07-1210_CALIF DEPT OF TRANSPORTATION_Master AgrMASTER AGREEMENT
ADMINISTERING AGENCY -STATE AGREEMENT FOR
FEDERAL -AID PROJECTS
12 City of San Juan Capistrano
District Administering Agency
Agreement No. 12-5372R
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This AGREEMENT, is entered into effective this �( k day of Pcckber , 2007, by and
between the City of San Juan Capistrano, hereinafter referred to as "ADMINISTERING AGENCY,"
and the State of California, acting by and through its Department of Transportation (Caltrans),
hereinafter referred to as "STATE, and together referred to as "PARTIES" or individually as a
"PARTY."
RECITALS:
1. WHEREAS, the Congress of the United States has enacted the Intermodal Surface
Transportation Efficiency Act (ISTEA) of 1991 and subsequent Transportation Authorization Bills
to fund transportation programs. These transportation programs include, but are not limited to, the
Surface Transportation Program (STP), the Congestion Mitigation and Air Quality Improvement
Program (CMAQ), the Transportation Enhancement Program (TE), Highway Safety Improvement
Program (HSIP) and the Highway Bridge Program (HBP) (collectively the "PROGRAMS"); and
2. WHEREAS, the Legislature of the State of California has enacted legislation by which certain
federal -aid funds may be made available for use on local transportation related projects of public
entities qualified to act as recipients of these federal -aid funds in accordance with the intent of
federal law; and
3. WHEREAS, before federal -funds will be made available for a specific program project,
ADMINISTERING AGENCY and STATE are required to enter into an agreement to establish
terms and conditions applicable to the ADMINISTERING AGENCY when receiving federal funds
for a designated PROJECT facility and to the subsequent operation and maintenance of that
completed facility.
NOW, THEREFORE, the PARTIES agree as follows:
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ARTICLE I - PROJECT ADMINISTRATION
1. This AGREEMENT shall have no force or effect with respect to any program project unless and
until a project -specific Program Supplement to this AGREEMENT for federal -aid projects,
hereinafter referred to as "PROGRAM SUPPLEMENT", has been fully executed by both STATE
and ADMINISTERING AGENCY.
2. The term "PROJECT", as used herein, means that authorized transportation related project and
related activities financed in part with federal -aid funds as more fully -described in an
"Authorization/ Agreement Summary" or "Amendment/Modification Summary", herein referred to
as 'E-76" or "E-76 (AMOD)" document authorized by STATE or the Federal Highway
Administration (FHWA).
3. The E-76/E-76(AMOD) shall designate the party responsible for implementing PROJECT, type
of work and location of PROJECT.
4. The PROGRAM SUPPLEMENT sets out special covenants as a condition for the
ADMINISTERING AGENCY to receive federal -aid funds from/through STATE for designated
PROJECT. The PROGRAM SUPPLEMENT shall also show these Federal Funds that have been
initially encumbered for PROJECT along with the matching funds to be provided by
ADMINISTERING AGENCY and/or others. Execution of PROGRAM SUPPLEMENT by the
PARTIES shall cause ADMINISTERING AGENCY to adopt all of the terms of this AGREEMENT
as though fully set forth therein in the PROGRAM SUPPLEMENT. Unless otherwise expressly
delegated in a resolution by the governing body of ADMINISTERING AGENCY, and with written
concurrence by STATE, the PROGRAM SUPPLEMENT shall be approved and managed by the
governing body of ADMINISTERING AGENCY.
5. ADMINISTERING AGENCY agrees to execute and return each project -specific PROGRAM
SUPPLEMENT within ninety (90) days of receipt. The PARTIES agree that STATE may suspend
future authorizations/obligations and invoice payments for any on-going or future federal -aid
project performed by ADMINISTERING AGENCY if any project -specific PROGRAM
SUPPLEMENT is not returned within that ninety (90) day period unless otherwise agreed by
STATE in writing.
6. ADMINISTERING AGENCY further agrees, as a condition to the release and payment of
Federal Funds encumbered for the PROJECT described in each PROGRAM SUPPLEMENT, to
comply with the terms and conditions of this AGREEMENT and all of the agreed-upon Special
Covenants or Remarks incorporated within the PROGRAM SUPPLEMENT, and
Cooperative/Contribution Agreement where appropriate, defining and identifying the nature of the
specific PROJECT.
7. Federal, State and matching funds will not participate in PROJECT work performed in advance
of the approval of the E-76 or E-76 (AMOD), unless otherwise stated in the executed project -
specific PROGRAM SUPPLEMENT. ADMINISTERING AGENCY agrees that it will only proceed
with the work authorized for that specific phase(s) on the project -specific E-76 or E-76 (AMOD).
ADMINISTERING AGENCY further agrees to not proceed with future phases of PROJECT prior to
receiving an E-76 (AMOD) from STATE for that phase(s) unless no Further Federal funds are
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needed or for those future phase(s).
8. That PROJECT or portions thereof, must be included in a federally approved Federal Statewide
Transportation Improvement Program (FSTIP) prior to ADMINISTERING AGENCY submitting the
"Request for Authorization".
9. ADMINISTERING AGENCY shall conform to all State statutes, regulations and procedures
(including those set forth in the Local Assistance Procedures Manual and the Local Assistance
Program Guidelines, hereafter collectively referred to as "LOCAL ASSISTANCE PROCEDURES")
relating to the federal -aid program, all Title 23 federal requirements, and all applicable federal
laws, regulations, and policy and procedural or instructional memoranda, unless otherwise
specifically waived as designated in the executed project -specific PROGRAM SUPPLEMENT.
10. If PROJECT is not on STATE -owned right of way, PROJECT shall be constructed in
accordance with LOCAL ASSISTANCE PROCEDURES that describes minimum statewide design
standards for local agency streets and roads. LOCAL ASSISTANCE PROCEDURES for projects
off the National Highway System (NHS) allow STATE to accept either the STATE's minimum
statewide design standards or the approved geometric design standards of ADMINISTERING
AGENCY. Additionally, for projects off the NHS, STATE will accept ADMINISTERING AGENCY -
approved standard specifications, standard plans, materials sampling and testing quality
assurance programs that meet the conditions described in the then current LOCAL ASSISTANCE
PROCEDURES.
11. If PROJECT involves work within or partially within STATE -owned right-of-way, that
PROJECT shall also be subject to compliance with the policies, procedures and standards of the
STATE Project Development Procedures Manual and Highway Design Manual and where
appropriate, an executed cooperative agreement between STATE and ADMINISTERING
AGENCY that outlines the PROJECT responsibilities and respective obligations of the PARTIES.
ADMINISTERING AGENCY and its' contractors shall each obtain an encroachment permit
through STATE prior to commencing any work within STATE rights of way or work which affects
STATE facilities.
12. When PROJECT is not on the State Highway System but includes work to be performed by a
railroad, the contract for such work shall be prepared by ADMINISTERING AGENCY or by
STATE, as the PARTIES may hereafter agree. In either event, ADMINISTERING AGENCY shall
enter into an agreement with the railroad providing for future maintenance of protective devices or
other facilities installed under the contract.
13. If PROJECT is using STATE funds, the Department of General Services, Division of the State
Architect, or its designee, shall review the contract PS&E for the construction of buildings,
structures, sidewalks, curbs and related facilities for accessibility and usability. ADMINISTERING
AGENCY shall not award a PROJECT construction contract for these types of improvements until
the State Architect has issued written approval stating that the PROJECT plans and specifications
comply with the provisions of sections 4450 and 4454 of the California Government Code, if
applicable. Further requirements and guidance are provided in Title 24 of the California Code of
Regulations.
14. ADMINISTERING AGENCY will advertise, award and administer PROJECT in accordance
with the current LOCAL ASSISTANCE PROCEDURES unless otherwise stated in the executed
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project -specific PROGRAM SUPPLEMENT.
15. ADMINISTERING AGENCY shall provide or arrange for adequate supervision and inspection
of each PROJECT. While consultants may perform supervision and inspection work for
PROJECT with a fully qualified and licensed engineer, ADMINISTERING AGENCY shall provide a
full-time employee to be in responsible charge of each PROJECT.
16. ADMINISTERING AGENCY shall submit PROJECT -specific contract award documents to
STATE's District Local Assistance Engineer within sixty (60) days after contract award. A copy of
the award documents shall also be included with the submittal of the first invoice for a construction
contract by ADMINISTERING AGENCY to: Department of Transportation, Division of Accounting
Local Programs Accounting Branch, MS #33, PO Box 942874, Sacramento, California 94274-
0001.
17. ADMINISTERING AGENCY shall submit the final report documents that collectively constitute
a "Report of Expenditures" within one hundred eighty (180) days of PROJECT completion. Failure
by ADMINISTERING AGENCY to submit a "Report of Expenditures" within one hundred
eighty(180) days of project completion will result in STATE imposing sanctions upon
ADMINISTERING AGENCY in accordance with the current LOCAL ASSISTANCE
PROCEDURES.
18. ADMINISTERING AGENCY shall comply with: (i) section 504 of the Rehabilitation Act of 1973
which prohibits discrimination on the basis of disability in federally assisted programs; (ii) the
Americans with Disabilities Act (ADA) of 1990 which prohibits discrimination on the basis of
disability irrespective of funding; and (iii) all applicable regulations and guidelines issued pursuant
to both the Rehabilitation Act and the ADA.
19. The Congress of the United States, the Legislature of the State of California and the Governor
of the State of California, each within their respective jurisdictions, have prescribed certain
nondiscrimination requirements with respect to contract and other work financed with public funds.
ADMINISTERING AGENCY agrees to comply with the requirements of the FAIR EMPLOYMENT
PRACTICES ADDENDUM (Exhibit A attached hereto) and the NONDISCRIMINATION
ASSURANCES (Exhibit B attached hereto). ADMINISTERING AGENCY further agrees that any
agreement entered into by ADMINISTERING AGENCY with a third party for performance of
PROJECT -related work shall incorporate Exhibits A and B (with third party's name replacing
ADMINISTERING AGENCY) as essential parts of such agreement to be enforced by that third
party as verified by ADMINISTERING AGENCY.
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orderly, timely and efficient relocation of PROJECT- displaced persons as provided in 49 CFR,
Part 24.
6. ADMINISTERING AGENCY shall, along with recording the deed or instrument evidencing title
in the name of the ADMINISTERING AGENCY or their assignee, shall also record an Agreement
Declaring Restrictive Covenants (ADRC) as a separate document incorporating the assurances
included within Exhibits A and B and Appendices A, B, C and D of the AGREEMENT, as
appropriate.
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ARTICLE III - MAINTENANCE AND MANAGEMENT
1. ADMINISTERING AGENCY will maintain and operate the property acquired, developed,
constructed, rehabilitated, or restored by PROJECT for its intended public use until such time as
the parties might amend this AGREEMENT to otherwise provide. With the approval of STATE,
ADMINISTERING AGENCY or its successors in interest in the PROJECT property may transfer
this obligation and responsibility to maintain and operate PROJECT property for that intended
public purpose to another public entity.
2. Upon ADMINISTERING AGENCY's acceptance of the completed federal -aid construction
contract or upon contractor being relieved of the responsibility for maintaining and protecting
PROJECT, ADMINISTERING AGENCY will be responsible for the maintenance, ownership,
liability, and the expense thereof, for PROJECT in a manner satisfactory to the authorized
representatives of STATE and FHWA and if PROJECT falls within the jurisdictional limits of
another Agency or Agencies, it is the duty of ADMINISTERING AGENCY to facilitate a separate
maintenance agreement(s) between itself and the other jurisdictional Agency or Agencies
providing for the operation, maintenance, ownership and liability of PROJECT. Until those
agreements are executed, ADMINISTERING AGENCY will be responsible for all PROJECT
operations, maintenance, ownership and liability in a manner satisfactory to the authorized
representatives of STATE and FHWA. If, within ninety (90) days after receipt of notice from
STATE that a PROJECT, or any portion thereof, is not being properly operated and maintained
and ADMINISTERING AGENCY has not satisfactorily remedied the conditions complained of, the
approval of future federal -aid projects of ADMINISTERING AGENCY will be withheld until the
PROJECT shall have been put in a condition of operation and maintenance satisfactory to STATE
and FHWA. The provisions of this section shall not apply to a PROJECT that has been vacated
through due process of law with STATE's concurrence.
3. PROJECT and its facilities shall be maintained by an adequate and well-trained staff of
engineers and/or such other professionals and technicians as PROJECT reasonably requires.
Said operations and maintenance staff may be employees of ADMINISTERING AGENCY, another
unit of government, or a contractor under agreement with ADMINISTERING AGENCY. All
maintenance will be performed at regular intervals or as required for efficient operation of the
complete PROJECT improvements.
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11. The estimated total cost of PROJECT, the amount of Federal Funds obligated, and the
required matching funds may be adjusted by mutual consent of the PARTIES hereto with a
finance letter, a detailed estimate, if required, and approved E-76 (AMOD). Federal -aid funding
may be increased to cover PROJECT cost increases only if such funds are available and FHWA
concurs with that increase.
12. When additional federal -aid funds are not available, ADMINISTERING AGENCY agrees that
the payment of Federal Funds will be limited to the amounts authorized on the PROJECT specific
E-76 / E-76 (AMOD) and agrees that any increases in PROJECT costs must be defrayed with
ADMINISTERING AGENCY's own funds.
13. ADMINISTERING AGENCY shall use its own non -Federal Funds to finance the local share of
eligible costs and all expenditures or contract items ruled ineligible for financing with Federal
Funds. STATE shall make the determination of ADMINISTERING AGENCY's cost eligibility for
federal fund financing of PROJECT costs.
14. ADMINISTERING AGENCY will reimburse STATE for STATE's share of costs for work
performed by STATE at the request of ADMINISTERING AGENCY. STATE's costs shall include
overhead assessments in accordance with section 8755.1 of the State Administrative Manual.
15. Federal and state funds allocated from the State Transportation Improvement Program (STIP)
are subject to the timely use of funds provisions enacted by Senate Bill 45, approved in 1997, and
subsequent STIP Guidelines and State procedures approved by the CTC and STATE.
16. Federal Funds encumbered for PROJECT are available for liquidation for a period of seven (7)
years from the beginning of the State fiscal year the funds were appropriated in the State Budget.
State funds encumbered for PROJECT are available for liquidation only for five (5) years from the
beginning of the State fiscal year the funds were appropriated in the State Budget. Federal or
state funds not liquidated within these periods will be reverted unless an Cooperative Work
Agreement (CWA) is submitted by ADMINISTERING AGENCY and approved by the California
Department of Finance (per Government Code section 16304). The exact date of fund reversion
will be reflected in the STATE signed finance letter for PROJECT.
17. Payments to ADMINISTERING AGENCY for PROJECT -related travel and subsistence (per
diem) expenses of ADMINISTERING AGENCY forces and its contractors and subcontractors
claimed for reimbursement or as local match credit shall not exceed rates authorized to be paid
rank and file STATE employees under current State Department of Personnel Administration
(DPA) rules. If the rates invoiced by ADMINISTERING AGENCY are in excess of DPA rates,
ADMINISTERING AGENCY is responsible for the cost difference, and any overpayments
inadvertently paid by STATE shall be reimbursed to STATE by ADMINISTERING AGENCY on
demand within thirty (30) days of such invoice.
18. ADMINISTERING AGENCY agrees to comply with Office of Management and Budget (OMB)
Circular A-87, Cost Principles for State and Local Governments, and 49 CFR, Part 18, Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments.
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19. ADMINISTERING AGENCY agrees, and will assure that its contractors and subcontractors will
be obligated to agree that (a) Contract Cost Principles and Procedures, 48 CFR, Federal
Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be used to determine the
allowability of individual PROJECT cost items and (b) those parties shall comply with federal
administrative procedures in accordance with 49 CFR, Part 18, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments. Every
sub -recipient receiving PROJECT funds as a contractor or sub -contractor under this
AGREEMENT shall comply with Federal administrative procedures in accordance with 49 CFR,
Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments.
20. Any PROJECT costs for which ADMINISTERING AGENCY has received payment or credit
that are determined by subsequent audit to be unallowable under OMB Circular A-87, 48 CFR,
Chapter 1, Part 31 or 49 CFR, Part 18, are subject to repayment by ADMINISTERING AGENCY
to STATE. Should ADMINISTERING AGENCY fail to reimburse moneys due STATE within thirty
30 days of demand, or within such other period as may be agreed in writing between the
PARTIES hereto, STATE is authorized to intercept and withhold future payments due
ADMINISTERING AGENCY from STATE or any third -parry source, including but not limited to,
the State Treasurer, the State Controller and the CTC.
21. Upon written demand by STATE, any overpayment to ADMINISTERING AGENCY of amounts
invoiced to STATE shall be returned to STATE.
22. Should ADMINISTERING AGENCY fail to refund any moneys due STATE as provided
hereunder or should ADMINISTERING AGENCY breach this AGREEMENT by failing to complete
PROJECT without adequate justification and approval by STATE, then, within thirty 30 days of
demand, or within such other period as may be agreed to in writing between the PARTIES,
STATE, acting through the State Controller, the State Treasurer, or any other public entity or
agency, may withhold or demand a transfer of an amount equal to the amount paid by or owed to
STATE from future apportionments, or any other funds due ADMINISTERING AGENCY from the
Highway Users Tax Fund or any other sources of funds, and/or may withhold approval of future
ADMINISTERING AGENCY federal -aid projects.
23. Should ADMINISTERING AGENCY be declared to be in breach of this AGREEMENT or
otherwise in default thereof by STATE, and if ADMINISTERING AGENCY is constituted as a joint
powers authority, special district, or any other public entity not directly receiving funds through the
State Controller, STATE is authorized to obtain reimbursement from whatever sources of funding
are available, including the withholding or transfer of funds, pursuant to Article IV - 22, from those
constituent entities comprising a joint powers authority or by bringing of an action against
ADMINISTERING AGENCY or its constituent member entities, to recover all funds provided by
STATE hereunder.
24. ADMINISTERING AGENCY acknowledges that the signatory party represents the
ADMINISTERING AGENCY and further warrants that there is nothing within a Joint Powers
Agreement, by which ADMINISTERING AGENCY was created, if any exists, that would restrict or
otherwise limit STATE's ability to recover State funds improperly spent by ADMINISTERING
AGENCY in contravention of the terms of this AGREEMENT.
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ARTICLE V
AUDITS, THIRD PARTY CONTRACTING, RECORDS RETENTION AND REPORTS
1. STATE reserves the right to conduct technical and financial audits of PROJECT work and
records when determined to be necessary or appropriate and ADMINISTERING AGENCY agrees,
and shall require its contractors and subcontractors to agree, to cooperate with STATE by making
all appropriate and relevant PROJECT records available for audit and copying as required by
paragraph three (3) of ARTICLE V.
2. ADMINISTERING AGENCY, its contractors and subcontractors shall establish and maintain an
accounting system and records that properly accumulate and segregate incurred PROJECT costs
and matching funds by line item for the PROJECT. The accounting system of ADMINISTERING
AGENCY, its contractors and all subcontractors shall conform to Generally Accepted Accounting
Principles, enable the determination of incurred costs at interim points of completion, and provide
support for reimbursement payment vouchers or invoices sent to or paid by STATE.
3. For the purpose of determining compliance with Title 21, California Code of Regulations,
Chapter 21, section 2500 et seq., when applicable, and other matters connected with the
performance of ADMINISTERING AGENCY's contracts with third parties, ADMINISTERING
AGENCY, ADMINISTERING AGENCY's contractors and subcontractors, and STATE shall each
maintain and make available for inspection and audit all books, documents, papers, accounting
records, and other evidence pertaining to the performance of such contracts, including, but not
limited to, the costs of administering those various contracts. All of the above referenced parties
shall make such AGREEMENT and PROGRAM SUPPLEMENT materials available at their
respective offices at all reasonable times during the entire PROJECT period and for three (3)
years from the date of final payment to ADMINISTERING AGENCY under any PROGRAM
SUPPLEMENT. STATE, the California State Auditor, or any duly authorized representative of
STATE or the United States, shall each have access to any books, records, and documents that
are pertinent to a PROJECT for audits, examinations, excerpts, and transactions and
ADMINISTERING AGENCY shall furnish copies thereof if requested.
4. ADMINISTERING AGENCY is required to have an audit in accordance with the Single Audit Act
of OMB Circular A-133 if it receives a total of $500,000 or more in Federal Funds in a single fiscal
year. The Federal Funds received under a PROGRAM SUPPLEMENT are a part of the
Catalogue of Federal Domestic Assistance (CFDA) 20.205, Highway Planning and Research.
5. ADMINISTERING AGENCY agrees to include all PROGRAM SUPPLEMENTS adopting the
terms of this AGREEMENT in the schedule of projects to be examined in ADMINISTERING
AGENCY's annual audit and in the schedule of projects to be examined under its single audit
prepared in accordance with OMB Circular A-133.
6. ADMINISTERING AGENCY shall not award a construction contract over $10,000 or other
contracts over $25,000 (excluding professional service contracts of the type which are required to
be procured in accordance with Government Code sections 4525 (d), (e) and (f) on the basis of a
noncompetitive negotiation for work to be performed under this AGREEMENT without the prior
written approval of STATE. Contracts awarded by ADMINISTERING AGENCY, if intended as
local match credit, must meet the requirements set forth in this AGREEMENT regarding local
match funds.
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7. Any subcontract entered into by ADMINISTERING AGENCY as a result of this AGREEMENT
shall contain all of the provisions of ARTICLE IV, FISCAL PROVISIONS, and this ARTICLE V,
AUDITS, THIRD -PARTY CONTRACTING RECORDS RETENTION AND REPORTS, and shall
mandate that travel and per diem reimbursements and third -party contract reimbursements to
subcontractors will be allowable as PROJECT costs only after those costs are incurred and paid
for by the subcontractors.
8. To be eligible for local match credit, ADMINISTERING AGENCY must ensure that local match
funds used for a PROJECT meet the fiscal provisions requirements outlined in ARTICLE IV in the
same manner as required of all other PROJECT expenditures.
9. In addition to the above, the pre -award requirements of third -party contractor/consultants with
ADMINISTERING AGENCY should be consistent with LOCAL ASSISTANCE PROCEDURES.
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ARTICLE VI -FEDERAL LOBBYING ACTIVITIES CERTIFICATION
1. By execution of this AGREEMENT, ADMINISTERING AGENCY certifies, to the best of the
signatory officer's knowledge and belief, that:
A. No federal or state appropriated funds have been paid or will be paid, by or on behalf of
ADMINISTERING AGENCY, to any person for influencing or attempting to influence an officer or
employee of any STATE or federal agency, a member of the State Legislature or United States
Congress, an officer or employee of the Legislature or Congress, or any employee of a Member of
the Legislature or Congress in connection with the awarding of any STATE or federal contract,
including this AGREEMENT, the making of any STATE or federal loan, the entering into of any
cooperative contract, and the extension, continuation, renewal, amendment, or modification of any
STATE or federal contract, grant, loan, or cooperative contract.
B. If any funds other than federal appropriated funds have been paid, or will be paid, to any
person for influencing or attempting to influence an officer or employee of any federal agency, a
member of Congress, an officer or employee of Congress or an employee of a member of
Congress in connection with this AGREEMENT, grant, local, or cooperative contract,
ADMINISTERING AGENCY shall complete and submit Standard Form -LLL, "Disclosure Form to
Rep Lobbying," in accordance with the form instructions.
C. This certification is a material representation of fact upon which reliance was placed when this
AGREEMENT and each PROGRAM SUPPLEMENT was or will be made or entered into.
Submission of this certification is a prerequisite for making or entering into this AGREEMENT
imposed by Section 1352, Title 31, United States Code. Any party who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000
for each such failure.
2. ADMINISTERING AGENCY also agrees by signing this AGREEMENT that the language of this
certification will be included in all lower tier sub -agreements which exceed $100,000 and that all
such sub -recipients shall certify and disclose accordingly.
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ARTICLE VII - MISCELLANEOUS PROVISIONS
1. ADMINISTERING AGENCY agrees to use all State funds reimbursed hereunder only for
transportation purposes that are in conformance with Article XIX of the California State
Constitution and the relevant Federal Regulations.
2. This AGREEMENT is subject to any additional restrictions, limitations, conditions, or any statute
enacted by the State Legislature or adopted by the CTC that may affect the provisions, terms, or
funding of this AGREEMENT in any manner.
3. ADMINISTERING AGENCY and the officers and employees of ADMINISTERING AGENCY,
when engaged in the performance of this AGREEMENT, shall act in an independent capacity and
not as officers, employees or agents of STATE or the federal government.
4. Each project -specific PROGRAM SUPPLEMENT shall separately establish the terms and
funding limits for each described PROJECT funded under the AGREEMENT. No federal or state
funds are obligated against this AGREEMENT.
5. ADMINISTERING AGENCY certifies that neither ADMINISTERING AGENCY nor its principals
are suspended or debarred at the time of the execution of this AGREEMENT. ADMINISTERING
AGENCY agrees that it will notify STATE immediately in the event a suspension or a debarment
occurs after the execution of this AGREEMENT.
6. ADMINISTERING AGENCY 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 ADMINISTERING AGENCY 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 STATE's discretion, to deduct from the
price of consideration, or otherwise recover, the full amount of such commission, percentage,
brokerage, or contingent fee.
7. In accordance with Public Contract Code section 10296, ADMINISTERING AGENCY hereby
certifies under penalty of perjury that no more than one final unappealable finding of contempt of
court by a federal court has been issued against ADMINISTERING AGENCY within the immediate
preceding two (2) year period because of ADMINISTERING AGENCY's failure to comply with an
order of a federal court that orders ADMINISTERING AGENCY to comply with an order of the
National Labor Relations Board.
8. ADMINISTERING AGENCY shall disclose any financial, business, or other relationship with
STATE, FHWA or FTA that may have an impact upon the outcome of this AGREEMENT.
ADMINISTERING AGENCY shall also list current contractors who may have a financial interest in
the outcome of this AGREEMENT.
9. ADMINISTERING AGENCY hereby certifies that it does not now have nor shall it acquire any
financial or business interest that would conflict with the performance of PROJECT under this
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AGREEMENT.
10. ADMINISTERING AGENCY warrants that this AGREEMENT was not obtained or secured
through rebates, kickbacks or other unlawful consideration either promised or paid to any STATE
employee. For breach or violation of this warranty, STATE shall have the right, in its discretion, to
terminate this AGREEMENT without liability, to pay only for the work actually performed, or to
deduct from the PROGRAM SUPPLEMENT price or otherwise recover the full amount of such
rebate, kickback, or other unlawful consideration.
11. Any dispute concerning a question of fact arising under this AGREEMENT that is not disposed
of by agreement shall be decided by the STATE's Contract Officer who may consider any written
or verbal evidence submitted by ADMINISTERING AGENCY. The decision of the Contract
Officer, issued in writing, shall be conclusive and binding on the PARTIES on all questions of fact
considered and determined by the Contract Officer.
12. Neither the pending of a dispute nor its consideration by the Contract Officer will excuse
ADMINISTERING AGENCY from full and timely performance in accordance with the terms of this
AGREEMENT.
13. Neither ADMINISTERING AGENCY 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, under or
in connection with any work, authority or jurisdiction arising under this AGREEMENT. It is
understood and agreed that STATE shall fully defend, indemnify and save harmless the
ADMINISTERING AGENCY and all of its officers and employees from all claims, suits or actions
of every name, kind and description brought forth under, including, but not limited to, tortuous,
contractual, inverse condemnation and other theories or assertions of liability occurring by reason
of anything done or omitted to be done by STATE under this AGREEMENT.
14. Neither STATE nor any officer or employee thereof shall be responsible for any injury, damage
or liability occurring by reason of anything done or omitted to be done by ADMINISTERING
AGENCY under, or in connection with, any work, authority or jurisdiction arising under this
AGREEMENT. It is understood and agreed that ADMINISTERING AGENCY shall fully defend,
indemnify and save harmless STATE and all of its officers and employees from all claims, suits or
actions of every name, kind and description brought forth under, including, but not limited to,
tortuous, contractual, inverse condemnation or other theories or assertions of liability occurring by
reason of anything done or omitted to be done by ADMINISTERING AGENCY under this
AGREEMENT.
15. STATE reserves the right to terminate funding for any PROJECT upon written notice to
ADMINISTERING AGENCY in the event that ADMINISTERING AGENCY fails to proceed with
PROJECT work in accordance with the project -specific PROGRAM SUPPLEMENT, the bonding
requirements if applicable, or otherwise violates the conditions of this AGREEMENT and/or
PROGRAM SUPPLEMENT, or the funding allocation such that substantial performance is
significantly endangered.
