HomeMy WebLinkAbout2001-01-09 - AGENDA REPORTS - GATEWAY BEAUTIFICATION PROJ (2)CITY OF SANTA CLARITA
AGENDA REPORT
CONSENT CALENDAR
DATE: January 9, 2001
City Manager Approval:
Item to be presented b T. Brad Therrien
SUBJECT: GATEWAY BEAUTIFICATION, PROJECT NO. B2007 - APPROVAL OF
THE APPLICANT -STATE AGREEMENT NO. 7-00-38
DEPARTMENT: Transportation & Engineering Services
RECOMMENDED ACTION
City Council approve the Applicant -State Agreement No. 7-00-38 between the City of
Santa Clarita and the State of California for the Gateway Beautification program, Project
No. B2007; and authorize the City Manager or designee to execute all documents, subject to
City Attorney approval.
The City has successfully competed for an Environmental Enhancement and Mitigation (EEM)
grant this past year. This action was approved by the City Council on November 30, 1999,
Resolution No. 99-191 (see attachment).
This project will enhance the three Metrolink stations located in the Santa Clarita Valley. At
the following sites, 355 trees, including irrigation, will be planted within the existing
right-of-way:
Pine Street from San Fernando Road to Market Street - Will provide a noise and
windscreen for the area residents, and create a visual gateway to the Jan Heidt
Metrolink Station in Newhall.
Via Princessa at Weyerhaeuser Way - Will provide a windscreen and visually pleasing
entrance to the station along the sidewalk from Whites Canyon Road to
Weyerhaeuser Way.
Golden Triangle Road at Ruether Avenue - Will continue the tree screen along the
railroad tracks and this frontage road.
Additionally, through the required local match, the City will plant shrubs and groundcover at
the above sites.
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GATEWAY BEAUTIFICATION
January 9, 2001- Page 2
During the mid -year budget process, this project was incorporated into the current fiscal year
Capital Improvement Projects program. To move forward with this project's design and
construction, a Cooperative Agreement between the City of Santa Clarita and the State of
California is required. Upon execution of this agreement, the City can incur costs and seek
reimbursement in the amount of $237,353.00. The design for this project is anticipated to start
in January 2001. Construction is estimated to begin in spring 2001.
ALTERNATIVE ACTION
Other action as determined by the City Council.
FISCAL IMPACT
A local match is required to accept this grant. The City will incur $71,103.00 in contributions
for construction engineering and administrative costs, organized volunteers to plant the trees,
root barriers for the street trees, and the future maintenance costs. Funds are allocated in
Account Nos. B2007453/8001 in the amount of $238,000.00, and B2007001/8001 in the amount
of $30,000.00.
Applicant -State Agreement No. 7-00-38
Resolution No. 99-191
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FOR CALTRANS USE:
I hereby certify upon my own personal knowledge that budgeted funds are available for this encumbrance.
Accounting Officer
Date:
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Note to LPA, check Exhibit A -Part III for payment to escrow account.
APPLICANT -STATE AGREEMENT NO. 7-00-38
ENVIRONMENTAL ENHANCEMENT AND MITIGATION (EEM) PROGRAM
PROJECT NUMBER: EEM -2000(147)
2000/2001 FISCAL YEAR ALLOCATION
THIS AGREEMENT, made effective this 24th day of August, 2000, by and between the City of Santa
Clarita, hereinafter referred to as "APPLICANT", and the State of California, acting by and through the
California Department of Transportation (Caltrans), hereinafter referred to as "STATE."
WITNESSETH
WHEREAS, as provided by Streets and Highways Code Section 164.56, enacted as part of
Assembly Bill 471 (Katz) in 1989, funds have been allocated to APPLICANT by the California
Transportation Commission (CTC) after the project submitted by APPLICANT had been recommended
for funding by the Resources Agency; and as described in the application;
WHEREAS, STATE and APPLICANT now desire to enter into an Agreement relative to fund
transfers and cost sharing on the described project.
NOW, THEREFORE, the parties agree as follows:
ARTICLE I - Project Administration
1. The EEM project application (the "Application") submitted by APPLICANT, together
with all conditions and assurances contained therein, are made an express part of this Agreement.
Should any conflict exist between the Application and the Agreement, the Agreement shall prevail.
2. APPLICANT shall perform project, or projects, described in Exhibit A of this
Agreement, hereinafter referred to as "PROJECT", which shall be acquired, developed, designed and
constructed as provided in this Agreement.
EEM -2000(147)
August 24, 2000
3. If PROJECT is located on STATE -owned right-of-way, STATE design and construction
standards and practices shall be followed. If PROJECT is not on STATE -owned right-of-way, the
applicable design and construction standards and practices of the local government having jurisdiction
over the PROJECT location shall apply.
4. In cases where the approved fund transfer amount is less than the amount for which
APPLICANT originally applied, APPLICANT is obligated to complete PROJECT without
downscoping it, unless specifically authorized to do so, in writing, by the State Resources Agency. This
will be accomplished by APPLICANT supplementing PROJECT costs with another funding source or
by finding a less costly way to complete the PROJECT.
5. The estimated cost of PROJECT is as shown in Exhibit A. While APPLICANT may,
with STATE approval, award a contract in an amount in excess of said estimate, it is understood that the
allocation of STATE funds for PROJECT will not exceed that limit set by Exhibit A.
6. In the event the estimated cost of PROJECT decreases by reason of low bids or
otherwise, the allocation of STATE funds will be decreased proportionately with any decrease in
APPLICANT's participating contributions.
7. Minor non -substantive changes may be made to the PROJECT, as described in Exhibit A,
upon prior written notice to STATE and STATE's written acknowledgment of that proposed action. No
major change, however, may be made in said PROJECT except pursuant to an amendment to this
Agreement duly executed by STATE and APPLICANT. STATE will determine what constitutes a
minor change by accepting or rejecting the written notice by APPLICANT of the intent to implement a
specific minor change.
