HomeMy WebLinkAbout07-12-2016 Item 11 Caltrans Cooperative Agreement Prado & HWY 101
Meeting Date: 7/12/2016
FROM: Daryl Grigsby, Public Works Director
Prepared By: Jake Hudson, Transportation Manager
SUBJECT: CALTRANS COOPERATIVE AGREEMENT: PRADO & HWY 101
RECOMMENDATION
1. Approve a cooperative agreement with CalTrans for the processing of a Project Study
Report (PSR) for improvements to the Prado Road/ US 101 interchange.
2. Authorize the City Manager to execute the agreement pending deposit of sufficient funds
from the San Luis Ranch to reimburse PSR activities and Caltrans review.
3. Appropriate $25,000 from the Transportation Impact Fee Account (Fund 405) to fund
City related work on the Project Study Report.
DISCUSSION
Environmental review for the San Luis Ranch development project is underway. An
Environmental Impact Report (EIR) is being prepared for the development project with
circulation studies that require evaluation of multiple alternatives for the Prado & Hwy 101
interchange. Alternatives range from an overpass only to the full access interchange included in
the General plan.
While the EIR can make assumptions regarding the alternatives of the interchange design, the
Caltrans process for the detailed investigation of the interchange and alternatives does not fit
within the EIR process for a City development project. As such, a separate (Project Study
Report (PSR) is needed by Caltrans to obtain the specific information necessary to support the
alternatives being evaluated in the EIR as feasible and/or reject alternatives that are determined
to not be feasible. Although the City is acting as lead in preparing PSR and EIR as part of the
San Luis Ranch development application, CalTrans is the lead agency on planning and design of
the State Highway System and thus has responsibility and authority for reviewing and approving
the PSR.
CalTrans requires a cooperative agreement with the City prior to reviewing and approving the
analysis and findings. The cooperative agreement establishes the rights, duties, decisions, and
commitments between the City and Caltrans as well as a funding mechanism for reimbursement
of the State’s review costs. This agreement is a standard requirement for analysis of
interchanges. The City entered into a similar agreement for the Los Osos Valley Road
Interchange when that facility was first being evaluated for expansion.
ENVIRONMENTAL REVIEW
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The City Council’s approval of the agreement is not subject to environmental review because it
is not a project within the meaning of the California Environmental Quality Act.
FISCAL IMPACT
Funding for the PSR will be provided by the San Luis Ranch Development. The portion paid by
San Luis Ranch above and beyond their fair share, which is yet to be determined by the traffic
impact study, will be eligible for transportation impact fee credits or reimbursement. The current
estimate of this work is $379,000. In addition, Caltrans requires a review fee, estimated at
$147,000, for their services as part of the PSR processing. Part of the work required in the PSR is
to identify feasible alternatives for the interchange considering potential effects such impacts to
the flood plain / hydrology and to mainline 101 operations / interchange spacing resulting from
the interchange configuration. These impacts affect adjacent properties such as the future RTA
facility, Homeless Services Center, the City WWRF modification project and the Corporation
Yard. Since these issues affect City related facilities and the full costs of the Prado Road
Interchange may include some non-fair share costs, staff is recommending the City participate in
funding the flooding analysis conducted in the PSR. Staff is recommending that $25,000 in
unappropriated Citywide Transportation Impact Fees be appropriated for this purpose. The TIF
program currently anticipates $6,547,000 to be collected toward construction of the Prado Road
Interchange. The current TIF fund has adequate resources to fund this recommendation. To
conclude, the cost of the PSR is $379,000 with an additional review fee of $147,000 for a total of
526,000. The city is contributing $25,000 and the applicant is funding the balance of $501.000.
Once the applicant has deposited funds with the City to cover their portion of the work, the City
Manager will execute the agreement. The applicant will be eligible for partial transportation
impact fee credits for costs in excess of their fair share. The project’s fair share of the cost will
be determined as part of the Transportation Impact Study which will identify interchange costs
and recommend a funding program and fair share assessments.