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16. No termination shall become effective if, within thirty (30) days after receipt of a Notice of
Termination, ADMINISTERING AGENCY either cures the default involved or, if not reasonably
susceptible of cure within said thirty (30) day period, ADMINISTERING AGENCY proceeds
thereafter to complete the cure in a manner and time line acceptable to STATE. Any such
termination shall be accomplished by delivery to ADMINISTERING AGENCY of a Notice of
Termination, which notice shall become effective not less than thirty (30) days after receipt,
specifying the reason for the termination, the extent to which funding of work under this
AGREEMENT is terminated and the date upon which such termination becomes effective, if
beyond thirty (30) days after receipt. During the period before the effective termination date,
ADMINISTERING AGENCY and STATE shall meet to attempt to resolve any dispute. In the event
of such termination, STATE may proceed with the PROJECT work in a manner deemed proper by
STATE. If STATE terminates funding for PROJECT with ADMINISTERING AGENCY, STATE
shall pay ADMINISTERING AGENCY the sum due ADMINISTERING AGENCY under the
PROGRAM SUPPLEMENT and/or STATE approved finance letter prior to termination, provided,
however, ADMINISTERING AGENCY is not in default of the terms and conditions of this
AGREEMENT or the project -specific PROGRAM SUPPLEMENT and that the cost of PROJECT
completion to STATE shall first be deducted from any sum due ADMINISTERING AGENCY.
17. In case of inconsistency or conflicts with the terms of this AGREEMENT and that of a project -
specific PROGRAM SUPPLEMENT, the terms stated in that PROGRAM SUPPLEMENT shall
prevail over those in this AGREEMENT.
18. Without the written consent of STATE, this AGREEMENT is not assignable by
ADMINISTERING AGENCY either in whole or in part.
19. No alteration or variation of the terms of this AGREEMENT shall be valid unless made in
writing and signed by the PARTIES, and no oral understanding or agreement not incorporated
herein shall be binding on any of the PARTIES.
IN WITNESS WHEREOF, the PARTIES have executed this AGREEMENT by their duly
authorized officers.
STATE OF CALIFORNIADEPARTMENT • -•- •
By By—
Chief, Office of Project Implementation
Division of Local Assistance
Date &CZf&Z. &0 Lf , vel/
APPROVED AS TO FORM:
Page 16 of 26
John Shaw, City Attorney
City of San Juan Capistrano
Representative Name & Title
(Authorized Governing Body Representative)
Date // ZO
R. 'monahW, City C
EXHIBIT A
FAIR EMPLOYMENT PRACTICES ADDENDUM
1. In the performance of this Agreement, ADMINISTERING AGENCY will not discriminate against
any employee for employment because of race, color, sex, sexual orientation, religion, ancestry or
national origin, physical disability, medical condition, marital status, political affiliation, family and
medical care leave, pregnancy leave, or disability leave. ADMINISTERING AGENCY will take
affirmative action to ensure that employees are treated during employment without regard to their
race, sex, sexual orientation, color, religion, ancestry, or national origin, physical disability, medical
condition, marital status, political affiliation, family and medical care leave, pregnancy leave, or
disability leave. 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.
ADMINISTERING AGENCY 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. ADMINISTERING AGENCY, its contractor(s) and all subcontractors shall comply with the
provisions of the Fair Employment and Housing Act (Government Code Section 1290-0 et seq.),
and the applicable regulations promulgated thereunder (California code of Regulations, Title 2,
Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing
Commission implementing Government Code, Section 12900(a -f), set forth in Chapter 5 of
Division 4 of Title 2 of the California Code of Regulations are incorporated into this AGREEMENT
by reference and made a part hereof as if set forth in full. Each of the ADMINISTERING
AGENCY'S contractors and all subcontractors shall give written notice of their obligations under
this clause to labor organizations with which they have a collective bargaining or other
agreements, as appropriate.
3. ADMINISTERING AGENCY shall include the nondiscrimination and compliance provisions of
this clause in all contracts and subcontracts to perform work under this AGREEMENT.
4. ADMINISTERING AGENCY will permit access to the records of employment, employment
advertisements, application forms, and other pertinent data and records by STATE, the State Fair
Employment and Housing Commission, or any other agency of the State of California designated
by STATE, for the purposes of investigation to ascertain compliance with the Fair Employment
section of this Agreement.
5. Remedies for Willful Violation:
(a) 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 ADMINISTERING
AGENCY was a party, or upon receipt of a written notice from the Fair Employment and Housing
Commission that it has investigated and determined that ADMINISTERING AGENCY has violated
the Fair Employment Practices Act and had issued an order under Labor Code Section 1426
which has become final or has obtained an injunction under Labor Code Section 1429.
Page 17 of 26
(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 thereunder shall be borne and paid for by ADMINISTERING AGENCY and
by the surety under the performance bond, if any, and STATE may deduct from any moneys due
or thereafter may become due to ADMINISTERING AGENCY, the difference between the price
named in the Agreement and the actual cost thereof to STATE to cure ADMINISTERING
AGENCY's breach of this Agreement.
Page 18 of 26
EXHIBIT B
NONDISCRIMINATION ASSURANCES
ADMINISTERING AGENCY HEREBY AGREES THAT, as a condition to receiving any federal
financial assistance from the STATE, acting for the U.S. Department of Transportation, it will
comply with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d-42 U.S.C.
2000d-4 (hereinafter referred to as the ACT), and all requirements imposed by or pursuant to Title
49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the
Secretary, Part 21, "Nondiscrimination in Federally -Assisted Programs of the Department of
Transportation - Effectuation of Title VI of the Civil Rights Act of 1964" (hereinafter referred to as
the REGULATIONS), the Federal -aid Highway Act of 1973, and other pertinent directives, to the
end that in accordance with the ACT, REGULATIONS, and other pertinent directives, no person in
the United States shall, on the grounds of race, color, sex, national origin, religion, age or
disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity for which ADMINISTERING AGENCY receives
federal financial assistance from the Federal Department of Transportation. ADMINISTERING
AGENCY HEREBY GIVES ASSURANCE THAT ADMINISTERING AGENCY will promptly take
any measures necessary to effectuate this agreement. This assurance is required by subsection
21.7(a) (1) of the REGULATIONS.
More specifically, and without limiting the above general assurance, ADMINISTERING AGENCY
hereby gives the following specific assurances with respect to its federal -aid Program:
1. That ADMINISTERING AGENCY agrees that each "program" and each "facility" as defined in
subsections 21.23 (e) and 21.23 (b) of the REGULATIONS, will be (with regard to a "program")
conducted, or will be (with regard to a "facility") operated in compliance with all requirements
imposed by, or pursuant to, the REGULATIONS.
2. That ADMINISTERING AGENCY shall insert the following notification in all solicitations for bids
for work or material subject to the REGULATIONS made in connection with the federal -aid
Program and, in adapted form, in all proposals for negotiated agreements:
ADMINISTERING AGENCY hereby notifies all bidders that it will affirmatively insure that in any
agreement entered into pursuant to this advertisement, minority business enterprises will be
afforded full opportunity to submit bids in response to this invitation and will not be discriminated
against on the grounds of race, color, sex, national origin, religion, age, or disability in
consideration for an award.
3. That ADMINISTERING AGENCY shall insert the clauses of Appendix A of this assurance in
every agreement subject to the ACT and the REGULATIONS.
4. That the clauses of Appendix B of this Assurance shall be included as a covenant running with
the land, in any deed effecting a transfer of real property, structures, or improvements thereon, or
interest therein.
Page 19 of 26
5. That where ADMINISTERING AGENCY receives federal financial assistance to construct a
facility, or part of a facility, the Assurance shall extend to the entire facility and facilities operated in
connection therewith.
6. That where ADMINISTERING AGENCY receives federal financial assistance in the form, or for
the acquisition, of real property or an interest in real property, the Assurance shall extend to rights
to space on, over, or under such property.
7. That ADMINISTERING AGENCY shall include the appropriate clauses set forth in Appendix C
and D of this Assurance, as a covenant running with the land, in any future deeds, leases, permits,
licenses, and similar agreements entered into by the ADMINISTERING AGENCY with other
parties:
Appendix C;
(a) for the subsequent transfer of real property acquired or improved under the federal -aid
Program; and
Appendix D;
(b) for the construction or use of or access to space on, over, or under real property acquired, or
improved under the federal -aid Program.
B. That this assurance obligates ADMINISTERING AGENCY for the period during which federal
financial assistance is extended to the program, except where the federal financial assistance is to
provide, or is in the form of, personal property or real property or interest therein, or structures, or
improvements thereon, in which case the assurance obligates ADMINISTERING AGENCY or any
transferee for the longer of the following periods:
(a) the period during which the property is used for a purpose for which the federal financial
assistance is extended, or for another purpose involving the provision of similar services or
benefits; or
(b) the period during which ADMINISTERING AGENCY retains ownership or possession of the
property.
9. That ADMINISTERING AGENCY shall provide for such methods of administration for the
program as are found by the U.S. Secretary of Transportation, or the official to whom he delegates
specific authority, to give reasonable guarantee that ADMINISTERING AGENCY, other recipients,
sub -grantees, applicants, sub -applicants, transferees, successors in interest, and other
participants of federal financial assistance under such program will comply with all requirements
imposed by, or pursuant to, the ACT, the REGULATIONS, this Assurance and the Agreement.
10. That ADMINISTERING AGENCY agrees that the United States and the State of California
have a right to seek judicial enforcement with regard to any matter arising under the ACT, the
REGULATIONS, and this Assurance.
Page 20 of 26
11. ADMINISTERING AGENCY shall not discriminate on the basis of race, religion, age, disability,
color, national origin or sex in the award and performance of any STATE assisted contract or in
the administration on its DBE Program or the requirements of 49 CFR Part 26. ADMINISTERING
AGENCY shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure non
discrimination in the award and administration of STATE assisted contracts. ADMINISTERING
AGENCY'S DBE Race -Neutral Implementation Agreement is incorporated by reference in this
AGREEMENT. Implementation of this program is a legal obligation and failure to carry out its
terms shall be treated as a violation of this agreement. Upon notification to the recipient of its
failure to carry out its approved DBE Race -Neutral Implementation Agreement, STATE may
impose sanctions as provided for under 49 CFR Part 26 and may, in appropriate cases, refer the
matter for enforcement under 18 USC 1001 and/or the Program Fraud Civil Remedies Act of 1985
(31 USC 3801 es seq.)
THESE ASSURANCES are given in consideration of and for the purpose of obtaining any and all
federal grants, loans, agreements, property, discounts or other federal financial assistance
extended after the date hereof to ADMINISTERING AGENCY by STATE, acting for the U.S.
Department of Transportation, and is binding on ADMINISTERING AGENCY, other recipients,
subgrantees, applicants, sub -applicants, transferees, successors in interest and other participants
in the federal -aid Highway Program.
Page 21 of 26
APPENDIX A TO EXHIBIT B
During the performance of this Agreement, ADMINISTERING AGENCY, for itself, its assignees
and successors in interest (hereinafter collectively referred to as ADMINISTERING AGENCY)
agrees as follows:
(1) Compliance with Regulations: ADMINISTERING AGENCY shall comply with the regulations
relative to nondiscrimination in federally assisted programs of the Department of Transportation,
Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time,
(hereinafter referred to as the REGULATIONS), which are herein incorporated by reference and
made a part of this agreement.
(2) Nondiscrimination: ADMINISTERING AGENCY, with regard to the work performed by it during
the AGREEMENT, shall not discriminate on the grounds of race, color, sex, national origin,
religion, age, or disability in the selection and retention of sub -applicants, including procurements
of materials and leases of equipment. ADMINISTERING AGENCY shall not participate either
directly or indirectly in the discrimination prohibited by Section 21.5 of the REGULATIONS,
including employment practices when the agreement covers a program set forth in Appendix B of
the REGULATIONS.
(3) Solicitations for Sub -agreements, Including Procurements of Materials and Equipment: In all
solicitations either by competitive bidding or negotiation made by ADMINISTERING AGENCY for
work to be performed under a Sub -agreement, including procurements of materials or leases of
equipment, each potential sub -applicant or supplier shall be notified by ADMINISTERING
AGENCY of the ADMINISTERING AGENCY's obligations under this Agreement and the
REGULATIONS relative to nondiscrimination on the grounds of race, color, or national origin.
(4) Information and Reports: ADMINISTERING AGENCY shall provide all information and reports
required by the REGULATIONS, or directives issued pursuant thereto, and shall permit access to
ADMINISTERING AGENCY's books, records, accounts, other sources of information, and its
facilities as may be determined by STATE or FHWA to be pertinent to ascertain compliance with
such REGULATIONS or directives. Where any information required of ADMINISTERING
AGENCY is in the exclusive possession of another who fails or refuses to furnish this information,
ADMINISTERING AGENCY shall so certify to STATE or the FHWA as appropriate, and shall set
forth what efforts ADMINISTERING AGENCY has made to obtain the information.
(5) Sanctions for Noncompliance: In the event of ADMINISTERING AGENCY's noncompliance
with the nondiscrimination provisions of this agreement, STATE shall impose such agreement
sanctions as it or the FHWA may determine to be appropriate, including, but not limited to:
(a) withholding of payments to ADMINISTERING AGENCY under the Agreement within a
reasonable period of time, not to exceed 90 days; and/or
(b) cancellation, termination or suspension of the Agreement, in whole or in part.
Page 22 of 26
(6) Incorporation of Provisions: ADMINISTERING AGENCY shall include the provisions of
paragraphs (1) through (6) in every sub -agreement, including procurements of materials and
leases of equipment, unless exempt by the REGULATIONS, or directives issued pursuant thereto.
ADMINISTERING AGENCY shall take such action with respect to any sub -agreement or
procurement as STATE or FHWA may direct as a means of enforcing such provisions including
sanctions for noncompliance, provided, however, that, in the event ADMINISTERING AGENCY
becomes involved in, or is threatened with, litigation with a sub -applicant or supplier as a result of
such direction, ADMINISTERING AGENCY may request STATE enter into such litigation to
protect the interests of STATE, and, in addition, ADMINISTERING AGENCY may request the
United States to enter into such litigation to protect the interests of the United States.
Page 23 of 26
APPENDIX B TO EXHIBIT B
The following clauses shall be included in any and all deeds effecting or recording the transfer of
PROJECT real property, structures or improvements thereon, or interest therein from the United
States.
(GRANTING CLAUSE)
NOW, THEREFORE, the U.S. Department of Transportation, as authorized by law, and upon the
condition that ADMINISTERING AGENCY will accept title to the lands and maintain the project
constructed thereon, in accordance with Title 23, United States Code, the Regulations for the
Administration of federal -aid for Highways and the policies and procedures prescribed by the
Federal Highway Administration of the Department of Transportation and, also in accordance with
and in compliance with the Regulations pertaining to and effectuating the provisions of Title VI of
the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. 2000d to 2000d-4), does hereby remise,
release, quitclaim and convey unto the ADMINISTERING AGENCY all the right, title, and interest
of the U.S. Department of Transportation in, and to, said lands described in Exhibit "A" attached
hereto and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto ADMINISTERING AGENCY and
its successors forever, subject, however, to the covenant, conditions, restrictions and reservations
herein contained as follows, which will remain in effect for the period during which the real
property or structures are used for a purpose for which federal financial assistance is extended or
for another purpose involving the provision of similar services or benefits and shall be binding on
ADMINISTERING AGENCY, its successors and assigns.
ADMINISTERING AGENCY, in consideration of the conveyance of said lands and interests in
lands, does hereby covenant and agree as a covenant running with the land for itself, its
successors and assigns,
(1) that no person shall on the grounds of race, color, sex, national origin, religion, age or
disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination with regard to any facility located wholly or in part on, over, or under such lands
hereby conveyed (;) (and)
(2) that ADMINISTERING AGENCY shall use the lands and interests in lands so conveyed, in
compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations,
Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in
federally -assisted programs of the Department of Transportation - Effectuation of Title VI of the
Civil Rights Act of 1964, and as said Regulations may be amended (;) and
(3) that in the event of breach of any of the above-mentioned nondiscrimination conditions, the
U.S. Department of Transportation shall have a right to re-enter said lands and facilities on said
land, and the above-described land and facilities shall thereon revert to and vest in and become
the absolute property of the U.S. Department of Transportation and its assigns as such interest
existed prior to this deed.'
Reverter clause and related language to be used only when it is determined that such a clause is
Page 24 of 26
necessary in order to effectuate the purposes of Title VI of the Civil Rights Act of 1964.
APPENDIX C TO EXHIBIT B
The following clauses shall be included in any and all deeds, licenses, leases, permits, or similar
instruments entered into by ADMINISTERING AGENCY, pursuant to the provisions of Assurance
7(a) of Exhibit B.
The grantee (licensee, lessee, permittee, etc., as appropriate) for himself, his heirs, personal
representatives, successors in interest, and assigns, as a part of the consideration hereof, does
hereby covenant and agree (in the case of deeds and leases add "as covenant running with the
land") that in the event facilities are constructed, maintained, or otherwise operated on the said
property described in this (deed, license, lease, permit, etc.) for a purpose for which a U.S.
Department of Transportation program or activity is extended or for another purpose involving the
provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.), shall
maintain and operate such facilities and services in compliance with all other requirements
imposed pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation,
Subtitle A, Office of Secretary, Part 21, Nondiscrimination in federally -assisted programs of the
Department of Transportation - Effectuation of Title VI of the Civil Rights Act of 1964, and as said
Regulations may be amended.
(Include in licenses, leases, permits, etc.)*
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to terminate the (license, lease, permit etc.) and to re-enter and
repossess said land and the facilities thereon, and hold the same as if said (license, lease, permit,
etc.) had never been made or issued.
(Include in deeds)*
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to re-enter said land and facilities thereon, and the above-
described lands and facilities shall thereupon revert to and vest in and become the absolute
property of ADMINISTERING AGENCY and its assigns.
* Reverter clause and related language to be used only when it is determined that such a clause is
necessary in order to effectuate the purposes of Title VI of the Civil Rights Act of 1964.
Page 25 of 26
CERTIFIED COPY
RESOLUTION NO. 07-11-20-01
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN JUAN
CAPSITRANO, CALIFORNIA, AUTHORIZING CITY MANAGER TO
EXECUTE ALL MASTER AGREEMENTS, PROGRAM SUPPLEMENTAL
AGREEMENTS, FUND EXCHANGE AGREEMENTS, FUND TRANSFER
AGREEMENTS AND/OR ANY AMENDMENTS THERETO WITH THE
CALIFORNIA DEPARTMENT OF TRANSPORTATION
WHEREAS, the City of San Juan Capistrano is eligible to receive Federal
and/or State funding for certain transportation projects, through the California
Department of Transportation; and
WHEREAS, Master Agreements, Program Supplemental Agreements, Fund
Exchange Agreements and/or Fund Transfer agreements need to be executed with the
California Department of Transportation before such funds could be claimed; and
WHEREAS, the City of San Juan Capistrano wishes to delegate authorization to
execute these agreements and any amendments thereto that the City Manager be
authorized to execute all Master Agreements, Program Supplemental Agreements,
Fund Exchange Agreements, Fund Transfer Agreements and/or any amendments
thereto with the California Department of Transportation.
NOW, THEREFORE, BE IT RESOLVED that the City of San Juan Capistrano,
hereby authorizes the City Manager of the City of San Juan Capistrano to execute all
Master Agreements, Program Supplemental Agreements, Fund Exchange
Agreements, Fund Transfer Agreements and/or any amendments thereto with the
California Department of Transportation.
BE IT FURTHER RESOLVED that the City of San Juan Capistrano, agrees to
fund its share of the project costs and any additional costs over the identified
programmed amount.
Page 1 of 2
11/20/2007
APPROVED, AND ADOPTED this 20th day of Nov ber, 007.
SAM ALLEVATO. MAYOR
0
STATE OF CALIFORNIA )
COUNTY OF ORANGE
CITY OF SAN JUAN CAPISTRANO )
I, MARGARET R. MONAHAN, appointed City Clerk of the City of San Juan Capistrano,
do hereby certify that the foregoing Resolution No. 07-11-20-01 was duly adopted by
the CV Council of the City of San Juan Capistrano at a Regular meeting thereof, held
the 20t day of November 2007, by the following vote:
AYES: COUNCIL MEMBERS: Nielsen, Hribar, Uso, Soto, and Mayor Allevato
NOES
COUNCIL MEMBER: None
ABSEN :.
COUNCIL MEMBER: None
I
MAR
R. MON�HAN, City'Clerl�
.he forepoinm
ument s correct copy of the WwMal on full in
20 '22,__L
this office. tient
City Clerk of' tharl
t o an Juan Capistrano, County of 01811%
State of California
By:
Page 2 of 2 11/20/2007
STATE OF CALIFORNIA. BUSINESS,TRANSPORTATION AND HOUSING AGENCY
Arnold Schwarzenegger, Governor
DEPARTMENT OF TRANSPORTATION
Division of Local Assistance
-
1120 N STREET
P.O. BOX 942874, MS# 1
Sacramento, CA 94274-0001
TDD (916) 654-4014
(916)654-3151
File: 12-ORA
Fax (916) 653-7621
72(00
STPL-532(00)
9)
December 10, 2007
Del Obispo Street from 1,000 feet
north of Blue Fin Drive to Aguacate
Road
Mr. Nasser Abbaszadeh
Engineering & Building Director
City of San Juan Capistrano
32400 Paseo Adelanto
San Juan Capistrano, CA 92675
Dear Mr. Abbaszadeh:
Enclosed are your fully executed copies of Administering Agency -State Agreement No. 12-5372R and Program
Supplement Agreement No. 009-N .
Sincerely,
&u z ci'elc e
?Iivision
AY ZHANG, Chief
ffice of Project Implementation
of Local Assistance
Enclosure
c: DLA AE Project Files
(12) DLAE - Alan Williams
PROGRAM SUPPLEMENT NO. N009 Date: September 06, 2007
to Location:12-ORA-O-SJCP
ADMINISTERING AGENCY -STATE AGREEMENT Project Number: STPL-5372(009)
FOR FEDERAL -AID PROJECTS NO. 12-5372R E.A. Number: 12-931839
This Program Supplement hereby incorporates the Administering Agency -State Agreement for Federal Aid which was entered into
between the Administering Agency and the State onl', / ID /07 and is subject to all the terms and conditions thereof. This Program
Supplement is executed in accordance with Article I of the aforemen toned Master Agreement under authority of Resolution No.
approved by the Administering Agency on (1720'07 (See copy attached).
The Administering Agency further stipulates that as a condition to the payment by State of any funds derived from sources noted
below obligated to this project, the Administering Agency accepts and will comply with the Special covenants or Remarks setforth
in the following pages.
PROJECT LOCATION:
Del Obispo Street from 1,000 feet north of Blue Fin Drive to Aguacate Road
TYPE OF WORK: Road rehabilitation
LENGTH: 1.3 (MILES)
Estimated Cost
Federal Funds
Matching Funds
$1,513,604.00
H230 $588,063.00
LOCAL
$925,541.00
$0.00
OTHER
$0.00
CITY OF SAN JUAN CAPISTRANO STATE OF CALIFORNIA
Department of Transport ion
By EY AiTi1.CA� f
b(] Chief, Office of Project implementation
Date G/�T " Division of Local Assistance
Attest Date G / � Idt, W-7
- ��A �Li v
Title if tl
I hereby certify upon my perso al knowledge that budgeted funds are available for thisencumbrance:
Accounting Officer A OkQ Et Date 9 — 1�—' $588,063.00
Chapter I Statutes Item ear I Progrem I Be I Category I Fund Source AMOUNT
47 2006
2660-102-890 2006-2007 20.30.010.810 C 262040 892-F
588,063.00
Program Supplement 12-53728-NO09- ISTEA Page 1 of 3
L2-ORA-O-SJCP
'STPL-5372(009)
SPECIAL COVENANTS OR REMARKS
09/06/2007
1. The ADMINISTERING AGENCY will advertise, award and administer
this project in accordance with the current published Local
Assistance Procedures Manual.
2. Award information shall be submitted by the ADMINISTERING AGENCY
to the District Local Assistance Engineer within 60 days after
the project contract award. A copy of the award package shall
also be included with the submittal of the ADMINISTERING AGENCY's
first invoice for the construction contract to:
Department of Transportation
Division of Accounting
Local Programs Accounting Branch, MS #33
P. O. Box 942874
Sacramento, CA 94274-0001.
Failure to do so will cause a delay in the State processing
invoices for the construction phase. Please refer to Section
15.7 "Award Package" of the Local Assistance Procedures Manual.
3. ADMINISTERING AGENCY agrees that it will only proceed with work
authorized for specific phase(s) with an "Authorization to
Proceed" and will not proceed with future phase(s) of this
project prior to receiving an "Authorization to Proceed" from the
STATE for that phase(s) unless no further State or Federal funds
are needed for those future phase(s).
4. Any State and Federal funds that may have been encumbered for
this project are only available for disbursement for a period of
five (5) years and seven (7) years, respectively, from the start
of the fiscal year(s) that those funds were appropriated within
the State Budget Act. All project funds not liquidated within
these periods will revert unless an executed Cooperative Work
Agreement extending these dates is requested and is approved by
the California Department of Finance per Government Code Section
16304. The exact date of each fund reversion will be reflected
in the approved finance letter(s) issued for this project.
Notwithstanding the unliquidated sums of project specific State
and Federal funding remaining and available to fund project work,
any invoice for reimbursement that is not submitted to the
Department on or before 60 days after that applicable fixed fund
Program Supplement 12 -5372R -N009- ISTEA Page 2 of 3
lZ ORA-4SJCP
iTPL-5372(009)
SPECIAL COVENANTS OR REMARKS
09/06/2007
reversion date will not be paid from that fiscal year's
encumbered funds because all of these unexpended funds will be
irrevocably reverted by the Department's Division of Accounting
on that date.
Pursuant to a directive from the State Controller's Office and
the Department of Finance, the last date to submit invoices for
reimbursed work in each fiscal year is May 15th in order for
payment to be made out of those then current appropriations.
Project work performed and invoiced after May 15th will be
reimbursed only out of available funding that might be encumbered
in the subsequent fiscal year, and then only when those funds are
actually allocated and encumbered as authorized by the California
Transportation Commission and the Department's Accounting Office.
S. ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at
least once every six months commencing after the funds are
encumbered for each phase by the execution of this Project
Program Supplement Agreement, or by STATE's approval of an
applicable Finance Letter. STATE reserves the right to suspend
future authorizations/obligations, and invoice payments for any
on-going or future federal -aid project by ADMINISTERING AGENCY if
PROJECT costs have not been invoiced by ADMINISTERING AGENCY for
a six-month period.
If no costs have been invoiced for a six-month period,
ADMINISTERING AGENCY agrees to submit for each phase a written
explanation of the absence of PROJECT activity along with target
billing date and target billing amount.
ADMINISTERING AGENCY agrees to submit the final report documents
that collectively constitute a "Report of Expenditures" within
one hundred eighty (180) days of PROJECT completion. Failure of
ADMINISTERING AGENCY to submit a "Final Report of Expenditures"
within 180 days of PROJECT completion will result in STATE
imposing sanctions upon ADMINISTERING AGENCY in accordance with
the current Local Assistance Procedures Manual.
Program supplement 12 -5372R -N009- ISTEA Page 3 of 3
CERTIFIED COPY
RESOLUTION NO. 07-11-20-01
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN JUAN
CAPSITRANO, CALIFORNIA, AUTHORIZING CITY MANAGER TO
EXECUTE ALL MASTER AGREEMENTS, PROGRAM SUPPLEMENTAL
AGREEMENTS, FUND EXCHANGE AGREEMENTS, FUND TRANSFER
AGREEMENTS AND/OR ANY AMENDMENTS THERETO WITH THE
CALIFORNIA DEPARTMENT OF TRANSPORTATION
WHEREAS, the City of San Juan Capistrano is eligible to receive Federal
and/or State funding for certain transportation projects, through the California
Department of Transportation; and
WHEREAS, Master Agreements, Program Supplemental Agreements, Fund
Exchange Agreements and/or Fund Transfer agreements need to be executed with the
California Department of Transportation before such funds could be claimed; and
WHEREAS, the City of San Juan Capistrano wishes to delegate authorization to
execute these agreements and any amendments thereto that the City Manager be
authorized to execute all Master Agreements, Program Supplemental Agreements,
Fund Exchange Agreements, Fund Transfer Agreements and/or any amendments
thereto with the California Department of Transportation.
NOW, THEREFORE, BE IT RESOLVED that the City of San Juan Capistrano,
hereby authorizes the City Manager of the City of San Juan Capistrano to execute all
Master Agreements, Program Supplemental Agreements, Fund Exchange
Agreements, Fund Transfer Agreements and/or any amendments thereto with the
California Department of Transportation.
BE IT FURTHER RESOLVED that the City of San Juan Capistrano, agrees to
fund its share of the project costs and any additional costs over the identified
programmed amount.
Page 1 of 2 11/20/2007
APPROVED, AND ADOPTED this 201h day'of NovgMber, 007.