8. After completion and acceptance of PROJECT by both APPLICANT and STATE,
STATE shall pay STATE's share of the cost of PROJECT to APPLICANT, within sixty (60) days after
receipt of a signed invoice for payment submitted by APPLICANT. At the option of APPLICANT,
monthly or quarterly pro rata progress payments in arrears may be made on a reimbursement basis upon
submittal of invoices by APPLICANT and approval by STATE of the PROJECT costs incurred. Pro
rata payments will be based on the amount of the STATE fund transfer authorized herein in proportion
to the total cost of PROJECT, including APPLICANT contributions. An invoice format document is
included as Exhibit C.
9. If PROJECT involves work anywhere on the State highway system, a separate standard
form of encroachment permit between STATE and APPLICANT must be prepared and executed before
PROJECT work may commence.
10. APPLICANT shall comply with the requirements of the FAIR EMPLOYMENT
PRACTICES ADDENDUM (Exhibit B) and further agrees that any agreement or service contract
entered into by APPLICANT with a third party for performance of work connected with the PROJECT
shall incorporate Exhibit B as a part of such agreement.
11. Upon completion of all work under this Agreement and prior to the expiration of this
Agreement, APPLICANT shall prepare and file with STATE one (1) original Final Project Expenditure
Report. The Final Project Expenditure Report must be submitted with the final invoice on the
PROJECT.
EEM -2000(147) 2
August 24, 2000
ARTICLE Il - Rights -of -Way
1. The acquisition, clearance, and improvement of rights of way necessary for the
development of PROJECT shall be the responsibility of APPLICANT. Right-of-way acquisition and
clearance costs may be included as a participating item of total PROJECT costs if included as part of the
PROJECT scope of work.
2. APPLICANT shall perform all PROJECT right-of-way activities in accordance with
applicable State laws and regulations unless the STATE determines, in writing, that the State Uniform
Relocation Assistance and Real Property Acquisition Policies Act (Government Code Secs. 7260-7277)
do not apply to PROJECT.
3. APPLICANT, as part of its PROJECT design responsibility, shall identify and locate all
utility facilities within the PROJECT area. All utility facilities, including those not relocated or
removed in advance of construction, shall be identified on PROJECT plans and specifications.
4. If any existing public and/or private utilities conflict with the construction of PROJECT,
APPLICANT will make all necessary arrangements with the owners of such utilities for their protection,
relocation, or removal. If utility relocation is required within STATE right-of-way, APPLICANT shall
conform to STATE standards, policies and procedures. If utility relocation is outside of STATE right-
of-way, APPLICANT shall conform with local government policies.
S. APPLICANT shall certify as to legal and physical control of that PROJECT right-of-way
once it is ready for construction and that the PROJECT right-of-way was acquired in accordance with
applicable State laws and regulations, subject to review and concurrence by STATE, prior to the
advertisement for bids for construction/development of PROJECT.
6. If right-of-way acquisition and clearance costs are included as a participating item of
PROJECT costs, STATE shall provide funds only for purchase of the actual right-of-way required for
PROJECT. If APPLICANT acquires right-of-way which includes excess land, STATE will not
participate in the cost of the excess portion. In the event land initially acquired as part of PROJECT
is declared excess at a later date, APPLICANT shall reimburse STATE, no later than one hundred
twenty (120) days after PROJECT completion or upon the subsequent sale of that excess land, for either
the pro rata fair market value of that excess at the time of disposal or, if that property is retained by
APPLICANT, the pro rata fair market value of the excess land at that time. The pro rata fair market
value shall be based on the total of the STATE fund transfer amount applied toward purchase of the
property in proportion to the total purchase price of the property.
EEM -2000(147) 3
August 24, 2000
ARTICLE III - Safety
1. APPLICANT shall comply with OSHA regulations regarding necessary safety equipment
and procedures. If PROJECT work is to be performed within STATE right of way, APPLICANT shall
also comply with safety instructions issued by the District Safety Officer and other STATE
representatives. APPLICANT's and APPLICANT's personnel shall see that all individuals wear white
hard hats and orange safety vests at all times while working within STATE right of way.
2. Pursuant to the authority contained in Section 591 of the Vehicle Code, STATE has
determined that within such areas as are within the limits of the PROJECT and are open to public traffic,
APPLICANT shall comply with all the requirements set forth in Divisions 11, 12, 13, 14, and 15 of the
Vehicle Code. APPLICANT shall take all reasonably necessary precautions for safe operation of its and
its agent's or APPLICANT's vehicles and the protection of the traveling public from injury and damage
from such vehicles when performing work within STATE right of way.
ARTICLE IV - Inspection of Work
I . APPLICANT and any of its PROJECT subcontractors shall permit STATE to review and
inspect PROJECT activities at all reasonable times during the performance period of this Agreement,
including review and inspection on a daily basis.
ARTICLE V - Equipment Purchase
1. Prior authorization in writing by STATE shall be required before APPLICANT enters
into any non -budgeted purchase order or subcontract exceeding $500 for supplies, equipment, or
consultant services. APPLICANT shall provide an evaluation of the necessity or desirability of incurring
such costs.
2. For purchase of any item, service or consulting work not identified in APPLICANT's
Cost Proposal and exceeding $500, with written prior authorization by STATE, three (3) competitive
quotations must be submitted with that request or the absence of bidding must be adequately justified.
3. Any equipment purchased as a result of this Agreement is subject to paragraph 3 of this
Article V. APPLICANT shall maintain an inventory of all nonexpendable property, defined as property
having a useful life of at least two years and an acquisition cost of $500 or more. If purchased
equipment needs replacement and is sold or traded in, STATE shall receive a proper refund or credit.
Upon the expiration date of this Agreement, or if this Agreement is terminated, APPLICANT may either
keep the equipment and credit STATE in an amount equal to its fair market value or sell such equipment
at the best price obtainable, at a public or private sale, in accordance with established STATE
procedures, and credit STATE in an amount equal to the sales price. If APPLICANT elects to keep that
equipment, fair market value shall be determined, at APPLICANT's expense, on the basis of a
competent independent appraisal of such equipment. Appraisals shall be obtained from an appraiser
mutually agreeable to STATE and APPLICANT. If it is determined to sell the equipment, the terms and
conditions of such sale must be approved in advance by STATE.