Attachments:
a a - Draft Agreement
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05-SLO-101-26.8
Project Number: 0516000105
EA: 1H640
Agreement 05 - 0313
Project Initiation Document (PID) Agreement 2012_10_30 Page 1 of 10
COOPERATIVE AGREEMENT
Project Study Report – Project Development Support (PSR-PDS)
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 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 Government Code 65086.5.
2. CITY desires that a project initiation document (PID) be developed for construction of
overcrossing on Route 101 in San Luis Obispo 0.9 mile North of Los Osos Valley Road
Overcrossing or Interchange at Prado Road within the State Highway System (SHS),
referred to herein as PROJECT.
3. PARTNERS acknowledge that this Agreement is to complete a Project Study Report -
Project Development Support (PSR-PDS) PID.
4. California Government Code section 65086.5 mandates that CALTRANS review and
approve all PIDs developed by entities other than CALTRANS.
5. CITY is willing to develop the PID and is willing to fund one hundred percent (100%) of
the PID’s costs and fees, including costs to reimburse CALTRANS. If, in the future,
CALTRANS is allocated state funds and Personnel Years (PYs) for PID review of this
PROJECT, CALTRANS will agree to amend this Agreement to change the reimbursement
arrangement for PID review to relieve CITY of commensurate financial obligations.
6. CALTRANS will: review and approve the PID prepared by CITY; provide relevant
proprietary information in the form of existing data transfer, spreadsheets, and maps,
actively participate in the project delivery team (PDT) meetings; and complete any work
elements identified in the SCOPE SUMMARY of this Agreement. All CALTRANS
activities will be done as reimbursed work. PARTNERS hereby set forth the terms,
covenants, and conditions of this Agreement, under which they will complete the PID.
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Agreement 05 - 0313
Project Initiation Document (PID) Agreement 2012_10_30 Page 2 of 10
ROLES AND RESPONSIBILITIES
7. CITY will prepare a PID for PROJECT at its sole cost and expense and at no cost to
CALTRANS. The PID shall be signed on behalf of CITY by a Civil Engineer registered in
the State of California.
8. CALTRANS will complete the work elements that are assigned to it on the SCOPE
SUMMARY, which is attached to and made a part of this Agreement. CITY will complete
the work elements assigned to it on the SCOPE SUMMARY. Work elements marked with
“N/A” on the SCOPE SUMMARY are not included within this Agreement. Work
elements are outlined in the Workplan Standards Guide for the Delivery of Capital Projects
available at www.dot.ca.gov/hq/projmgmt/guidance.htm.
9. The PID shall be prepared in accordance with all State and Federal laws, regulations,
policies, procedures, and standards that CALTRANS would normally follow if
CALTRANS was to prepare the PID.
10. CALTRANS will complete a review of the draft PID and provide its comments to CITY
within sixty (60) calendar days from the date CALTRANS receives the draft PID from
CITY. CITY will address the comments provided by CALTRANS. If any interim reviews
are requested of CALTRANS by CITY, CALTRANS will complete those reviews within
thirty (30) calendar days from the date CALTRANS received the draft PID from CITY.
11. After CITY revises the PID to address all of CALTRANS’ comments and submits a
revised draft PID and all related attachments and appendices, CALTRANS will complete
its review and final determination of the revised draft PID within thirty (30) calendar days
from the date CALTRANS receives the revised draft PID from CITY. Should
CALTRANS require supporting data necessary to defend facts or claims cited in the
revised draft PID, CITY will provide all available supporting data in a reasonable time so
that CALTRANS may conclude its review. The thirty (30) day CALTRANS review period
will be stalled during that time and will continue to run after CITY provides the required
data.
12. CALTRANS will perform its review and approval in accordance with the provisions of the
current Project Development Procedures Manual. CALTRANS’ review and approval will
consist of performing independent quality assurance (IQA) to verify that quality
control/quality assurance (QC/QA) meets department standards and determination that the
work is acceptable for the next project component. However, CALTRANS’ review and
approval does not involve any work necessary to actually develop or complete the PID. No
liability will be assignable to CALTRANS, its officers and employees by CITY under the
terms of this Agreement or by third parties by reason of CALTRANS’ review and approval
of the PID.
