HomeMy WebLinkAbout07-12-2016 Item 08 LOVR/US 101 Interchange Improvement Project Landscape & Mitigation Spec No. 91435 Cooperative Agreement with Caltrans
Meeting Date: 7/12/2016
FROM: Daryl R. Grigsby, Public Works Director
Prepared By: Kyle Rowland, Project Manager
SUBJECT: LOS OSOS VALLEY ROAD/US 101 INTERCHANGE IMPROVEMENT
PROJECT LANDSCAPE AND MITIGATION, SPECIFICATION NO. 91435 -
COOPERATIVE AGREEMENT WITH CALTRANS
RECOMMENDATION
Approve a Cooperative Agreement with the State of California Department of Transportation
(Caltrans) to allow for the construction and maintenance of the Los Osos Valley Road/US 101
Interchange Improvements Project - Landscape, Irrigation, Environmental Mitigation, and Erosion
Control Design, Specification No. 91435.
DISCUSSION
The Los Osos Valley Road Interchange project began construction in the Fall of 2014 and is
currently in project closeout. The landscaping and environmental mitigation components of the
project were programmed as a later phase and the parent project plans did not include landscape
and mitigation. This scope of work is currently being designed by Oasis Associates Inc., under
the direction of the City and Caltrans. The planting and implementation is a joint effort between
Caltrans and the City which is anticipated to be finished in Fall 2016.
To establish the specific roles and responsibilities of Caltrans and the City during construction, a
Cooperative Agreement has been drafted by Caltrans and City staff for Council approval. The
agreement for this project follows a similar agreement for project development approved by
Council on April 15, 2014 for the interchange project.
FISCAL IMPACT
There is no impact to the General Fund as part of approval of the Cooperative Agreement. The
Cooperative Agreement in and of itself does not cost any money; however, it outlines what is
considered “Project” costs for the landscape project and the City fiscal responsibilities. These
costs and responsibilities are as anticipated and currently budgeted for.
ENVIRONMENTAL REVIEW
The City’s approval of the Cooperative Agreement is not subject to environmental review as it is
not a “project” within the meaning of the California Environmental Quality Act.
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ALTERNATIVES
Modify the Cooperative Agreement. The Council could choose to modify provisions of the
Agreement. This is not recommended since the provisions of the agreement are typical of all
State highway projects. Additionally, any modifications would require concurrence by Caltrans
which could delay construction of the project. Should Council want to pursue modifications,
staff recommends that Council authorize the Public Works Director to pursue the Council
identified modifications and sign the agreement with any modifications that receive Caltrans
approval.
Deny Cooperative Agreement. The Council could choose to deny the Agreement with Caltrans,
thereby denying the request to process the landscape portion of the interchange project. If the
agreement is denied, the project cannot move forward and the City will not be fulfilling
environmental requirements that were conditioned as part of the interchange project approval.
Attachments:
a a - 91435 Agreement with_ Caltrans
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AGREEMENT 05-0312
Project No. 0516000076
EA 0H731
05-SLO-101-25.5/26.30
COOPERATIVE AGREEMENT COVER SHEET
Work Description
LOVR/Interchange Landscape Mitigation Project-on Route 101 at Los Osos Valley Road in
the City of San Luis Obispo
Contact Information
CALTRANS
Aaron Henkel, Project Manager
50 Higuera St.
San Luis Obispo, CA 93401
Office Phone: (805) 549-3084
Email: aaron.henkel@dot.ca.gov
CITY OF SAN LUIS OBISPO
Kyle Rowland, City Project Manager
919 Palm Street
San Luis Obispo, CA 93401
Office Phone: (805)783-7717
Email: krowland@slocity.org
PACT Project Development Agreement 2015-03-12 (Created 06/21/16) i
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Cover Sheet AGREEMENT 05-0312
Project No. 0516000076
Table of Contents
RECITALS ........................................................................................................................................... 1
RESPONSIBILITIES ........................................................................................................................... 2
Sponsorship ...................................................................................................................................... 2
Funding ............................................................................................................................................ 2
Implementing Agency ...................................................................................................................... 3
Independent Quality Assurance ....................................................................................................... 3
CEQA/NEPA Lead Agency ............................................................................................................. 3
Environmental Permits, Approvals and Agreements ....................................................................... 4
Plans, Specifications, and Estimate (PS&E) .................................................................................... 4
Right of Way (R/W) ......................................................................................................................... 5
Construction ..................................................................................................................................... 6
Schedule ........................................................................................................................................... 9
Additional Provisions ....................................................................................................................... 9
GENERAL CONDITIONS ................................................................................................................ 12
DEFINITIONS .................................................................................................................................... 16
SIGNATURES .................................................................................................................................... 20
FUNDING SUMMARY No. 01 ........................................................................................................... 1
FUNDING TABLE .......................................................................................................................... 1
Invoicing and Payment ..................................................................................................................... 2
Plans, Specifications, and Estimate (PS&E) ............................................................................... 2
Right of Way Support (R/W SUPPORT) .................................................................................... 2
Right of Way Capital (R/W CAPITAL) ..................................................................................... 2
CONSTRUCTION SUPPORT ................................................................................................... 2
CONSTRUCTION CAPITAL .................................................................................................... 2
Signatures ......................................................................................................................................... 3
CLOSURE STATEMENT.................................................................................................................... 2
PACT Project Development Agreement 2015-03-12 (Created 06/21/16) ii
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Cover Sheet AGREEMENT 05-0312
Project No. 0516000076
Please note:
1. CITY'S R/W Support work is not covered by the Spending Summary.
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AGREEMENT 05-0312
Project No. 0516000076
EA 0H731
05-SLO-101-25.5/26.30
COOPERATIVE AGREEMENT
State Independent Quality Assurance
This AGREEMENT, effective on _______________________________, is between the State of
California, acting through its Department of Transportation, referred to as CALTRANS, and:
City of San Luis Obispo, a body politic and municipal corporation or chartered city of the State
of California, referred to hereinafter as CITY.
