess completeness of food permit data using a census approach to food stores located in two areas in Seattle. UW will submit findings to PHSKC to comply with reporting requirements as mutually agreed upon. Deliverables: Complete 1) evaluation plans including data collection plan, data collection instruments, planned analyses and methodologies, a description of limitations, any changes or improvements made to the evaluation over time, description of members of the research team, and non-City funded studies of the SBT tax that Recipient will conduct, 2) institutional review board approvals as needed & initiate 2018 2019 data collection activities, 3) mid-year progress report specifying findings from mid-year data collection activities, 4) food security report, 5) progress report on evaluation of the impact on jobs and business revenues*, including: 5a) phase 1 - determining whether planned analysis is feasible using Department of Revenue (DOR) data (e.g., complete data sharing request, receive data, consult with advisors such as Anirban Basu, Lisa Powell, Dave Hennes, and Jennie Romich on feasibility and limitations of proceeding with the study, if not feasible with DOR data, determine whether business revenue data is available through other data sources, and seek potential data sources for unemployment analysis), 5b) phase 2 – if determined feasible, proceed to descriptive and preliminary analyses (e.g., produce preliminary and descriptive analyses for feedback to advisors). 5c) phase 3 – if confident that results are reliable and meaningful, proceed with final analyses and interpretation *Each sub-phase should be done sequentially and will be reimbursed as completed. and 5)6) final year 1 evaluation report APDE 2581, Amendment 4 -UW Office of Sponsored Programs 4 DocuSign Envelope ID: CB444805-0819-4D3D-81DE-AD2C8B2BFD06 Outcome 3. Evaluate the impact of the tax on norms and opinions in Seattle, utilizing a comparison area outside of Seattle to control for secular trends (additional funding secured in order to administer survey in a comparison area). UW will collaborate with an evaluation consultant to design and implement the impact evaluation of heightened attention to the adverse health effects of sugary drinks generated by the adoption and implementation of the tax, on norms and attitudes around sugary beverages in Seattle, utilizing a comparison area outside of Seattle to control for secular trends. UW (Dr. Jesse Jones-Smith) will work with an evaluation consultant and a data collection firm to collect, enter, code, and analyze data as needed, and provide consultation to PHSKC, City, evaluation staff, and Community Advisory Board about assessing and revising ideas for program improvement. UW and an evaluation consultant will submit findings to PHSKC to comply with reporting requirements as mutually agreed upon. Deliverables: Complete 1) evaluation plans including data collection plan, data collection instruments, planned analyses and methodologies, a description of limitations, any changes or improvements made to the evaluation over time, description of members of the research team, and non-City funded studies of the SBT tax that Recipient will conduct, and 2) institutional review board approvals as needed & initiate 2018 2019 data collection activities, 3) progress report specifying findings from mid-year data collection activities and 3) 4) final year 1 evaluation report DELIVERABLES REVIEW PROCESS This section describes the process for City review of deliverables, including: 1) City-funded reports (i.e., e.g., 6month data collection progress and findings report, food security report, and 12-month data collection and findings report, and 12-month report), 2) City-funded evaluation plans, 3) New reports and presentations (e.g., for an academic audience) based on work that had previously been funded by the City, and 4) reports by the Evaluation Team’s members that were funded through non-City sources. The objectives of the review process are for the City team to provide relevant input for the evaluation team. The Evaluation Team may independently publish findings drawn from the SBT study and the conclusions of those findings are the authors’ own. City-Funded Reports (estimated 7-9-week process) 1. The Evaluation Team will provide to the Office of City Auditor a complete draft report, to be referred to as the pre-briefing draft report, and any accompanying PowerPoint presentation slides, press releases or website content (i.e., accompanying materials), on the impacts of Seattle’s Sweetened Beverage Tax. This action will initiate the review process. The draft report will be as closely aligned as possible to the final report that the Evaluation Team plans to release to the Seattle City Council and the public. Specifically, the pre-briefing draft report will contain a description of the team’s methodology, the team’s conclusions, and an executive summary. 