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Project Initiation Document (PID) Agreement 2012_10_30 Page 3 of 10
13. PID preparation, except as set forth in this Agreement, is to be performed by CITY.
Should CITY request CALTRANS to perform any portion of PID preparation work, except
as otherwise set forth in this Agreement, CITY shall first agree to reimburse CALTRANS
for such work and PARTNERS will amend this Agreement.
INVOICE AND PAYMENT
14. CITY agrees to pay CALTRANS, an amount not to exceed $147,000.
15. CALTRANS will draw from state and federal funds that are provided by CITY without
invoicing CITY when CALTRANS administers those funds and CALTRANS has been
allocated those funds by the CTC and whenever else possible.
16. The cost of any engineering support performed by CALTRANS, when allowed, will be
charged according to current law.
17. CALTRANS will invoice CITY for a $49,000 initial deposit after execution of this
Agreement and thirty (30) working days prior to the commencement of PROJECT
expenditures.
18. Thereafter, CALTRANS will submit to CITY monthly invoices for estimate monthly costs
based on the prior month’s expenditures.
19. If an executed Program Supplement Agreement (PSA) or STIP (Statewide Transportation
Improvement Program) Planning, Programming, and Monitoring Program Fund Transfer
Agreement (PPM) exists for this PROJECT then CITY will abide by the billing and
payment conditions detailed for the fund types identified in the PSA or PPM.
20. If CITY has received Electronic Funds Transfer (EFT) certification from CALTRANS then
CITY will use the EFT mechanism and follow all EFT procedures to pay all invoices
issued from CALTRANS.
21. If CALTRANS reimburses CITY for any costs later determined to be ineligible, CITY will
reimburse those funds.
22. Except as otherwise provided in this Agreement, PARTNERS will pay invoices within
thirty (30) calendar days of receipt of invoice.
23. If CITY issues a Stop Work Notice to the CALTRANS Project Manager, CALTRANS
agrees to cease work within 5 working days until a notice to resume is issued by CITY.
Any work conducted beyond 5 working days after Stop Work Notice is issued is not
eligible for payment.
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GENERAL CONDITIONS
24. Per Chapter 603, amending item 2660-001-0042 of Section 2.00 of the State Budget Act of
2012, the cost of any engineering services performed by CALTRANS towards any local
government agency-sponsored PID project will only include direct costs. Indirect or
overhead costs will not be applied during the development of the PID document.
25. If any hazardous materials, pursuant to Health and Safety Code 25401.1, are found within
PROJECT limits, PARTNER will notify CALTRANS within 24 hours of discovery.
26. PARTNERS agree to consider alternatives to PROJECT scope and/or alignment, to the
extent practicable, in an effort to avoid any known hazardous materials within the proposed
PROJECT limits.
27. If hazardous materials are discovered within PROJECT limits, but outside of SHS right of
way, it is the responsibility of CITY in concert with the local agency having land use
jurisdiction over the property, and the property owner, to remedy before CALTRANS will
acquire or accept title to such property.
28. CALTRANS’ acquisition or acceptance of title to any property on which any hazardous
materials are found will proceed in accordance with CALTRANS’ policy.
29. CALTRANS’ obligations under this Agreement are subject to the appropriations of
resources by the Legislature, the State Budget Act authority, and the allocation of funds by
the California Transportation Commission.
30. 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.
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31. 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.
32. If work is done under contract (not completed by CITY’s own employees) and is governed
by the California Labor Code’s definitions of a “public works” (section1720(a)), CITY will
conform to sections 1720-1815 of the California Labor Code and all applicable regulations
and coverage determinations issued by the Director of Industrial Relations.
33. This Agreement is intended to be PARTNERS’ final expression and supersedes all prior
oral understanding pertaining to PROJECT.
34. This Agreement will terminate one hundred eighty (180) days after PID is signed by
PARTNERS or as mutually agreed by PARTNERS in writing. However, all
indemnification articles will remain in effect until terminated or modified in writing by
mutual agreement.
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DEFINITIONS
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 parties.