RECITALS
1. PARTNERS are authorized to enter into a cooperative agreement for improvements to the state
highway system (SHS) per the California Streets and Highways Code sections 114 and 130.
2. For the purpose of this AGREEMENT, LOVR/Interchange Landscape Mitigation Project-on
Route 101 at Los Osos Valley Road in the City of San Luis Obispo will be referred to
hereinafter as PROJECT. The project scope of work is defined in the PROJECT initiation and
approval documents (e.g. Project Study Report, Permit Engineering Evaluation Report, or
Project Report).
3. All responsibilities assigned in this AGREEMENT to complete the following PROJECT
COMPONENTS will be referred to hereinafter as OBLIGATIONS:
• Plans, Specifications, and Estimate (PS&E)
• Right of Way Support (R/W SUPPORT)
• Right of Way Capital (R/W CAPITAL)
• CONSTRUCTION SUPPORT
• CONSTRUCTION CAPITAL
4. This AGREEMENT is separate from and does not modify or replace any other cooperative
agreement or memorandum of understanding between PARTNERS regarding the PROJECT.
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AGREEMENT 05-0312
Project No. 0516000076
5. The following work associated with this PROJECT has been completed or is in progress:
• CITY approved the Mitigated Negative Declaration on August 16, 2011 (Cooperative
Agreement No. 05-0274).
• CITY approved the Categorical Exemption on September 22, 2011 (Cooperative
Agreement No. 05-0274).
6. In this AGREEMENT capitalized words represent defined terms, initialisms, or acronyms.
7. PARTNERS hereby set forth the terms, covenants, and conditions of this AGREEMENT,
under which they will accomplish OBLIGATIONS.
RESPONSIBILITIES
Sponsorship
8. CITY is the SPONSOR for the PROJECT COMPONENTS in this AGREEMENT.
Funding
9. Funding sources, funding amounts, and invoicing/payment details are documented in the
FUNDING SUMMARY. The FUNDING SUMMARY is incorporated and made an express
part of this AGREEMENT.
PARTNERS will execute a new FUNDING SUMMARY each time the funding details change.
The FUNDING SUMMARY will be executed by a legally authorized representative of the
respective PARTNERS. The most current fully executed FUNDING SUMMARY supersedes
any previous FUNDING SUMMARY created for this AGREEMENT.
Replacement of the FUNDING SUMMARY will not require an amendment to the body of this
AGREEMENT unless the funding changes require it.
10. Each PARTNER is responsible for the costs they incur in performing the OBLIGATIONS of
this AGREEMENT unless otherwise stated in this AGREEMENT.
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AGREEMENT 05-0312
Project No. 0516000076
Implementing Agency
11. CITY is the IMPLEMENTING AGENCY for PS&E.
12. CITY is the IMPLEMENTING AGENCY for RIGHT OF WAY.
13. CITY is the IMPLEMENTING AGENCY for CONSTRUCTION.
14. The IMPLEMENTING AGENCY for a PROJECT COMPONENT will provide a Quality
Management Plan (QMP) for that component as part of the PROJECT MANAGEMENT
PLAN. The Quality Management Plan describes the IMPLEMENTING AGENCY’s quality
policy and how it will be used. The Quality Management Plan is subject to CALTRANS
review and approval.
15. Any PARTNER responsible for completing WORK shall make its personnel and consultants
that prepare WORK available to help resolve WORK-related problems and changes for the
entire duration of the PROJECT including PROJECT COMPONENT work that may occur
under separate agreements.
Independent Quality Assurance
16. CALTRANS will provide Independent Quality Assurance for the portions of WORK within
the existing and proposed SHS right-of-way.
CALTRANS’ Independent Quality Assurance efforts are to ensure that CITY's quality
assurance activities result in WORK being developed in accordance with the applicable
standards and within an established Quality Management Plan. Independent Quality
Assurance does not include any efforts necessary to develop or deliver WORK or any
validation by verifying or rechecking work performed by another party.
When CALTRANS performs Independent Quality Assurance it does so for its own benefit. No
one can assign liability to CALTRANS due to its Independent Quality Assurance.
CEQA/NEPA Lead Agency
17. CALTRANS is the CEQA Lead Agency for the PROJECT.
18. CALTRANS is the NEPA Lead Agency for the PROJECT.
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AGREEMENT 05-0312
Project No. 0516000076
Environmental Permits, Approvals and Agreements
19. PARTNERS will comply with the commitments and conditions set forth in the environmental
documentation, environmental permits, approvals, and applicable agreements as those
commitments and conditions apply to each PARTNER’s responsibilities in this
AGREEMENT.
20. Unless otherwise assigned in this AGREEMENT, the IMPLEMENTING AGENCY for a
PROJECT COMPONENT is responsible for all PROJECT COMPONENT WORK associated
with coordinating, obtaining, implementing, renewing, and amending the PROJECT permits,
agreements, and approvals whether they are identified in the planned project scope of work or
become necessary in the course of completing the PROJECT.
21. The PROJECT requires the following environmental requirements/approvals:
ENVIRONMENTAL PERMITS/REQUIREMENTS
404, US Army Corps Of Engineers
401, Regional Water Quality Control Board
National Pollutant Discharge Elimination System (NPDES), State Water Resources Control
Board
1602 California Department of Fish and Wildlife
Plans, Specifications, and Estimate (PS&E)
22. As IMPLEMENTING AGENCY for PS&E, CITY is responsible for all PS&E WORK except
those PS&E activities and responsibilities that are assigned to another PARTNER in this
AGREEMENT and those activities that may be specifically excluded.