EEM -2000(147) 4
August 24, 2000
ARTICLE VI - Management and Maintenance of Property
1. APPLICANT will operate, manage and maintain into the future all property acquired,
developed, rehabilitated, or restored with funds transferred through this Agreement. With STATE's prior
approval, APPLICANT or its successors in interest may transfer management and maintenance
responsibilities over the property. If the property is not managed and maintained consistent with the
PROJECT application, APPLICANT or its successors in interest, at the discretion of STATE and within
45 days after receiving notice to APPLICANT by STATE, shall reimburse STATE an amount at least
equal to the amount of STATE's funding participation in PROJECT together with all accrued interest at
State Treasurer's pooled money investment account.
2. All real property acquired with these funds shall be subject to an appropriate form of Title
covenant approved by STATE. If the PROJECT property is sold, traded or otherwise put to any use
other than that use as approved in the Allocation for STATE funds, the State Highway Account, at the
discretion of STATE and within 45 days notice to APPLICANT by STATE, shall be reimbursed an
amount at least equal to the amount of STATE's funding participation in PROJECT or the pro rata fair
market value of the property, including improvements, at the time of sale, whichever is higher. The pro
rata fair market value shall be based on the proportions of the fund transfer amount applied toward the
purchase of the property and the design and construction of improvements in proportion to the total
purchase price of the property and the cost of all improvements made prior to the time of sale.
ARTICLE VII - Retention of Records/Audit Review Procedures
1. For the purpose of determining compliance with Public Contract Code 10115, et seq. and
Title 21, California Code of Regulations, Chapter 21, Section 2500 et seq., when applicable, and other
matters connected with the performance of the Agreement pursuant to Government Code 10532,
APPLICANT, its contractors and their subcontractors and STATE shall each maintain all books,
documents, papers, accounting records, and other evidence pertaining to the performance of this
Agreement, including but not limited to, the allowable costs (Exhibit D) of administering this
Agreement. All parties shall make such materials available at their respective offices at all reasonable
times during the Agreement period and for four (4) years from the date of final payment under this
Agreement. STATE, the State auditor, the Federal Highway Administration (FHWA), or any duly
authorized representative of the Federal government shall have access to any books, records, and
documents of APPLICANT that are pertinent to this Agreement for audits, examinations, excerpts, and
transactions, and copies thereof shall be famished by APPLICANT or its contractors, if requested.
2. Any dispute concerning a question of fact arising under an interim or post audit of this
Agreement that is not satisfactorily disposed of by agreement shall be reviewed by the Chairperson of
the STATE Audit Review Committee (ARC). The ARC will consist of the Assistant Director, Audits &
Security (Chairperson); Deputy Director of Transportation Engineering; the Chief Counsel, Legal
Division, or their designated alternates; and two representatives appointment by the Director of
Transportation from private industry whose role will be advisory in nature only and without voting
rights.
EEM -2000(147) 5
August 24, 2000
3. Not later than 30 days after issuance of the final audit report, APPLICANT may request a
review by the ARC of unresolved audit issues. The request for review will be submitted in writing to
the Chairperson of the ARC. The request must contain detailed information of the factors involved in
the dispute as well as justifications for reversal. A meeting by the ARC will be scheduled if the
Chairperson concurs that further review is warranted. After the meeting, the ARC will make
recommendations to the Chief Deputy Director. The Chief Deputy Director will make the final decision
for STATE within one (1) month following the receipt of the notification of dispute or following the
ARC meeting recommendation date, whichever is later in time.
4. Neither the pendency of a dispute nor its consideration by STATE will excuse
APPLICANT from full and timely performance of its obligations in accordance with the terms of this
Agreement.
5. Any subcontract entered into as a result of this Agreement shall contain all the provisions
of this Article VII.
ARTICLE VIII — Allowable Costs and Payments
1. The method of reimbursement authorized by STATE for PROJECT expenditures made
by APPLICANT under this Agreement will be based on actual costs incurred. STATE will reimburse the
STATE's proportionate share of actual costs (based on Exhibit A and including labor costs, employee
benefits, travel, equipment rental costs, and other direct costs) incurred by APPLICANT in performance
of the work. APPLICANT will not be reimbursed for actual costs that exceed the estimated wage rates,
employee benefits, travel, equipment rental, fringe benefit rates, and other estimated costs set forth in
APPLICANT's cost proposal (Exhibit Al) unless additional reimbursement is provided for by
Agreement amendment. In the event that STATE determines additional work beyond that specified in
APPLICANT's cost proposal and this Agreement is required to produce a satisfactory PROJECT, the
actual costs reimbursable by STATE may be increased by Agreement amendment to accommodate that
additional work. The maximum total costs as specified in this Article VIII, paragraph 7, shall not be
exceeded unless authorized by Agreement amendment.
2. Reimbursement for transportation and subsistence costs shall not exceed the rates to be
Paid nonrepresented/excluded State employees under then current State Department of Personnel
Administration rules detailed in the Caltrans Travel And Expense Guide.
3. General and administrative PROJECT overhead is unallowable under the Resources
Agency's Environmental Enhancement and Mitigation Program Procedures and Criteria guidelines.
4. Progress payments will be allowed and may be made no less than monthly in arrears
based on PROJECT work performed and allowable incurred cost authorized as part of the PROJECT.
5. APPLICANT may not commence any reimbursable PROJECT development work or
services or PROJECT capital outlay work before both program adoption and funding allocation by the
California Transportation Commission and execution of this PROJECT agreement by both
APPLICANT and STATE. Reimbursement is subject to annual appropriation by the Legislature in the
State Budget for the Environmental Enhancement and Mitigation Program Demonstration Fund.
EEM -2000(147) 6
August 24, 2000
6. APPLICANT will be reimbursed as promptly as fiscal procedures will permit upon receipt by
STATE's Local Program Accounting office in the Accounting Service Center of signed invoices. One
original and two copies of the invoice (in the format shown in Exhibit C) shall be submitted after the
performance of work for which APPLICANT is billing. Invoices shall include detailed backup
information supporting the work performed. The final invoice must contain the final cost and all credits
due STATE, including credits or reimbursements due STATE for any equipment purchased under the
provisions of Article V of this Agreement. The final invoice shall be mailed to the Caltrans District
Director, ATTN: District Local Assistance Engineer, for project completion and final invoice approval.