X� SKM ALLEVATO, MAYOR
STATE OF CALIFORNIA )
COUNTY OF ORANGE ) ss.
CITY OF SAN JUAN CAPISTRANO
I, MARGARET R. MONAHAN, appointed City Clerk of the City of San Juan Capistrano,
do hereby certify that the foregoing Resolution No. 07-11-20-01 was duly adopted by
the Citx Council of the City of San Juan Capistrano at a Regular meeting thereof, held
the 20t day of November 2007, by the following vote:
AYES:
COUNCIL MEMBERS:
Nielsen, Hribar, Uso, Soto, and Mayor Allevato
NOES-
COUNCIL MEMBER:
None
ABSENT:,
, COUNCIL MEMBER:
None
, CityCle
he foregoin ins anent s correct copy of the 014081 an fi�e. is
this office. hest 20�
City Clerk of tho,1 i o an Juan Capistrano, County of 0 81%
state of California
By:
Page 2 of 2 11/20/2007
STATE OF CALIFORNIA. BUSINESS,TRANSPORTATION AND HOUSING AGENCY
Arnold Schwarzenegger, Governor
DEPARTMENT OF TRANSPORTATION
Division of Local Assistance
1120 N STREET
P.O. BOX 942874, MS# 1
Sacramento, CA 94274-0001
TDD (916) 654-4014
(916)654-3151
Fax (9 16) 653-7621
File: 12-ORA-0-SJCP
STPL-5372(010)
December 10, 2007
Del Obispo Street from Aguacate
Road to Alipaz Street and from
Camino Capistrano to Ortega Highw
Mr. Nasser Abbaszadeh
Engineering & Building Director
City of San Juan Capistrano
32400 Paseo Adelanto
San Juan Capistrano, CA 92675
Dear Mr. Abbaszadeh:
Enclosed is your fully executed copy of Program Supplement Agreement No. 010-N to Administering Agency -State
Agreement No. 12-5372R .
Sincerely,
F/1/J,,
ryA-VRAY ZHANG, Chief
°tU Office of Project Implementation
Division of Local Assistance
Enclosure
c: DLA AE Project Files
(12) DLAE - Alan Williams
PROGRAM SUPPLEMENT NO. N010
to
ADMINISTERING AGENCY -STATE AGREEMENT
FOR FEDERAL -AID PROJECTS NO. 12-5372R
Date:October 10, 2007
Location:12-ORA-0-SJCP
Project Number:STPL-5372(010)
E.A. Number: 12-931936
this Program Supplement hereby incorporates the Administering Agency -State Agreement for Federal Aid which was entered into
ietween the Administering Agency and the State on 1-b / It%/C7 and is subject to all the terms and conditions thereof. This Program
supplement is executed in accordance with Article I of the aforementioned Master Agreement under authority of Resolution No.
0 _11_Z0'0\ , approved by the Administering Agency on 11/Z,0107 (See copy attached).
The Administering Agency further stipulates that as a condition to the payment by State of any funds derived from sources noted
oelow obligated to this project, the Administering Agency accepts and will comply with the Special covenants or Remarks setforth
in the following pages.
PROJECT LOCATION:
Del Obispo Street from Aguacate Road to Alipaz Street and from Camino Capistrano to Ortega Highway and Junipero Serra Raod from
Camino Capistrano to I-5 SB off -ramps
TYPE OF WORK: Road rehabilitation LENGTH: 0.9 (MILES)
Estimated Cost
Federal Funds
Matching Funds
$1,128,467.00
H230 $564,233.00
LOCAL
$564,234.00
$0.00
OTHER
$0.00
CITY OF SAN JU CAPISTRANO STATE OF CALIFORNIA
Department of Transpor ation
By By i�'�"�` f� Y /
Chief, Office of Project Implementation
Date V'7 Date Division f Local opnA,ssistance /'
Attest ` LI7/igyLYN Az,�U7
Title J
I hereby certify upon my personal knowledge that bud fated funds are available IIf++o__r this encumbrance:
Accounting Officer Date a 4p $564,233.00
6L
Chapter statutes Item ear Program BC Category Fund Source AMOUNT
47 2006 2660-102-890 2006-2007 20.30.010.810 C 262040 892-F 564,233.00
Program Supplement 12-5372R-NO10- ISTEA Page 1 of 3
2-ORA-0-SJCP
TPL-5372(010)
SPECIAL COVENANTS OR REMARKS
1 VI 1V, LVV/
1. The ADMINISTERING AGENCY will advertise, award and administer
this project in accordance with the current published Local
Assistance Procedures Manual.
2. Award information shall be submitted by the ADMINISTERING AGENCY
to the District Local Assistance Engineer within 60 days after
the project contract award. A copy of the award package shall
also be included with the submittal of the ADMINISTERING AGENCY's
first invoice for the construction contract to:
Department of Transportation
Division of Accounting
Local Programs Accounting Branch, MS #33
P. O. Box 942874
Sacramento, CA 94274-0001.
Failure to do so will cause a delay in the State processing
invoices for the construction phase. Please refer to Section
15.7 "Award Package" of the Local Assistance Procedures Manual.
3. ADMINISTERING AGENCY agrees that it will only proceed with work
authorized for specific phase(s) with an "Authorization to
Proceed" and will not proceed with future phase(s) of this
project prior to receiving an "Authorization to Proceed" from the
STATE for that phase(s) unless no further State or Federal funds
are needed for those future phase(s).
4. Any State and Federal funds that may have been encumbered for
this project are only available for disbursement for a period of
five (5) years and seven (7) years, respectively, from the start
of the fiscal year(s) that those funds were appropriated within
the State Budget Act. All project funds not liquidated within
these periods will revert unless an executed Cooperative Work
Agreement extending these dates is requested and is approved by
the California Department of Finance per Government Code Section
16304. The exact date of each fund reversion will be reflected
in the approved finance letter(s) issued for this project.
Notwithstanding the unliquidated sums of project specific State
and Federal funding remaining and available to fund project work,
any invoice for reimbursement that is not submitted to the
Department on or before 60 days after that applicable fixed fund
Program Supplement 12-5372R-NO10- ISTEA Page 2 of 3
f 1V/1V/LVV/
t-0RA-0-SJCP
t
CPL-5372(010)
SPECIAL COVENANTS OR REMARKS
reversion date will not be paid from that fiscal year's
encumbered funds because all of these unexpended funds will be
irrevocably reverted by the Department's Division of Accounting
on that date.
Pursuant to a directive from the State Controller's Office and
the Department of Finance, the last date to submit invoices for
reimbursed work in each fiscal year is May 15th in order for
payment to be made out of those then current appropriations'.
Project work performed and invoiced after May 15th will be
reimbursed only out of available funding that might be encumbered
in the subsequent fiscal year, and then only when those funds are
actually allocated and encumbered as authorized by the California
Transportation Commission and the Department's Accounting Office.
5, ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at
least once every six months commencing after the funds are
encumbered for each phase by the execution of this Project
Program Supplement Agreement, or by STATE's approval of an
applicable Finance Letter. STATE reserves the right to suspend
future authorizations/obligations, and invoice payments for any
on-going or future federal -aid project by ADMINISTERING AGENCY if
PROJECT costs have not been invoiced by ADMINISTERING AGENCY for
a six-month period.
If no costs have been invoiced for a six-month period,
ADMINISTERING AGENCY agrees to submit for each phase a written
explanation of the absence of PROJECT activity along with target
billing date and target billing amount.
ADMINISTERING AGENCY agrees to submit the final report documents
that collectively constitute a "Report of Expenditures" within
one hundred eighty (180) days of PROJECT completion. Failure of
ADMINISTERING AGENCY to submit a "Final Report of Expenditures"
within 180 days of PROJECT completion will result in STATE
imposing sanctions upon ADMINISTERING AGENCY in accordance with
the current Local Assistance Procedures Manual.
Program Supplement 12 -5372R -N010- ISTEA Page 3 of 3
CERTIFIED COPY
RESOLUTION NO. 07-11-20-01
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN JUAN
CAP$ITRANO, CALIFORNIA, AUTHORIZING CITY MANAGER TO
EXECUTE ALL MASTER AGREEMENTS, PROGRAM SUPPLEMENTAL
AGREEMENTS, FUND EXCHANGE AGREEMENTS, FUND TRANSFER
AGREEMENTS AND/OR ANY AMENDMENTS THERETO WITH THE
CALIFORNIA DEPARTMENT OF TRANSPORTATION
WHEREAS, the City of San Juan Capistrano is eligible to receive Federal
and/or State funding for certain transportation projects, through the California
Department of Transportation; and
WHEREAS, Master Agreements, Program Supplemental Agreements, Fund
Exchange Agreements and/or Fund Transfer agreements need to be executed with the
California Department of Transportation before such funds could be claimed; and
WHEREAS, the City of San Juan Capistrano wishes to delegate authorization to
execute these agreements and any amendments thereto that the City Manager be
authorized to execute all Master Agreements, Program Supplemental Agreements,
Fund Exchange Agreements, Fund Transfer Agreements and/or any amendments
thereto with the California Department of Transportation.
NOW, THEREFORE, BE IT RESOLVED that the City of San Juan Capistrano,
hereby authorizes the City Manager of the City of San Juan Capistrano to execute all
Master Agreements, Program Supplemental Agreements, Fund Exchange
Agreements, Fund Transfer Agreements and/or any amendments thereto with the
California Department of Transportation.
BE IT FURTHER RESOLVED that the City of San Juan Capistrano, agrees to
fund its share of the project costs and any additional costs over the identified
programmed amount.
Page 1 of 2 11/20/2007
0
PASSEY, APPROVED, AND ADOPTED this 20th day oNov ber, 007.
SKM ALLEVATO, MAYOR
11
STATEOF CALIFORNIA )
COUNTY OF ORANGE ) ss.
CITY OF SAN JUAN CAPISTRANO )
I, MARGARET R. MONAHAN, appointed City Clerk of the City of San Juan Capistrano,
do hereby certify that the foregoing Resolution No. 07-11-20-01 was duly adopted by
the Cit Council of the City of San Juan Capistrano at a Regular meeting thereof, held
the 20t day of November 2007, by the following vote:
AYES:
COUNCIL MEMBERS:
Nielsen, Hribar, Uso, Soto, and Mayor Allevato
NOES-
COUNCIL MEMBER:
None
ABSENT :.,
, COUNCIL MEMBER:
None
the forepoin ins ument s correct copy of the original art file in
this office. float 20__L
City Clerk of thol it o an Juan Capistrano, County of Onttge,
State of Celifomie _ n ,q ,A . I ,
Page 2 of 2 11/20/2007
AGENDA REPORT
TO: Dave Adams, City Manager E�f
FROM: Nasser Abbaszadeh, Engineering & Building Director
11/20/2007
D3
SUBJECT: Consideration of Approving California Department of Transportation
Administering Agency -Federal Master Agreement Number 12-5372,
Program Supplement Agreement Numbers 009 and 010, for Del Obispo
Street Asphalt Concrete Overlay Projects (CIP 408 and 415)
RECOMMENDATION
By motion
1. Approve California Department of Transportation Administering Agency -
Federal Master Agreement Number 12-5372, Program Supplement
Agreement Numbers 009 and 010, for Del Obispo Street Overlay Projects
and authorize City Manager to execute this and similar Agreements; and,
2. Adopt a Resolution Authorizing City Manager to execute this and similar
Agreements.
BACKGROUND:
The City has received the following two Federal grants
1. $588,063.00 for an asphalt concrete overlay project on Del Obispo, from Blue Fin
Drive to Aguacate Road (CIP# 408).
2. $564,233.00 for a similar project on Del Obispo from Aguacate Road to Alipaz,
and from Camino Capistrano to Ortega Highway and on Junipero Serra Road
from Camino Capistrano to I-5 SB off -ramps (CIP# 415).
In order to receive the funding, the administering agency -Federal Master Agreement
Number 12-5372, Program Supplement Agreement Numbers 009 and 010, needs to be
executed between the City and CalTrans. An accompanying Resolution authorizes the
City manager to sign this and similar Agreements on behalf of the City.
The project plans and specifications for the overlays are complete and they will be
presented to the City Council in December 2007 for authorization to advertise and
receive bids.
Agenda Report
Page 2
COMMISSION/BOARD REVIEW AND RECOMMENDATIONS:
N/A
FINANCIAL CONSIDERATIONS:
November 20, 2007
The estimated overall project cost currently stands at $2,642,071. The City has
programmed matching funds of $1,489,775 for this pavement rehabilitation project.
NOTIFICATION:
�i in
RECOMMENDATION:
By motion:
1. Approve California Department of Transportation Administering Agency -
Federal Master Agreement Number 12-5372, Program Supplement
Agreement Numbers 009 and 010, for Del Obispo Street Overlay Projects
and authorize City Manager to execute this and similar Agreements; and,
2. Adopt a Resolution Authorizing City Manager to execute this and similar
Agreements.
Respectfully submitted:
s"
FFo 2
Nasser Abbaszadeh, P.E.
Engineering & Building Director
Attachments:
1. Program Supplement Numbers 009& 010
2. Resolution
ROGRAM SUPPLEMENT NO. N009
to
DMINISTERING AGENCY -STATE AGREEMENT
OR FEDERAL -AID PROJECTS NO. 12-5372R
Date: September 06, 2007
Location: 12-ORA-0-SJC P
Project Number:STPL-5372(009)
E. A. Number: 12-931839
his Program Supplement hereby incorporates the Administering Agency -State Agreement for Federal Aid which was entered into
;tween the Administering Agency and the State on / / and is subject to all the terms and conditions thereof. This Program
ipplement is executed in accordance with Article I of the aforementioned Master Agreement under authority of Resolution No.
, approved by the Administering Agency on (See copy attached).
he Administering Agency further stipulates that as a condition to the payment by State of any funds derived from sources noted
;low obligated to this project, the Administering Agency accepts and will comply with the Special covenants or Remarks setforth
t the following pages.
ROJECT LOCATION:
,el Obispo Street from 1,000 feet north of Blue Fin Drive to Aguacate Road
YPE OF WORK: Road rehabilitation
LENGTH: 1.3 (MILES)
3stimated Cost
Federal Funds
Matching Funds
$1,513,604.00
H230 $588,063.00
LOCAL
$925,541.00
$0.00
OTHER
$0.00
ITY OF SAN JUAN CAPISTRANO
STATE OF CALIFORNIA
Department of Transportation
By By
Chief, Office of Project Implementation
Date Division of Local Assistance
attest
Date
Title
hereby certify upon nW perso al knowledge that budgeted funds are available for this encumbrance:
accounting Officer Date 2-17-0- $588,063.00
'hapten Statutes Item ear Program BC Category Fund Source AMOUNT
17 2006 2660-102-890 2006-2007 20.30.010.810 C 262040 892-F 588,063.00
Program Supplement 12-5372R-NO09- ISTEA Page 1 of 3
ATTACHMENT
',-ORA-0-SJCP
PPL -5372(009)
SPECIAL COVENANTS OR REMARKS
09/06/2007
1. The ADMINISTERING AGENCY will advertise, award and administer
this project in accordance with the current published Local
Assistance Procedures Manual.
2. Award information shall be submitted by the ADMINISTERING AGENCY
to the District Local Assistance Engineer within 60 days after
the project contract award. A copy of the award package shall
also be included with the submittal of the ADMINISTERING AGENCY's
first invoice for the construction contract to:
Department of Transportation
Division of Accounting
Local Programs Accounting Branch, MS #33
P. O. Box 942874
Sacramento, CA 94274-0001.
Failure to do so will cause a delay in the State processing
invoices for the construction phase. Please refer to Section
15.7 "Award Package" of the Local Assistance Procedures Manual.
3. ADMINISTERING AGENCY agrees that it will only proceed with work
authorized for specific phase(s) with an "Authorization to
Proceed" and will not proceed with future phase(s) of this
project prior to receiving an "Authorization to Proceed" from the
STATE for that phase(s) unless no further State or Federal funds
are needed for those future phase(s).
4. Any State and Federal funds that may have been encumbered for
this project are only available for disbursement for a period of
five (5) years and seven (7) years, respectively, from the start
of the fiscal year(s) that those funds were appropriated within
the State Budget Act. All project funds not liquidated within
these periods will revert unless an executed Cooperative Work
Agreement extending these dates is requested and is approved by
the California Department of Finance per Government Code Section
16304. The exact date of each fund reversion will be reflected
in the approved finance letter(s) issued for this project.
Notwithstanding the unliquidated sums of project specific State
and Federal funding remaining and available to fund project work,
any invoice for reimbursement that is not submitted to the
Department on or before 60 days after that applicable fixed fund
Program Supplement 12 -5372R -N009- ISTRA Page 2 of 3
!-ORA-0-SJCP 09/06/2007
CPL -5372(009)
SPECIAL COVENANTS OR REMARKS
reversion date will not be paid from that fiscal year's
encumbered funds because all of these unexpended funds will be
irrevocably reverted by the Department's Division of Accounting
on that date.
Pursuant to a directive from the State Controller's Office and
the Department of Finance, the last date to submit invoices for
reimbursed work in each fiscal year is May 15th in order for
payment to be made out of those then current appropriations.
Project work performed and invoiced after May 15th will be
reimbursed only out of available funding that might be encumbered
in the subsequent fiscal year, and then only when those funds are
actually allocated and encumbered as authorized by the California
Transportation Commission and the Department's Accounting Office.
5. ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at
least once every six months commencing after the funds are
encumbered for each phase by the execution of this Project
Program Supplement Agreement, or by STATE's approval of an
applicable Finance Letter. STATE reserves the right to suspend
future authorizations/obligations, and invoice payments for any
on-going or future federal -aid project by ADMINISTERING AGENCY if
PROJECT costs have not been invoiced by ADMINISTERING AGENCY for
a six-month period.
If no costs have been invoiced for a six-month period,
ADMINISTERING AGENCY agrees to submit for each phase a written
explanation of the absence of PROJECT activity along with target
billing date and target billing amount.
ADMINISTERING AGENCY agrees to submit the final report documents
that collectively constitute a "Report of Expenditures" within
one hundred eighty (180) days of PROJECT completion. Failure of
ADMINISTERING AGENCY to submit a "Final Report of Expenditures"
within 180 days of PROJECT completion will result in STATE
imposing sanctions upon ADMINISTERING AGENCY in accordance with
the current Local Assistance Procedures Manual.
Program Supplement 12-53728-N009- ISTEA Page 3 of 3
1RO4,RAM SUPPLEMENT NO. N010 Date:October 10, 2007
to Location:12-ORA-0-SJCP
LDMINISTERING AGENCY -STATE AGREEMENT Project Number: STPL-5372(010)
'OR FEDERAL -AID PROJECTS NO. 12-5372R E.A. Number: 12-931936
'his Program Supplement hereby incorporates the Administering Agency -State Agreement for Federal Aid which was entered into
etween the Administering Agency and the State on / / and is subject to all the terms and conditions thereof. This Program
upplement is executed in accordance with Article I of the aforementioned Master Agreement under authority of Resolution No.
, approved by the Administering Agency on (See copy attached).
'he Administering Agency further stipulates that as a condition to the payment by State of any funds derived from sources noted
elow obligated to this project, the Administering Agency accepts and will comply with the Special covenants or Remarks setforth
n the following pages.
PROJECT LOCATION:
)el Obispo Street from Aguacate Road to Alipaz Street and from Camino Capistrano to Ortega Highway and Junipem Serra Raod from
,amino Capistrano to 1-5 SB off -ramps
.'YPE OF WORK: Road rehabilitation LENGTH: 0.9 (MILES)
Estimated Cost
Federal Funds
Matching Funds
$1,128,467.00
H230 $564,233.00
LOCAL
$564,234.00
$0.00
OTHER
$0.00
'ITY OF SAN JUAN CAPISTRANO
By
Date
Attest
Title
STATE OF CALIFORNIA
Department of Transportation
By
Chief, Office of Project Implementation
Division of Local Assistance
Date
I hereby certify upon my personal knowledge that bud ted funds are available for this encumbrance:
Accounting Officer Date a 1 (6 p-? $564,233.00
Chapter statutes Item ear Program BC Category Fund Source AMOUNT'
47 2006 2660-102-890 2006-2007 20.30.010.810 C 262040 892-F 564,233.00
Program Supplement 12-5372R-NO10- ISTRA Page 1 of 3
2-ORA-0-SJCP 10/10/2007
TPL-5372(010)
SPECIAL COVENANTS OR REMARKS
1. The ADMINISTERING AGENCY will advertise, award and administer
this project in accordance with the current published Local
Assistance Procedures Manual.
2. Award information shall be submitted by the ADMINISTERING AGENCY
to the District Local Assistance Engineer within 60 days after
the project contract award. A copy of the award package shall
also be included with the submittal of the ADMINISTERING AGENCY's
first invoice for the construction contract to:
Department of Transportation
Division of Accounting
Local Programs Accounting Branch, MS #33
P. O. Box 942874
Sacramento, CA 94274-0001.
Failure to do so will cause a delay in the State processing
invoices for the construction phase. Please refer to Section
15.7 "Award Package" of the Local Assistance Procedures Manual.
3. ADMINISTERING AGENCY agrees that it will only proceed with work
authorized for specific phase(s) with an "Authorization to
Proceed" and will not proceed with future phase(s) of this
project prior to receiving an "Authorization to Proceed" from the
STATE for that phase(s) unless no further State or Federal funds
are needed for those future phase(s).
4. Any State and Federal funds that may have been encumbered for
this project are only available for disbursement for a period of
five (5) years and seven (7) years, respectively, from the start
of the fiscal year(s) that those funds were appropriated within
the State Budget Act. All project funds not liquidated within
these periods will revert unless an executed Cooperative Work
Agreement extending these dates is requested and is approved by
the California Department of Finance per Government Code Section
16304. The exact date of each fund reversion will be reflected
in the approved finance letter(s) issued for this project.
Notwithstanding the unliquidated sums of project specific State
and Federal funding remaining and available to fund project work,
any invoice for reimbursement that is not submitted to the
Department on or before 60 days after that applicable fixed fund
Program Supplement 12-5372R-NO10- ISTEA Page 2 of 3
2-ORA-0-SJCP
TPI2-5372(010)
SPECIAL COVENANTS OR REMARKS
10/10/2007
reversion date will not be paid from that fiscal year's
encumbered funds because all of these unexpended funds will be
irrevocably reverted by the Department's Division of Accounting
on that date.
Pursuant to a directive from the State Controller's Office and
the Department of Finance, the last date to submit invoices for
reimbursed work in each fiscal year is May 15th in order for
payment to be made out of those then current appropriations.
Project work performed and invoiced after May 15th will be
reimbursed only out of available funding that might be encumbered
in the subsequent fiscal year, and then only when those funds are
actually allocated and encumbered as authorized by the California
Transportation Commission and the Department's Accounting Office.
5. ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at
least once every six months commencing after the funds are
encumbered for each phase by the execution of this Project
Program Supplement Agreement, or by STATE's approval of an
applicable Finance Letter. STATE reserves the right to suspend
future authorizations/obligations, and invoice payments for any
on-going or future federal -aid project by ADMINISTERING AGENCY if
PROJECT costs have not been invoiced by ADMINISTERING AGENCY for
a six-month period.
If no costs have been invoiced for a six-month period,
ADMINISTERING AGENCY agrees to submit for each phase a written
explanation of the absence of PROJECT activity along with target
billing date and target billing amount.
ADMINISTERING AGENCY agrees to submit the final report documents
that collectively constitute a "Report of Expenditures" within
one hundred eighty (180) days of PROJECT completion. Failure of
ADMINISTERING AGENCY to submit a "Final Report of Expenditures"
within 180 days of PROJECT completion will result in STATE
imposing sanctions upon ADMINISTERING AGENCY in accordance with
the current Local Assistance Procedures Manual.
Program Supplement 12 -5372R -N010- ISTEA Page 3 of 3
RESOLUTION NO. 07-11-20-x
A RESOLUTION OF THE CITY COUNCIL OF
THE CITY OF SAN JUAN CAPSITRANO, CALIFORNIA
AUTHORIZING CITY MANAGER TO EXECUTE
ALL MASTER AGREEMENTS, PROGRAM SUPPLEMENTAL AGREEMENTS,
FUND EXCHANGE AGREEMENTS, FUND TRANSFER AGREEMENTS
AND/OR ANY AMEDNMENTS THERETO WITH
THE CALIFORNIA DEPARTMENT OF TRANSPORTATION
WHEREAS, the City of San Juan Capistrano is eligible to receive Federal and/or
State funding for certain transportation projects, through the California Department of
Transportation; and
WHEREAS, Master Agreements, Program Supplemental Agreements, Fund
Exchange Agreements and/or Fund Transfer agreements need to be executed with the
California Department of Transportation before such funds could be claimed; and
WHEREAS, the City of San Juan Capistrano wishes to delegate authorization to
execute these agreements and any amendments thereto that the City Manager be
authorized to execute all Master Agreements, Program Supplemental Agreements, Fund
Exchange Agreements, Fund Transfer Agreements and/or any amendments thereto with
the California Department of Transportation.
NOW, THEREFORE, BE IT RESOLVED that the City of San Juan Capistrano,
hereby authorizes the City Manager of the City of San Juan Capistrano to execute all
Master Agreements, Program Supplemental Agreements, Fund Exchange Agreements,
Fund Transfer Agreements and/or any amendments thereto with the California
Department of Transportation.
BE IT FURTHER RESOLVED that the City of San Juan Capistrano, agrees to fund
its share of the project costs and any additional costs over the identified programmed
amount.
PASSED, APPROVED, AND ADOPTED this 20`h day of November, 2007.
SAM ALLEVATO, MAYOR
ATTEST:
MARGARET R. MONAHAN, CITY CLERK
ATTACHMENT
STATE OF CALIFORNIA. BUSINESS,TRANSPORTATION AND HOUSING AGENCY
DEPARTMENT OF TRANSPORTATION
Division of Local Assistance
1120 N STREET
P.O. BOX 942874, MS# 1
Sacramento, CA 94274-0001
TDD (916) 654-4014 -
(916)654-3151 -
Fax (916) 653-7621 - - -
October 1, 2007
Mr. Nasser Abbaszadeh
Engineering & Building Director
City of San Juan Capistrano
32400 Paseo Adelanto
San Juan Capistrano, CA 92675
Attn: Mr. Brian Perry
Dear Mr. Abbaszadeh:
Arnold Schwarzenegger, Governor
7
File: 12-ORA-0-SJCP
STPL-5372(009)
Del Obispo Street from 1,000 feet
north of Blue Fin Drive to Aguacate
Road
Enclosed are two originals of the Administering Agency -Federal Master Agreement No. 12-5372R, Program
Supplement Agreement No. 009-N and an approved Finance Letter for the subject project. Please retain the signed
Finance Letter for your records.
The Master Agreement has been revised to incorporate the various changes in regulations and policies.
Please sign both copies of these two Agreements and return them to this office, Office of Local Assistance - MS1within
90 days from the date of this letter. If the signed Agreements are not
Mind Iterations should not be a e o e adree un Ina.
y executed copy of the agreemen`i a'to y�
can be processed until the agreement is fully executed.
Your prompt action is requested. If you have questions, please contact your District Local Assistance Engineer.
Sincerely,
4�4CX4�
RAY ZHANG, Chief
Office of Project Implementation -South
Division of Local Assistance
Enclosure
c: DLA AE Project Files
(12) DLAE - Alan Williams
STATE OF CALIFORNIA. BUSINESS,TRANSPORTATION AND HOUSING AGENCY
DEPARTMENT OF TRANSPORTATION
Division of Local Assistance
1120 N STREET
P.O. BOX 942874, MS# 1
Sacramento, CA 94274-0001
TDD (916) 654-4014 P
(916) 654-3151
Fax(916)653-7621
October 24, 2007
Mr. John Elwell
Director of Public Works
City of San Juan Capistrano
32450 Paseo Adelanto
San Juan Capistrano, CA 92675
Attn: Mr. Brian Perry
Dear Mr. Elwell:
L
Arnold Schwarzenegger, Governor
File: 12-ORA-0-SJCP
STPL-5372(010)
Del Obispo Street from Aguacate
Road to Alipaz Street and from
Camino Capistrano to Ortega Highw
Enclosed are two originals of the Program Supplement Agreement No. 010-N to Administering Agency -State
Agreement No. 12-5372R and an approved Finance Letter for the subject project. Please retain the signed Finance
Letter for your records.
Please note that federal funding will be lost if you proceed with future phase(s) of the project prior to getting
the "Authorization to Proceed" with that phase.
Please review the covenants and sign both copies of this Agreement and return both to this office, Office of Project
Implementation - MS1 within 60 days from the date of this letter.
agreement language or funding. w4rimpIMpawamiat clearly identifies the
project and the official authorized to execute the agreement. A fully executed copy of the agreement will be returned to
you upon ratification by Caltrans. No invoices for reimbursement can be processed until the agreement is fully
executed.