23. CALTRANS will be responsible for completing the following PS&E activities:
CALTRANS Work Breakdown Structure Identifier (If Applicable)
Independent Quality Assurance
24. CITY will prepare Utility Conflict Maps identifying the accommodation, protection,
relocation, or removal of any existing utility facilities that conflict with construction of the
PROJECT or that violate CALTRANS’ encroachment policy.
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AGREEMENT 05-0312
Project No. 0516000076
CITY will provide CALTRANS a copy of Utility Conflict Maps for CALTRANS' concurrence
prior to issuing the Notices to Owner and executing the Utility Agreement. All utility conflicts
will be addressed in the PROJECT plans, specifications, and estimate.
Right of Way (R/W)
25. As IMPLEMENTING AGENCY for R/W, CITY is responsible for all R/W SUPPORT
WORK except those R/W SUPPORT activities and responsibilities that are assigned to another
PARTNER in this AGREEMENT and those activities that may be specifically excluded.
26. CALTRANS will be responsible for completing the following R/W SUPPORT activities:
CALTRANS Work Breakdown Structure Identifier (If Applicable)
Independent Quality Assurance
27. The selection of R/W personnel and WORK within the completed PROJECT’s SHS right-of-
way will be performed in accordance with federal and California laws and regulations, and
CALTRANS’ policies, procedures, standards, practices, and applicable agreements.
28. CITY will make all necessary arrangements with utility owners for the timely accommodation,
protection, relocation, or removal of any existing utility facilities that conflict with construction
of the PROJECT or that violate CALTRANS’ encroachment policy.
29. CITY will provide CALTRANS a copy of conflict maps, Relocation Plans, proposed Notices
to Owner, Reports of Investigation, and Utility Agreements (if applicable) for CALTRANS'
concurrence prior to issuing the Notices to Owner and executing the Utility Agreement. All
utility conflicts will be fully addressed prior to Right of Way Certification and all arrangements
for the protection, relocation, or removal of all conflicting facilities will be completed prior to
construction contract award and included in the PROJECT plans, specifications, and estimate.
30. CITY will determine the cost to positively identify and locate, protect, relocate, or remove any
utility facilities whether inside or outside SHS right-of-way in accordance with federal and
California laws and regulations, and CALTRANS’ policies, procedures, standards, practices,
and applicable agreements including but not limited to Freeway Master Contracts.
31. CITY will provide a land surveyor licensed in the State of California to be responsible for
surveying and right-of-way engineering. All survey and right-of-way engineering documents
will bear the professional seal, certificate number, registration classification, expiration date of
certificate, and signature of the responsible surveyor.
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AGREEMENT 05-0312
Project No. 0516000076
32. CITY will utilize a public agency currently qualified by CALTRANS or a properly licensed
consultant for all right-of-way activities. A qualified right-of-way agent will administer all
right-of-way consultant contracts.
CITY will submit a draft Right of Way Certification document to CALTRANS six (6) weeks
prior to the scheduled Right of Way Certification milestone date for review.
CITY will submit a final Right of Way certification document to CALTRANS for approval
prior to the PROJECT advertisement.
33. Physical and legal possession of right-of-way must be completed prior to construction
advertisement, unless PARTNERS mutually agree to other arrangements in writing. Right of
way conveyances must be completed prior to OBLIGATION COMPLETION, unless
PARTNERS mutually agree to other arrangements in writing.
34. CALTRANS’ acceptance of right-of-way title is subject to review of an Updated Preliminary
Title Report provided by CITY verifying that the title is free of all encumbrances and liens.
Upon acceptance, CITY will provide CALTRANS with a Policy of Title Insurance in
CALTRANS’ name.
35. The California Transportation Commission is responsible for hearing and adopting Resolutions
of Necessity.
Construction
36. As IMPLEMENTING AGENCY for CONSTRUCTION, CITY is responsible for all
CONSTRUCTION SUPPORT WORK except those CONSTRUCTION SUPPORT activities
and responsibilities that are assigned to another PARTNER in this AGREEMENT and those
activities that may be specifically excluded.
37. CALTRANS will be responsible for completing the following CONSTRUCTION SUPPORT
activities:
CALTRANS Work Breakdown Structure Identifier (If Applicable)
Independent Quality Assurance
285.05.15.xx Change Order Acceptance as required in this Agreement
270.20.45.xx SWPPP/WPCP Review & Approval
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AGREEMENT 05-0312
Project No. 0516000076
38. CITY will include a Disadvantaged Business Enterprise (DBE) utilization goal in the
PROJECT construction contract(s) in accordance with the Local Assistance Procedures
Manual. CITY will award the construction contract to the lowest responsive bidder who
makes a Good Faith Effort to meet the DBE goal.
39. CALTRANS will not issue an Encroachment Permit to CITY for construction work until
CALTRANS accepts:
• The final Plans, Specifications, and Estimate
• The Right-of-Way Certification
40. CITY will require the construction contractor to furnish payment and performance bonds
naming CITY as obligee, and CALTRANS as additional obligee, and to carry liability
insurance in accordance with CALTRANS Standard Specifications.
41. CITY will advertise, open bids, award, and approve the construction contract in accordance
with the California Public Contract Code and the California Labor Code. By accepting
responsibility to advertise and award the construction contract, CITY also accepts
responsibility to administer the construction contract.
42. CALTRANS will not issue an Encroachment Permit to CITY's construction contractor until
CALTRANS accepts:
• The payment and performance bonds
• The CONSTRUCTION Quality Management Plan
43. CITY will provide a Resident Engineer and CONSTRUCTION SUPPORT staff that are
independent of the construction contractor. The Resident Engineer will be a Civil Engineer,
licensed in the State of California, who is responsible for construction contract administration
activities.
44. CITY will provide a landscape architect who will be responsible for all landscaping activities
within the SHS.
45. The CONSTRUCTION Quality Management Plan will describe how construction material
verification and workmanship inspections will be performed at manufacturing sources and the
PROJECT job-site. The construction material and source inspection Quality Management Plan
is subject to review and approval by the State Materials Engineer.