Progress invoices shall be mailed directly to STATE at the following address:
DEPARTMENT OF TRANSPORTATION
Accounting Service Center, MS 33
Local Program Accounting Branch
P. O. Box 942874
Sacramento, CA 94274-0001
The project financing is determined as follows:
State Funding Participation: $237,353 (76.95%) of total project cost
Annlicant Funding Participation: $ 71,103 (23-05%) of total project cost
Total Project Cost $308,456 (100.00%)
8. The total PROJECT amount payable by STATE, shall not exceed $237,353.
ARTICLE IX — Cost Principles
1. APPLICANT agrees to comply with: 1) Resources Agency's Environmental
Enhancement and Mitigation Program Procedures and Criteria, and 2) California Transportation
Commission Guidelines for Allocating, Monitoring, and Auditing of Local Assistance Projects.
2. APPLICANT agrees to comply with the following, as applicable:
A) The Contract Cost Principles and Procedures, 48 CFR, Federal Acquisition
Regulations System, Chapter 1, Part 31 et seq., which shall be followed to determine the
allowability of individual items of cost for which reimbursement is sought.
B) 49 CFR, Part 18, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments and Office of Management and Budget
Circular A-87, Cost Principles for State and Local Governments..
C) Office of Management and Budget Circular A-122, Cost Principles for Nonprofit
Organizations, which shall be used to determine costs of grants, contracts and other
agreements with nonprofit organizations (excluding colleges, universities and hospitals).
D) Office of Management and Budget Circular A-21, Cost Principles for Educational
Institution establishing principles for determining costs applicable to grants, contracts,
and other agreements with educational institutions.
EEM -2000(147)
August 24, 2000
E) Office of Management and Budget Circular A-110, Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher Education,
Hospitals and other Nonprofit Organizations.
3. Any costs for which payment has been made to APPLICANT that are determined by
subsequent audit to be unallowable under Paragraphs 1 and 2 of this Article IX are subject to repayment
by APPLICANT to STATE.
4. Should any conflict exist between the STATE guidelines as described in Paragraph I and
2 of this Article IX, the following order will prevail and be applied as follows: 1) Resources Agency's
Environmental Enhancement and Mitigation Program Procedures and Criteria; 2) California
Transportation Commission Guidelines for Allocating, Monitoring, and Auditing of Local Assistance
Projects, 3) 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31 et seq.; 49 CFR,
Federal Acquisition Regulations System, Part 18, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Government; OMB A-21, Cost Principles for Educational
Institutions; OMB A-110, Uniform Administrative Requirements for Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Nonprofit Organizations; OMB A-122, Cost
Principles for Nonprofit Organizations; and OMB A-87, Cost Principles for State and Local
Government.
5. Any subcontract entered into as a result of this Agreement shall contain all the provisions
of this Article IX.
6. Should APPLICANT fail to reimburse moneys due STATE within thirty (30) days of
demand, or within such other period as may be agreed between the parties hereto, STATE is authorized
to withhold future payments due APPLICANT from any source, including but not limited to, the State
Treasurer, the State Controller and the California Transportation Commission.
ARTICLE X - Subcontracting
i. APPLICANT shall perform the work contemplated with resources available within its
own organization and no portion of the work pertinent to this Agreement shall be subcontracted without
written authorization by STATE, except that which is expressly identified in APPLICANT's Cost
Proposal (Exhibit Al).
2. Any subcontract in excess of $25,000, entered into as a result of this Agreement, shall
contain all the provisions stipulated in this Agreement and shall be applicable to all subcontractors.
3. Any substitution of subcontractors must be approved in writing by STATE.
4. Any subcontract entered into as a result of this Agreement shall contain all the provisions
of this Article X.
EEM -2000(147) 8
August 24, 2000
ARTICLE XI - Insurance
1. If the scope of APPLICANT services will not require APPLICANT or a subcontractor to
enter upon STATE highway right of way, then the APPLICANT is not required to show evidence of
general comprehensive liability insurance.
2. In the event that APPLICANT or an agent, contractor or subcontractor of APPLICANT
will be present or working on STATE right of way, prior to commencement of the work described
herein, the APPLICANT shall furnish to STATE a Certificate of Insurance stating that there is general
comprehensive liability insurance presently in effect for APPLICANT and its agents, contractors, and
subcontactors with a combined single limit (CSL) of not less than one million dollars ($1,000,000) per
occurrence.
3. The Certificate of Insurance must provide:
A. That the insurer will not cancel the insured's coverage without 30 days prior written
notice to the STATE.
B. That the STATE, its officers, agents, employees, and servants are also included as
additional named insureds, but only insofar as PROJECT operations under this
Agreement are concerned.
C. That STATE will not be responsible for any premiums or assessments on the policy.
4. APPLICANT agrees that all bodily injury liability insurance or self-insurance required
herein shall be in effect at all rimes during the term of this Agreement. In the event said insurance
coverage expires at any time or times during the term of this Agreement, APPLICANT agrees to
provide, at least thirty (30) days prior to said expiration date, a new Certificate of Insurance or
Certificate of Self -Insurance evidencing coverage as provided for herein for not less than the remainder
of the term of the Agreement, or for a period of not less than one (1) year. New Certificates are subject
to the approval of STATE and Department of General Services. In the event APPLICANT fails to keep
coverage as herein provided in effect at all times, STATE may, in addition to any other remedies it may
have, terminate this Agreement upon the occurrence of such event.
5. If APPLICANT is self-insured, the EEM project APPLICANT shall submit a Certificate
of Self -Insurance asserting that APPLICANT is covered for all purposes of liability for all work
performed hereunder. STATE and APPLICANT acknowledge that only one Certificate of Self -
Insurance will be required and that APPLICANT must maintain that level of Self -Insurance [not less
than one million dollars ($1,000,000)]. It is also understood that STATE, its officer, agents, employees,
and servants, are included as covered for all purposes insofar as the operations of APPLICANT under
this Agreement are concerned.