2. The City will have a minimum of 15 business days and maximum of 30 business days to review this draft. The Office of City Auditor will be responsible for ensuring that the draft and accompanying materials are circulated to the City Team, and that the City’s feedback on them is provided to the Evaluation Team. 3. After the City has completed its review of the pre-briefing draft, the Evaluation Team will provide a briefing to the City Team in advance of the Evaluation Team’s public presentations to the Seattle City Council on its reports on the evaluation of the impacts of Seattle’s Sweetened Beverage Tax. This briefing shall be referred to as the pre-briefing meeting. The City Team shall typically include Seattle City Councilmembers and their legislative aides, and representatives from the Office of City Auditor, City Council Central Staff, the Mayor’s Office, and the Human Services Department. Representatives from other City departments (e.g. Office of Sustainability and Environment) may be included as needed. The purpose of the pre-briefing is for the City to seek clarification, suggest corrections, pose questions APDE 2581, Amendment 4 -UW Office of Sponsored Programs 5 DocuSign Envelope ID: CB444805-0819-4D3D-81DE-AD2C8B2BFD06 and/or request additional analyses and information concerning the Evaluation Team draft report and accompanying materials. If the Evaluation Team disagrees with any suggested revisions proposed by the City on the pre-briefing draft report and accompanying materials, it will communicate the reasons for its disagreement to the Office of City Auditor during the pre-briefing meeting or in writing within 10 days following the pre-briefing meeting. 4. After the pre-briefing meeting, the Evaluation Team will then have at least 10 business days and maximum of 30 business days to prepare a final draft report and accompanying materials, which it will provide to the Office of City Auditor. 5. The Office of City Auditor will be responsible for ensuring that the Evaluation Team’s final draft report and accompanying materials are circulated to the City Team. 6. The City Team will then have a minimum of 10 business days and maximum of 30 business days in which to review the final draft report and accompanying materials prepared by the Evaluation Team, during which time the City may issue new requests regarding clarification or interpretation, but not requests for new or additional analysis. The Evaluation Team may need to make additional revisions to the final draft report based on this final City review. 7. The Evaluation Team will then submit the final report and accompanying materials to the Office of City Auditor, which will ensure that it is distributed to the City Team. The Office of City Auditor will also ensure that the Evaluation Team’s materials are provided to the appropriate Seattle City Councilmember’s office for purposes of a public presentation to the City Council. The Council presentation would occur at least 10 business days after the Evaluation Team delivers the final report and accompanying materials to the Office of City Auditor. The Evaluation team may publish findings from the report in peer-reviewed journals after the City accepts that final report. The Evaluation Team will coordinate with City Auditor so that public release of the City-accepted report occurs at a time that is acceptable to the chair of the City Council committee that is responsible for scheduling a public presentation of the report. 8. During the evaluation project period, the Evaluation Team will refrain from publicizing the final report, any evaluation findings, and accompanying materials either before the public briefing made by the Evaluation Team to the City Council, or the public release date acceptable to the chair of the City Council committee responsible for scheduling a public presentation of the report. Schedule for review of City-funded reports Report Name City-funded reports Responsible Party Evaluation Team submit draft to City City reviews draft report Evaluation Team prepares final draft City review final draft Evaluation Team submits final report to City Auditor Evaluation Team presents final report to City Council APDE 2581, Amendment 4 -UW Office of Sponsored Programs Period of time for review 15 to 30 business days 10 to 30 business days 10 to 30 business days 10 business days 6 DocuSign Envelope ID: CB444805-0819-4D3D-81DE-AD2C8B2BFD06 City Funded Evaluation Plans 1. The Evaluation Team will develop an annual evaluation plan beginning with the 2017-18 baseline evaluation. The annual evaluation plan should include data collection plans, draft data collection instruments, planned analyses and methodologies, a description of limitations, any changes or improvements made to the evaluation over time, and descriptions of the members of the research team. The annual evaluation plan should also describe any work planned by the Evaluation Team regarding the Sweetened Beverage Tax that is funded by non-City sources. 