In accordance to Government Code 16304, Federal funds appropriated by the State budget are available for liquidation
only for seven years and the State funds are available only for five years. The attached Finance Letter shows these
deadlines as the "Reversion Date". Please ensure that your invoices are submitted at least 60 days prior to the
reversion date to avoid any lapse of funds. If your agency is unable to seek reimbursement by this date you may
request an extension through a Cooperative Work Agreement (CWA). A CWA is subject to the final approval of the
State Department of Finance. If approved, the CWA may extend the deadline for up to one year for federal funds and
up to three years for State funds.
Please note that Government Code 16304 does not supersede any other more restrictive expenditure deadlines.
Your prompt action is requested. If you have questions, please contact your District Local Assistance Engineer.
Sincerely,
V
RAY ZHANG, Chief
Office of Project Implementation
Division of Local Assistance
Enclosure
c: DLA AE Project Files
(12) DLAE - Alan Williams
11/20/2007
D3
SUPPLEMENTARY AGENDA REPORT
TO: Dave Adams, City Manager `C
FROM: Nasser Abbaszadeh, Engineering & Building Director
SUBJECT: Consideration of Approving California Department of Transportation
Administering Agency -Federal Master Agreement Number 12-5372R,
Program Supplement Agreement Numbers 009 and 010, for Del Obispo
Street Asphalt Concrete Overlay Projects (CIP 408 and 415)
RECOMMENDATION
1. Approve California Department of Transportation Administering Agency -
Federal Master Agreement Number 12-5372R, Program Supplement
Agreement Numbers 009 and 010, for Del Obispo Street Overlay Projects
and authorize City Manager to execute this and similar Agreements; and,
2. Adopt a Resolution Authorizing City Manager to execute this and similar
Agreements.
Master Agreement Number has been revised to read "12-5372R".
Respectfully submitted,
Nasser Abbaszadeh, Engineering & Building Director
Attachments:
1. Master Agreement Number 12-5372R
MASTER AGREEMENT
ADMINISTERING AGENCY -STATE AGREEMENT FOR
FEDERAL -AID PROJECTS
12 City of San Juan Capistrano
District Administering Agency
Agreement No. 12-5372R
This AGREEMENT, is entered into effective this day of 2007, by and
between the City of San Juan Capistrano, hereinafter referred to as "ADMINISTERING AGENCY,"
and the State of California, acting by and through its Department of Transportation (Caltrans),
hereinafter referred to as "STATE, and together referred to as "PARTIES" or individually as a
"PARTY."
RECITALS:
1. WHEREAS, the Congress of the United States has enacted the Intermodal Surface
Transportation Efficiency Act (ISTEA) of 1991 and subsequent Transportation Authorization Bills
to fund transportation programs. These transportation programs include, but are not limited to, the
Surface Transportation Program (STP), the Congestion Mitigation and Air Quality Improvement
Program (CMAQ), the Transportation Enhancement Program (TE), Highway Safety Improvement
Program (HSIP) and the Highway Bridge Program (HBP) (collectively the "PROGRAMS"); and
2. WHEREAS, the Legislature of the State of California has enacted legislation by which certain
federal -aid funds may be made available for use on local transportation related projects of public
entities qualified to act as recipients of these federal -aid funds in accordance with the intent of
federal law; and
3. WHEREAS, before federal -funds will be made available for a specific program project,
ADMINISTERING AGENCY and STATE are required to enter into an agreement to establish
terms and conditions applicable to the ADMINISTERING AGENCY when receiving federal funds
for a designated PROJECT facility and to the subsequent operation and maintenance of that
completed facility.
NOW, THEREFORE, the PARTIES agree as follows:
Page 1 of 26 ATTACHMENT 1
ARTICLE I - PROJECT ADMINISTRATION
1. This AGREEMENT shall have no force or effect with respect to any program project unless and
until a project -specific Program Supplement to this AGREEMENT for federal -aid projects,
hereinafter referred to as "PROGRAM SUPPLEMENT', has been fully executed by both STATE
and ADMINISTERING AGENCY.
2. The term "PROJECT", as used herein, means that authorized transportation related project and
related activities financed in part with federal -aid funds as more fully -described in an
"Authorization/ Agreement Summary" or "Amendment/Modification Summary", herein referred to
as "E-76" or "E-76 (AMOD)" document authorized by STATE or the Federal Highway
Administration (FHWA).
3. The E-76/E-76(AMOD) shall designate the party responsible for implementing PROJECT, type
of work and location of PROJECT.
4. The PROGRAM SUPPLEMENT sets out special covenants as a condition for the
ADMINISTERING AGENCY to receive federal -aid funds from/through STATE for designated
PROJECT. The PROGRAM SUPPLEMENT shall also show these Federal Funds that have been
initially encumbered for PROJECT. along with the matching funds to be provided by
ADMINISTERING AGENCY and/or others. Execution of PROGRAM SUPPLEMENT by the
PARTIES shall cause ADMINISTERING AGENCY to adopt all of the terms of this AGREEMENT
as though fully set forth therein in the PROGRAM SUPPLEMENT. Unless otherwise expressly
delegated in a resolution by the governing body of ADMINISTERING AGENCY, and with written
concurrence by STATE, the PROGRAM SUPPLEMENT shall be approved and managed by the
governing body of ADMINISTERING AGENCY.
5. ADMINISTERING AGENCY agrees to execute and return each project -specific PROGRAM
SUPPLEMENT within ninety (90) days of receipt. The PARTIES agree that STATE may suspend
future authorizations/obligations and invoice payments for any on-going or future federal -aid
project performed by ADMINISTERING AGENCY if any project -specific PROGRAM
SUPPLEMENT is not returned within that ninety (90) day period unless otherwise agreed by
STATE in writing.
6. ADMINISTERING AGENCY further agrees, as a condition to the release and payment of
Federal Funds encumbered for the PROJECT described in each PROGRAM SUPPLEMENT, to
comply with the terms and conditions of this AGREEMENT and all of the agreed-upon Special
Covenants or Remarks incorporated within the PROGRAM SUPPLEMENT, and
Cooperative/Contribution Agreement where appropriate, defining and identifying the nature of the
specific PROJECT.
7. Federal, State and matching funds will not participate in PROJECT work performed in advance
of the approval of the E-76 or E-76 (AMOD), unless otherwise stated in the executed project -
specific PROGRAM SUPPLEMENT. ADMINISTERING AGENCY agrees that it will only proceed
with the work authorized for that specific phase(s) on the project -specific E-76 or E-76 (AMOD).
ADMINISTERING AGENCY further agrees to not proceed with future phases of PROJECT prior to
receiving an E-76 (AMOD) from STATE for that phase(s) unless no Further Federal funds are
Page 2 of 26
needed or for those future phase(s).
8. That PROJECT or portions thereof, must be included in a federally approved Federal Statewide
Transportation Improvement Program (FSTIP) prior to ADMINISTERING AGENCY submitting the
"Request for Authorization".
9. ADMINISTERING AGENCY shall conform to all State statutes, regulations and procedures
(including those set forth in the Local Assistance Procedures Manual and the Local Assistance
Program Guidelines, hereafter collectively referred to as "LOCAL ASSISTANCE PROCEDURES")
relating to the federal -aid program, all Title 23 federal requirements, and all applicable federal
laws, regulations, and policy and procedural or instructional memoranda, unless otherwise
specifically waived as designated in the executed project -specific PROGRAM SUPPLEMENT.
10. If PROJECT is not on STATE -owned right of way, PROJECT shall be constructed in
accordance with LOCAL ASSISTANCE PROCEDURES that describes minimum statewide design
standards for local agency streets and roads. LOCAL ASSISTANCE PROCEDURES for projects
off the National Highway System (NHS) allow STATE to accept either the STATE's minimum
statewide design standards or the approved geometric design standards of ADMINISTERING
AGENCY. Additionally, for projects off the NHS, STATE will accept ADMINISTERING AGENCY -
approved standard specifications, standard plans, materials sampling and testing quality
assurance programs that meet the conditions described in the then current LOCAL ASSISTANCE
PROCEDURES.
11. If PROJECT involves work within or partially within STATE -owned right-of-way, that
PROJECT shall also be subject to compliance with the policies, procedures and standards of the
STATE Project Development Procedures Manual and Highway Design Manual and where
appropriate, an executed cooperative agreement between STATE and ADMINISTERING
AGENCY that outlines the PROJECT responsibilities and respective obligations of the PARTIES.
ADMINISTERING AGENCY and its' contractors shall each obtain an encroachment permit
through STATE prior to commencing any work within STATE rights of way or work which affects
STATE facilities.
12. When PROJECT is not on the State Highway System but includes work to be performed by a
railroad, the contract for such work shall be prepared by ADMINISTERING AGENCY or by
STATE, as the PARTIES may hereafter agree. In either event, ADMINISTERING AGENCY shall
enter into an agreement with the railroad providing for future maintenance of protective devices or
other facilities installed under the contract.
13. If PROJECT is using STATE funds, the Department of General Services, Division of the State
Architect, or its designee, shall review the contract PS&E for the construction of buildings,
structures, sidewalks, curbs and related facilities for accessibility and usability. ADMINISTERING
AGENCY shall not award a PROJECT construction contract for these types of improvements until
the State Architect has issued written approval stating that the PROJECT plans and specifications
comply with the provisions of sections 4450 and 4454 of the California Government Code, if
applicable. Further requirements and guidance are provided in Title 24 of the California Code of
Regulations.
14. ADMINISTERING AGENCY will advertise, award and administer PROJECT in accordance
with the current LOCAL ASSISTANCE PROCEDURES unless otherwise stated in the executed
Page 3 of 26
project -specific PROGRAM SUPPLEMENT.
15. ADMINISTERING AGENCY shall provide or arrange for adequate supervision and inspection
of each PROJECT. While consultants may perform supervision and inspection work for
PROJECT with a fully qualified and licensed engineer, ADMINISTERING AGENCY shall provide a
full-time employee to be in responsible charge of each PROJECT.
16. ADMINISTERING AGENCY shall submit PROJECT -specific contract award documents to
STATE's District Local Assistance Engineer within sixty (60) days after contract award. A copy of
the award documents shall also be included with the submittal of the first invoice for a construction
contract by ADMINISTERING AGENCY to: Department of Transportation, Division of Accounting
Local Programs Accounting Branch, MS #33, PO Box 942874, Sacramento, California 94274-
0001.
17. ADMINISTERING AGENCY shall submit the final report documents that collectively constitute
a "Report of Expenditures" within one hundred eighty (180) days of PROJECT completion. Failure
by ADMINISTERING AGENCY to submit a "Report of Expenditures" within one hundred
eighty(180) days of project completion will result in STATE imposing sanctions upon
ADMINISTERING AGENCY in accordance with the current LOCAL ASSISTANCE
PROCEDURES.
18. ADMINISTERING AGENCY shall comply with: (i) section 504 of the Rehabilitation Act of 1973
which prohibits discrimination on the basis of disability in federally assisted programs; (ii) the
Americans with Disabilities Act (ADA) of 1990 which prohibits discrimination on the basis of
disability irrespective of funding; and (iii) all applicable regulations and guidelines issued pursuant
to both the Rehabilitation Act and the ADA.
19. The Congress of the United States, the Legislature of the State of California and the Governor
of the State of California, each within their respective jurisdictions, have prescribed certain
nondiscrimination requirements with respect to contract and other work financed with public funds.
ADMINISTERING AGENCY agrees to comply with the requirements of the FAIR EMPLOYMENT
PRACTICES ADDENDUM (Exhibit A attached hereto) and the NONDISCRIMINATION
ASSURANCES (Exhibit B attached hereto). ADMINISTERING AGENCY further agrees that any
agreement entered into by ADMINISTERING AGENCY with a third party for performance of
PROJECT -related work shall incorporate Exhibits A and B (with third party's name replacing
ADMINISTERING AGENCY) as essential parts of such agreement to be enforced by that third
party as verified by ADMINISTERING AGENCY.
Page 4 of 26
ARTICLE II - RIGHTS OF WAY
1. No contract for the construction of a federal -aid PROJECT shall be awarded until all necessary
rights of way have been secured. Prior to the advertising for construction of PROJECT,
ADMINISTERING AGENCY shall certify and, upon request, shall furnish STATE with evidence
that all necessary rights of way are available for construction purposes or will be available by the
time of award of the construction contract.
2. ADMINISTERING AGENCY agrees to indemnify and hold STATE harmless from any liability
that may result in the event the right of way for a PROJECT, including, but not limited to, being
clear as certified or if said right of way is found to contain hazardous materials requiring treatment
or removal to remediate in accordance with Federal and State laws. The furnishing of right of way
as provided for herein includes, in addition to all real property required for the PROJECT, title free
and clear of obstructions and encumbrances affecting PROJECT and the payment, as required by
applicable law, of relocation costs and damages to remainder real property not actually taken but
injuriously affected by PROJECT. ADMINISTERING AGENCY shall pay, from its own non-
matching funds, any costs which arise out of delays to the construction of PROJECT because
utility facilities have not been timely removed or relocated, or because rights of way were not
available to ADMINISTERING AGENCY for the orderly prosecution of PROJECT work.
3. Subject to STATE approval and such supervision as is required by LOCAL ASSISTANCE
PROCEDURES over ADMINISTERING AGENCY's right of way • acquisition procedures,
ADMINISTERING AGENCY may claim reimbursement from Federal Funds for expenditures
incurred in purchasing only the necessary rights of way needed for the PROJECT after crediting
PROJECT with the fair market value of any excess property retained and not disposed of by
ADMINISTERING AGENCY.
4. When real property rights are to be acquired by ADMINISTERING AGENCY for a PROJECT,
said ADMINISTERING AGENCY must carry out that acquisition in compliance with all applicable
State and Federal laws and regulations, in accordance with State procedures as published in
State's current LOCAL ASSISTANCE PROCEDURES and STATE's Right -of -Way Manual,
subject to STATE oversight to ensure that the completed work is acceptable under the Federal
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended.
5. Whether or not federal -aid is to be requested for right of way, should ADMINISTERING
AGENCY, in acquiring right of way for PROJECT, displace an individual, family, business, farm
operation, or non-profit organization, relocation payments and services will be provided as set
forth in 49 CFR, Part 24. The public will be adequately informed of the relocation payments and
services which will be available, and, to the greatest extent practicable, no person lawfully
occupying real property shall be required to move from his/her dwelling or to move his/her
business or farm operation without at least ninety (90) days written notice from ADMINISTERING
AGENCY. ADMINISTERING AGENCY will provide STATE with specific assurances, on each
portion of the PROJECT, that no person will be displaced until comparable decent, safe and
sanitary replacement housing is available within a reasonable period of time prior to displacement,
and that ADMINISTERING AGENCY's relocation program is realistic and adequate to provide
Page 5 of 26
orderly, timely and efficient relocation of PROJECT- displaced persons as provided in 49 CFR,
Part 24.
6. ADMINISTERING AGENCY shall, along with recording the deed or instrument evidencing title
in the name of the ADMINISTERING AGENCY or their assignee, shall also record an Agreement
Declaring Restrictive Covenants (ADRC) as a separate document incorporating the assurances
included within Exhibits A and B and Appendices A, B, C and D of the AGREEMENT, as
appropriate.
Page 6 of 26
ARTICLE III - MAINTENANCE AND MANAGEMENT
1. ADMINISTERING AGENCY will maintain and operate the property acquired, developed,
constructed, rehabilitated, or restored by PROJECT for its intended public use until such time as
the parties might amend this AGREEMENT to otherwise provide. With the approval of STATE,
ADMINISTERING AGENCY or its successors in interest in the PROJECT property may transfer
this obligation and responsibility to maintain and operate PROJECT property for that intended
public purpose to another public entity.
2. Upon ADMINISTERING AGENCY's acceptance of the completed federal -aid construction
contract or upon contractor being relieved of the responsibility for maintaining and protecting
PROJECT, ADMINISTERING AGENCY will be responsible for the maintenance, ownership,
liability, and the expense thereof, for PROJECT in a manner satisfactory to the authorized
representatives of STATE and FHWA and if PROJECT falls within the jurisdictional limits of
another Agency or Agencies, it is the duty of ADMINISTERING AGENCY to facilitate a separate
maintenance agreement(s) between itself and the other jurisdictional Agency or Agencies
providing for the operation, maintenance, ownership and liability of PROJECT. Until those
agreements are executed, ADMINISTERING AGENCY will be responsible for all PROJECT
operations, maintenance, ownership and liability in a manner satisfactory to the authorized
representatives of STATE and FHWA. If, within ninety (90) days after receipt of notice from
STATE that a PROJECT, or any portion thereof, is not being properly operated and maintained
and ADMINISTERING AGENCY has not satisfactorily remedied the conditions complained of, the
approval of future federal -aid projects of ADMINISTERING AGENCY will be withheld until the
PROJECT shall have been put in a condition of operation and maintenance satisfactory to STATE
and FHWA. The provisions of this section shall not apply to a PROJECT that has been vacated
through due process of law with STATE's concurrence.
3. PROJECT and its facilities shall be maintained by an adequate and well-trained staff of
engineers and/or such other professionals and technicians as PROJECT reasonably requires.
Said operations and maintenance staff may be employees of ADMINISTERING AGENCY, another
unit of government, or a contractor under agreement with ADMINISTERING AGENCY. All
maintenance will be performed at regular intervals or as required for efficient operation of the
complete PROJECT improvements.
Page 7 of 26
ARTICLE IV - FISCAL PROVISIONS
1. All contractual obligations of STATE are subject to the appropriation of resources by the
Legislature and the allocation of resources by the California Transportation Commission (CTC).
2. STATE'S financial commitment of Federal Funds will occur only upon the execution of this
AGREEMENT, the authorization of the project -specific E-76 or E-76 (AMOD), the execution of
each project -specific PROGRAM SUPPLEMENT, and STATE's approved finance letter.
3. ADMINISTERING AGENCY may submit signed duplicate invoices in arrears for reimbursement
of participating PROJECT costs on a monthly or quarterly progress basis once the project -specific
PROGRAM SUPPLEMENT has been executed by STATE.
4. ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at least once every six
(6) months commencing after the funds are encumbered on either the project -specific PROGRAM
SUPPLEMENT or through a project -specific finance letter approved by STATE. STATE reserves
the right to suspend future authorizations/obligations, and invoice payments for any on-going or
future federal -aid project by ADMINISTERING AGENCY if PROJECT costs have not been
invoiced by ADMINISTERING AGENCY for a six (6) month period
5. Invoices shall be submitted on ADMINISTERING AGENCY letterhead that includes the address
of ADMINISTERING AGENCY and shall be formatted in accordance with LOCAL ASSISTANCE
PROCEDURES.
6. Invoices must have at least one copy of supporting backup documentation for costs incurred
and claimed for reimbursement by ADMINISTERING AGENCY. Acceptable backup
documentation includes, but is not limited to, agency's progress payment to the contractors,
copies of cancelled checks showing amounts made payable to vendors and contractors, and/or a
computerized summary of PROJECT costs.
7. Payments to ADMINISTERING AGENCY can only be released by STATE as reimbursement of
actual allowable PROJECT costs already incurred and paid for by ADMINISTERING AGENCY.
8. An Indirect Cost Rate Proposal and Central Service Cost Allocation Plan and related
documentation are to be provided to STATE (Caltrans Audits & Investigations) annually for review
and approval prior to ADMINISTERING AGENCY seeking reimbursement of indirect cost incurred
within each fiscal year being claimed for federal reimbursement.
9. Once PROJECT has been awarded, STATE reserves the right to de -obligate any excess
Federal Funds from the construction phase of PROJECT if the contract award amount is less than
the obligated amount, as shown on the PROJECT E-76 or E-76 (AMOD).
10. STATE will withhold the greater of either two (2) percent of the total of all Federal Funds
encumbered for each PROGRAM SUPPLEMENT or $40,000 until ADMINISTERING AGENCY
submits the Final Report of Expenditures for each completed PROGRAM SUPPLEMENT
PROJECT.
Page 8 of 26
11. The estimated total cost of PROJECT, the amount of Federal Funds obligated, and the
required matching funds may be adjusted by mutual consent of the PARTIES hereto with a
finance letter, a detailed estimate, if required, and approved E-76 (AMOD). Federal -aid funding
may be increased to cover PROJECT cost increases only if such funds are available and FHWA
concurs with that increase.
12. When additional federal -aid funds are not available, ADMINISTERING AGENCY agrees that
the payment of Federal Funds will be limited to the amounts authorized on the PROJECT specific
E-76 / E-76 (AMOD) and agrees that any increases in PROJECT costs must be defrayed with
ADMINISTERING AGENCY's own funds.
13. ADMINISTERING AGENCY shall use its own non -Federal Funds to finance the local share of
eligible costs and all expenditures or contract items ruled ineligible for financing with Federal
Funds. STATE shall make the determination of ADMINISTERING AGENCY's cost eligibility for
federal fund financing of PROJECT costs.
14. ADMINISTERING AGENCY will reimburse STATE for STATE's share of costs for work
performed by STATE at the request of ADMINISTERING AGENCY. STATE's costs shall include
overhead assessments in accordance with section 8755.1 of the State Administrative Manual.
15. Federal and state funds allocated from the State Transportation Improvement Program (STIP)
are subject to the timely use of funds provisions enacted by Senate Bill 45, approved in 1997, and
subsequent STIP Guidelines and State procedures approved by the CTC and STATE.
16. Federal Funds encumbered for PROJECT are available for liquidation for a period of seven (7)
years from the beginning of the State fiscal year the funds were appropriated in the State Budget.
State funds encumbered for PROJECT are available for liquidation only for five (5) years from the
beginning of the State fiscal year the funds were appropriated in the State Budget. Federal or
state funds not liquidated within these periods will be reverted unless an Cooperative Work
Agreement (CWA) is submitted by ADMINISTERING AGENCY and approved by the California
Department of Finance (per Government Code section 16304). The exact date of fund reversion
will be reflected in the STATE signed finance letter for PROJECT.
17. Payments to ADMINISTERING AGENCY for PROJECT -related travel and subsistence (per
diem) expenses of ADMINISTERING AGENCY forces and its contractors and subcontractors
claimed for reimbursement or as local match credit shall not exceed rates authorized to be paid
rank and file STATE employees under current State Department of Personnel Administration
(DPA) rules. If the rates invoiced by ADMINISTERING AGENCY are in excess of DPA rates,
ADMINISTERING AGENCY is responsible for the cost difference, and any overpayments
inadvertently paid by STATE shall be reimbursed to STATE by ADMINISTERING AGENCY on
demand within thirty (30) days of such invoice.
18. ADMINISTERING AGENCY agrees to comply with Office of Management and Budget (OMB)
Circular A-87, Cost Principles for State and Local Governments, and 49 CFR, Part 18, Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments.
Page 9 of 26
19. ADMINISTERING AGENCY agrees, and will assure that its contractors and subcontractors will
be obligated to agree that (a) Contract Cost Principles and Procedures, 48 CFR, Federal
Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be used to determine the
allowability of individual PROJECT cost items and (b) those parties shall comply with federal
administrative procedures in accordance with 49 CFR, Part 18, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments. Every
sub -recipient receiving PROJECT funds as a contractor or sub -contractor under this
AGREEMENT shall comply with Federal administrative procedures in accordance with 49 CFR,
Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments.
20. Any PROJECT costs for which ADMINISTERING AGENCY has received payment or credit
that are determined by subsequent audit to be unallowable under OMB Circular A-87, 48 CFR,
Chapter 1, Part 31 or 49 CFR, Part 18, are subject to repayment by ADMINISTERING AGENCY
to STATE. Should ADMINISTERING AGENCY fail to reimburse moneys due STATE within thirty
30 days of demand, or within such other period as may be agreed in writing between the
PARTIES hereto, STATE is authorized to intercept and withhold future payments due
ADMINISTERING AGENCY from STATE or any third -party source, including but not limited to,
the State Treasurer, the State Controller and the CTC.
21. Upon written demand by STATE, any overpayment to ADMINISTERING AGENCY of amounts
invoiced to STATE shall be returned to STATE.
22. Should ADMINISTERING AGENCY fail to refund any moneys due STATE as provided
hereunder or should ADMINISTERING AGENCY breach this AGREEMENT by failing to complete
PROJECT without adequate justification and approval by STATE, then, within thirty 30 days of
demand, or within such other period as may be agreed to in writing between the PARTIES,
STATE, acting through the State Controller, the State Treasurer, or any other public entity or
agency, may withhold or demand a transfer of an amount equal to the amount paid by or owed to
STATE from future apportionments, or any other funds due ADMINISTERING AGENCY from the
Highway Users Tax Fund or any other sources of funds, and/or may withhold approval of future
ADMINISTERING AGENCY federal -aid projects.
23. Should ADMINISTERING AGENCY be declared to be in breach of this AGREEMENT or
otherwise in default thereof by STATE, and if ADMINISTERING AGENCY is constituted as a joint
powers authority, special district, or any other public entity not directly receiving funds through the
State Controller, STATE is authorized to obtain reimbursement from whatever sources of funding
are available, including the withholding or transfer of funds, pursuant to Article IV - 22, from those
constituent entities comprising a joint powers authority or by bringing of an action against
ADMINISTERING AGENCY or its constituent member entities, to recover all funds provided by
STATE hereunder.
24. ADMINISTERING AGENCY acknowledges that the signatory party represents the
ADMINISTERING AGENCY and further warrants that there is nothing within a Joint Powers
Agreement, by which ADMINISTERING AGENCY was created, if any exists, that would restrict or
otherwise limit STATE's ability to recover State funds improperly spent by ADMINISTERING
AGENCY in contravention of the terms of this AGREEMENT.
Page 10 of 26
ARTICLE V
AUDITS, THIRD PARTY CONTRACTING, RECORDS RETENTION AND REPORTS
1. STATE reserves the right to conduct technical and financial audits of PROJECT work and
records when determined to be necessary or appropriate and ADMINISTERING AGENCY agrees,
and shall require its contractors and subcontractors to agree, to cooperate with STATE by making
all appropriate and relevant PROJECT records available for audit and copying as required by
paragraph three (3) of ARTICLE V.
2. ADMINISTERING AGENCY, its contractors and subcontractors shall establish and maintain an
accounting system and records that properly accumulate and segregate incurred PROJECT costs
and matching funds by line item for the PROJECT. The accounting system of ADMINISTERING
AGENCY, its contractors and all subcontractors shall conform to Generally Accepted Accounting
Principles, enable the determination of incurred costs at interim points of completion, and provide
support for reimbursement payment vouchers or invoices sent to or paid by STATE.
3. For the purpose of determining compliance with Title 21, California Code of Regulations,
Chapter 21, section 2500 et seq., when applicable, and other matters connected with the
performance of ADMINISTERING AGENCY's contracts with third parties, ADMINISTERING
AGENCY, ADMINISTERING AGENCY's contractors and subcontractors, and STATE shall each
maintain and make available for inspection and audit all books, documents, papers, accounting
records, and other evidence pertaining to the performance of such contracts, including, but not
limited to, the costs of administering those various contracts. All of the above referenced parties
shall make such AGREEMENT and PROGRAM SUPPLEMENT materials available at their
respective offices at all reasonable times during the entire PROJECT period and for three (3)
years from the date of final payment to ADMINISTERING AGENCY under any PROGRAM
SUPPLEMENT. STATE, the California State Auditor, or any duly authorized representative of
STATE or the United States, shall each have access to any books, records, and documents that
are pertinent to a PROJECT for audits, examinations, excerpts, and transactions and
ADMINISTERING AGENCY shall furnish copies thereof if requested.
4. ADMINISTERING AGENCY is required to have an audit in accordance with the Single Audit Act
of OMB Circular A-133 if it receives a total of $500,000 or more in Federal Funds in a single fiscal
year. The Federal Funds received under a PROGRAM SUPPLEMENT are a part of the
Catalogue of Federal Domestic Assistance (CFDA) 20.205, Highway Planning and Research.
5. ADMINISTERING AGENCY agrees to include all PROGRAM SUPPLEMENTS adopting the
terms of this AGREEMENT in the schedule of projects to be examined in ADMINISTERING
AGENCY's annual audit and in the schedule of projects to be examined under its single audit
prepared in accordance with OMB Circular A-133.
6. ADMINISTERING AGENCY shall not award a construction contract over $10,000 or other
contracts over $25,000 (excluding professional service contracts of the type which are required to
be procured in accordance with Government Code sections 4525 (d), (e) and (f) on the basis of a
noncompetitive negotiation for work to be performed under this AGREEMENT without the prior
written approval of STATE. Contracts awarded by ADMINISTERING AGENCY, if intended as
local match credit, must meet the requirements set forth in this AGREEMENT regarding local
match funds.