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AGREEMENT 05-0312
Project No. 0516000076
46. The CONSTRUCTION Quality Management Plan will address the radiation safety
requirements of the California Code of Regulations 17 CCR § 30346 when the work will
require Gamma-Gamma Logging acceptance testing for CIDH pile or whenever else it is
applicable. In accordance with these regulations CITY, as the "well operator", will have a
written agreement with any consultant or external entity performing these tests.
47. CALTRANS will review and concur with:
• Change Orders affecting public safety, public convenience, protected environmental
resources, the preservation of property, all design and specification changes, and all major
changes as defined in the CALTRANS Construction Manual. These Change Orders must
receive written concurrence by CALTRANS prior to implementation.
• The Stormwater Pollution Prevention Plan (SWPPP) or the Water Pollution Control Plan
(WPCP).
48. If CONSTRUCTION CAPITAL is funded with state or federal funds then CITY will
administer and process all construction contract claims using a CALTRANS-approved process.
CALTRANS will provide Independent Quality Assurance for the claims process.
49. CITY is designated as the Legally Responsible Person pursuant to the Construction General
Permit, State Water Resources Control Board (SWRCB) Order Number 2009-0009-DWQ, as
defined in Appendix 5, Glossary, and assumes all roles and responsibilities assigned to the
Legally Responsible Person as mandated by the Construction General Permit. CITY is
required to comply with the CALTRANS MS4 National Pollutant Discharge Elimination
System (NPDES) permit for all work within the State Highway System.
50. As the CONSTRUCTION IMPLEMENTING AGENCY, CITY is responsible for maintenance
of the State Highway System within the PROJECT limits as part of the construction contract
until the following conditions are met:
• Any required Maintenance Agreements are executed for the portions of SHS for which
relief of maintenance is to be granted.
• CALTRANS approves a request from CITY for relief from maintenance of the PROJECT
or a portion thereof.
51. After OBLIGATION COMPLETION SHS maintenance will be handled through an existing
maintenance agreement.
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AGREEMENT 05-0312
Project No. 0516000076
52. Within one hundred eighty (180) calendar days following the completion and acceptance of the
PROJECT construction contract, CITY shall furnish CALTRANS with a complete set of “As-
Built” plans and Change Orders, including any changes authorized by CALTRANS, on a CD
ROM and in accordance with CALTRANS’ then current CADD User’s Manual (Section 4.3),
Plans Preparation Manual, and CALTRANS practice. The plans will have the Resident
Engineer’s name, contract number, and construction contract acceptance date printed on each
plan sheet, and with the Resident Engineer’s signature only on the title sheet. The As-Built
plans will be in Microstation DGN format, version 7.0 or later. In addition, CITY will provide
one set of As-Built plans and addenda in TIFF format.
The submittal must also include all CALTRANS requested contract records, and land survey
documents. The land survey documents include monument preservation documents and
Records of Surveys prepared to satisfy the requirements of the California Land Surveyors Act
(Business and Professions Code sections 8700 – 8805). Copies of survey documents and
Records of Surveys filed in accordance with Business & Professions Code, including sections
8762 and 8771, shall contain the filing information provided by the county in which filed.
53. Upon OBLIGATION COMPLETION, ownership or title to all materials and equipment
constructed or installed for the operations and/or maintenance of the SHS within SHS right-of-
way as part of WORK become the property of CALTRANS.
CALTRANS will not accept ownership or title to any materials or equipment constructed or
installed outside the SHS right-of-way.
Schedule
54. PARTNERS will manage the schedule for OBLIGATIONS through the work plan included in
the PROJECT MANAGEMENT PLAN.
Additional Provisions
55. PARTNERS will perform all OBLIGATIONS in accordance with federal and California laws,
regulations, and standards; FHWA STANDARDS; and CALTRANS STANDARDS.
56. CALTRANS retains the right to reject noncompliant WORK, protect public safety, preserve
property rights, and ensure that all WORK is in the best interest of the SHS.
57. Each PARTNER will ensure that personnel participating in OBLIGATIONS are appropriately
qualified or licensed to perform the tasks assigned to them.
58. PARTNERS will invite each other to participate in the selection of any consultants who
participate in OBLIGATIONS.
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AGREEMENT 05-0312
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59. CALTRANS will issue, upon proper application, the encroachment permits required for
WORK within SHS right-of-way. Contractors and/or agents, and utility owners will not work
within the SHS right-of-way without an encroachment permit issued in their name.
CALTRANS will provide encroachment permits to PARTNERS, their contractors, consultants
and agents, and utility owners at no cost. If the encroachment permit and this AGREEMENT
conflict, the requirements of this AGREEMENT shall prevail.
60. The IMPLEMENTING AGENCY for a PROJECT COMPONENT will coordinate, prepare,
obtain, implement, renew, and amend any encroachment permits needed to complete the
PROJECT COMPONENT WORK.
61. If any PARTNER discovers unanticipated cultural, archaeological, paleontological, or other
protected resources during WORK, all WORK in that area will stop and that PARTNER will
notify all PARTNERS within twenty-four (24) hours of discovery. WORK may only resume
after a qualified professional has evaluated the nature and significance of the discovery and a
plan is approved for its removal or protection.
62. PARTNERS will hold all administrative drafts and administrative final reports, studies,
materials, and documentation relied upon, produced, created, or utilized for the PROJECT in
confidence to the extent permitted by law and where applicable, the provisions of California
Government Code section 6254.5(e) shall protect the confidentiality of such documents in the
event that said documents are shared between PARTNERS.
PARTNERS will not distribute, release, or share said documents with anyone other than
employees, agents, and consultants who require access to complete the PROJECT without the
written consent of the PARTNER authorized to release them, unless required or authorized to
do so by law.