EEM -2000(147) 9
August 24, 2000
ARTICLE XII - Miscellaneous Provisions
i. Neither STATE nor any officer or employee thereof is responsible for any damage or
liability occurring by reason of anything done or omitted to be done by APPLICANT under or in
connection with any work, authority or jurisdiction delegated to APPLICANT under this Agreement. It
is understood and agreed that, pursuant to Government Code Section 895.4, APPLICANT shall fully
defend, indemnify and save harmless STATE and its officers, and employees from all claims, suits or
actions of every name, kind and description brought for or on account of injury (as defined in
Government Code Section 810.8) occurring by reason of anything done or omitted to be done by
APPLICANT under or in connection with any work, authority or jurisdiction delegated to APPLICANT
under this Agreement. STATE reserves the right to represent itself in any litigation in which STATE's
interest are at stake.
2. APPLICANT, and the agents and employees of APPLICANT, in performance of this
Agreement, shall act in an independent capacity and not as officers, employees or agents of STATE.
3. STATE may terminate this Agreement with APPLICANT should APPLICANT fail to
perform the covenants herein contained at the time and in the manner herein provided. In the event of
such termination, STATE may proceed with the PROJECT work in any manner deemed proper by
STATE. If STATE terminates this Agreement with APPLICANT, STATE shall pay APPLICANT the
sum of allowable costs due APPLICANT under this Agreement prior to termination, provided, however,
that the cost of PROJECT completion to STATE shall first be deducted from any sum due APPLICANT
under this Agreement, and the balance, if any, shall then be paid APPLICANT upon demand.
4. Without the written consent of STATE, this Agreement is not assignable by
APPLICANT, either in whole or in part.
5. Time is of the essence in this Agreement.
6. No alteration or variation of the terms of this Agreement shall be valid unless made in
writing and signed by the parties hereto, and no oral understanding or agreement not incorporated herein
shall be binding on any of the parties hereto.
7. The consideration to be paid APPLICANT, as provided herein, shall constitute full
compensation for all of APPLICANT's allowable approved costs and expenses incurred in the
performance hereof, unless otherwise expressly so provided.
8. APPLICANT warrants, by execution of this Agreement, that no person or selling agency
has been employed or retained to solicit or secure this Agreement upon an agreement or understanding
for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide
established commercial or selling agencies maintained by APPLICANT for the purpose of securing
business. For breach or violation of this warranty, STATE has the right to annul this Agreement without
liability, pay only for the value of the work actually performed, or in its discretion, to deduct from the
price of consideration, or otherwise recover from APPLICANT, the full amount of such commission,
percentage, brokerage, or contingent fee.
EEM -2000(147) 10
August 24,2000
9. In accordance with Public Contract Code Section 10296, APPLICANT hereby states
under penalty of perjury that no more than one final unappealable finding of contempt of court by a
Federal court has been issued against APPLICANT within the immediate preceding two-year period
because of APPLICANT's failure to comply with an order of a Federal court that orders APPLICANT to
comply with an order of the National Labor Relations Board.
10. APPLICANT shall disclose any financial, business, or other relationship with STATE,
the Resources Agency, or the California Transportation Commission (CTC) that may have an impact
upon the outcome of this Agreement. APPLICANT shall also list current associates or clients who may
have a financial interest in the outcome of this Agreement.
11. APPLICANT hereby certifies that it does not now have nor shall it acquire any financial
or business interest that would conflict with the performance of this Agreement.
12. APPLICANT warrants that this Agreement was not obtained or secured through rebates,
kickbacks or other unlawful consideration either promised or paid to any STATE or Resources Agency
employee. For breach or violation of this warranty, STATE shall have the right, in its sole discretion, to
terminate the Agreement without liability, to pay only for the work actually performed, or to deduct
from the Agreement price or otherwise recover the full amount of such rebate, kickback, or other
unlawful consideration.
13. This Agreement is subject to any additional restrictions, limitations, conditions, or any
statute enacted by the State Legislature or the Federal Government that may affect the provisions, terms,
or funding of this Agreement in any manner.
14. This Agreement shall terminate on June 30, 2003, or upon the earlier completion of
PROJECT, whichever is first earlier in time, except that APPLICANT duties regarding the continuing
operations and maintenance of PROJECT property, credits due STATE, and indemnification of STATE
shall survive.
IN WITNESS WHEREOF, the parties have executed this Agreement by their duly authorized officers.
STATE OF CALIFORNIA DEPARTMENT OF APPLICANT
TRANSPORTATION
ny Chief
Local Programs Management, Design and Local
Programs
1120 "N" Street, Sacramento, California 95814
EEM -2000(147) 1 I
August 24,2000
Lo
APPLICANT Representative Name and Title
Agency
Address
City, State, ZIP
Telephone No.
EXHIBIT A - PROJECT DESCRIPTION
APPLICANT: City of Santa Clarita
PROJECT NAME: Gateway Beautification
COUNTY: Los Angeles
I. Project Location and Description of Work Proposed:
Location: Pine Street at the Jan Heidt Newhall Meterolink Station, Market Street at the Newhall
Station, and at the Via Princess Metrolink Station in Santa Clarita.
Description of Work: Plant 355 trees will be planted to enhance three Metrolink System stations.
II. Proposed Project Funding:
TOTAL PROJECT COST: $308,456
Financing:
Federal Funds (if any): $
APPLICANT Funds (if any): $71,103
State Funds (amount approved by CTC): $237,353
III.Remarks and Covenants
(On EEMprojects involving acquisition of real property, or rights thereto, if the Applicant requests that
State funds be deposited directly into an escrow account, insert the following)
Pursuant to the terms of Applicant -State Agreement No. , dated
and effective immediately, the
requests and authorizes that the EEM fund warrants be made out in the name of the
(Name of Title Company)
(Address of Title Company)
Phone No. Attention:
for Escrow No. (Name of Escrow Agent)
EEM -2000(147) 12
August 24, 2000
and mailed to
EXHIBIT Al -COST PROPOSAL
APPLICANT: CITY OF SANTA CLARITA
PROJECT NAME: GATEWAY BEAUTIFICATION
COUNTY: LOS ANGELES
Direct Labor.
(labor rates must be calculated as actual dollar earned per our and cannot
Include overhead
costs)
Classification
Name
Hours .1 Rate
Total
Project Manager
O.Davis Parks
238 0
$25.15
$6,001
Proejct Development Coord.