Page 11 of 26
7. Any subcontract entered into by ADMINISTERING AGENCY as a result of this AGREEMENT
shall contain all of the provisions of ARTICLE IV, FISCAL PROVISIONS, and this ARTICLE V,
AUDITS, THIRD -PARTY CONTRACTING RECORDS RETENTION AND REPORTS, and shall
mandate that travel and per diem reimbursements and third -party contract reimbursements to
subcontractors will be allowable as PROJECT costs only after those costs are incurred and paid
for by the subcontractors.
8. To be eligible for local match credit, ADMINISTERING AGENCY must ensure that local match
funds used for a PROJECT meet the fiscal provisions requirements outlined in ARTICLE IV in the
same manner as required of all other PROJECT expenditures.
9. In addition to the above, the pre -award requirements of third -parry contractor/consultants with
ADMINISTERING AGENCY should be consistent with LOCAL ASSISTANCE PROCEDURES.
Page 12 of 26
ARTICLE VI -FEDERAL LOBBYING ACTIVITIES CERTIFICATION
1. By execution of this AGREEMENT, ADMINISTERING AGENCY certifies, to the best of the
signatory officer's knowledge and belief, that:
A. No federal or state appropriated funds have been paid or will be paid, by or on behalf of
ADMINISTERING AGENCY, to any person for influencing or attempting to influence an officer or
employee of any STATE or federal agency, a member of the State Legislature or United States
Congress, an officer or employee of the Legislature or Congress, or any employee of a Member of
the Legislature or Congress in connection with the awarding of any STATE or federal contract,
including this AGREEMENT, the making of any STATE or federal loan, the entering into of any
cooperative contract, and the extension, continuation, renewal, amendment, or modification of any
STATE or federal contract, grant, loan, or cooperative contract.
B. If any funds other than federal appropriated funds have been paid, or will be paid, to any
person for influencing or attempting to influence an officer or employee of any federal agency, a
member of Congress, an officer or employee of Congress or an employee of a member of
Congress in connection with this AGREEMENT, grant, local, or cooperative contract,
ADMINISTERING AGENCY shall complete and submit Standard Form -LLL, "Disclosure Form to
Rep Lobbying," in accordance with the form instructions.
C. This certification is a material representation of fact upon which reliance was placed when this
AGREEMENT and each PROGRAM SUPPLEMENT was or will be made or entered into.
Submission of this certification is a prerequisite for making or entering into this AGREEMENT
imposed by Section 1352, Title 31, United States Code. Any party who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000
for each such failure.
2. ADMINISTERING AGENCY also agrees by signing this AGREEMENT that the language of this
certification will be included in all lower tier sub -agreements which exceed $100,000 and that all
such sub -recipients shall certify and disclose accordingly.
Page 13 of 26
ARTICLE VII - MISCELLANEOUS PROVISIONS
1. ADMINISTERING AGENCY agrees to use all State funds reimbursed hereunder only for
transportation purposes that are in conformance with Article XIX of the California State
Constitution and the relevant Federal Regulations.
2. This AGREEMENT is subject to any additional restrictions, limitations, conditions, or any statute
enacted by the State Legislature or adopted by the CTC that may affect the provisions, terms, or
funding of this AGREEMENT in any manner.
3. ADMINISTERING AGENCY and the officers and employees of ADMINISTERING AGENCY,
when engaged in the performance of this AGREEMENT, shall act in an independent capacity and
not as officers, employees or agents of STATE or the federal government.
4. Each project -specific PROGRAM SUPPLEMENT shall separately establish the terms and
funding limits for each described PROJECT funded under the AGREEMENT. No federal or state
funds are obligated against this AGREEMENT.
5. ADMINISTERING AGENCY certifies that neither ADMINISTERING AGENCY nor its principals
are suspended or debarred at the time of the execution of this AGREEMENT. ADMINISTERING
AGENCY agrees that it will notify STATE immediately in the event a suspension or a debarment
occurs after the execution of this AGREEMENT.
6. ADMINISTERING AGENCY 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 ADMINISTERING AGENCY 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 STATE's discretion, to deduct from the
price of consideration, or otherwise recover, the full amount of such commission, percentage,
brokerage, or contingent fee.
7. In accordance with Public Contract Code section 10296, ADMINISTERING AGENCY hereby
certifies under penalty of perjury that no more than one final unappealable finding of contempt of
court by a federal court has been issued against ADMINISTERING AGENCY within the immediate
preceding two (2) year period because of ADMINISTERING AGENCY's failure to comply with an
order of a federal court that orders ADMINISTERING AGENCY to comply with an order of the
National Labor Relations Board.
8. ADMINISTERING AGENCY shall disclose any financial, business, or other relationship with
STATE, FHWA or FTA that may have an impact upon the outcome of this AGREEMENT.
ADMINISTERING AGENCY shall also list current contractors who may have a financial interest in
the outcome of this AGREEMENT.
9. ADMINISTERING AGENCY hereby certifies that it does not now have nor shall it acquire any
financial or business interest that would conflict with the performance of PROJECT under this
Page 14 of 26
AGREEMENT.
10. ADMINISTERING AGENCY warrants that this AGREEMENT was not obtained or secured
through rebates, kickbacks or other unlawful consideration either promised or paid to any STATE
employee. For breach or violation of this warranty, STATE shall have the right, in its discretion, to
terminate this AGREEMENT without liability, to pay only for the work actually performed, or to
deduct from the PROGRAM SUPPLEMENT price or otherwise recover the full amount of such
rebate, kickback, or other unlawful consideration.
11. Any dispute concerning a question of fact arising under this AGREEMENT that is not disposed
of by agreement shall be decided by the STATE's Contract Officer who may consider any written
or verbal evidence submitted by ADMINISTERING AGENCY. The decision of the Contract
Officer, issued in writing, shall be conclusive and binding on the PARTIES on all questions of fact
considered and determined by the Contract Officer.
12. Neither the pending of a dispute nor its consideration by the Contract Officer will excuse
ADMINISTERING AGENCY from full and timely performance in accordance with the terms of this
AGREEMENT.
13. Neither ADMINISTERING AGENCY 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, under or
in connection with any work, authority or jurisdiction arising under this AGREEMENT. It is
understood and agreed that STATE shall fully defend, indemnify and save harmless the
ADMINISTERING AGENCY and all of its officers and employees from all claims, suits or actions
of every name, kind and description brought forth under, including, but not limited to, tortuous,
contractual, inverse condemnation and other theories or assertions of liability occurring by reason
of anything done or omitted to be done by STATE under this AGREEMENT.
14. Neither STATE nor any officer or employee thereof shall be responsible for any injury, damage
or liability occurring by reason of anything done or omitted to be done by ADMINISTERING
AGENCY under, or in connection with, any work, authority or jurisdiction arising under this
AGREEMENT. It is understood and agreed that ADMINISTERING AGENCY shall fully defend,
indemnify and save harmless STATE and all of its officers and employees from all claims, suits or
actions of every name, kind and description brought forth under, including, but not limited to,
tortuous, contractual, inverse condemnation or other theories or assertions of liability occurring by
reason of anything done or omitted to be done by ADMINISTERING AGENCY under this
AGREEMENT.
15. STATE reserves the right to terminate funding for any PROJECT upon written notice to
ADMINISTERING AGENCY in the event that ADMINISTERING AGENCY fails to proceed with
PROJECT work in accordance with the project -specific PROGRAM SUPPLEMENT, the bonding
requirements if applicable, or otherwise violates the conditions of this AGREEMENT and/or
PROGRAM SUPPLEMENT, or the funding allocation such that substantial performance is
significantly endangered.
Page 15 of 26
16. No termination shall become effective if, within thirty (30) days after receipt of a Notice of
Termination, ADMINISTERING AGENCY either cures the default involved or, if not reasonably
susceptible of cure within said thirty (30) day period, ADMINISTERING AGENCY proceeds
thereafter to complete the cure in a manner and time line acceptable to STATE. Any such
termination shall be accomplished by delivery to ADMINISTERING AGENCY of a Notice of
Termination, which notice shall become effective not less than thirty (30) days after receipt,
specifying the reason for the termination, the extent to which funding of work under this
AGREEMENT is terminated and the date upon which such termination becomes effective, if
beyond thirty (30) days after receipt. During the period before the effective termination date,
ADMINISTERING AGENCY and STATE shall meet to attempt to resolve any dispute. In the event
of such termination, STATE may proceed with the PROJECT work in a manner deemed proper by
STATE. If STATE terminates funding for PROJECT with ADMINISTERING AGENCY, STATE
shall pay ADMINISTERING AGENCY the sum due ADMINISTERING AGENCY under the
PROGRAM SUPPLEMENT and/or STATE approved finance letter prior to termination, provided,
however, ADMINISTERING AGENCY is not in default of the terms and conditions of this
AGREEMENT or the project -specific PROGRAM SUPPLEMENT and that the cost of PROJECT
completion to STATE shall first be deducted from any sum due ADMINISTERING AGENCY.
17. In case of inconsistency or conflicts with the terms of this AGREEMENT and that of a project -
specific PROGRAM SUPPLEMENT, the terms stated in that PROGRAM SUPPLEMENT shall
prevail over those in this AGREEMENT.
18. Without the written consent of STATE, this AGREEMENT is not assignable by
ADMINISTERING AGENCY either in whole or in part.
19. No alteration or variation of the terms of this AGREEMENT shall be valid unless made in
writing and signed by the PARTIES, and no oral understanding or agreement not incorporated
herein shall be binding on any of the PARTIES.
IN WITNESS WHEREOF, the PARTIES have executed this AGREEMENT by their duly
authorized officers.
STATE OF CALIFORNIA City of San Juan Capistrano
DEPARTMENT OF TRANSPORTATION
LIM
Chief, Office of Project Implementation
Division of Local Assistance
Date
APPROVED AS TO FORM:
Page 16 of 26
John Shaw, City Attorney
City of San Juan Capistrano
Representative Name & Title
(Authorized Governing Body Representative)
Date
Attest:
Margaret R. Monahan, City Clerk
EXHIBIT A
FAIR EMPLOYMENT PRACTICES ADDENDUM
1. In the performance of this Agreement, ADMINISTERING AGENCY will not discriminate against
any employee for employment because of race, color, sex, sexual orientation, religion, ancestry or
national origin, physical disability, medical condition, marital status, political affiliation, family and
medical care leave, pregnancy leave, or disability leave. ADMINISTERING AGENCY will take
affirmative action to ensure that employees are treated during employment without regard to their
race, sex, sexual orientation, color, religion, ancestry, or national origin, physical disability, medical
condition, marital status, political affiliation, family and medical care leave, pregnancy leave, or
disability leave. 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.
ADMINISTERING AGENCY 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. ADMINISTERING AGENCY, its contractor(s) and all subcontractors shall comply with the
provisions of the Fair Employment and Housing Act (Government Code Section 1290-0 et seq.),
and the applicable regulations promulgated thereunder (California code of Regulations, Title 2,
Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing
Commission implementing Government Code, Section 12900(a -f), set forth in Chapter 5 of
Division 4 of Title 2 of the California Code of Regulations are incorporated into this AGREEMENT
by reference and made a part hereof as if set forth in full. Each of the ADMINISTERING
AGENCY'S contractors and all subcontractors shall give written notice of their obligations under
this clause to labor organizations with which they have a collective bargaining or other
agreements, as appropriate.
3. ADMINISTERING AGENCY shall include the nondiscrimination and compliance provisions of
this clause in all contracts and subcontracts to perform work under this AGREEMENT.
4. ADMINISTERING AGENCY will permit access to the records of employment, employment
advertisements, application forms, and other pertinent data and records by STATE, the State Fair
Employment and Housing Commission, or any other agency of the State of California designated
by STATE, for the purposes of investigation to ascertain compliance with the Fair Employment
section of this Agreement.
5. Remedies for Willful Violation:
(a) 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 ADMINISTERING
AGENCY was a party, or upon receipt of a written notice from the Fair Employment and Housing
Commission that it has investigated and determined that ADMINISTERING AGENCY has violated
the Fair Employment Practices Act and had issued an order under Labor Code Section 1426
which has become final or has obtained an injunction under Labor Code Section 1429.
Page 17 of 26
(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 thereunder shall be borne and paid for by ADMINISTERING AGENCY and
by the surety under the performance bond, if any, and STATE may deduct from any moneys due
or thereafter may become due to ADMINISTERING AGENCY, the difference between the price
named in the Agreement and the actual cost thereof to STATE to cure ADMINISTERING
AGENCY's breach of this Agreement.
Page 18 of 26
NONDISCRIMINATION ASSURANCES
ADMINISTERING AGENCY HEREBY AGREES THAT, as a condition to receiving any federal
financial assistance from the STATE, acting for the U.S. Department of Transportation, it will
comply with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d-42 U.S.C.
2000d-4 (hereinafter referred to as the ACT), and all requirements imposed by or pursuant to Title
49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the
Secretary, Part 21, "Nondiscrimination in Federally -Assisted Programs of the Department of
Transportation - Effectuation of Title VI of the Civil Rights Act of 1964" (hereinafter referred to as
the REGULATIONS), the Federal -aid Highway Act of 1973, and other pertinent directives, to the
end that in accordance with the ACT, REGULATIONS, and other pertinent directives, no person in
the United States shall, on the grounds of race, color, sex, national origin, religion, age or
disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity for which ADMINISTERING AGENCY receives
federal financial assistance from the Federal Department of Transportation. ADMINISTERING
AGENCY HEREBY GIVES ASSURANCE THAT ADMINISTERING AGENCY will promptly take
any measures necessary to effectuate this agreement. This assurance is required by subsection
21.7(a) (1) of the REGULATIONS.
More specifically, and without limiting the above general assurance, ADMINISTERING AGENCY
hereby gives the following specific assurances with respect to its federal -aid Program:
1. That ADMINISTERING AGENCY agrees that each "program" and each "facility" as defined in
subsections 21.23 (e) and 21.23 (b) of the REGULATIONS, will be (with regard to a "program")
conducted, or will be (with regard to a "facility") operated in compliance with all requirements
imposed by, or pursuant to, the REGULATIONS.
2. That ADMINISTERING AGENCY shall insert the following notification in all solicitations for bids
for work or material subject to the REGULATIONS made in connection with the federal -aid
Program and, in adapted form, in all proposals for negotiated agreements:
ADMINISTERING AGENCY hereby notifies all bidders that it will affirmatively insure that in any
agreement entered into pursuant to this advertisement, minority business enterprises will be
afforded full opportunity to submit bids in response to this invitation and will not be discriminated
against on the grounds of race, color, sex, national origin, religion, age, or disability in
consideration for an award.
3. That ADMINISTERING AGENCY shall insert the clauses of Appendix A of this assurance in
every agreement subject to the ACT and the REGULATIONS.
4. That the clauses of Appendix B of this Assurance shall be included as a covenant running with
the land, in any deed effecting a transfer of real property, structures, or improvements thereon, or
interest therein.
Page 19 of 26
5. That where ADMINISTERING AGENCY receives federal financial assistance to construct a
facility, or part of a facility, the Assurance shall extend to the entire facility and facilities operated in
connection therewith.
6. That where ADMINISTERING AGENCY receives federal financial assistance in the form, or for
the acquisition, of real property or an interest in real property, the Assurance shall extend to rights
to space on, over, or under such property.
7. That ADMINISTERING AGENCY shall include the appropriate clauses set forth in Appendix C
and D of this Assurance, as a covenant running with the land, in any future deeds, leases, permits,
licenses, and similar agreements entered into by the ADMINISTERING AGENCY with other
parties:
Appendix C;
(a) for the subsequent transfer of real property acquired or improved under the federal -aid
Program; and
Appendix D;
(b) for the construction or use of or access to space on, over, or under real property acquired, or
improved under the federal -aid Program.
8. That this assurance obligates ADMINISTERING AGENCY for the period during which federal
financial assistance is extended to the program, except where the federal financial assistance is to
provide, or is in the form of, personal property or real property or interest therein, or structures, or
improvements thereon, in which case the assurance obligates ADMINISTERING AGENCY or any
transferee for the longer of the following periods:
(a) the period during which the property is used for a purpose for which the federal financial
assistance is extended, or for another purpose involving the provision of similar services or
benefits; or
(b) the period during which ADMINISTERING AGENCY retains ownership or possession of the
property.
9. That ADMINISTERING AGENCY shall provide for such methods of administration for the
program as are found by the U.S. Secretary of Transportation, or the official to whom he delegates
specific authority, to give reasonable guarantee that ADMINISTERING AGENCY, other recipients,
sub -grantees, applicants, sub -applicants, transferees, successors in interest, and other
participants of federal financial assistance under such program will comply with all requirements
imposed by, or pursuant to, the ACT, the REGULATIONS, this Assurance and the Agreement.
10. That ADMINISTERING AGENCY agrees that the United States and the State of California
have a right to seek judicial enforcement with regard to any matter arising under the ACT, the
REGULATIONS, and this Assurance.
Page 20 of 26
11. ADMINISTERING AGENCY shall not discriminate on the basis of race, religion, age, disability,
color, national origin or sex in the award and performance of any STATE assisted contract or in
the administration on its DBE Program or the requirements of 49 CFR Part 26. ADMINISTERING
AGENCY shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure non
discrimination in the award and administration of STATE assisted contracts. ADMINISTERING
AGENCY'S DBE Race -Neutral Implementation Agreement is incorporated by reference in this
AGREEMENT. Implementation of this program is a legal obligation and failure to carry out its
terms shall be treated as a violation of this agreement. Upon notification to the recipient of its
failure to carry out its approved DBE Race -Neutral Implementation Agreement, STATE may
impose sanctions as provided for under 49 CFR Part 26 and may, in appropriate cases, refer the
matter for enforcement under 18 USC 1001 and/or the Program Fraud Civil Remedies Act of 1985
(31 USC 3801 es seq.)
THESE ASSURANCES are given in consideration of and for the purpose of obtaining any and all
federal grants, loans, agreements, property, discounts or other federal financial assistance
extended after the date hereof to ADMINISTERING AGENCY by STATE, acting for the U.S.
Department of Transportation, and is binding on ADMINISTERING AGENCY, other recipients,
subgrantees, applicants, sub -applicants, transferees, successors in interest and other participants
in the federal -aid Highway Program.
Page 21 of 26
APPENDIX A TO EXHIBIT B
During the performance of this Agreement, ADMINISTERING AGENCY, for itself, its assignees
and successors in interest (hereinafter collectively,ref6rred to as ADMINISTERING AGENCY)
agrees as follows:
(1) Compliance with Regulations: ADMINISTERING AGENCY shall comply with the regulations
relative to nondiscrimination in federally assisted programs of the Department of Transportation,
Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time,
(hereinafter referred to as the REGULATIONS), which are herein incorporated by reference and
made a part of this agreement.
(2) Nondiscrimination: ADMINISTERING AGENCY, with regard to the work performed by it during
the AGREEMENT, shall not discriminate on the grounds of race, color, sex, national origin,
religion, age, or disability in the selection and retention of sub -applicants, including procurements
of materials and leases of equipment. ADMINISTERING AGENCY shall not participate either
directly or indirectly in the discrimination prohibited by Section 21.5 of the REGULATIONS,
including employment practices when the agreement covers a program set forth in Appendix B of
the REGULATIONS.
(3) Solicitations for Sub -agreements, Including Procurements of Materials and Equipment: In all
solicitations either by competitive bidding or negotiation made by ADMINISTERING AGENCY for
work to be performed under a Sub -agreement, including procurements of materials or leases of
equipment, each potential sub -applicant or supplier shall be notified by ADMINISTERING
AGENCY of the ADMINISTERING AGENCY's obligations under this Agreement and the
REGULATIONS relative to nondiscrimination on the grounds of race, color, or national origin.
(4) Information and Reports: ADMINISTERING AGENCY shall provide all information and reports
required by the REGULATIONS, or directives issued pursuant thereto, and shall permit access to
ADMINISTERING AGENCY's books, records, accounts, other sources of information, and its
facilities as may be determined by STATE or FHWA to be pertinent to ascertain compliance with
such REGULATIONS or directives. Where any information required of ADMINISTERING
AGENCY is in the exclusive possession of another who fails or refuses to furnish this information,
ADMINISTERING AGENCY shall so certify to STATE or the FHWA as appropriate, and shall set
forth what efforts ADMINISTERING AGENCY has made to obtain the information.
(5) Sanctions for Noncompliance: In the event of ADMINISTERING AGENCY's noncompliance
with the nondiscrimination provisions of this agreement, STATE shall impose such agreement
sanctions as it or the FHWA may determine to be appropriate, including, but not limited to:
(a) withholding of payments to ADMINISTERING AGENCY under the Agreement within a
reasonable period of time, not to exceed 90 days; and/or
(b) cancellation, termination or suspension of the Agreement, in whole or in part.
Page 22 of 26
(6) Incorporation of Provisions: ADMINISTERING AGENCY shall include the provisions of
paragraphs (1) through (6) in every sub -agreement, including procurements of materials and
leases of equipment, unless exempt by the REGULATIONS, or directives issued pursuant thereto.
ADMINISTERING AGENCY shall take such action with respect to any sub -agreement or
procurement as STATE or FHWA may direct as a means of enforcing such provisions including
sanctions for noncompliance, provided, however, that, in the event ADMINISTERING AGENCY
becomes involved in, or is threatened with, litigation with a sub -applicant or supplier as a result of
such direction, ADMINISTERING AGENCY may request STATE enter into such litigation to
protect the interests of STATE, and, in addition, ADMINISTERING AGENCY may request the
United States to enter into such litigation to protect the interests of the United States.
Page 23 of 26
APPENDIX B TO EXHIBIT B
The following clauses shall be included in any and all deeds effecting or recording the transfer of
PROJECT real property, structures or improvements thereon, or interest therein from the United
States.
(GRANTING CLAUSE)
NOW, THEREFORE, the U.S. Department of Transportation, as authorized by law, and upon the
condition that ADMINISTERING AGENCY will accept title to the lands and maintain the project
constructed thereon, in accordance with Title 23, United States Code, the Regulations for the
Administration of federal -aid for Highways and the policies and procedures prescribed by the
Federal Highway Administration of the Department of Transportation and, also in accordance with
and in compliance with the Regulations pertaining to and effectuating the provisions of Title VI of
the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. 2000d to 2000d-4), does hereby remise,
release, quitclaim and convey unto the ADMINISTERING AGENCY all the right, title, and interest
of the U.S. Department of Transportation in, and to, said lands described in Exhibit "A" attached
hereto and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto ADMINISTERING AGENCY and
its successors forever, subject, however, to the covenant, conditions, restrictions and reservations
herein contained as follows, which will remain in effect for the period during which the real
property or structures are used for a purpose for which federal financial assistance is extended or
for another purpose involving the provision of similar services or benefits and shall be binding on
ADMINISTERING AGENCY, its successors and assigns.
ADMINISTERING AGENCY, in consideration of the conveyance of said lands and interests in
lands, does hereby covenant and agree as a covenant running with the land for itself, its
successors and assigns,
(1) that no person shall on the grounds of race, color, sex, national origin, religion, age or
disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination with regard to any facility located wholly or in part on, over, or under such lands
hereby conveyed (;) (and) *
(2) that ADMINISTERING AGENCY shall use the lands and interests in lands so conveyed, in
compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations,
Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in
federally -assisted programs of the Department of Transportation - Effectuation of Title VI of the
Civil Rights Act of 1964, and as said Regulations may be amended (;) and
(3) that in the event of breach of any of the above-mentioned nondiscrimination conditions, the
U.S. Department of Transportation shall have a right to re-enter said lands and facilities on said
land, and the above-described land and facilities shall thereon revert to and vest in and become
the absolute property of the U.S. Department of Transportation and its assigns as such interest
existed prior to this deed.*
* Reverter clause and related language to be used only when it is determined that such a clause is
Page 24 of 26
necessary in order to effectuate the purposes of Title VI of the Civil Rights Act of 1964.
APPENDIX C TO EXHIBIT B
The following clauses shall be included in any and all deeds, licenses, leases, permits, or similar
instruments entered into by ADMINISTERING AGENCY, pursuant to the provisions of Assurance
7(a) of Exhibit B.
The grantee (licensee, lessee, permittee, etc., as appropriate) for himself, his heirs, personal
representatives, successors in interest, and assigns, as a part of the consideration hereof, does
hereby covenant and agree (in the case of deeds and leases add "as covenant running with the
land") that in the event facilities are constructed, maintained, or otherwise operated on the said
property described in this (deed, license, lease, permit, etc.) for a purpose for which a U.S.
Department of Transportation program or activity is extended or for another purpose involving the
provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.), shall
maintain and operate such facilities and services in compliance with all other requirements
imposed pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation,
Subtitle A, Office of Secretary, Part 21, Nondiscrimination in federally -assisted programs of the
Department of Transportation - Effectuation of Title VI of the Civil Rights Act of 1964, and as said
Regulations may be amended.
(Include in licenses, leases, permits, etc.)'
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to terminate the (license, lease, permit etc.) and to re-enter and
repossess said land and the facilities thereon, and hold the same as if said (license, lease, permit,
etc.) had never been made or issued.
(Include in deeds)`
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to re-enter said land and facilities thereon, and the above-
described lands and facilities shall thereupon revert to and vest in and become the absolute
property of ADMINISTERING AGENCY and its assigns.
Reverter clause and related language to be used only when it is determined that such a clause is
necessary in order to effectuate the purposes of Title VI of the Civil Rights Act of 1964.
Page 25 of 26
APPENDIX D TO EXHIBIT B
The following shall be included in all deeds, licenses, leases, permits, or similar agreements
entered into by the ADMINISTERING AGENCY, pursuant to the provisions of Assurance 7 (b) of
Exhibit B.
The grantee (licensee, lessee, permittee, etc., as appropriate) for himself, his personal
representatives, successors in interest and assigns, as a part of the consideration hereof, does
hereby covenant and agree (in the case of deeds, and leases add "as a covenant running with the
land") that:
(1) no person on the ground of race, color, sex, national origin, religion, age or disability, shall be
excluded from participation in, denied the benefits of, or otherwise subjected to discrimination in
the use of said facilities;
(2) that in the construction of any improvements on, over, or under such land and the furnishing of
services thereon, no person on the ground of race, color, sex, national origin, religion, age or
disability shall be excluded from participation in, denied the benefits of, or otherwise be subjected
to discrimination; and
(3) that the (grantee, licensee, lessee, permittee, etc.,) shall use the premises in compliance with
the Regulations.
(Include in licenses, leases, permits, etc.)'
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to terminate the (license, lease, permit, etc.) and to re-enter and
repossess said land and the facilities thereon, and hold the same as if said (license, lease, permit,
etc.) had never been made or issued.
(Include in deeds)`
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to re-enter said land and facilities thereon, and the above-
described lands and facilities shall thereupon revert to and vest in and become the absolute
property of ADMINISTERING AGENCY, and its assigns.
Reverter clause and related language to be used only when it is determined that such a clause is
necessary in order to effectuate the purposes of Title VI of the Civil Rights Act of 1964.
Page 26 of 26
32400 PASEO ADEII
SAN JUAN CAPISTRANO, CA 92675
(949) 4931171
(949) 4931053 FAx
www.sanjuancapistrano.org
TRANSMITTAL
TO:
Attention: Duc Nguyen
County of Orange
Resources & Development Management Department
1750 S. Douglass Road
Anaheim, CA 92806
FROM: Meg Monahan, MMC — City Clerk (949) 443-6308
RE: Water Quality Ordinance Implementation Agreement
Enclosed:
MEMBERS OF THE CITY COUNCIL
SAM ALLEVATO
THOMAS W. HRMAR
MARK NIELSEN
JOE SOTO
DR. LONDRES USO
(3) original, executed agreements as referenced. Please return one original to my attention
after it is executed by the appropriate authority.
Thank you,
Cc:
Ziad Mazboudi, Senior Civil Engineer
Nasser Abbaszadeh, Engineering & Building Director
San Juan Capistrano: Preserving the Past to Enhance the Future
0 Printed on 100Yo recycled paper
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Agreement No. D07-087
WATER QUALITY ORDINANCE IMPLEMENTATION AGREEMENT WITH THE CITY OF San Juan Capistrano
THIS AGREEMENT, hereinafter referred to as "AGREEMENT" and for purposes of
'identification numbered D07-087, is made and entered into this day of
, by and between the City of San Juan Capistrano, a
municipal corporation, hereinafter designated as "CITY" and the Orange County Flood
Control District, a body corporate and politic, hereinafter referred to as
"DISTRICT". These entities are hereinafter sometimes jointly referred to as
"PARTIES" and individually as "PARTY".