2. The City will have a minimum of 15 business days and maximum of 30 business days to review the draft evaluation plan. The Office of City Auditor will be responsible for ensuring that the draft and any accompanying materials are circulated to the City Team, and that the City’s feedback on them is provided to the Evaluation Team. 3. If needed, the Evaluation Team will meet with the City Team to review and discuss any questions or comments regarding the draft evaluation plan. 4. At the end of the City review period, the Evaluation Team will update the evaluation plan. However, it will remain a working document and can be updated by the Evaluation Team during the evaluation. New Reports and Presentations (e.g., for an academic audience) Based on Revisions of Work that had Previously Been Funded by the City 1. The Evaluation Team agrees to provide copies of such reports/presentations as they become available to the Office of City Auditor, which will distribute them to the City Team. The City Team may request a briefing about these products upon receipt. In some circumstances, the scheduled public release or presentation may occur before a requested briefing. 2. These new reports and presentations should specify: “The City of Seattle funded this work and provided input on the evaluation components and methods, but did not influence analyses, interpretation, or writing of this manuscript” and then list author contributions. Reports by the Evaluation Team members that were Funded Through Non-City Sources 1. The Evaluation Team may seek external sources of funding to use Sweetened Beverage Tax data to produce reports and presentations on questions not covered by the Ordinance. The Evaluation Team agrees to make the City Team aware of any work regarding Seattle’ s Sweetened Beverage Tax for which they receive funding from non-City sources. 2. The Evaluation Team agrees to provide copies of such reports/presentations, as they become available, to the Office of City Auditor, which will distribute them to the City Team. BUDGET Recipients will be reimbursed for work as follows (See Exhibit B for detailed budget): APDE 2581, Amendment 4 -UW Office of Sponsored Programs 7 DocuSign Envelope ID: CB444805-0819-4D3D-81DE-AD2C8B2BFD06 Recipient Budget Year 1 (baseline) Year 1 (baseline): Added additional funding for Ironwood Survey of comparison area outside of Seattle Year 2 (1st evaluation year): First half of 1st evaluation year University of Washington Dollar Awarded ($) $156,105.00 $24,752.50 $92,027.97 (evaluation plan & initiation of data collection activities) Year 2 (1st evaluation year): Second half of 1st evaluation year (mid-year progress report, food security report, & year 1 evaluation report) Year 3 (2nd evaluation year) Total Awarded Budget: Year 1 (baseline), Year 2 (1st evaluation year), Year 3 (2nd evaluation year) APDE 2581, Amendment 4 -UW Office of Sponsored Programs $92,027.97 $271,841.00 Not to exceed: $636,754.44 8 1) Complete annual approved work plans   2) Complete evaluation plans 3) Complete institutional review board approvals as needed & initiate data collection activities 4) Complete progress report specifying findings from data collection activities 5) Complete final baseline & final year 1 evaluation report Year 2 (Evaluation Year 1) Year 3 (Evaluation Year 2)  N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A  $                         12,633.00  $                           9,421.00  First half: Second half: 1st evaluation year 1st evaluation year Amount ($) Amount ($) Amount ($) N/A N/A N/A   $                          8,975.57  N/A  $                         11,539.00   $                       50,861.59  N/A  $                         56,172.00  N/A  $                         16,694.50  $                         27,664.00  N/A  $                         23,372.28  N/A   N/A   $              4,449.94   $              7,379.11   $              1,293.17   $            55,218.00   N/A  Baseline Amount ($) First half: Second half: 1st evaluation year 1st evaluation year Amount ($) Amount ($) Amount ($) N/A N/A N/A   $                       15,889.22  N/A $                         11,815.00   $                          6,809.67  N/A $                         97,958.00  N/A N/A $                         16,993.00  N/A  $                         11,018.00  N/A   $                       22,698.89   $                        11,018.00  $                      126,766.00  Totals ($): $          180,857.50   $                       92,027.97  $                        92,027.97  $                      271,841.00  GRAND TOTAL YEAR 1 (baseline), YEAR 2 (1st