63. If a PARTNER receives a public records request pertaining to OBLIGATIONS, that
PARTNER will notify PARTNERS within five (5) working days of receipt and make
PARTNERS aware of any disclosed public documents. PARTNERS will consult with each
other prior to the release of any public documents related to the PROJECT.
64. If HM-1 or HM-2 is found during a PROJECT COMPONENT, the IMPLEMENTING
AGENCY for that PROJECT COMPONENT will immediately notify PARTNERS.
65. CALTRANS, independent of the PROJECT, is responsible for any HM-1 found within the
existing SHS right-of-way. CALTRANS will undertake, or cause to be undertaken, HM
MANAGEMENT ACTIVITIES related to HM-1 with minimum impact to the PROJECT
schedule.
CALTRANS, independent of the PROJECT will pay, or cause to be paid, the cost of HM
MANAGEMENT ACTIVITIES related to HM-1 found within the existing SHS right-of-way.
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AGREEMENT 05-0312
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66. CITY, independent of the PROJECT, is responsible for any HM-1 found within the PROJECT
limits and outside the existing SHS right-of-way. CITY will undertake, or cause to be
undertaken, HM MANAGEMENT ACTIVITIES related to HM-1 with minimum impact to the
PROJECT schedule.
CITY, independent of the PROJECT, will pay, or cause to be paid, the cost of HM
MANAGEMENT ACTIVITIES related to HM-1 found within the PROJECT limits and
outside of the existing SHS right-of-way.
67. If HM-2 is found within the PROJECT limits, the public agency responsible for the
advertisement, award, and administration (AAA) of the PROJECT construction contract will
be responsible for HM MANAGEMENT ACTIVITIES related to HM-2.
68. CALTRANS’ acquisition or acceptance of title to any property on which any HM-1 or HM-2
is found will proceed in accordance with CALTRANS’ policy on such acquisition.
69. CITY will accept, reject, compromise, settle, or litigate claims of any non-AGREEMENT
parties hired to complete OBLIGATIONS.
70. PARTNERS will confer on any claim that may affect OBLIGATIONS or PARTNERS’
liability or responsibility under this AGREEMENT in order to retain resolution possibilities for
potential future claims. No PARTNER will prejudice the rights of another PARTNER until
after PARTNERS confer on the claim.
71. If the PROJECT expends state or federal funds, each PARTNER will comply with the federal
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal
Awards of 2 CFR, Part 200. PARTNERS will ensure that any for-profit party hired to
participate in the OBLIGATIONS will comply with the requirements in 48 CFR, Chapter 1,
Part 31. When state or federal funds are expended on the PROJECT these principles and
requirements apply to all funding types included in this AGREEMENT.
72. If the PROJECT expends state or federal funds, each PARTNER will undergo an annual audit
in accordance with the Single Audit Act and the federal Office of Management and Budget
(OMB) Circular A-133.
73. If the PROJECT expends federal funds, any PARTNER that hires an A&E consultant to
perform WORK on any part of the PROJECT will ensure that the procurement of the
consultant and the consultant overhead costs are in accordance with Chapter 10 of the Local
Assistance Procedures Manual.
74. If WORK stops for any reason, IMPLEMENTING AGENCY will place the PROJECT right-
of-way in a safe and operable condition acceptable to CALTRANS.
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AGREEMENT 05-0312
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75. If WORK stops for any reason, each PARTNER will continue to implement all of its
applicable commitments and conditions included in the PROJECT environmental
documentation, permits, agreements, or approvals that are in effect at the time that WORK
stops, as they apply to each PARTNER’s responsibilities in this AGREEMENT, in order to
keep the PROJECT in environmental compliance until WORK resumes.
76. Fines, interest, or penalties levied against a PARTNER will be paid by the PARTNER whose
action or lack of action caused the levy.
77. If there are insufficient funds available in this AGREEMENT to place PROJECT right-of-way
in a safe and operable condition, the appropriate IMPLEMENTING AGENCY will fund these
activities until such time as PARTNERS amend this AGREEMENT.
That IMPLEMENTING AGENCY may request reimbursement for these costs during the
amendment process.
78. CITY will furnish CALTRANS with the Project History Files related to the PROJECT
facilities on SHS within sixty (60) days following the completion of each PROJECT
COMPONENT. CITY will prepare the Project History File in accordance with the Project
Development Procedures Manual, Chapter 7. All material will be submitted neatly in a three-
ring binder and on a CD ROM in PDF format.
GENERAL CONDITIONS
79. PARTNERS understand that this AGREEMENT is in accordance with and governed by the
Constitution and laws of the State of California. This AGREEMENT will be enforceable in the
State of California. Any PARTNER initiating legal action arising from this AGREEMENT
will file and maintain that legal action in the Superior Court of the county in which the
CALTRANS district office that is signatory to this AGREEMENT resides, or in the Superior
Court of the county in which the PROJECT is physically located.
80. All CALTRANS’ OBLIGATIONS under this AGREEMENT are subject to the appropriation
of resources by the Legislature, the State Budget Act authority, and the allocation of funds by
the California Transportation Commission.
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AGREEMENT 05-0312
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81. Neither CITY nor any officer or employee thereof is responsible for any injury, damage or
liability occurring by reason of anything done or omitted to be done by CALTRANS, its
contractors, sub-contractors, and/or its agents under or in connection with any work, authority,
or jurisdiction conferred upon CALTRANS under this AGREEMENT. It is understood and
agreed that CALTRANS, to the extent permitted by law, will defend, indemnify, and save
harmless CITY and all of its officers and employees from all claims, suits, or actions of every
name, kind, and description brought forth under, but not limited to, tortious, contractual,
inverse condemnation, or other theories and assertions of liability occurring by reason of
anything done or omitted to be done by CALTRANS, its contractors, sub-contractors, and/or
its agents under this AGREEMENT.