WHEREAS, pursuant to 33 United States Code Section 1251 et seq., as amended the
PARTIES are subject to a municipal National Pollutant Discharge Elimination System
(NPDES) Stormwater Permit and 40 CFR 122.26 (d)(2)(i)(A-F), which requires each to
control various potential pollutant sources into the municipal storm drain system
through enforcement of an adequate system of local legal authority; and
WHEREAS, on December 18, 1990 the County entered into the National Pollutant
Discharge Elimination System Stormwater Permit Implementation Agreement (hereinafter
referred to as "IMPLEMENTATION AGREEMENT") with CITY and other parties. This
IMPLEMENTATION AGREEMENT was subsequently amended on October 26, 1993; and
WHEREAS, the IMPLEMENTATION AGREEMENT specifies that the CITY is principally
responsible for implementing the National Pollutant Discharge Elimination System
Permit within its jurisdictional boundaries; and
WHEREAS, the IMPLEMENTATION AGREEMENT contains provisions allowing CITY to name
DISTRICT as "enforcer of a water pollution control ordinance"; and
WHEREAS, CITY has adopted a water quality ordinance (hereinafter referred to as
"CITY ORDINANCE") that provides in Section that the CITY may "contract for
services of any public agency or private enterprise to carry out the planning
approvals, inspections, permits and enforcement authorized by this Ordinance"; and
WHEREAS, said CITY ORDINANCE defines "AUTHORIZED INSPECTOR" as persons
designated to investigate compliance and detect violations of the CITY ORDINANCE; and
1
Agreement No. D07-087
1 WHEREAS, said CITY ORDINANCE contains provisions to control pollutants from
2 both existing and new urban development and significant redevelopment; and
3 WHEREAS, Section 9-1-90 (c) of those Codified Ordinances of the DISTRICT
4 relating to Storm Water Management and Urban Runoff provides that "the DISTRICT may,
5 upon designation by any city within COUNTY , and at no cost to DISTRICT, be named as
6 an AUTHORIZED INSPECTOR for that city"; and
7 WHEREAS, similar agreements have been previously executed in the past five
8 years. Commencing in 2002, 29 cities have executed the WATER QUALITY ORDINANCE
9 IMPLEMENTATION AGREEMENT. Subsequently, after the initial three year term, these
10 agreements were extended for additional 3 years by AMENDMENT NO. ONE to the original
11 agreements. The terms of these agreements and their related amendment will be
12 expiring; and
13 WHEREAS, in furtherance of said program implementation, CITY now wishes to
14 contract with DISTRICT to serve as AUTHORIZED INSPECTOR pursuant to the CITY
15 ORDINANCE, and to pay DISTRICT for the full cost of providing those services; and
16 WHEREAS, DISTRICT is willing to provide such services to the extent allowed by
17 available staffing resources (See Section l(g)and 2(a))and to accept payment from
18 CITY for the full cost of providing those services.
19
20 NOW, THEREFORE, the PARTIES hereto, in consideration of the mutual covenants
21 and agreements contained in this AGREEMENT, agree as follows:
22
23 SECTION 1. DISTRICT RESPONSIBILITIES
24 Upon request from designated CITY representatives, DISTRICT, upon availability of
25, staffing resources, is authorized to:
26 (a) Act as AUTHORIZED INSPECTOR on behalf of CITY and shall investigate compliance
27 with, detect violations of, and/or take actions pursuant to the CITY ORDINANCE,
28 generally including activities such as water pollution incident response, clean -
29 up and/or enforcement activities associated with the following:
2
Agreement No. D07-087
1 (i) In response to specific pollutant releases originating from within CITY
2 limits;
3 (ii) In response to specific pollutant releases originating from within CITY
4 limits that are detected in DISTRICT facilities; and
5 (iii) In response to adverse findings of water quality monitoring that are
6 attributable to specific pollutants originating within CITY limits.
7 (b) Perform services in Section (a) of this AGREEMENT as set forth in the CITY
8 ORDINANCE and its accompanying Enforcement Consistency Guide;
9 (i) Notify designated CITY National Pollutant Discharge Elimination System
10 Permit representative of request for water pollution incident response,
11 clean-up and/or enforcement activities received from designated CITY
12 representatives and Departments;
13 (ii) Prepare annual list of investigations conducted on CITY's behalf for CITY
14 to submit in the Annual Program Effectiveness Assessment Report to the
15 Regional Water Quality Control Board(s);
16 (c) Upon written request by the CITY;
17 (i) Provide to CITY all incident reports and related documents prepared in
18 connection with DISTRICT'S performance under this AGREEMENT and make such
19 records available for inspection by authorized representatives of CITY
20 during normal business hours;
21 (ii) Utilize services of outside consultants and contractors to aid in the
22 investigation, cleanup and/or enforcement activities undertaken pursuant to
23 this AGREEMENT. If this is required, DISTRICT shall utilize consultants
24 and contractors hired by the CITY under the CITY'S standing purchase order
25 agreements;
26 (d) Invoice CITY within forty-five (45) days of the signing of this AGREEMENT by the
27 DISTRICT Director for the initial annual pollution response on-call fee
28 identified in Exhibit A, prorated for the balance of the fiscal year ending June
29 30th from the date of AGREEMENT signing. For subsequent billing years, by June
30 30th of each year DISTRICT shall review and revise Exhibit A as necessary based on
3
Agreement No. D07-087
1
the then current on-call labor rates, the number of cities contracting with
2
DISTRICT for water quality ordinance services and the latest land area and
3
population data as specified in the IMPLEMENTATION AGREEMENT. Thereafter,
4
DISTRICT shall invoice CITY within 60 days of the beginning of each fiscal year
5
(July 1) based on the revised Exhibit A.
6
(e)
Invoice CITY on a monthly basis for all work performed by DISTRICT under this
7
AGREEMENT on behalf of CITY. DISTRICT will not invoice any "PERSON", as defined
8
in CITY ORDINANCE, identified as causing or contributing to a violation of said
9
ORDINANCE. Invoice from DISTRICT to CITY shall include actual costs incurred by
10
DISTRICT for labor, equipment and services. Said actual costs include overhead
11
(indirect costs such as tools, computers, etc.) and burden (employee benefits).
12
(f)
DISTRICT shall indemnify, defend with counsel approved by CITY, and hold CITY,
13
its elected and appointed officials, officers, agents, employees and contractors
14
free and harmless from any claim, cause of action, or liability whatsoever, based
15
or asserted upon any act or omission of DISTRICT, its elected and appointed
16
officials, officers, agents, employees and contractors, for property damage,
17
bodily injury or death or any other element of damage of any kind or nature,
18
relating to or in any way connected with or arising from the accomplishment of
19
the services to be performed by DISTRICT under this AGREEMENT, except as provided
20
for in Sections 2 (h) and 2 (i) below.
21
(g)
Nothing in this AGREEMENT shall be interpreted as an assumption by DISTRICT of
22
any obligations the CITY may have under law or applicable permits to implement a
23
municipal NPDES stormwater program. This AGREEMENT is solely for the purpose of
24
authorizing DISTRICT personnel to act as AUTHORIZED INSPECTOR for the CITY. This
25
AGREEMENT creates no obligation to provide those services. AUTHORIZED INSPECTOR
26
services will be provided only to the extent permitted by DISTRICT resources.
4
Agreement No. D07-087
1
SECTION 2. CITY RESPONSIBILITIES:
2
CITY
shall:
3
(a)
Identify, in writing, the designated CITY National Pollutant Discharge
4
Elimination System (NPDES) Permit and Authorized Inspector representatives that
5
will be responsible for water pollution incident response, clean-up and/or
6
enforcement activities when DISTRICT involvement is not requested, approved or
7
available. The designations shall include representative names, titles,
8
departments and business/after hours phone numbers;
9
(b)
Designate in writing those CITY representatives authorized to submit service
10
requests to DISTRICT on behalf of CITY. Any request from Orange County Fire
11
Authority/CITY Fire Department and Orange County Sheriffs Department/CITY Police
12
Department shall represent CITY approval. The designations shall include
13
representative names, titles, departments and business/after hours phone numbers;
14
(c)
Meet periodically with DISTRICT to discuss the services being provided, review
15
individual cases, and ensure DISTRICT enforcement activities are consistent with
16
CITY ORDINANCE and accompanying Enforcement Consistency Guide;
17
(d)
Provide in writing any requests for incident reports or related documents
18
prepared in connection with DISTRICT'S performance under this AGREEMENT (Section
19
1 (c) i)) ;
20
(e)
Provide information in writing regarding any standing purchase order agreements
21
issued by CITY for employment by DISTRICT of outside consultants and contractors
22
(Section 1 (c) ii)). Information provided should include contractor/consultant
23
contact information, purchase order number and services provided;
24
(f)
Make payment to DISTRICT within thirty (30) days of receipt of annual pollution
25
response on-call fee as identified in Exhibit A or monthly invoice from DISTRICT
26
for work performed in accordance with this AGREEMENT and invoice any "PERSON", as
27
identified in CITY ORDINANCE, identified as being responsible for violations of
28
the water quality ordinance;
29
(g)
Assume any and all liability for failure to approve needed work and expenditures
30
to respond to pollutant releases;
5
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Agreement No. D07-087
1
(h)
CITY shall indemnify, defend with counsel approved by DISTRICT, and hold
2
DISTRICT, its elected and appointed officials, officers, agents, employees and
3
contractors, free and harmless from any claim, cause of action or liability
4
whatsoever, based or asserted upon any act or omission of CITY, its elected and
5
appointed officials, officers, agents, employees and contractors for property
6
damage, bodily injury or death or any other element of damage of any kind or
7
nature, specifically relating to or in any way connected with or arising from the
8
extent and/or adequacy of investigation, or clean-up of pollutants on behalf of
9
CITY, performed by, on behalf of, or under the supervision of DISTRICT personnel,
10
acting in good faith and with due diligence in fulfillment of DISTRICT's
11
responsibilities pursuant to this AGREEMENT; and
12
(i)
Where CITY staff is providing pollution response duties hereinunder, CITY shall
13
indemnify, defend with counsel approved by DISTRICT, and hold DISTRICT, its
14
elected and appointed officials, officers, agents, employees and contractors free
15
and harmless from any claim, cause of action, or liability whatsoever, based or
16
asserted upon any act of CITY, its elected and appointed officials, officers,
17
agents, employees and contractors, for property damage, bodily injury or death or
18
any other element of damage of any kind or nature, relating to or in any way
19
connected with or arising from the accomplishment of services performed by CITY
20
in implementing or enforcing CITY ORDINANCE to which DISTRICT was not a party of.
21
22
SECTION 3. GENERAL PROVISIONS
23
(a)
The initial term for this AGREEMENT is for a period of one (1) year commencing
24
with the date of the execution of this AGREEMENT (Initial Term). The term of this
25
AGREEMENT will automatically extend for an additional year at the end of
26
the Initial Term of this AGREEMENT and each year thereafter unless either party
27
provides a written notice to other party no less than 6 months before the
28
expiration of the term of the AGREEMENT of its intent not to renew. Nothing in
29
this clause is to be interpreted, however, to limit the rights of the party to
6
Agreement No. D07-087
1 terminate the AGREEMENT pursuant to the provisions of the Termination
2 Clause(Section 3 (b));
3 (b) Either party may terminate this AGREEMENT in advance of the termination date,
4 upon six (6) months written notice to the other party sent to the following
5 addresses:
6 DISTRICT:
7 Orange County Flood Control District
8 Attn: Director, Resources and Development Management Department
9 Post Office Box 4048
10 Santa Ana, California 92702-4048
11
12
13 CITY:
14 City of San Juan Capistrano
15 Attn: City Manager
16 32400 Paseo Adelanto
17 San Juan Capistrano, California 92675
18
19 Upon termination by either PARTY, DISTRICT shall inform the CITY of any ongoing
20 investigations prior to the termination date and return the prorated share of any
21 remaining annual pollution response on-call fees within forty-five (45) days
22 after the termination date for the fiscal year in which the termination occurs.
23 Upon termination it will be the responsibility of the CITY to complete any water
24 pollution incident response, clean-up and/or enforcement activities associated
25 with any ongoing investigations.
26 (c) PARTIES agree to fully cooperate with and assist one another in all matters
27 pertaining to losses arising from costs not reimbursed by any "PERSON", as
28 identified in CITY ORDINANCE, in performance of this AGREEMENT. If a claim is
29 made, or suit is brought against a PARTY to this AGREEMENT likely to be related
30 to the performance thereof, said PARTY shall immediately forward every claim,
7
Agreement No. D07-087
1 demand, notice, summons or other process received by it to the other PARTY
2 hereto.
3 (d) If any part of this AGREEMENT is held, determined or adjudicated to be illegal,
4 void or unenforceable by a court of competent jurisdiction, the remainder of this
5 AGREEMENT shall be given effect to the fullest extent reasonably possible.
6 (e) No alteration or variation of the terms of this AGREEMENT shall be valid unless
7 made in writing and signed by the PARTIES hereto, and no oral understanding or
8 agreement not incorporated shall be binding on any of the PARTIES hereto.
9 (f) The PARTIES to this AGREEMENT represent and warrant that this AGREEMENT has been
10 duly authorized and executed and constitutes the legally binding obligation of
11 their respective organization or entity, enforceable in accordance with its
12 terms.
13 IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT on
14 the dates opposite their respective signatures:
15 ORANGE COUNTY FLOOD CONTROL DISTRICT,
16 a body corporate and politic,
17
18
19 Date: By:
20 Director,
21 Resources & Development Management
22 Department
23
24 APPROVED AS TO FORM
25 COUNTY COUNSEL
26
27 ](�y
28 Date: V By:
29 Deputy
30
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Agreement No. D07-087
CITY OF San Juan Capistrano
Date: ��' l4 1%"1 By: lam► 4: 9/m^',
City Manager
rk
APPROVED AS TO FORM:
7
Attorney of San Juan Capistrano
Exhibit A
Water Quality Ordinance Implementation Agreement
Pollution Response Annual Fixed Cost Fee
FY 2007-2008****
Permittee
Population •
Area (sq. mi.) "•
Weighted Average
Share of Revenue (k)
Annual Fee***
FY 2007-2008
Aliso Viejo
44,924
6.92
1.113503219
$547
Anaheim
342,410
49.89
8.299142308
$4,076
Brea
39,560
11.98
1.368194047
$672
Buena Park
81,349
10.55
1.885897552
$926
Costa Mesa
113,134
15.83
2.699014928
$1,326
Cypress
48,854
6.60
1.149972662
$565
Dana Point
36,669
6.43
0.960363539
$472
Fountain Valley
57,405
9.05
1.436523973
$706
Fullerton
136,428
22.32
3.467492139
$1,703
Garden Grove
171,765
17.92
3.695132965
$1,815
Huntington Beach
201,000
26.64
4.697457385
$2,307
Irvine
193,785
65.98
7.182586244
$3,528
La Habra
61,789
7.36
1.389418324
$682
La Palma
16,081
1.60
0.353999756
$174
Laguna Beach
24,963
8.83
0.947017648
$465
Laguna Hills
33,225
6.64
0.923765991
$454
Laguna Niguel
66,178
14.79
1.942991759
$954
Laguna Woods
18,334
3.04
0.468649664
$230
Lake Forest
76,859
16.78
2.259721101
$1,110
Los Alamitos
12,004
2.01
0.308133779
$151
Mission Viejo
97,997
17.93
2.615675324
$1,285
Newport Beach
83,361
24.64
2.84326713
$1,396
Orange
137,801
25.78
3.71545714
$1,825
Placentia
51,236
6.62
1.186167191
$583
Rancho Santa Margarita
49,130
12.94
1.571540326
$772
San Clemente
66,280
17.68
2.134808822
$1,049
San Juan Capistrano
36,073
13.26
1.401432712
$688
Santa Ana
351,322
27.35
6.945240284
$3,411
Seal Beach
25,298
4.02
0.635155827
$312
Stanton
38,761
3.09
0.771036018
$379
Tustin
71,767
11.14
1.784452225
$876
Villa Park
6,218
2.08
0.228024677
$112
Westminster
92,408
10.05
2.014896247
$990
Yorba Linda
66,794
19.82
2.283266487
$1,121
County of Orange
120,174
175.55
13.32060061
$6,543
OCFCD
0
0.00
10
$4,912
TOTALS
3,073,336
683.310
100.00000
49,116
• Source: State of California, Department of Finance, E-1 City/County Population Estimates with Annual
Percent Change January 1, 2005 and 2006, Sacramento, California May 2006. Available at:
htto://www.dof.ca.aov/HTML/DEMOGRAP/ReoortsPaoers/Estimates/Ei/documents/E-ttable xis
•• Source: RDMD - Geomatics. Area was calculated in miles using the dry land area figures and
subtracting areas in each jurisdiction for national forests, state parks, airports, landfills and military
installations as determined in the NPDES Implementation Agreement.
**• Annual Fee: is the District's on-call annual cost which is based the prior year's actual annual on-call staff
pay divided by Permittee share based on NPDES Implementation Agreement cost share irrespective of
the number of participating cities.
•••* The District -shall review and revise Exhibit A as necessary on June 30th of each year the based on the
current on-call labor rates, the number of cities contracting with the DISTRICT for water quality ordinance
services and the latest land area and population data (see Agreement Section 1(d)).
COUNTY OF ORANGE
V [7
RESOURCES &DEVELOPMENT MANAGEMENT DEPARTMENT
9LtFog�
September 4, 2007
Mr. Ziad Mazboudi
NPDES Program Coordinator
City of San Juan Capistrano
32400 Paseo Adelanto
San Juan Capistrano, CA 92675
Bryan Speeg/e, Director
Environmental Resources
1750 S. Douglass Road
Anaheim, CA 92806
Telephone: (714) 567-6363
Fax: (714) 567-6220
Subject: Renewal of Water Quality Ordinance Implementation Agreement No. D02-019
Dear Mr. Mazboudi,
Thank you for the recent communication indicating the city's desire to execute a new Water
Quality Ordinance Implementation Agreement with the Orange County Flood Control District
(District) to provide pollution response services. A new Agreement, once executed, will replace
Agreement No. D02-019, which expired on 7/1/2007.
Attached to this letter are three (3) copies of Water Quality Ordinance Implementation
Agreement No. D07-087 signed by County Counsel. In order to execute this Agreement, please
obtain the required signatures on page 9 of the agreement and return 3 wet signatures to:
County of Orange, Resources & Development Management Department
Attn: Duc Nguyen
1750 S. Douglass Road
Anaheim, CA 92806
An executed Agreement with original signatures will be returned to you for your records.
Please contact Duc Nguyen at (714) 973-6690 if you have any questions.
V Tr ours,
has rompton, Ma r
Environmental Res ces
Attachment: Agreement No. D07-087
AGENDA REPORT
TO: Dave Adams, City Manager &`
10/2/2007
G 3a
FROM: Nasser Abbaszadeh, Engineering & Building Director
SUBJECT: Consideration of Providing Direction to Staff for Resolving Difficult Code
Enforcement Cases and Approving a Proposal from Dapeer, Rosenblit
and Litvak to Assist Staff in Code Compliance
RECOMMENDATION
By motion, provide direction to staff for resolving difficult code enforcement cases and
approve a proposal from Dapeer, Rosenblit, and Litvak to assist staff in Code
Compliance.
BACKGROUND:
Code enforcement is a function that cities perform for accomplishing community goals,
such as protecting property values and the environment. Some may view code
enforcement as an annoying intrusion into the free use of private property. Traditionally,
it has been a process whereby local governments use various techniques to gain
compliance with duly -adopted regulations such as land use and zoning ordinances,
health and housing codes, sign standards, environmental regulations, and uniform
building and fire codes. In recent years, federal and state regulations governing air and
water quality, the transport and storage of hazardous wastes, and requirements for
implementing the Americans with Disabilities Act have come into play. Local gov-
ernments are now obliged to include enforcement of these rules and regulations in the
array of responsibilities they assume for protecting the public health and welfare.
Code enforcement is defined as the process by which public agencies gain compliance
with those laws, regulations, and permits they have authority over. Comprehensive code
enforcement goes beyond this basic definition to encompass an awareness of the public
policy for codes and the case resolution alternatives to achieve compliance. Both
aspects add perspective to and improve the results of local enforcement efforts.
Most cities start the enforcement process after a citizen files a complaint with the local
building inspection or planning department. An enforcement officer visits the property to
determine if a code violation exists; and, if a violation is discovered, a notice is issued to
the property owner or tenant. Since most violations exist through simple, unintentional
ignorance of a regulation, the majority of cases are resolved soon after this initial notice.
Compliance is accomplished when the owner or tenant obtains proper permits, makes
Agenda Report
Page 2
October 2, 2007
necessary repairs, or abates the conditions which constitute the violations. Where the
owner fails to comply voluntarily, the municipality can pursue a variety of administrative
enforcement actions or take the owner to court.
To better understand how San Juan Capistrano Code Enforcement addresses
violations, provided here is information as to how our current program works and the
typical workload.
In reviewing Code cases for a typical month, January 2007 in this instance, we have
noted that the officers had responded to 84 complaints and opened case files. 41 of the
cases, almost 49%, were closed due to immediate compliance, while the other 43 cases
were still pending in February (the case files remain open until we achieve compliance
or the case goes to the City Attorney's Office for prosecution). Most of the 43 cases
were closed in February and March.
The types of cases investigated range from sign violations, to property maintenance, to
inoperable vehicles, to graffiti, to noise, to illegal vending (in the villas), and to building
without permits. Currently, we have two Code Enforcement officers whose work
schedules cover weekends as well. One officer starts on Tuesdays and flexes on
Saturdays (that is, we provide coverage every other Saturday). While the other officer
flexes on Sundays and works through Thursday. With this work arrangement, we have
ensured almost constant code enforcement presence in town.
DIFFICULT CODE ENFORCEMENT CASES:
While about 85% of code enforcement cases are handled by the Officers, currently 15%
need to be elevated to management or the City Attorney's Office. Few of the unresolved
cases end up in the court of law for final resolution.
The City Council recently directed staff to look at other means to deal with the difficult
15% of Code cases. In our search, we learned about a law firm that specializes in code
enforcement: Dapeer, Rosenblit, and Litvak, LLP (DRL). This firm currently provides
services to more than fifty cities in Southern California with great success. Some of our
current staff members have worked with DRL in the past and have been pleased with
the quality of their service in closing out Code Enforcement cases. A copy of the DRL
proposal is attached for your information.
The following is a summary of DRL background and approach to code enforcement
cases:
• Over thirty years of code enforcement experience.
• Full range of pre -litigation services to obtain code compliance as soon as
possible.
Agenda Report
Page 3
October 2, 2007
• Full range of litigation services utilizing administrative, civil/injunctive, and
criminal remedies.
• Work with the City Attorney's Office to represent the City in code enforcement
cases.
• Compensation for all attorneys is at $160 an hour without a monthly retainer
(services related to hearings, court actions, and appeals will have a surcharge of
$25 per hour).
NEXT STEPS:
It is recommended that DRL assist the City with Code Enforcement cases effective
January 2, 2008, for three years. The time period will allow for a transition as to how
code enforcement cases are handled.
Furthermore, DRL will review the City's current applicable Municipal Codes and make
recommendations to update and/or enhance code sections. They will also provide
training to City staff to document cases in how they may assist the City to resolve.
A three year contract will be brought to City Council for final approval.
COMMISSION/BOARD REVIEW AND RECOMMENDATIONS:
N/A
FINANCIAL CONSIDERATIONS:
The current litigation cost for a code enforcement case is $185 an hour. There might be
small savings per hour costs if DRL provides services for the City.
NOTIFICATION:
None.
Agenda Report October 2, 2007
Page 4
RECOMMENDATION:
By motion, provide direction to staff for resolving difficult code enforcement cases and
approve a proposal from Dapeer, Rosenblit, and Litvak to assist staff in Code
Compliance.
Respectfully submitted:
Nasser Abbaszadeh, P.E.
Engineering & Building Director
Attachment: 1. Proposal
DAPEER, ROSENBLIT & LITVAK, LLP
PROPOSAL - CODE ENFORCEMENT SERVICES
Section 1 Firm history
1.1 The firm (hereafter "DRL") consists of senior partners - Kenneth B.
Dapeer, Steven H. Rosenblit and William Litvak and eleven (11)
staff attorneys. The firm is "AV" rated by Martindale -Hubbell
(their highest rating). All attorneys are licensed by the State of
California. Fifteen support persons also assist the attorneys.
1.2 Messrs. Dapeer and Rosenblit have served as city prosecutors and
code enforcement attorneys since 1979. William Litvak joined the
firm in 1989. James Eckart became a junior partner in 2006. The
firm has provided services to over fifty (50) cities/agencies in six
(6) counties as hereafter described.
1.3 DRL has also acted as educators in the field of code enforcement
as follows:
• Workshops with city councils, commissions and staffs.
• Speaker at a convention of the Independent Cities Assn.
• Instructor for the Southern California Association of
Code Enforcement Officials ("S.C.A.C.E.O")
• Instructor for the California Code Enforcement Council
("C. C. E. C. ").
• Lecturer, L.A. County Fire Department - Fire Prevention.
• Lecturer - Artesia, Baldwin Park and Montebello Crime
Free Multi -Housing Programs.
• Lecturer - March 2001 - CALBO Annual Meeting.
• Lecturer - August 2001 - L.A. County Housing Program.
Section 2 Services
Page 1 of 12
ATTACHMENT 1
2.1 DRL's philosophy and commitment are to obtain voluntary code
compliance whenever possible. The arts of persuasion and diplomacy
are utilized with great success to achieve this objective and to either
avoid or conclude litigation. However, when communication alone is
insufficient to resolve a problem, our firm can utilize various remedies
to obtain compliance with the law. These include administrative
actions, criminal prosecution and/or civil litigation (for nuisance
abatement injunctive orders and, where appropriate, receivers). Local
and state codes are utilized to effectively and efficiently cause
abatement of prohibited activities and conditions. The following is a
sample of remedies used:
Code of Civil Procedure, Section 731 [Abatement of
Public Nuisance by a city].
Business & Professions Code, Sections 17203
[Appointment of a Receiverl and 17206 (a) [Imposition of
Civil Penalties] for a landlord's maintenance of property
maintenance and technical code violations (i.e., an
unlawful business practice that constitutes unfair
business competition).
• Health & Safety Code Section 17980.1 (c) [Appointment
of Receivers for Dwellings When an Agency's Abatement
Orders are Ignored].
• Health & Safety Code Section 11570 [Abatement of
Narcotic Nuisances in Dwellings].
• Government Code Section 38773.5 (a) and Civil Code
Section 3496 lRecovery of Attorney's Fees] when
appropriate.
2.2 DRL adapts to each city's code enforcement program and regards
itself as a "team player."
Page 2 of 12
2.3 DRL is typically asked to provide the following services:
Oversee investigations, analyze legal issues and make
recommendations for effective enforcement programs
and solutions for particular cases.
Issue "compliance letters" to violators who have ignored
staff notices of violations.
• Conduct compliance conferences with violators at City
Hall.
Obtain inspection warrants from a court when consent
to enter private property is refused and abatement
warrants when city forces elect to abate a public
nuisance.
• Prosecute violators (whether actions are commenced by
citation or complaint) to obtain court -imposed
conditions of probation that achieve code compliance.
• Initiate probation violation hearings for future code
violations that are in disregard of conditions of
probation.
• Initiate civil actions to preclude nuisances and other
illicit activities. This extends to almost any type of
prohibited condition or activity since municipal codes
provide that any violation thereof is unlawful and a
public nuisance.
Page 3 of 12
Seek the appointment of a receiver to oversee and cause
the abatement of housing code violations and other code
enforcement problems.
• Provide comments to staff regarding proposed conditions
to permits and licenses, particularly when future code
compliance is of concern.
• At the request of the city attorney, represent staff at
administrative proceedings to declare and abate a public
nuisance and for the revocation of a permit or license.
Review existing and proposed ordinances for code
enforcement issues.
• Upon request, provide training to staff -persons to
promote effective code enforcement procedures. Topics
may include review and analysis of frequently used
codes, proper inspections of code violations, the
selection of the best remedy, report writing, techniques
for eliciting prompt voluntary compliance and testimony
in court.
2.4 DRL seeks the recovery of staff investigative and other recoverable
costs in obtaining code compliance as part of the disposition of court cases.
Depending on the size of the code enforcement program, this can amount to
substantial sums per year.
2.5 Steven H. Rosenblit would be the firm's designated attorney for
the city. The services of partners and associates would be utilized as needed.
Page 4 of 12
Section 3 Experience
3.1 DRL brings over thirty (30) years of code enforcement experience,
and the resulting wisdom and sound judgment, to each municipal client. This
enables the firm to expeditiously resolve routine and complex code enforcement
cases and to reduce the need for, and duration of, litigation. Attorney's fees are
thus substantially conserved.
3.2 DRL's experience is also demonstrated by effective communication
and advocacy. In our contact with the public, we cultivate a sense of civic
responsibility so that persons do not violate municipal codes in the first place
and, should this occur, they voluntarily and promptly fulfill their legal
obligations. The firm discharges its responsibilities to each city by:
Promptly returning telephone calls and responding to
questions or assignments.
• Counseling each client on the best remedy or solution to
a code enforcement problem.