evaluation year), YEAR 3 (2nd evaluation year) ($): $                      636,754.44   $                  539.72   $              8,819.70   $                  179.91   $            58,846.58   $              1,079.45  Total ($):  $            69,465.36  Baseline Amount ($) $                         12,633.00  N/A  $                         26,711.19  N/A   $            33,611.42  Total ($):  $          101,951.64   $                       59,837.16   $                        66,777.97  $                      130,062.00  Outcome 3: Evaluate the impact of the tax on norms and opinions in Seattle, utilizing a comparison area  outside of Seattle to control for secular trends 1) Complete annual approved work plans 2) Complete evaluation plans 3) Complete institutional review board approvals as needed & initiate data collection activities 4) Complete progress report specifying findings from data collection activities 5) Food security report 6a) Complete phase 1 of evaluation of the impact on jobs and business revenues:  determine whether planned analysis is feasible using DOH data 6b) Complete phase 2 of evaluation of the impact on jobs and business revenues:  if determined feasible, proceed to descriptive and preliminary analysis 6c) Complete phase 3 of evaluation of the impact on jobs and business revenues:  if confident that results are reliable and meaningful, proceed with final analyses and interpretation 7) Complete final baseline & final year 1 evaluation report Outcome 2: Evaluate the impact of the tax on economic outcomes 1) Create Agendas for evaluation team meetings 2) Develop reports, project proposal memos and related budget for SBT evaluation activities Outcome 1: Co‐lead SBT Evaluation Team Year 2 (Evaluation Year1) First half: Second half: Baseline 1st evaluation year 1st evaluation year Amount ($) Amount ($) Amount ($) Amount ($)  $                  614.27  $                             664.43   $                           2,846.00  $                           1,000.00   $              8,826.23   $                          8,827.49   $                         11,386.00  $                         14,013.00  9,491.92 14,232.00 $                         15,013.00  Total ($):  $              9,440.50  Year 1 (Baseline) Exhibit B ‐ Budget  A comprehensive evaluation of the impacts of the Sweetened Beverage Tax University of Washington Contract Period September 1, 2017 to July 31, 2020 Amendment 4 DocuSign Envelope ID: CB444805-0819-4D3D-81DE-AD2C8B2BFD06 DocuSign Envelope ID: CB444805-0819-4D3D-81DE-AD2C8B2BFD06 ALL FIELDS MUST BE COMPLETED FOR PROMPT PAYMENT PROCESSING King County Accounts Payable Information Purchase Order # Supplier Name Supplier # Supplier Pay Site Remit to Address INVOICE Contract Number: APDE 2581 AM 4 Exhibit: C Contract Period of Performance:  9/1/17‐7/31/20 University of Washington Grant and Contract Accounting Box 354966 Seattle, WA  98195‐4966 (206) 616‐9995 gcahelp@uw.edu University of Washington 2487 Grants & Contra 12455 Collections Dr Chicago, IL 60693 Invoice Date Invoice # Amount to be Paid $0.00 Note to AP Payment Type  (Circle One)      CHECK    or    ACH Print on Remittance  PH Program name & phone  Mike vu 206‐263‐2128 Submit signed hardcopy invoice to: Tamara Babasinian Seattle Sweetened Beverage Tax Evaluation Public Health ‐ Seattle & King County 401 5th Ave., Suite 1300 Seattle, WA 98104 Start  Date End Date Invoice for services rendered under this contract  for the period of:                         Project 1116359 MM/DD/YY Organization 800023 Expend Acct 53180 Task 001 Award 119446 DPH Acct CPA 5992018 CFDA Amount $                   ‐ Attach sheet for multiple POETAs Direct Costs Budget Previously Billed Current Cumulative Balance Outcome 1 $            48,177.42 $              30,770.90 $                                       ‐ $                             30,770.90 $       17,406.52 Outcome 2 $         358,628.77 $           217,336.11 $                                       ‐ $                           217,336.11 $    141,292.66 Outcome 3 Grand Total $         229,948.25 $           101,329.26 $                                       ‐ $                           101,329.26 $    128,618.99 $         636,754.44 $           349,436.27 $                                       ‐ $                           349,436.27 Amount Due $    287,318.17 I, the undersigned, do hereby certify under the laws of the State of Washington penalty of perjury, that this is a true and correct claim for reimbursement services rendered. I understand that any false  claims, statements, documents, or concealment of material fact may be prosecuted under applicable Federal and State laws. This certification includes any attachments which serve as supporting  documentation to this reimbursement request.  Signed Print Name Date PH Program Manager Approval Date