82. Neither CALTRANS nor any officer or employee thereof is responsible for any injury,
damage, or liability occurring by reason of anything done or omitted to be done by CITY, its
contractors, sub-contractors, and/or its agents under or in connection with any work, authority,
or jurisdiction conferred upon CITY under this AGREEMENT. It is understood and agreed
that CITY, to the extent permitted by law, will defend, indemnify, and save harmless
CALTRANS and all of its officers and employees from all claims, suits, or actions of every
name, kind, and description brought forth under, but not limited to, tortious, contractual,
inverse condemnation, or other theories and assertions of liability occurring by reason of
anything done or omitted to be done by CITY, its contractors, sub-contractors, and/or its
agents under this AGREEMENT.
83. PARTNERS do not intend this AGREEMENT to create a third party beneficiary or define
duties, obligations, or rights in parties not signatory to this AGREEMENT. PARTNERS do not
intend this AGREEMENT to affect their legal liability by imposing any standard of care for
fulfilling OBLIGATIONS different from the standards imposed by law.
84. PARTNERS will not assign or attempt to assign OBLIGATIONS to parties not signatory to
this AGREEMENT without an amendment to this AGREEMENT.
85. CITY will not interpret any ambiguity contained in this AGREEMENT against CALTRANS.
CITY waives the provisions of California Civil Code section 1654.
A waiver of a PARTNER’s performance under this AGREEMENT will not constitute a
continuous waiver of any other provision.
86. A delay or omission to exercise a right or power due to a default does not negate the use of that
right or power in the future when deemed necessary.
87. If any PARTNER defaults in its OBLIGATIONS, a non-defaulting PARTNER will request in
writing that the default be remedied within thirty (30) calendar days. If the defaulting
PARTNER fails to do so, the non-defaulting PARTNER may initiate dispute resolution.
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AGREEMENT 05-0312
Project No. 0516000076
88. PARTNERS will first attempt to resolve AGREEMENT disputes at the PROJECT team level.
If they cannot resolve the dispute themselves, the CALTRANS district director and the
executive officer of CITY will attempt to negotiate a resolution. If PARTNERS do not reach a
resolution, PARTNERS’ legal counsel will initiate mediation. PARTNERS agree to participate
in mediation in good faith and will share equally in its costs.
Neither the dispute nor the mediation process relieves PARTNERS from full and timely
performance of OBLIGATIONS in accordance with the terms of this AGREEMENT.
However, if any PARTNER stops fulfilling OBLIGATIONS, any other PARTNER may seek
equitable relief to ensure that OBLIGATIONS continue.
Except for equitable relief, no PARTNER may file a civil complaint until after mediation, or
forty-five (45) calendar days after filing the written mediation request, whichever occurs first.
PARTNERS will file any civil complaints in the Superior Court of the county in which the
CALTRANS district office signatory to this AGREEMENT resides or in the Superior Court of
the county in which the PROJECT is physically located.
89. PARTNERS maintain the ability to pursue alternative or additional dispute remedies if a
previously selected remedy does not achieve resolution.
90. If any provisions in this AGREEMENT are found by a court of competent jurisdiction to be, or
are in fact, illegal, inoperative, or unenforceable, those provisions do not render any or all other
AGREEMENT provisions invalid, inoperative, or unenforceable, and those provisions will be
automatically severed from this AGREEMENT.
91. If during performance of WORK additional activities or environmental documentation is
necessary to keep the PROJECT in environmental compliance, PARTNERS will amend this
AGREEMENT to include completion of those additional tasks.
92. Except as otherwise provided in the AGREEMENT, PARTNERS will execute a formal written
amendment if there are any changes to OBLIGATIONS.
93. When WORK performed on the PROJECT is done under contract and falls within the Labor
Code section 1720(a)(1) definition of "public works" in that it is construction, alteration,
demolition, installation, or repair; or maintenance work under Labor Code section 1771,
PARTNERS shall conform to the provisions of Labor Code sections 1720 through 1815, and
all applicable provisions of California Code of Regulations found in Title 8, Division 1,
Chapter 8, Subchapter 3, Articles 1-7. PARTNERS shall include prevailing wage
requirements in contracts for public work and require contractors to include the same
prevailing wage requirements in all subcontracts. Work performed by a PARTNER’s own
employees is exempt from the Labor Code's Prevailing Wage requirements.
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AGREEMENT 05-0312
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94. If WORK is paid for, in whole or part, with federal funds and is of the type of work subject to
federal prevailing wage requirements, PARTNERS shall conform to the provisions of the
Davis-Bacon and Related Acts, 40 U.S.C. § 276(a).
When applicable, PARTNERS shall include federal prevailing wage requirements in contracts
for public work. WORK performed by a PARTNER’s employees is exempt from federal
prevailing wage requirements.
95. PARTNERS agree to sign a CLOSURE STATEMENT to terminate this AGREEMENT.
However, all indemnification, document retention, audit, claims, environmental commitment,
legal challenge, maintenance and ownership articles will remain in effect until terminated or
modified in writing by mutual agreement or expire by the statute of limitations.
96. PARTNERS intend this AGREEMENT to be their final expression that supersedes any oral
understanding or writings pertaining to the OBLIGATIONS. The requirements of this
AGREEMENT shall preside over any conflicting requirements in any documents that are made
an express part of this AGREEMENT.
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DEFINITIONS
AGREEMENT – This agreement including any attachments, exhibits, and amendments.
CALTRANS STANDARDS – CALTRANS policies and procedures, including, but not limited to,
the guidance provided in the Project Development Procedures Manual (PDPM) and the
CALTRANS Workplan Standards Guide for the Delivery of Capital Projects (WSG) [which
contains the CALTRANS Work Breakdown Structure (WBS) and was previously known as the
WBS Guide] and is available at http://www.dot.ca.gov/hq/projmgmt/guidance.htm.