SCOPE SUMMARY – The attachment in which each PARTNER designates its responsibility
for the completion of specific work elements as outlined by the Guide to Capital Project
Delivery Workplan Standards (previously known as WBS Guide) available at
http://www.dot.ca.gov/hq/projmgmt/guidance.htm.
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CONTACT INFORMATION
The information provided below indicates the primary contact information for each
PARTNER to this Agreement. PARTNERS will notify each other in writing of any
personnel or location changes. Contact information changes do not require an amendment
to this Agreement.
The primary Agreement contact person for CALTRANS is:
Paul Martinez, Project Manager
50 Higuera Street
San Luis Obispo, CA 93401
Office Phone: 805-549-3407
The primary Agreement contact person for CITY is:
Jake Hudson, Transportation Manager
919 Palm Street
San Luis Obispo, CA 93401
Office Phone: (805) 781-7023
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SIGNATURES
PARTNERS declare that:
1. Each PARTNER is an authorized legal entity under California state law.
2. Each PARTNER has the authority to enter into this Agreement.
3. The people signing this Agreement have the authority to do so on behalf of their public
agencies.
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
By:
Timothy M. Gubbins
District Director
Certified as to funds:
By:
Julia Bolger
Resource Manager
CITY OF SAN LUIS OBISPO
By:
Katie Lichtig
City Manager
Attest:
By:
Lee Price, MMC
Interim City Clerk
Approved as to form and procedure:
By:
Christine Dietrick
City Attorney
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SCOPE SUMMARY
WORK ELEMENT
CA
L
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CI
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N/
A
0.100.05.05.xx - Quality Management Plan X
0.100.05.05.xx - Risk Management Plan X
0.100.05.05.xx - Communication Plan X
0.100.05.10.xx - Cooperative Agreement for PA&ED Phase X
0.100.05.10.xx - Independent Quality Assurance (IQA) X
0.100.05.10.xx - Project Development Team Meetings X X
1.150.05.05 - Review of Existing Reports Studies and Mapping X
1.150.05.05.xx - Provision of Existing Reports, Data, Studies, and Mapping X
1.150.05.10 - Geological Hazards Review X
1.150.05.10.xx - Provision of Existing Geological Information X
1.150.05.15 - Utility Search X
1.150.05.15.xx - Provision of Existing Utility Information X
1.150.05.20 - Environmental Constraints Identification X
1.150.05.20.xx - Provision of Environmental Constraints Information X
1.150.05.25 - Traffic Forecasts/Modeling X
1.150.05.25.xx - Provision of Existing Traffic Forecasts/Modeling Information X
1.150.05.30 - Surveys and Maps for PID X
1.150.05.30.xx - Provision of Existing Surveys and Mapping X
1.150.05.35 - Problem Definition X
1.150.05.45 - As-Built Centerline and Existing Right of Way X
1.150.05.xx - Provision of Existing District Geotechnical Information X
1.150.10.05 - Public/Local Agency Input X
1.150.15.05 - Right of Way Data Sheets X
1.150.15.10 - Utility Relocation Requirements Assessment X
1.150.15.15 - Railroad Involvement Determination X
1.150.15.25 - Preliminary Materials Report X
1.150.15.35 - Multimodal Review X
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WORK ELEMENT
CA
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N/
A
1.150.15.40 - Hydraulic Review X
1.150.15.50 - Traffic Studies X
1.150.15.55 - Construction Estimates X
1.150.20.05 - Initial Noise Study X
1.150.20.10 - Hazardous Waste Initial Site Assessment X
1.150.20.15 - Scenic Resource and Landscape Architecture Review X
1.150.20.30 - Initial Records and Literature Search for Cultural Resources X
1.150.20.50 - Initial Water Quality Studies X
1.150.20.60 - Preliminary Environmental Analysis Report Preparation X
1.150.20.65 - Initial Paleontology Study X
1.150.25.05 - Draft PID X
1.150.25.20 - PID Circulation, Review, and Approval X
1.150.25.25 - Storm Water Data Report X
1.150.35 - Required Permits During PID Development X
1.150.40 - Permit Identification During PID Development X
1.150.45 - Base Maps and Plan Sheets for PID X
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