• Providing staff with copies of our communications to
violators or their attorneys. This includes written
updates regarding court appearances and other case
developments.
Always discussing options to resolve a case with staff
before acting on same.
Regularly providing a client with a case summary, if
requested.
• Identifying possible civil ramifications in a code
enforcement matter and promptly reporting same to the
city attorney.
Page 5 of 12
• Advising each client on the need for new legislation or
the amendment of existing ordinances with regard to
code enforcement matters.
3.3 DRL has represented the following public clients:
Huntington Park
Costa Mesa
Norwalk
Compton
South EI Monte
Lomita
West Hollywood
Temple City
San Marino
City of Big Bear Lake
Artesia
Pacifica
Bell
San Dimas
Lynwood
Palmdale
South Gate
Culver City
Commerce
Monrovia
Monterey Park
Benicia
Carson
Calabasas
Hesperia
La Canada Flintridge
Agoura Hills
San Bruno
Bellflower
Pleasant Hill
Baldwin Park
Diamond Bar
Bell Gardens
Colma
Malibu
Barstow
Cerritos
Orange County
Hawaiian Gardens
Town of Apple Valley
Beverly Hills
Downey
Lake Elsinore
Santa Fe Springs
Sierra Madre
Soledad
Irwindale
Lancaster
Hemet
Norco
Montebello
San Fernando
Pomona
Montclair
La Habra Heights
Los Alamitos
Page 6 of 12
3.4 DRL has successfully resolved thousands of cases involving the
following:
Building Codes
• Illegal garage conversions, room additions, structural
hazards, alterations or other construction without all
required permits and approvals.
• Unpermitted conversion/ expansion of tenant dwellings,
garages and other structures.
• Actions in disregard of stop work orders.
• Maintenance of unsafe buildings.
• Hazardous excavations and embankments. Grading
without all required reports, permits and approvals.
Zoning Codes
• Improper uses in all residential, commercial and other
zones.
• Violations of conditional use permits, temporary use
permits, variances and site plan approvals.
• Illegal outdoor storage.
• The use of illegal screening or fencing materials.
• The display of signs without permits or which are
otherwise illegal.
• The establishment or intensification of a use on property
without submitting to a site plan or other review
process.
Fire Codes
• Overcrowding in places of public assembly.
• Failure to install or maintain department approved fire
alarms systems and/or sprinklers in commercial
structures.
• Maintaining obstructions to fire doors & fire apparatus.
Page 7 of 12
• Improper storage of flammable substances and the
maintenance of other fire hazards.
Property Maintenance & Health Codes
• Maintaining structures in a state of disrepair or
deterioration.
• Maintaining unsanitary premises.
• Accumulations of junk, trash, debris and discarded
items or inoperable vehicles in yard areas.
• Overgrown vegetation.
• Prohibited outdoor storage.
Specially Regulated Activities
• Activities by fortune-tellers, dance halls/club operators,
junk dealers, arcade operators, private security
operators, motel operators, masseurs, escort services
and valet operators without the required permits, or in
violation of conditions thereof.
• Illegal activities by taxi operators refuse haulers and bus
bench providers.
• Activities without special event and/or entertainment
permits.
License and Tax Codes
• Unlicensed business operations.
• Non-compliant hotel operators.
• Failure to pay delinquent business taxes or transient
occupancy taxes and penalties.
• Illegal home occupations.
Miscellaneous Matters
• Working with police/sheriff agencies to abate narcotic
and red light nuisance violations.
Page 8 of 12
• Police citations for noise disturbances, illegal peddling,
drinking in public, aggressive panhandling, illegal use of
public property and vicious dog bite cases.
• Representing staff in administrative proceedings
involving tax issues, nuisance abatement actions,
permit revocations and appeals.
• Defending cities in mandamus proceedings in the
superior court.
• Representing appellants and respondents in
governmental and private party appeals.
• Formulating or revising code enforcement programs.
• Assisting task force programs (police, fire, building
planning, county health and state agencies) to reduce
crime and related Housing and Building Code violations.
• Overseeing "sting" operations by police/ sheriff personnel
regarding motel operators and illegal massage parlors.
• Presenting cases to district attorneys for possible state
code misdemeanor and felony offenses.
• Prosecuting injunctive actions in the superior court to
abate continuing public nuisances.
• Prosecuting related state code misdemeanor offenses
with district attorney approval pursuant to Government
Code, Section 41803.5, if asked to do so by a city.
Implementing cost recovery programs.
Analyzing ordinances, or proposed amendments thereto,
for code enforcement issues. Such reviews have been
undertaken for zoning, fire, license, narcotic nuisance
and property maintenance codes.
Page 9 of 12
3.5 The following results also indicate the breadth of the firm's
experience in the field of code enforcement:
• DRL litigation terminated chronic prostitution at a
motel. The action also resulted in a sale of the premises
and a judgment against the sellers.
• DRL litigation resulted in the appointment of a receiver
to address chronic substandard conditions in 20+
apartment buildings. DRL brought this action on behalf
of two cities.
• DRL obtained a judgment terminating a legal
nonconforming use on behalf of a city. This action
caused the eradication of a salvage yard and the
demolition of substandard buildings. This judgment will
include a stipulated award of attorney's fees ($40,000)
on behalf of the city.
• DRL obtained a court order appointing a receiver to evict
tenants involved in narcotic nuisance activities and to
make extensive repairs to a 20 + unit apartment
building. A judgment against the owner included
attorney's fees and civil fines (of $60,000) for unfair
competition. A sale of the building to a law-abiding
owner also resulted from this litigation.
• Our litigation successfully terminated unpermitted
activities in a residential zone.
• Illegal hospital/ medical facilities were closed.
• Illegally operated massage parlors were closed.
• An unlicensed and unpermitted tattoo parlor was
closed.
• Our firm successfully defended a lawsuit to overturn a
city's closure of two massage parlors.
• A property owner demolished a structurally unsafe
apartment building, by reason of a successfully
negotiated plea agreement.
Page 10 of 12
• Delinquent transient occupancy taxes exceeding
$1,000,000,000 have been recovered from delinquent
hotel operators.
• Delinquent business taxes exceeding $4,000,000 have
been recovered in the past thirty-six months from
business operators.
Section 4 Fees and Expenses
4.1 DRL proposes to charge an hourly rate of $160.00 for attorney time
when utilizing the criminal remedy and for pre -litigation services. Services
concerning: (i) code/ordinance changes or reviews to promote effective enforcement
practices and/or to improve compliance results, (ii) administrative hearings before a
reviewing authority, (iii) civil/injunctive/mandamus court and related actions, and
for (iv) appeals concerning any matter before an appellate or higher court, shall
have an additional surcharge of $25.00 per hour for attorney time.
4.2 Firm proposes to charge an hourly rate $100.00 for paralegal time
when such persons are utilized for support services.
4.3 DRL proposes reimbursement for the following costs/expenses:
• Attorney service charges, as incurred, for service of
arraignment notices and subpenas, procurement of
documents from courts and other entities, document
certification fees, and for other related services.
Any court reporter fees, as incurred, for the procurement of a
transcript of a court or other proceeding.
Any charges, as incurred, to prepare, duplicate or enlarge
exhibits for any proceeding.
• $15.00 for each use of commercial database providers
(including Choicepoint, Infotek, Dataquick or Courthouse
Data) for investigational or background purposes in a matter.
Page 11 of 12
This charge is exclusive of any attorney time in reviewing this
information (to be billed hourly), or other charges to the Firm
by said information providers (which shall also be billed to
the City).
• On -Line Legal Research Charges - as incurred.
• Copier charges - 20 cents a page; Faxes - 25 cents a page.
• Postage - as incurred.
• Extraordinary expenses, with prior City approval for:
- Any third party expert witness or consulting fee.
- Any court reporter or transcript fees.
- Any exhibit preparation expense.
Section 5 Contact Information
Steven 14. Rosenblit
Dapeer, Rosenblit & Litvak, LLP
11500 W. Olympic Blvd., Suite 550
Los Angeles, California 90064
Tel: (310) 477-5575 Fax: (310) 477-7090
E -Mail: srosenbhtna,drllaw.com
Dated: July 23, 2007
Page 12 of 12
32400 PASEO ADELANTO
SAN JUAN CAPISTRANO, CA 92675
(949) 4931171
(949) 4931053 FAX
www sanjuancapzstrano. org
TRANSMITTAL
TO:
Ray Zhang
Department of Transportation
Division of Local Assistance
1120 N. Street
P.O. Box 942874, MS#1
Sacramento, CA 94274-0001
DATE: December 3, 2007
FROM: Maria Morris, Deputy City Clerk (949) 443-6309
MEMBERS OF THE CITY COUNCIL
SAM ALLEVATO
THOMAS W. HRIBAR
MARK NIELSEN
JOE SOTO
DR. LONDRES USO
RE: Agency -Federal Master Agreement No. 12-5372R and Program Supplement Agreement
Numbers 009 and 010 for Del Obispo Street Asphalt Concrete Overlay Projects
Enclosed are two (2) original Master Agreement No. 12-5372R and two (2) original Program
Supplement Agreements No. 009 and 010. Also, please find certified resolution number
07-11-20-01, adopted by City Council on November 20, 2007. Please forward one set of
original agreements to our office when executed for our record.
If you have questions concerning the agreement, please contact Nasser Abbaszadeh,
Engineering & Building Director (949) 443-6398.
Cc: VlAbbaszadeh, Engineering & Building Director
Enclosure
San Juan Capistrano: Preserving the Past to Enhance the Future
0 Printed on 100% recycled paper
MASTER AGREEMENT
ADMINISTERING AGENCY -STATE AGREEMENT FOR
FEDERAL -AID PROJECTS
12 City of San Juan Capistrano
District Administering Agency
Agreement No. 12-5372R
This AGREEMENT, is entered into effective this day of 2007, by and
between the City of San Juan Capistrano, hereinafter referred to as "ADMINISTERING AGENCY,"
and the State of California, acting by and through its Department of Transportation (Caltrans),
hereinafter referred to as "STATE, and together referred to as "PARTIES" or individually as a
"PARTY."
RECITALS:
1. WHEREAS, the Congress of the United States has enacted the Intermodal Surface
Transportation Efficiency Act (ISTEA) of 1991 and subsequent Transportation Authorization Bills
to fund transportation programs. These transportation programs include, but are not limited to, the
Surface Transportation Program (STP), the Congestion Mitigation and Air Quality Improvement
Program (CMAQ), the Transportation Enhancement Program (TE), Highway Safety Improvement
Program (HSIP) and the Highway Bridge Program (HBP) (collectively the "PROGRAMS"); and
2. WHEREAS, the Legislature of the State of California has enacted legislation by which certain
federal -aid funds may be made available for use on local transportation related projects of public
entities qualified to act as recipients of these federal -aid funds in accordance with the intent of
federal law; and
3. WHEREAS, before federal -funds will be made available for a specific program project,
ADMINISTERING AGENCY and STATE are required to enter into an agreement to establish
terms and conditions applicable to the ADMINISTERING AGENCY when receiving federal funds
for a designated PROJECT facility and to the subsequent operation and maintenance of that
completed facility.
NOW, THEREFORE, the PARTIES agree as follows:
Pagel of 26
ARTICLE I - PROJECT ADMINISTRATION
1. This AGREEMENT shall have no force or effect with respect to any program project unless and
until a project -specific Program Supplement to this AGREEMENT for federal -aid projects,
hereinafter referred to as "PROGRAM SUPPLEMENT', has been fully executed by both STATE
and ADMINISTERING AGENCY.
2. The term "PROJECT', as used herein, means that authorized transportation related project and
related activities financed in part with federal -aid funds as more fully -described in an
"Authorization/ Agreement Summary" or "Amendment/Modification Summary", herein referred to
as "E-76" or "E-76 (AMOD)" document authorized by STATE or the Federal Highway
Administration (FHWA).
3. The E-76/E-76(AMOD) shall designate the party responsible for implementing PROJECT, type
of work and location of PROJECT.
4. The PROGRAM SUPPLEMENT sets out special covenants as a condition for the
ADMINISTERING AGENCY to receive federal -aid funds from/through STATE for designated
PROJECT. The PROGRAM SUPPLEMENT shall also show these Federal Funds that have been
initially encumbered for PROJECT along with the matching funds to be provided by
ADMINISTERING AGENCY and/or others. Execution of PROGRAM SUPPLEMENT by the
PARTIES shall cause ADMINISTERING AGENCY to adopt all of the terms of this AGREEMENT
as though fully set forth therein in the PROGRAM SUPPLEMENT. Unless otherwise expressly
delegated in a resolution by the governing body of ADMINISTERING AGENCY, and with written
concurrence by STATE, the PROGRAM SUPPLEMENT shall be approved and managed by the
governing body of ADMINISTERING AGENCY.
5. ADMINISTERING AGENCY agrees to execute and return each project -specific PROGRAM
SUPPLEMENT within ninety (90) days of receipt. The PARTIES agree that STATE may suspend
future authorizations/obligations and invoice payments for any on-going or future federal -aid
project performed by ADMINISTERING AGENCY if any project -specific PROGRAM
SUPPLEMENT is not returned within that ninety (90) day period unless otherwise agreed by
STATE in writing.
6. ADMINISTERING AGENCY further agrees, as a condition to the release and payment of
Federal Funds encumbered for the PROJECT described in each PROGRAM SUPPLEMENT, to
comply with the terms and conditions of this AGREEMENT and all of the agreed-upon Special
Covenants or Remarks incorporated within the PROGRAM SUPPLEMENT, and
Cooperative/Contribution Agreement where appropriate, defining and identifying the nature of the
specific PROJECT.
7. Federal, State and matching funds will not participate in PROJECT work performed in advance
of the approval of the E-76 or E-76 (AMOD), unless otherwise stated in the executed project -
specific PROGRAM SUPPLEMENT. ADMINISTERING AGENCY agrees that it will only proceed
with the work authorized for that specific phase(s) on the project -specific E-76 or E-76 (AMOD).
ADMINISTERING AGENCY further agrees to not proceed with future phases of PROJECT prior to
receiving an E-76 (AMOD) from STATE for that phase(s) unless no Further Federal funds are
Page 2 of 26
needed or for those future phase(s).
8. That PROJECT or portions thereof, must be included in a federally approved Federal Statewide
Transportation Improvement Program (FSTIP) prior to ADMINISTERING AGENCY submitting the
"Request for Authorization".
9. ADMINISTERING AGENCY shall conform to all State statutes, regulations and procedures
(including those set forth in the Local Assistance Procedures Manual and the Local Assistance
Program Guidelines, hereafter collectively referred to as LOCAL ASSISTANCE PROCEDURES")
relating to the federal -aid program, all Title 23 federal requirements, and all applicable federal
laws, regulations, and policy and procedural or instructional memoranda, unless otherwise
specifically waived as designated in the executed project -specific PROGRAM SUPPLEMENT.
10. If PROJECT is not on STATE -owned right of way, PROJECT shall be constructed in
accordance with LOCAL ASSISTANCE PROCEDURES that describes minimum statewide design
standards for local agency streets and roads. LOCAL ASSISTANCE PROCEDURES for projects
off the National Highway System (NHS) allow STATE to accept either the STATE's minimum
statewide design standards or the approved geometric design standards of ADMINISTERING
AGENCY. Additionally, for projects off the NHS, STATE will accept ADMINISTERING AGENCY -
approved standard specifications, standard plans, materials sampling and testing quality
assurance programs that meet the conditions described in the then current LOCAL ASSISTANCE
PROCEDURES.
11. If PROJECT involves work within or partially within STATE -owned right-of-way, that
PROJECT shall also be subject to compliance with the policies, procedures and standards of the
STATE Project Development Procedures Manual and Highway Design Manual and where
appropriate, an executed cooperative agreement between STATE and ADMINISTERING
AGENCY that outlines the PROJECT responsibilities and respective obligations of the PARTIES.
ADMINISTERING AGENCY and its' contractors shall each obtain an encroachment permit
through STATE prior to commencing any work within STATE rights of way or work which affects
STATE facilities.
12. When PROJECT is not on the State Highway System but includes work to be performed by a
railroad, the contract for such work shall be prepared by ADMINISTERING AGENCY or by
STATE, as the PARTIES may hereafter agree. In either event, ADMINISTERING AGENCY shall
enter into an agreement with the railroad providing for future maintenance of protective devices or
other facilities installed under the contract.
13. If PROJECT is using STATE funds, the Department of General Services, Division of the State
Architect, or its designee, shall review the contract PS&E for the construction of buildings,
structures, sidewalks, curbs and related facilities for accessibility and usability. ADMINISTERING
AGENCY shall not award a PROJECT construction contract for these types of improvements until
the State Architect has issued written approval stating that the PROJECT plans and specifications
comply with the provisions of sections 4450 and 4454 of the California Government Code, if
applicable. Further requirements and guidance are provided in Title 24 of the California Code of
Regulations.
14. ADMINISTERING AGENCY will advertise, award and administer PROJECT in accordance
with the current LOCAL ASSISTANCE PROCEDURES unless otherwise stated in the executed
Page 3 of 26
project -,specific PROGRAM SUPPLEMENT.
15. ADMINISTERING AGENCY shall provide or arrange for adequate supervision and inspection
of each PROJECT. While consultants may perform supervision and inspection work for
PROJECT with a fully qualified and licensed engineer, ADMINISTERING AGENCY shall provide a
full-time employee to be in responsible charge of each PROJECT.
16. ADMINISTERING AGENCY shall submit PROJECT -specific contract award documents to
STATE's District Local Assistance Engineer within sixty (60) days after contract award. A copy of
the award documents shall also be included with the submittal of the first invoice for a construction
contract by ADMINISTERING AGENCY to: Department of Transportation, Division of Accounting
Local Programs Accounting Branch, MS #33, PO Box 942874, Sacramento, California 94274-
0001.
17. ADMINISTERING AGENCY shall submit the final report documents that collectively constitute
a "Report of Expenditures" within one hundred eighty (180) days of PROJECT completion. Failure
by ADMINISTERING AGENCY to submit a "Report of Expenditures" within one hundred
eighty(180) days of project completion will result in STATE imposing sanctions upon
ADMINISTERING AGENCY in accordance with the current LOCAL ASSISTANCE
PROCEDURES.
18. ADMINISTERING AGENCY shall comply with: (i) section 504 of the Rehabilitation Act of 1973
which prohibits discrimination on the basis of disability in federally assisted programs; (ii) the
Americans with Disabilities Act (ADA) of 1990 which prohibits discrimination on the basis of
disability irrespective of funding; and (iii) all applicable regulations and guidelines issued pursuant
to both the Rehabilitation Act and the ADA.
19. The Congress of the United States, the Legislature of the State of California and the Governor
of the State of California, each within their respective jurisdictions, have prescribed certain
nondiscrimination requirements with respect to contract and other work financed with public funds.
ADMINISTERING AGENCY agrees to comply with the requirements of the FAIR EMPLOYMENT
PRACTICES ADDENDUM (Exhibit A attached hereto) and the NONDISCRIMINATION
ASSURANCES (Exhibit B attached hereto). ADMINISTERING AGENCY further agrees that any
agreement entered into by ADMINISTERING AGENCY with a third party for performance of
PROJECT -related work shall incorporate Exhibits A and B (with third party's name replacing
ADMINISTERING AGENCY) as essential parts of such agreement to be enforced by that third
party as verified by ADMINISTERING AGENCY.
Page 4 of 26
ARTICLE II - RIGHTS OF WAY
1. No contract for the construction of a federal -aid PROJECT shall be awarded until all necessary
rights of way have been secured. Prior to the advertising for construction of PROJECT,
ADMINISTERING AGENCY shall certify and, upon request, shall furnish STATE with evidence
that all necessary rights of way are available for construction purposes or will be available by the
time of award of the construction contract.
2. ADMINISTERING AGENCY agrees to indemnify and hold STATE harmless from any liability
that may result in the event the right of way for a PROJECT, including, but not limited to, being
clear as certified or if said right of way is found to contain hazardous materials requiring treatment
or removal to remediate in accordance with Federal and State laws. The furnishing of right of way
as provided for herein includes, in addition to all real property required for the PROJECT, title free
and clear of obstructions and encumbrances affecting PROJECT and the payment, as required by
applicable law, of relocation costs and damages to remainder real property not actually taken but
injuriously affected by PROJECT. ADMINISTERING AGENCY shall pay, from its own non-
matching funds, any costs which arise out of delays to the construction of PROJECT because
utility facilities have not been timely removed or relocated, or because rights of way were not
available to ADMINISTERING AGENCY for the orderly prosecution of PROJECT work.
3. Subject to STATE approval and such supervision as is required by LOCAL ASSISTANCE
PROCEDURES over ADMINISTERING AGENCY's right of way acquisition procedures,
ADMINISTERING AGENCY may claim reimbursement from Federal Funds for expenditures
incurred in purchasing only the necessary rights of way needed for the PROJECT after crediting
PROJECT with the fair market value of any excess property retained and not disposed of by
ADMINISTERING AGENCY.
4. When real property rights are to be acquired by ADMINISTERING AGENCY for a PROJECT,
said ADMINISTERING AGENCY must carry out that acquisition in compliance with all applicable
State and Federal laws and regulations, in accordance with State procedures as published in
State's current LOCAL ASSISTANCE PROCEDURES and STATE's Right -of -Way Manual,
subject to STATE oversight to ensure that the completed work is acceptable under the Federal
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended.
5. Whether or not federal -aid is to be requested for right of way, should ADMINISTERING
AGENCY, in acquiring right of way for PROJECT, displace an individual, family, business, farm
operation, or non-profit organization, relocation payments and services will be provided as set
forth in 49 CFR, Part 24. The public will be adequately informed of the relocation payments and
services which will be available, and, to the greatest extent practicable, no person lawfully
occupying real property shall be required to move from his/her dwelling or to move his/her
business or farm operation without at least ninety (90) days written notice from ADMINISTERING
AGENCY. ADMINISTERING AGENCY will provide STATE with specific assurances, on each
portion of the PROJECT, that no person will be displaced until comparable decent, safe and
sanitary replacement housing is available within a reasonable period of time prior to displacement,
and that ADMINISTERING AGENCY's relocation program is realistic and adequate to provide
Page 5 of 26
orderly, timely and efficient relocation of PROJECT- displaced persons as provided in 49 CFR,
Part 24.
6. ADMINISTERING AGENCY shall, along with recording the deed or instrument evidencing title
in the name of the ADMINISTERING AGENCY or their assignee, shall also record an Agreement
Declaring Restrictive Covenants (ADRC) as a separate document incorporating the assurances
included within Exhibits A and B and Appendices A, B, C and D of the AGREEMENT, as
appropriate.
Page 6 of 26
ARTICLE III - MAINTENANCE AND MANAGEMENT
1. ADMINISTERING AGENCY will maintain and operate the property acquired, developed,
constructed, rehabilitated, or restored by PROJECT for its intended public use until such time as
the parties might amend this AGREEMENT to otherwise provide. With the approval of STATE,
ADMINISTERING AGENCY or its successors in interest in the PROJECT property may transfer
this obligation and responsibility to maintain and operate PROJECT property for that intended
public purpose to another public entity.
2. Upon ADMINISTERING AGENCY's acceptance of the completed federal -aid construction
contract or upon contractor being relieved of the responsibility for maintaining and protecting
PROJECT, ADMINISTERING AGENCY will be responsible for the maintenance, ownership,
liability, and the expense thereof, for PROJECT in a manner satisfactory to the authorized
representatives of STATE and FHWA and if PROJECT falls within the jurisdictional limits of
another Agency or Agencies, it is the duty of ADMINISTERING AGENCY to facilitate a separate
maintenance agreement(s) between itself and the other jurisdictional Agency or Agencies
providing for the operation, maintenance, ownership and liability of PROJECT. Until those
agreements are executed, ADMINISTERING AGENCY will be responsible for all PROJECT
operations, maintenance, ownership and liability in a manner satisfactory to the authorized
representatives of STATE and FHWA. If, within ninety (90) days after receipt of notice from
STATE that a PROJECT, or any portion thereof, is not being properly operated and maintained
and ADMINISTERING AGENCY has not satisfactorily remedied the conditions complained of, the
approval of future federal -aid projects of ADMINISTERING AGENCY will be withheld until the
PROJECT shall have been put in a condition of operation and maintenance satisfactory to STATE
and FHWA. The provisions of this section shall not apply to a PROJECT that has been vacated
through due process of law with STATE's concurrence.
3. PROJECT and its facilities shall be maintained by an adequate and well-trained staff of
engineers and/or such other professionals and technicians as PROJECT reasonably requires.
Said operations and maintenance staff may be employees of ADMINISTERING AGENCY, another
unit of government, or a contractor under agreement with ADMINISTERING AGENCY. All
maintenance will be performed at regular intervals or as required for efficient operation of the
complete PROJECT improvements.
Page 7 of 26
ARTICLE IV - FISCAL PROVISIONS
1. All contractual obligations of STATE are subject to the appropriation of resources by the
Legislature and the allocation of resources by the California Transportation Commission (CTC).
2. STATE'S financial commitment of Federal Funds will occur only upon the execution of this
AGREEMENT, the authorization of the project -specific E-76 or E-76 (AMOD), the execution of
each project -specific PROGRAM SUPPLEMENT, and STATE's approved finance letter.
3. ADMINISTERING AGENCY may submit signed duplicate invoices in arrears for reimbursement
of participating PROJECT costs on a monthly or quarterly progress basis once the project -specific
PROGRAM SUPPLEMENT has been executed by STATE.
4. ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at least once every six
(6) months commencing after the funds are encumbered on either the project -specific PROGRAM
SUPPLEMENT or through a project -specific finance letter approved by STATE. STATE reserves
the right to suspend future authorizations/obligations, and invoice payments for any on-going or
future federal -aid project by ADMINISTERING AGENCY if PROJECT costs have not been
invoiced by ADMINISTERING AGENCY for a six (6) month period
5. Invoices shall be submitted on ADMINISTERING AGENCY letterhead that includes the address
of ADMINISTERING AGENCY and shall be formatted in accordance with LOCAL ASSISTANCE
PROCEDURES.
6. Invoices must have at least one copy of supporting backup documentation for costs incurred
and claimed for reimbursement by ADMINISTERING AGENCY. Acceptable backup
documentation includes, but is not limited to, agency's progress payment to the contractors,
copies of cancelled checks showing amounts made payable to vendors and contractors, and/or a
computerized summary of PROJECT costs.
7. Payments to ADMINISTERING AGENCY can only be released by STATE as reimbursement of
actual allowable PROJECT costs already incurred and paid for by ADMINISTERING AGENCY.
8. An Indirect Cost Rate Proposal and Central Service Cost Allocation Plan and related
documentation are to be provided to STATE (Caltrans Audits & Investigations) annually for review
and approval prior to ADMINISTERING AGENCY seeking reimbursement of indirect cost incurred
within each fiscal year being claimed for federal reimbursement.
9. Once PROJECT has been awarded, STATE reserves the right to de -obligate any excess
Federal Funds from the construction phase of PROJECT if the contract award amount is less than
the obligated amount, as shown on the PROJECT E-76 or E-76 (AMOD).
10. STATE will withhold the greater of either two (2) percent of the total of all Federal Funds
encumbered for each PROGRAM SUPPLEMENT or $40,000 until ADMINISTERING AGENCY
submits the Final Report of Expenditures for each completed PROGRAM SUPPLEMENT
PROJECT.
Page 8 of 26
11. The estimated total cost of PROJECT, the amount of Federal Funds obligated, and the
required matching funds may be adjusted by mutual consent of the PARTIES hereto with a
finance letter, a detailed estimate, if required, and approved E-76 (AMOD). Federal -aid funding
may be increased to cover PROJECT cost increases only if such funds are available and FHWA
concurs with that increase.
12. When additional federal -aid funds are not available, ADMINISTERING AGENCY agrees that
the payment of Federal Funds will be limited to the amounts authorized on the PROJECT specific
E-76 / E-76 (AMOD) and agrees that any increases in PROJECT costs must be defrayed with
ADMINISTERING AGENCY's own funds.
13. ADMINISTERING AGENCY shall use its own non -Federal Funds to finance the local share of
eligible costs and all expenditures or contract items ruled ineligible for financing with Federal
Funds. STATE shall make the determination of ADMINISTERING AGENCY's cost eligibility for
federal fund financing of PROJECT costs.
14. ADMINISTERING AGENCY will reimburse STATE for STATE's share of costs for work
performed by STATE at the request of ADMINISTERING AGENCY. STATE's costs shall include
overhead assessments in accordance with section 8755.1 of the State Administrative Manual.
15. Federal and state funds allocated from the State Transportation Improvement Program (STIP)
are subject to the timely use of funds provisions enacted by Senate Bill 45, approved in 1997, and
subsequent STIP Guidelines and State procedures approved by the CTC and STATE.