CEQA (California Environmental Quality Act) – The act (California Public Resources Code,
sections 21000 et seq.) that requires state and local agencies to identify the significant
environmental impacts of their actions and to avoid or mitigate those significant impacts, if
feasible.
CFR (Code of Federal Regulations) – The general and permanent rules published in the Federal
Register by the executive departments and agencies of the federal government.
CONSTRUCTION – See PROJECT COMPONENT.
CONSTRUCTION CAPITAL – See PROJECT COMPONENT.
CONSTRUCTION SUPPORT – See PROJECT COMPONENT.
CLOSURE STATEMENT – A document signed by PARTNERS that verifies the completion of all
OBLIGATIONS included in this AGREEMENT and in all amendments to this AGREEMENT.
FHWA – Federal Highway Administration.
FHWA STANDARDS – FHWA regulations, policies and procedures, including, but not limited to,
the guidance provided at www.fhwa.dot.gov/topics.htm.
FUNDING PARTNER – A PARTNER that commits funds in this AGREEMENT to fulfill
OBLIGATIONS. A FUNDING PARTNER accepts the responsibility to provide the funds it
commits in this Agreement.
FUNDING SUMMARY – An executed document that includes a FUNDING TABLE and invoicing
and payment methods.
FUNDING TABLE – The table that designates funding sources, types of funds, and the PROJECT
COMPONENT in which the funds are to be spent. Funds listed on the FUNDING TABLE are
“not-to-exceed” amounts for each FUNDING PARTNER.
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GAAP (Generally Accepted Accounting Principles) – Uniform minimum standards and guidelines
for financial accounting and reporting issued by the Federal Accounting Standards Advisory
Board that serve to achieve some level of standardization. See
http://www.fasab.gov/accepted.html.
HM-1 – Hazardous material (including, but not limited to, hazardous waste) that may require
removal and disposal pursuant to federal or state law whether it is disturbed by the PROJECT
or not.
HM-2 – Hazardous material (including, but not limited to, hazardous waste) that may require
removal and disposal pursuant to federal or state law only if disturbed by the PROJECT.
HM MANAGEMENT ACTIVITIES – Management activities related to either HM-1 or HM-2
including, without limitation, any necessary manifest requirements and disposal facility
designations.
IMPLEMENTING AGENCY – The PARTNER responsible for managing the scope, cost, and
schedule of a PROJECT COMPONENT to ensure the completion of that component.
IQA (Independent Quality Assurance) – CALTRANS’ efforts to ensure that another PARTNER’s
quality assurance activities are in accordance with the applicable standards and the
PROJECT’s Quality Management Plan (QMP). When CALTRANS performs Independent
Quality Assurance it does not develop, produce, validate, verify, re-check, or quality control
another PARTNER’s work products.
NEPA (National Environmental Policy Act of 1969) – This federal act establishes a national policy
for the environment and a process to disclose the adverse impacts of projects with a federal
nexus.
OBLIGATIONS – All WORK responsibilities and their associated costs.
OBLIGATION COMPLETION – PARTNERS have fulfilled all OBLIGATIONS included in this
AGREEMENT and have signed a CLOSURE STATEMENT.
PARTNER – Any individual signatory party to this AGREEMENT.
PARTNERS – The term that collectively references all of the signatory agencies to this
AGREEMENT. This term only describes the relationship between these agencies to work
together to achieve a mutually beneficial goal. It is not used in the traditional legal sense in
which one PARTNER’s individual actions legally bind the other PARTNER.
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PROJECT COMPONENT – A distinct portion of the planning and project development process of a
capital project as outlined in California Government Code, section 14529(b).
• PID (Project Initiation Document) – The work required to deliver the project initiation
document for the PROJECT in accordance with CALTRANS STANDARDS.
• PA&ED (Project Approval and Environmental Document) – The work required to deliver
the project approval and environmental documentation for the PROJECT in accordance
with CALTRANS STANDARDS.
• PS&E (Plans, Specifications, and Estimate) – The work required to deliver the plans,
specifications, and estimate for the PROJECT in accordance with CALTRANS
STANDARDS.
• R/W (Right of Way) –The project components for the purpose of acquiring real property
interests for the PROJECT in accordance with CALTRANS STANDARDS.
• R/W (Right of Way) SUPPORT –The work required to obtain all property interests for
the PROJECT.
• R/W (Right of Way) CAPITAL – The funds for acquisition of property rights for the
PROJECT.
• CONSTRUCTION – The project components for the purpose of completing the
construction of the PROJECT in accordance with CALTRANS STANDARDS.
• CONSTRUCTION SUPPORT – The work required for the administration, acceptance,
and final documentation of the construction contract for the PROJECT.
• CONSTRUCTION CAPITAL – The funds for the construction contract.
PROJECT MANAGEMENT PLAN – A group of documents used to guide the PROJECT’s
execution and control throughout that project’s lifecycle.
PS&E (Plans, Specifications, and Estimate) – See PROJECT COMPONENT.
QMP (Quality Management Plan) – An integral part of the PROJECT MANAGEMENT PLAN that
describes IMPLEMENTING AGENCY’s quality policy and how it will be used.
R/W (Right of Way) CAPITAL – See PROJECT COMPONENT.
R/W (Right of Way) SUPPORT – See PROJECT COMPONENT.
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AGREEMENT 05-0312
Project No. 0516000076
SHS (State Highway System) – All highways, right-of-way, and related facilities acquired, laid out,
constructed, improved, or maintained as a state highway pursuant to constitutional or
legislative authorization.
SPONSOR – Any PARTNER that accepts the responsibility to establish scope of the PROJECT and
the obligation to secure financial resources to fund the PROJECT COMPONENTS in this
AGREEMENT. A SPONSOR is responsible for adjusting the PROJECT scope to match
committed funds or securing additional funds to fully fund the PROJECT COMPONENTS in
this AGREEMENT. If this AGREEMENT has more than one SPONSOR, funding
adjustments will be made by percentage (as outlined in Responsibilities). Scope adjustments
must be developed through the project development process and must be approved by
CALTRANS as the owner/operator of the SHS.