D.Kazmar Capital Projects
80 0
$25.15
$2,012
Project Development Coord.
S.Vivanco P.Works
79 0
$25.15
$1,987
Groundskeeper
G.Magana Pks Mtc
179 0
$19.23
$3,442
Groundskeeper
C.Palmieri Pks Mtc
179 0
$19.23
$3,442
Groundskeeper
R.Sartain Pks Mtc
179 ®
$19.23
$3,442
Groundskeeper
W.Smith Pks Mtc
179 ®
$19.23
$3,442
Fringe Benefits:
Total Direct Labor Costs
$23,769
(Benefits, such as vacation, medical, and retirement, etc., must be calculated as rates earned per hour)
Project Manager
O.Davis Parks
238 0
$5.66
$1,347
Proejct Development Coord.
D.Kazmar Capital Projects
80 ®
$5.52
$442
Project Development Coord.
S.Vivanco P.Works
79 @
$5.52
$436
Groundskeeper
G.Magana Pks Mtc_
179 0
$5.72
$1,024
Groundskeeper
C.Palmied Pks Mtc
179 0
$5.72
$1,024
Groundskeeper
R.Sartain Pks Mtc
179 0
$5.72
$1,024
Groundskeeper
W.Smith Pks Mtc
183 ®
$5.72
$1,047
Other Costs:
root barriers for street trees
195 a
$37.00
$7,215
Travel Costs:
Equipment and Supplies:
$0
$0
Other Direct Costs:
Subcontractor Costs:
Design consultant
Design irrigation system at 3 sites
$17,776
Construction Contractor
See attached for detail breakdown
$253,353
Volunteer Services: Tree Plantings, extimated three separate dates
Volunteer Various Citizens' Groups
800
20
$16,000
Donations:
(itemize with description, quantity, unit price, and total costs; estimates
acceptable)
$0
Materials
Other
$0
$0
TOTAL PROJECT COST: $308,456
EEM•2000(147)
August 24, 2000
13
TOTAL LANDSCAPING
IRRIGATION
(based on appmx 12,000 square feet total area),
2' Water meter service line
Electrical Pedestal
24 -station controller
Backflow preventer and mainline
Wire
Bubbler heads
irrigation material
Lateral from main 'drops' (2)
IRRIGATION TOTAL
MOBILIZATION
MAINTENANCE, PER YEAR
CONSTRUCTION PLANS SPECS AND ESTIMATE; 810 PACKAGE
ADMINISTRATION
TOTAL PROJECT COSTS:
s rt.
Page 13-1
$39,568
$17,888
$308.456
_
- r
TREES 165 trees on Pine
180 at Via Prineessa
Street 30 trees along Market;
UNIT
BOTANIC NAME
COMMON NAME
PRICE#
TOTAL
Quercus agrifolia
Coast Live Oak
$915-031.
$60
$5,340
Quercus lobata
Valley Oak
55 15933
$60
$3,300
Brachychdon populneus
Bottle Tree
133 15-9al.
$60
$7,980
Platanus acerifolia
London Plane Tree
74 15 -gal.
$60
$4,440
Quercus agrifolia
Coast Live Oak
4 24 -gal
$152
5608
5 (price includes tree, truck delivery,instaliation)
soils preparation
19,700 sf
$0.20
$3,940
Stakes
all trees
355 st
$19
$6,745
Root Barriers
street
195 ea
$37
$7,215
TOTAL LANDSCAPING
IRRIGATION
(based on appmx 12,000 square feet total area),
2' Water meter service line
Electrical Pedestal
24 -station controller
Backflow preventer and mainline
Wire
Bubbler heads
irrigation material
Lateral from main 'drops' (2)
IRRIGATION TOTAL
MOBILIZATION
MAINTENANCE, PER YEAR
CONSTRUCTION PLANS SPECS AND ESTIMATE; 810 PACKAGE
ADMINISTRATION
TOTAL PROJECT COSTS:
s rt.
Page 13-1
$39,568
$17,888
$308.456
EXHIBIT B
FAIR EMPLOYMENT PRACTICES ADDENDUM
1. In the performance of this Agreement, APPLICANT will not discriminate against any
employee for employment because of race, sex, color, religion, ancestry, or national origin.
APPLICANT will take affirmative action to ensure that employees are treated during employment,
without regard to their race, sex, color, religion, ancestry, or national origin. Such action shall
include, but not be limited to, the following: employment, upgrading, demotion or transfer;
recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. APPLICANT shall post in
conspicuous places, available to employees for employment, notices to be provided by STATE
setting forth the provisions of this Fair Employment section.
2. APPLICANT will permit access to the records of employment, employment
advertisements, application forms, and other pertinent data and records by the State Fair
Employment and Housing Commission, or any other agency of the State of California designated by
the awarding authority, for the purposes of investigation to ascertain compliance with the Fair
Employment section of this Agreement.
3. Remedies for Willful Violation:
a) The State may determine a willful violation of the Fair Employment provision to have
occurred upon receipt of a final judgment to that effect from a court in an action to
which APPLICANT was a party, or upon receipt of a written notice from the Fair
Employment and Housing Commission that it has investigated and determined that the
APPLICANT has violated the Fair Employment Practices Act and had issued an order,
under Labor Code Section 1426, which has become final, or obtained an injunction
under Labor Code Section 1429.
b) For willful violation of this Fair Employment Provision, STATE shall have the right to
terminate this Agreement either in whole or in part, and any loss or damage sustained
by STATE in securing the goods or services hereunder shall be borne and paid for by
APPLICANT and by the surety under the performance bond, if any, and STATE may
deduct from any moneys due or the thereafter may become due to APPLICANT, the
difference between the price named in the Agreement and the actual cost thereof to
STATE.
EEM.2000(147) 14
August 24, 2000
EXHIBIT C - INVOICE FORMAT
(Letterhead ofAPPLICANT)
For Progress Invoice: For Final Invoice.
Department of Transportation Name, District Director
Accounting Service Center, Department of Transportation
MS 33
Local Programs Accounting Street or P.o. Box Number
Branch
P.O. Box 942874 City, CA Zip Code
Sacramento, CA 94274-0001 Attn.: Name, District Local Assistance
Engineer
Date of Invoice
Billing No.: 1, 2, or Final
Invoice
Invoice No: Local
Agency's Invoice
Number
Project Completion Date:
Final Date or "Ongoing"
(if not final)
County: County Name
Caltrans Expenditure
Authorization (EA) No.:
Project EA No.