WORK – All efforts to complete the OBLIGATIONS included in this AGREEMENT as described
by the activities in the CALTRANS Workplan Standards Guide for the Delivery of Capital
Projects (WSG).
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AGREEMENT 05-0312
Project No. 0516000076
SIGNATURES
PARTNERS are empowered by California Streets and Highways Code section 114 and 130 to
enter into this AGREEMENT and have delegated to the undersigned the authority to execute
this AGREEMENT on behalf of the respective agencies and covenants to have followed all the
necessary legal requirements to validly execute this AGREEMENT.
Signatories may execute this AGREEMENT through individual signature pages provided that
each signature is an original. This AGREEMENT is not fully executed until all original
signatures are attached.
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
Timothy M. Gubbins
District Director
Certified as to funds:
Julia Bolger
District Budget Manager
CITY OF SAN LUIS OBISPO
Jan Howell Marx
Mayor
Attest:
J. Christine Dietrick
City Attorney
Approved as to form and procedure:
Daryl Grigsby
Public Works Director
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AGREEMENT 05 - 0312
Project No. 0516000076
EA 0H731
05-SLO-101-25.5/26.30
FUNDING SUMMARY NO. 01
FUNDING TABLE
v. 122
IMPLEMENTING AGENCY CITY CITY CITY
Source
FUNDING
PARTNER Fund Type PS&E R/W
SUPPORT
R/W
CAPITAL
CONST.
SUPPORT
CONST.
CAPITAL Totals
Local CITY Local 30,000 0 0 40,000 380,000 450,000
Totals 30,000 0 0 40,000 380,000 450,000
PACT Project Development Agreement 2015-03-12 (Created 06/21/16) 1 of 3
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FUNDING SUMMARY No. 01 AGREEMENT 05 - 0312
Project No. 0516000076
Invoicing and Payment
1. When a PARTNER is reimbursed for actual costs, invoices will be submitted each month
for the prior month's expenditures. After all PROJECT COMPONENT WORK is
complete, PARTNERS will submit a final accounting of all PROJECT COMPONENT
costs. Based on the final accounting, PARTNERS will invoice or refund as necessary to
satisfy the financial commitments of this AGREEMENT.
Plans, Specifications, and Estimate (PS&E)
2. No invoicing or reimbursement will occur for the PS&E PROJECT COMPONENT.
Right of Way Support (R/W SUPPORT)
3. No invoicing or reimbursement will occur for the R/W SUPPORT PROJECT
COMPONENT.
Right of Way Capital (R/W CAPITAL)
4. No invoicing or reimbursement will occur for the R/W CAPITAL PROJECT
COMPONENT.
CONSTRUCTION SUPPORT
5. No invoicing or reimbursement will occur for the CONSTRUCTION SUPPORT
PROJECT COMPONENT.
CONSTRUCTION CAPITAL
6. No invoicing or reimbursement will occur for the CONSTRUCTION CAPITAL PROJECT
COMPONENT.
PACT Project Development Agreement 2015-03-12 (Created 06/21/16) 2 of 3
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FUNDING SUMMARY No. 01 AGREEMENT 05 - 0312
Project No. 0516000076
Signatures
PARTNERS are empowered by California Streets and Highways Code sections 114 and
130 to enter into this AGREEMENT and have delegated to the undersigned the authority to
execute this FUNDING SUMMARY on behalf of the respective agencies and covenants to
have followed all the necessary legal requirements to validly execute this FUNDING
SUMMARY.
Signatories may execute this FUNDING SUMMARY through individual signature pages
provided that each signature is an original. This FUNDING SUMMARY is not fully
executed until all original signatures are attached.
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
Aaron Henkel
Project Manager
Date
District Budget Manager
HQ Accounting
CITY OF SAN LUIS OBISPO
Dereck Johnson
Interim Finance Director
Date
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FUNDING SUMMARY No. 01 AGREEMENT 05 - 0312
Project No. 0516000076
CLOSURE STATEMENT INSTRUCTIONS
1. Did PARTNERS complete all scope, cost and schedule commitments included in this
AGREEMENT and any amendments to this AGREEMENT?
YES / NO
2. Did CALTRANS accept and approve all final deliverables submitted by CITY?
YES / NO
3. Did the CALTRANS HQ Office of Accounting verify that all final accounting for this
AGREEMENT and any amendments to this AGREEMENT were completed?
YES / NO
4. If construction is involved, did the CALTRANS District Project Manager verify that all
claims and third party billings (utilities, etc.) have been settled before termination of the
AGREEMENT?
YES / NO
5. Did PARTNERS complete and transmit the As-Built Plans, Project History File, and all
other required contract documents?
YES / NO
If ALL answers are “YES”, this form may be used to TERMINATE this AGREEMENT.
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FUNDING SUMMARY No. 01 AGREEMENT 05 - 0312
Project No. 0516000076
CLOSURE STATEMENT
PARTNERS agree that they have completed all scope, cost, and schedule commitments included
in Agreement 05-0312 and any amendments to the agreement.
The final signature date on this document terminates Agreement 05-0312 except survival
articles.
All survival articles in Agreement 05-0312 will remain in effect until expired by law, terminated
or modified in writing by PARTNER’s mutual agreement, whichever occurs earlier.
The people signing this Agreement have the authority to do so on behalf of their public agencies.
CALTRANS
Name:
District Director
Date:
CERTIFIED AS TO ALL FINANCIAL
OBLIGATIONS/TERMS AND POLICIES
Name:
District Budget Manager
CITY OF SAN LUIS OBISPO
Name:
Mayor
Date:
PACT Project Development Agreement 2015-03-12 (Created 06/21/16) 2 of 3
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