Reimbursement for Environmental Enhancement and Mitigation (EEM) funds is claimed pursuant to
Project No. - Applicant -State Agreement No. . Agreement date
Description of work covered by this Invoice:
Preliminary Construction
Engineering Engineering
Total Costs **
Less: Non -Participating
Costs
Participating Costs to
Date
Reimbursement Ratio
Participating Costs
Subtotal
Less: Amount Previously
Claimed
Acquisition
and
Incidentals
Construction
Contract
Total Amount This
Invoice
"Note: State will make the payment(s) in arrears on a imb rrem nt basis Of its proportionate share ojacmal costs incurred to date;
documentation prior to reimbursement.
timesheets, volunteer labor, mileage logs, donated materials, receipts, and other documents may be required by state as supporting
EEM -2000(147)
15
August 24, 2000
(For EEMprojects involving acquisition of real property rights, or rights thereto, if the Applicant
requests that State funds be deposited directly into an Escrow Account, insert the following)
Pursuant to Exhibit A of above referenced Applicant -State Agreement, _(Name ofApplicant)
Requests and authorizes that the Environmental Enhancement and Mitigation (EEM) fund warrants be
made out in the name of the Title Company and
mailed to (Title Company Address) Attention:
For Escrow No.
I certify that the work covered by this Invoice has been completed in accordance with approved plans
and specifications; the costs shown in this Invoice are true and correct; and the amount claimed is due
and payable within the terms of the Agreement.
I further certify, if applicable, that acquisition of real property, or rights thereto, (has been) (will be)
acquired in accordance with applicable State laws and regulations.
APPLICANT REPRESENTATIVE NAME & TITLE
Approved For Payment:
DISTRICT RIGHT-OF-WAY DIVISION CHIEF (fapplicable)
EEM -2000(147) 16
August 24, 2000
EXHIBIT D
ACCOUNTING & AUDIT GUIDELINES FOR
CONTRACTS WITH CALTRANS
INTRODUCTION
The purpose of this brochure is to outline for you, a potential contractor with the California State
Department of Transportation (Caltrans), the basic elements of an adequate accounting system, and the
types and objectives of audits that will be performed in relation to your contract. In order to
successfully compete for a contract and meet the audit requirements, a contractor (whether prime or
subcontractor) must have a system of record keeping and internal control. Although a specific cost
accounting system is not required, a contractor needs a system which will assure compliance with the
terms of the agreement.
ACCOUNTING SYSTEM
Contractors (whether a prime or subcontractor) planning to contract with Caltrans must have an
accounting system which meets the following objectives:
1. The ability to record and report financial data in accordance with generally accepted accounting
principles.
2. A system of record keeping to ensure that costs billed to Caltrans are:
a. Supported by adequate documentation
b. In compliance with the terms of the contract and applicable Federal and State
regulations specified in the contract
3. A system of record keeping ideally includes the following:
a.
A general ledger
b.
Job cost ledger
C.
Labor distributions
d.
Time records
e.
Subsidiary journals
f.
Chart of accounts
g.
Financial statements
4. The ability to accumulate and segregate reasonable, allocable (incurred solely for a project) and
allowable (per terms of the contract) costs through the use of a cost accounting system. The following
are some of the attributes which would ideally be found in such a system:
a. A chart of accounts which includes indirect and direct general ledger accounts.
Indirect costs are not specifically identified to a project, for example, rent and/or
EEM -2000(147) 17
August 24, 2000
utilities. Direct costs are specifically identified with a project, for example, drafting
hours and /or design hours.
b. Segregation of costs by contract, category of cost and milestones (if applicable).
c. Proper recording of direct and indirect costs. For example, recording of labor costs
should provide that non -project indirect hours be recorded on a timesheet and in the
accounting records to an administration, vacation, sick leave or other indirect cost
account/code. Direct project hours should be recorded on a timesheet and in the
accounting records to a direct project cost account/code.
d. Consistent accounting treatment of costs in recording and reporting. For example, if
travel expense is charged directly to a project, all travel expense incurred on any project
should be considered a direct cost. As a result, project -related travel, whether
reimbursable per the contract terms or not, should be included as a direct cost.
e. Ability to trace from invoices submitted to Caltrans to job cost records and original,
approved source documents, for example, time sheets, vendor invoices, canceled
checks.
f. Ability to reconcile job cost records to the accounting records.
5. Compliance with cost principles described in the Code of Federal Regulations 48, Federal
Acquisition Regulations System (FAR), Chapter 1, Part 31. Information on how to obtain this
regulation is described under "Audit Criteria" on the following page.
6. Procedures to monitor and adjust projected overhead rates to actual rates.
7. Controls to ensure that written approval is obtained prior to any changes to the contract.
8. Procedures to retain accounting records and source documentation as required by the terms of the
contract.
9. A system of internal control which provides reasonable assurance that assets are protected; financial
data, records and statements are reliable; and errors and irregularities are promptly discovered, reported
and corrected. The elements of a system of internal control should include, but not be limited to, the
following:
a. Separation of duties for proper protection of assets. Incompatible duties are those that
place any person in a position to both perpetrate and conceal errors or irregularities in
the normal course of business. For example, the person who writes checks should be
different from the person who reconciles bank statements and the person who purchases
goods should be different from the person who receives goods.
b. Limiting access to assets to only authorized personnel who requires these assets in the
performance of their assigned duties. For example, blank check stock should be locked
in a safe when not in use.
c. Authorization and record keeping procedures which provide effective accounting
control over assets, liabilities, revenues, and expenditures.
A system of practices to be followed in the performance of duties and functions. Such a
system normally includes policies and procedures which establish the purpose and
EEM -2000(147) 18
August 24, 2000
requirements of the accounting system. For example, timekeeping practices should
ideally provide for the following:
• Timesheets be prepared, signed and dated by all employees.
• Timesheets be completed in non -erasable ink.
• Timesheet corrections be crossed out and initialed by the employee.
• Timesheets by signed by a supervisor as reviewed and retained on file as
required by the contract.
e. Personnel with skills and training commensurate with their responsibilities.
f. A system of internal review. For example, bank reconciliations and travel expense
claims should be reviewed, approved, and signed by a supervisor.
AUDITS
Contractors, whether a prime or subcontractor, performing under a negotiated contract with Caltrans
are subject to the following audits.
INTERIM AUDITS
Interim audits are performed on an as -needed basis. The Applicant, subcontractors, and the State shall
maintain all books, documents, papers, accounting records, and other evidence pertaining to the
performance of this Agreement. All parties involved in the contract shall make such materials available
at their respective offices at all reasonable time during the Agreement period and for four years from
the date of final payment under this Agreement. The interim audit will determine if the accounting
systems adequately ensure that billed costs are supported and that any deficiencies are corrected. An
interim audit may be requested by the contract administrator or by Caltrans' management to address
concerns during the course of the contract. Also, an audit manager may initiate an interim audit of a
multi-year contract to ensure that costs reimbursed to date are allowable.
POST AUDITS
Post audits of contracts are performed routinely after project completion. Post audits are performed to
determine whether the costs claimed are allowable, allocable, reasonable, and in compliance with the
Federal and State laws and regulations as well as the fiscal provisions stipulated in the contract. The
examination includes reviews of applicable laws and regulations, the contract requirements and the
contractor's internal control system. Audit tests of the contractor's accounting records and other
auditing procedures considered necessary will also be performed. Applications of all audit procedures
would also be governed by the individual contract under audit. Unsupported or unallowable costs are
normally the result of weaknesses in the accounting system and will be reimbursed to Caltrans.
To provide contractors with a procedure for obtaining prompt and equitable resolution to a dispute
arising from a post audit of a non -highway construction cost reimbursement contract, Caltrans has
established an Audit Review Committee (ARC). Information explaining the ARC should be found in
Your contract and/or as an attachment to the post audit report.
AUDIT CRITERIA
EEM -2000(147) 19
August 24, 2000
For specific information regarding basic cost accounting systems and applicable State and Federal
regulations, please see the following:
Code of Federal Regulations 48, Federal Acquisition Regulations System, Chapter 1, Part 31:
This regulation contains cost principles and procedures for the pricing of contracts/subcontracts and
the determination, negotiation, or allowance of costs. Contact:
Superintendent of Documents
Government Printing Office
Washington, DC 20402
Washington, DC
San Francisco
Los Angeles
(202) 512-1800
(415)512-2770
(213) 239-9844
California State Administrative Manual:
A reference source for statewide policies, procedures, regulations and information. Contact:
Office of State Publishing
Department of General Services
Call for order form: (916) 445-2295
For review of the above references, contact your local library or the California State Library.
California State Library
Library and Courts Building
914 Capitol Mall
P. O. Box 942837
Sacramento, CA 94237-0001
Information: (916) 654-0261
For assistance in establishing an accounting system which will meet the objectives outlined in this
brochure, you should contact an accountant and/or bookkeeper who is familiar with cost accounting
systems.
Caltrans is an affirmative action employer. Equal opportunity is offered to all regardless of
color, creed, national origin, ancestrace,
ancestry, sex, marital status, disability, religious or political affiliation,
age or sexual orientation. Contractors that contract with Caltrans are responsible for taking
necessary and reasonable steps to achieve these same goals.
EEM•2000(147) 20
August 24, 2000
RESOLUTION NO. oa_t at
A RESOLUTION OF THE CITY COUNCIL
OF THE CITY OF SANTA CLARITA, CALIFORNIA,
APPROVING THE APPLICATION FOR GRANT FUNDS
FOR THE ENVIRONMENTAL ENHANCEMENT AND
MITIGATION PROGRAM UNDER SECTION 164.66
OF THE STREETS AND HIGHWAYS CODE
FOR THE GATEWAY BEAUTIFICATION PROJECT
. WHEREAS, the Legislature of the State of California has enacted AB471
(Chapter 106 of the Statutes of 1989), which is intended to provide $10 million annually for
a period of 10 years for grant funds to local, state, and federal agencies and nonprofit
entities for projects to enhance and mitigate the environmental impacts of modified or new
public transportation facilities; and
WHEREAS, the Resources Agencyhas established the procedures and criteria for
reviewing grant proposals and is required to submit. to the California Transportation
Commission a list of recommended projects from which the grant recipients will be selected;
and
WHEREAS, said procedures and criteria established by the Resources Agency
require a resolution certifying the approval of application by the applicant's governing body
before submission of said application to the State; and
WHEREAS, the application contains assurances that the applicant must comply
with, and
WHEREAS, the applicant, if selected, will enter into an agreement with the State of
California to carry out the environmental enhancement and mitigation project.
THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA CLARITA DOES
HEREBY RESOLVE AS FOLLOWS:
SECTION 1. Approves the filing of an application for. the Environmental
Enhancement and Mitigation Program for grant assistance.
SECTION 2. Certifies that said applicant would make adequate provisions for
operation and maintenance of the project.
SECTION 8: Appoints the City Manager, or his designee, as agent for the City of
Santa Clarita, to conduct all negotiations, execute and submit all documents, including, but
not limited to, applications, agreements, amendments, payment requests and so on, which
may be necessary for the completion of the aforementioned project.
RESOLUTION NO. 99-191
November 30, 1999 –Page 2
PASSED, APPROVED, AND ADOPTED this 30th day of November .1999.
or MWIWW
�4r
ATTEST:
STATE OF CALIFORNIA )
COUNTY OF LOS ANGELES ) as.
CITY OF SANTA CLARITA )
I, Sharon L. Dawson, CMC, City Clerk of• the City of Santa Clarita, do
hereby certify that the foregoing Resolution was duly adopted by the City of Santa Clarita
at a regular meeting thereof, held on the gnf-�, day of19g9— by
the following vote of Council: '
AYES: COUNCILMEMBERS: wester Ferry, Heidt, Darcy
NOES: COLTNCILMEM 3ERS: None
ABSENT:. COUNCILMEMBERS: Klajic
CITY CLERK
MLY:lk1
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