16. Federal Funds encumbered for PROJECT are available for liquidation for a period of seven (7)
years from the beginning of the State fiscal year the funds were appropriated in the State Budget.
State funds encumbered for PROJECT are available for liquidation only for five (5) years from the
beginning of the State fiscal year the funds were appropriated in the State Budget. Federal or
state funds not liquidated within these periods will be reverted unless an Cooperative Work
Agreement (CWA) is submitted by ADMINISTERING AGENCY and approved by the California
Department of Finance (per Government Code section 16304). The exact date of fund reversion
will be reflected in the STATE signed finance letter for PROJECT.
17. Payments to ADMINISTERING AGENCY for PROJECT -related travel and subsistence (per
diem) expenses of ADMINISTERING AGENCY forces and its contractors and subcontractors
claimed for reimbursement or as local match credit shall not exceed rates authorized to be paid
rank and file STATE employees under current State Department of Personnel Administration
(DPA) rules. If the rates invoiced by ADMINISTERING AGENCY are in excess of DPA rates,
ADMINISTERING AGENCY is responsible for the cost difference, and any overpayments
inadvertently paid by STATE shall be reimbursed to STATE by ADMINISTERING AGENCY on
demand within thirty (30) days of such invoice.
18. ADMINISTERING AGENCY agrees to comply with Office of Management and Budget (OMB)
Circular A-87, Cost Principles for State and Local Governments, and 49 CFR, Part 18, Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments.
Page 9 of 26
19. ADMINISTERING AGENCY agrees, and will assure that its contractors and subcontractors will
be obligated to agree that (a) Contract Cost Principles and Procedures, 48 CFR, Federal
Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be used to determine the
allowability of individual PROJECT cost items and (b) those parties shall comply with federal
administrative procedures in accordance with 49 CFR, Part 18, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments. Every
sub -recipient receiving PROJECT funds as a contractor or sub -contractor under this
AGREEMENT shall comply with Federal administrative procedures in accordance with 49 CFR,
Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments.
20. Any PROJECT costs for which ADMINISTERING AGENCY has received payment or credit
that are determined by subsequent audit to be unallowable under OMB Circular A-87, 48 CFR,
Chapter 1, Part 31 or 49 CFR, Part 18, are subject to repayment by ADMINISTERING AGENCY
to STATE. Should ADMINISTERING AGENCY fail to reimburse moneys due STATE within thirty
30 days of demand, or within such other period as may be agreed in writing between the
PARTIES hereto, STATE is authorized to intercept and withhold future payments due
ADMINISTERING AGENCY from STATE or any third -parry source, including but not limited to,
the State Treasurer, the State Controller and the CTC.
21. Upon written demand by STATE, any overpayment to ADMINISTERING AGENCY of amounts
invoiced to STATE shall be returned to STATE.
22. Should ADMINISTERING AGENCY fail to refund any moneys due STATE as provided
hereunder or should ADMINISTERING AGENCY breach this AGREEMENT by failing to complete
PROJECT without adequate justification and approval by STATE, then, within thirty 30 days of
demand, or within such other period as may be agreed to in writing between the PARTIES,
STATE, acting through the State Controller, the State Treasurer, or any other public entity or
agency, may withhold or demand a transfer of an amount equal to the amount paid by or owed to
STATE from future apportionments, or any other funds due ADMINISTERING AGENCY from the
Highway Users Tax Fund or any other sources of funds, and/or may withhold approval of future
ADMINISTERING AGENCY federal -aid projects.
23. Should ADMINISTERING AGENCY be declared to be in breach of this AGREEMENT or
otherwise in default thereof by STATE, and if ADMINISTERING AGENCY is constituted as a joint
powers authority, special district, or any other public entity not directly receiving funds through the
State Controller, STATE is authorized to obtain reimbursement from whatever sources of funding
are available, including the withholding or transfer of funds, pursuant to Article IV - 22, from those
constituent entities comprising a joint powers authority or by bringing of an action against
ADMINISTERING AGENCY or its constituent member entities, to recover all funds provided by
STATE hereunder.
24. ADMINISTERING AGENCY acknowledges that the signatory party represents the
ADMINISTERING AGENCY and further warrants that there is nothing within a Joint Powers
Agreement, by which ADMINISTERING AGENCY was created, if any exists, that would restrict or
otherwise limit STATE's ability to recover State funds improperly spent by ADMINISTERING
AGENCY in contravention of the terms of this AGREEMENT.
Page 10 of 26
ARTICLE V
AUDITS, THIRD PARTY CONTRACTING, RECORDS RETENTION AND REPORTS
1. STATE reserves the right to conduct technical and financial audits of PROJECT work and
records when determined to be necessary or appropriate and ADMINISTERING AGENCY agrees,
and shall require its contractors and subcontractors to agree, to cooperate with STATE by making
all appropriate and relevant PROJECT records available for audit and copying as required by
paragraph three (3) of ARTICLE V.
2. ADMINISTERING AGENCY, its contractors and subcontractors shall establish and maintain an
accounting system and records that properly accumulate and segregate incurred PROJECT costs
and matching funds by line item for the PROJECT. The accounting system of ADMINISTERING
AGENCY, its contractors and all subcontractors shall conform to Generally Accepted Accounting
Principles, enable the determination of incurred costs at interim points of completion, and provide
support for reimbursement payment vouchers or invoices sent to or paid by STATE.
3. For the purpose of determining compliance with Title 21, California Code of Regulations,
Chapter 21, section 2500 et seq., when applicable, and other matters connected with the
performance of ADMINISTERING AGENCY's contracts with third parties, ADMINISTERING
AGENCY, ADMINISTERING AGENCY's contractors and subcontractors, and STATE shall each
maintain and make available for inspection and audit all books, documents, papers, accounting
records, and other evidence pertaining to the performance of such contracts, including, but not
limited to, the costs of administering those various contracts. All of the above referenced parties
shall make such AGREEMENT and PROGRAM SUPPLEMENT materials available at their
respective offices at all reasonable times during the entire PROJECT period and for three (3)
years from the date of final payment to ADMINISTERING AGENCY under any PROGRAM
SUPPLEMENT. STATE, the California State Auditor, or any duly authorized representative of
STATE or the United States, shall each have access to any books, records, and documents that
are pertinent to a PROJECT for audits, examinations, excerpts, and transactions and
ADMINISTERING AGENCY shall furnish copies thereof if requested.
4. ADMINISTERING AGENCY is required to have an audit in accordance with the Single Audit Act
of OMB Circular A-133 if it receives a total of $500,000 or more in Federal Funds in a single fiscal
year. The Federal Funds received under a PROGRAM SUPPLEMENT are a part of the
Catalogue of Federal Domestic Assistance (CFDA) 20.205, Highway Planning and Research.
5. ADMINISTERING AGENCY agrees to include all PROGRAM SUPPLEMENTS adopting the
terms of this AGREEMENT in the schedule of projects to be examined in ADMINISTERING
AGENCY's annual audit and in the schedule of projects to be examined under its single audit
prepared in accordance with OMB Circular A-133.
6. ADMINISTERING AGENCY shall not award a construction contract over $10,000 or other
contracts over $25,000 (excluding professional service contracts of the type which are required to
be procured in accordance with Government Code sections 4525 (d), (e) and (f) on the basis of a
noncompetitive negotiation for work to be performed under this AGREEMENT without the prior
written approval of STATE. Contracts awarded by ADMINISTERING AGENCY, if intended as
local match credit, must meet the requirements set forth in this AGREEMENT regarding local
match funds.
Page 11 of 26
7. Any subcontract entered into by ADMINISTERING AGENCY as a result of this AGREEMENT
shall contain all of the provisions of ARTICLE IV, FISCAL PROVISIONS, and this ARTICLE V,
AUDITS, THIRD -PARTY CONTRACTING RECORDS RETENTION AND REPORTS, and shall
mandate that travel and per diem reimbursements and third -party contract reimbursements to
subcontractors will be allowable as PROJECT costs only after those costs are incurred and paid
for by the subcontractors.
8. To be eligible for local match credit, ADMINISTERING AGENCY must ensure that local match
funds used for a PROJECT meet the fiscal provisions requirements outlined in ARTICLE IV in the
same manner as required of all other PROJECT expenditures.
9. In addition to the above, the pre -award requirements of third -party contractor/consultants with
ADMINISTERING AGENCY should be consistent with LOCAL ASSISTANCE PROCEDURES.
Page 12 of 26
ARTICLE VI -FEDERAL LOBBYING ACTIVITIES CERTIFICATION
1. By execution of this AGREEMENT, ADMINISTERING AGENCY certifies, to the best of the
signatory officer's knowledge and belief, that:
A. No federal or state appropriated funds have been paid or will be paid, by or on behalf of
ADMINISTERING AGENCY, to any person for influencing or attempting to influence an officer or
employee of any STATE or federal agency, a member of the State Legislature or United States
Congress, an officer or employee of the Legislature or Congress, or any employee of a Member of
the Legislature or Congress in connection with the awarding of any STATE or federal contract,
including this AGREEMENT, the making of any STATE or federal loan, the entering into of any
cooperative contract, and the extension, continuation, renewal, amendment, or modification of any
STATE or federal contract, grant, loan, or cooperative contract.
B. If any funds other than federal appropriated funds have been paid, or will be paid, to any
person for influencing or attempting to influence an officer or employee of any federal agency, a
member of Congress, an officer or employee of Congress or an employee of a member of
Congress in connection with this AGREEMENT, grant, local, or cooperative contract,
ADMINISTERING AGENCY shall complete and submit Standard Form -LLL, "Disclosure Form to
Rep Lobbying," in accordance with the form instructions.
C. This certification is a material representation of fact upon which reliance was placed when this
AGREEMENT and each PROGRAM SUPPLEMENT was or will be made or entered into.
Submission of this certification is a prerequisite for making or entering into this AGREEMENT
imposed by Section 1352, Title 31, United States Code. Any party who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000
for each such failure.
2. ADMINISTERING AGENCY also agrees by signing this AGREEMENT that the language of this
certification will be included in all lower tier sub -agreements which exceed $100,000 and that all
such sub -recipients shall certify and disclose accordingly.
Page 13 of 26
ARTICLE VII - MISCELLANEOUS PROVISIONS
1. ADMINISTERING AGENCY agrees to use all State funds reimbursed hereunder only for
transportation purposes that are in conformance with Article XIX of the California State
Constitution and the relevant Federal Regulations.
2. This AGREEMENT is subject to any additional restrictions, limitations, conditions, or any statute
enacted by the State Legislature or adopted by the CTC that may affect the provisions, terms, or
funding of this AGREEMENT in any manner.
3. ADMINISTERING AGENCY and the officers and employees of ADMINISTERING AGENCY,
when engaged in the performance of this AGREEMENT, shall act in an independent capacity and
not as officers, employees or agents of STATE or the federal government.
4. Each project -specific PROGRAM SUPPLEMENT shall separately establish the terms and
funding limits for each described PROJECT funded under the AGREEMENT. No federal or state
funds are obligated against this AGREEMENT.
5. ADMINISTERING AGENCY certifies that neither ADMINISTERING AGENCY nor its principals
are suspended or debarred at the time of the execution of this AGREEMENT. ADMINISTERING
AGENCY agrees that it will notify STATE immediately in the event a suspension or a debarment
occurs after the execution of this AGREEMENT.
6. ADMINISTERING AGENCY 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 ADMINISTERING AGENCY 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 STATE's discretion, to deduct from the
price of consideration, or otherwise recover, the full amount of such commission, percentage,
brokerage, or contingent fee.
7. In accordance with Public Contract Code section 10296, ADMINISTERING AGENCY hereby
certifies under penalty of perjury that no more than one final unappealable finding of contempt of
court by a federal court has been issued against ADMINISTERING AGENCY within the immediate
preceding two (2) year period because of ADMINISTERING AGENCY's failure to comply with an
order of a federal court that orders ADMINISTERING AGENCY to comply with an order of the
National Labor Relations Board.
8. ADMINISTERING AGENCY shall disclose any financial, business, or other relationship with
STATE, FHWA or FTA that may have an impact upon the outcome of this AGREEMENT.
ADMINISTERING AGENCY shall also list current contractors who may have a financial interest in
the outcome of this AGREEMENT.
9. ADMINISTERING AGENCY hereby certifies that it does not now have nor shall it acquire any
financial or business interest that would conflict with the performance of PROJECT under this
Page 14 of 26
AGREEMENT.
10. ADMINISTERING AGENCY warrants that this AGREEMENT was not obtained or secured
through rebates, kickbacks or other unlawful consideration either promised or paid to any STATE
employee. For breach or violation of this warranty, STATE shall have the right, in its discretion, to
terminate this AGREEMENT without liability, to pay only for the work actually performed, or to
deduct from the PROGRAM SUPPLEMENT price or otherwise recover the full amount of such
rebate, kickback, or other unlawful consideration.
11. Any dispute concerning a question of fact arising under this AGREEMENT that is not disposed
of by agreement shall be decided by the STATE's Contract Officer who may consider any written
or verbal evidence submitted by ADMINISTERING AGENCY. The decision of the Contract
Officer, issued in writing, shall be conclusive and binding on the PARTIES on all questions of fact
considered and determined by the Contract Officer.
12. Neither the pending of a dispute nor its consideration by the Contract Officer will excuse
ADMINISTERING AGENCY from full and timely performance in accordance with the terms of this
AGREEMENT.
13. Neither ADMINISTERING AGENCY 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, under or
in connection with any work, authority or jurisdiction arising under this AGREEMENT. It is
understood and agreed that STATE shall fully defend, indemnify and save harmless the
ADMINISTERING AGENCY and all of its officers and employees from all claims, suits or actions
of every name, kind and description brought forth under, including, but not limited to, tortuous,
contractual, inverse condemnation and other theories or assertions of liability occurring by reason
of anything done or omitted to be done by STATE under this AGREEMENT.
14. Neither STATE nor any officer or employee thereof shall be responsible for any injury, damage
or liability occurring by reason of anything done or omitted to be done by ADMINISTERING
AGENCY under, or in connection with, any work, authority or jurisdiction arising under this
AGREEMENT. It is understood and agreed that ADMINISTERING AGENCY shall fully defend,
indemnify and save harmless STATE and all of its officers and employees from all claims, suits or
actions of every name, kind and description brought forth under, including, but not limited to,
tortuous, contractual, inverse condemnation or other theories or assertions of liability occurring by
reason of anything done or omitted to be done by ADMINISTERING AGENCY under this
AGREEMENT.
15. STATE reserves the right to terminate funding for any PROJECT upon written notice to
ADMINISTERING AGENCY in the event that ADMINISTERING AGENCY fails to proceed with
PROJECT work in accordance with the project -specific PROGRAM SUPPLEMENT, the bonding
requirements if applicable, or otherwise violates the conditions of this AGREEMENT and/or
PROGRAM SUPPLEMENT, or the funding allocation such that substantial performance is
significantly endangered.
Page 15 of 26
16. No termination shall become effective if, within thirty (30) days after receipt of a Notice of
Termination, ADMINISTERING AGENCY either cures the default involved or, if not reasonably
susceptible of cure within said thirty (30) day period, ADMINISTERING AGENCY proceeds
thereafter to complete the cure in a manner and time line acceptable to STATE. Any such
termination shall be accomplished by delivery to ADMINISTERING AGENCY of a Notice of
Termination, which notice shall become effective not less than thirty (30) days after receipt,
specifying the reason for the termination, the extent to which funding of work under this
AGREEMENT is terminated and the date upon which such termination becomes effective, if
beyond thirty (30) days after receipt. During the period before the effective termination date,
ADMINISTERING AGENCY and STATE shall meet to attempt to resolve any dispute. In the event
of such termination, STATE may proceed with the PROJECT work in a manner deemed proper by
STATE. If STATE terminates funding for PROJECT with ADMINISTERING AGENCY, STATE
shall pay ADMINISTERING AGENCY the sum due ADMINISTERING AGENCY under the
PROGRAM SUPPLEMENT and/or STATE approved finance letter prior to termination, provided,
however, ADMINISTERING AGENCY is not in default of the terms and conditions of this
AGREEMENT or the project -specific PROGRAM SUPPLEMENT and that the cost of PROJECT
completion to STATE shall first be deducted from any sum due ADMINISTERING AGENCY.
17. In case of inconsistency or conflicts with the terms of this AGREEMENT and that of a project -
specific PROGRAM SUPPLEMENT, the terms stated in that PROGRAM SUPPLEMENT shall
prevail over those in this AGREEMENT.
18. Without the written consent of STATE, this AGREEMENT is not assignable by
ADMINISTERING AGENCY either in whole or in part.
19. No alteration or variation of the terms of this AGREEMENT shall be valid unless made in
writing and signed by the PARTIES, and no oral understanding or agreement not incorporated
herein shall be binding on any of the PARTIES.
IN WITNESS WHEREOF, the PARTIES have executed this AGREEMENT by their duly
authorized officers.
STATE OF CALIFORNIA City of SanJy+an Capistrano
DEPARTMENT OF TRANSPORTATION
a
Chief, Office of Project Implementation
Division of Local Assistance
Date
APPROVED AS TO FORM:
Page 16 of 26
John Shaw, City Attornev
City of San Juan Capistrano
Representative Name & Title
(Authorized Governing Body Representative)
EXHIBIT A
FAIR EMPLOYMENT PRACTICES ADDENDUM
1. In the performance of this Agreement, ADMINISTERING AGENCY will not discriminate against
any employee for employment because of race, color, sex, sexual orientation, religion, ancestry or
national origin, physical disability, medical condition, marital status, political affiliation, family and
medical care leave, pregnancy leave, or disability leave. ADMINISTERING AGENCY will take
affirmative action to ensure that employees are treated during employment without regard to their
race, sex, sexual orientation, color, religion, ancestry, or national origin, physical disability, medical
condition, marital status, political affiliation, family and medical care leave, pregnancy leave, or
disability leave. 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.
ADMINISTERING AGENCY 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. ADMINISTERING AGENCY, its contractor(s) and all subcontractors shall comply with the
provisions of the Fair Employment and Housing Act (Government Code Section 1290-0 et seq.),
and the applicable regulations promulgated thereunder (California code of Regulations, Title 2,
Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing
Commission implementing Government Code, Section 12900(a -f), set forth in Chapter 5 of
Division 4 of Title 2 of the California Code of Regulations are incorporated into this AGREEMENT
by reference and made a part hereof as if set forth in full. Each of the ADMINISTERING
AGENCY'S contractors and all subcontractors shall give written notice of their obligations under
this clause to labor organizations with which they have a collective bargaining or other
agreements, as appropriate.
3. ADMINISTERING AGENCY shall include the nondiscrimination and compliance provisions of
this clause in all contracts and subcontracts to perform work under this AGREEMENT.
4. ADMINISTERING AGENCY will permit access to the records of employment, employment
advertisements, application forms, and other pertinent data and records by STATE, the State Fair
Employment and Housing Commission, or any other agency of the State of California designated
by STATE, for the purposes of investigation to ascertain compliance with the Fair Employment
section of this Agreement.
5. Remedies for Willful Violation:
(a) 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 ADMINISTERING
AGENCY was a party, or upon receipt of a written notice from the Fair Employment and Housing
Commission that it has investigated and determined that ADMINISTERING AGENCY has violated
the Fair Employment Practices Act and had issued an order under Labor Code Section 1426
which has become final or has obtained an injunction under Labor Code Section 1429.
Page 17 of 26
(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 thereunder shall be borne and paid for by ADMINISTERING AGENCY and
by the surety under the performance bond, if any, and STATE may deduct from any moneys due
or thereafter may become due to ADMINISTERING AGENCY, the difference between the price
named in the Agreement and the actual cost thereof to STATE to cure ADMINISTERING
AGENCY's breach of this Agreement.
Page 18 of 26
EXHIBIT B
NONDISCRIMINATION ASSURANCES
ADMINISTERING AGENCY HEREBY AGREES THAT, as a condition to receiving any federal
financial assistance from the STATE, acting for the U.S. Department of Transportation, it will
comply with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d-42 U.S.C.
2000d-4 (hereinafter referred to as the ACT), and all requirements imposed by or pursuant to Title
49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the
Secretary, Part 21, Nondiscrimination in Federally -Assisted Programs of the Department of
Transportation - Effectuation of Title VI of the Civil Rights Act of 1964" (hereinafter referred to as
the REGULATIONS), the Federal -aid Highway Act of 1973, and other pertinent directives, to the
end that in accordance with the ACT, REGULATIONS, and other pertinent directives, no person in
the United States shall, on the grounds of race, color, sex, national origin, religion, age or
disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity for which ADMINISTERING AGENCY receives
federal financial assistance from the Federal Department of Transportation. ADMINISTERING
AGENCY HEREBY GIVES ASSURANCE THAT ADMINISTERING AGENCY will promptly take
any measures necessary to effectuate this agreement. This assurance is required by subsection
21.7(a) (1) of the REGULATIONS.
More specifically, and without limiting the above general assurance, ADMINISTERING AGENCY
hereby gives the following specific assurances with respect to its federal -aid Program:
1. That ADMINISTERING AGENCY agrees that each "program" and each "facility" as defined in
subsections 21.23 (e) and 21.23 (b) of the REGULATIONS, will be (with regard to a "program")
conducted, or will be (with regard to a "facility") operated in compliance with all requirements
imposed by, or pursuant to, the REGULATIONS.
2. That ADMINISTERING AGENCY shall insert the following notification in all solicitations for bids
for work or material subject to the REGULATIONS made in connection with the federal -aid
Program and, in adapted form, in all proposals for negotiated agreements:
ADMINISTERING AGENCY hereby notifies all bidders that it will affirmatively insure that in any
agreement entered into pursuant to this advertisement, minority business enterprises will be
afforded full opportunity to submit bids in response to this invitation and will not be discriminated
against on the grounds of race, color, sex, national origin, religion, age, or disability in
consideration for an award.
3. That ADMINISTERING AGENCY shall insert the clauses of Appendix A of this assurance in
every agreement subject to the ACT and the REGULATIONS.
4. That the clauses of Appendix B of this Assurance shall be included as a covenant running with
the land, in any deed effecting a transfer of real property, structures, or improvements thereon, or
interest therein.
Page 19 of 26
5. That where ADMINISTERING AGENCY receives federal financial assistance to construct a
facility, or part of a facility, the Assurance shall extend to the entire facility and facilities operated in
connection therewith.
6. That where ADMINISTERING AGENCY receives federal financial assistance in the form, or for
the acquisition, of real property or an interest in real property, the Assurance shall extend to rights
to space on, over, or under such property.
7. That ADMINISTERING AGENCY shall include the appropriate clauses set forth in Appendix C
and D of this Assurance, as a covenant running with the land, in any future deeds, leases, permits,
licenses, and similar agreements entered into by the ADMINISTERING AGENCY with other
parties:
Appendix C;
(a) for the subsequent transfer of real property acquired or improved under the federal -aid
Program; and
Appendix D;
(b) for the construction or use of or access to space on, over, or under real property acquired, or
improved under the federal -aid Program.
8. That this assurance obligates ADMINISTERING AGENCY for the period during which federal
financial assistance is extended to the program, except where the federal financial assistance is to
provide, or is in the form of, personal property or real property or interest therein, or structures, or
improvements thereon, in which case the assurance obligates ADMINISTERING AGENCY or any
transferee for the longer of the following periods:
(a) the period during which the property is used for a purpose for which the federal financial
assistance is extended, or for another purpose involving the provision of similar services or
benefits; or
(b) the period during which ADMINISTERING AGENCY retains ownership or possession of the
property.
9. That ADMINISTERING AGENCY shall provide for such methods of administration for the
program as are found by the U.S. Secretary of Transportation, or the official to whom he delegates
specific authority, to give reasonable guarantee that ADMINISTERING AGENCY, other recipients,
sub -grantees, applicants, sub -applicants, transferees, successors in interest, and other
participants of federal financial assistance under such program will comply with all requirements
imposed by, or pursuant to, the ACT, the REGULATIONS, this Assurance and the Agreement.
10. That ADMINISTERING AGENCY agrees that the United States and the State of California
have a right to seek judicial enforcement with regard to any matter arising under the ACT, the
REGULATIONS, and this Assurance.
Page 20 of 26
11. ADMINISTERING AGENCY shall not discriminate on the basis of race, religion, age, disability,
color, national origin or sex in the award and performance of any STATE assisted contract or in
the administration on its DBE Program or the requirements of 49 CFR Part 26. ADMINISTERING
AGENCY shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure non
discrimination in the award and administration of STATE assisted contracts. ADMINISTERING
AGENCY'S DBE Race -Neutral Implementation Agreement is incorporated by reference in this
AGREEMENT. Implementation of this program is a legal obligation and failure to carry out its
terms shall be treated as a violation of this agreement. Upon notification to the recipient of its
failure to carry out its approved DBE Race -Neutral Implementation Agreement, STATE may
impose sanctions as provided for under 49 CFR Part 26 and may, in appropriate cases, refer the
matter for enforcement under 18 USC 1001 and/or the Program Fraud Civil Remedies Act of 1985
(31 USC 3801 es seq.)
THESE ASSURANCES are given in consideration of and for the purpose of obtaining any and all
federal grants, loans, agreements, property, discounts or other federal financial assistance
extended after the date hereof to ADMINISTERING AGENCY by STATE, acting for the U.S.
Department of Transportation, and is binding on ADMINISTERING AGENCY, other recipients,
subgrantees, applicants, sub -applicants, transferees, successors in interest and other participants
in the federal -aid Highway Program.
Page 21 of 26
APPENDIX A TO EXHIBIT B
During the performance of this Agreement, ADMINISTERING AGENCY, for itself, its assignees
and successors in interest (hereinafter collectively referred to as ADMINISTERING AGENCY)
agrees as follows:
(1) Compliance with Regulations: ADMINISTERING AGENCY shall comply with the regulations
relative to nondiscrimination in federally assisted programs of the Department of Transportation,
Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time,
(hereinafter referred to as the REGULATIONS), which are herein incorporated by reference and
made a part of this agreement.
(2) Nondiscrimination: ADMINISTERING AGENCY, with regard to the work performed by it during
the AGREEMENT, shall not discriminate on the grounds of race, color, sex, national origin,
religion, age, or disability in the selection and retention of sub -applicants, including procurements
of materials and leases of equipment. ADMINISTERING AGENCY shall not participate either
directly or indirectly in the discrimination prohibited by Section 21.5 of the REGULATIONS,
including employment practices when the agreement covers a program set forth in Appendix B of
the REGULATIONS.
(3) Solicitations for Sub -agreements, Including Procurements of Materials and Equipment: In all
solicitations either by competitive bidding or negotiation made by ADMINISTERING AGENCY for
work to be performed under a Sub -agreement, including procurements of materials or leases of
equipment, each potential sub -applicant or supplier shall be notified by ADMINISTERING
AGENCY of the ADMINISTERING AGENCY's obligations under this Agreement and the
REGULATIONS relative to nondiscrimination on the grounds of race, color, or national origin.
(4) Information and Reports: ADMINISTERING AGENCY shall provide all information and reports
required by the REGULATIONS, or directives issued pursuant thereto, and shall permit access to
ADMINISTERING AGENCY's books, records, accounts, other sources of information, and its
facilities as may be determined by STATE or FHWA to be pertinent to ascertain compliance with
such REGULATIONS or directives. Where any information required of ADMINISTERING
AGENCY is in the exclusive possession of another who fails or refuses to furnish this information,
ADMINISTERING AGENCY shall so certify to STATE or the FHWA as appropriate, and shall set
forth what efforts ADMINISTERING AGENCY has made to obtain the information.
(5) Sanctions for Noncompliance: In the event of ADMINISTERING AGENCY's noncompliance
with the nondiscrimination provisions of this agreement, STATE shall impose such agreement
sanctions as it or the FHWA may determine to be appropriate, including, but not limited to:
(a) withholding of payments to ADMINISTERING AGENCY under the Agreement within a
reasonable period of time, not to exceed 90 days; and/or
(b) cancellation, termination or suspension of the Agreement, in whole or in part.
Page 22 of 26
(6) Incorporation of Provisions: ADMINISTERING AGENCY shall include the provisions of
paragraphs (1) through (6) in every sub -agreement, including procurements of materials and
leases of equipment, unless exempt by the REGULATIONS, or directives issued pursuant thereto.
ADMINISTERING AGENCY shall take such action with respect to any sub -agreement or
procurement as STATE or FHWA may direct as a means of enforcing such provisions including
sanctions for noncompliance, provided, however, that, in the event ADMINISTERING AGENCY
becomes involved in, or is threatened with, litigation with a sub -applicant or supplier as a result of
such direction, ADMINISTERING AGENCY may request STATE enter into such litigation to
protect the interests of STATE, and, in addition, ADMINISTERING AGENCY may request the
United States to enter into such litigation to protect the interests of the United States.
Page 23 of 26
APPENDIX B TO EXHIBIT B
The following clauses shall be included in any and all deeds effecting or recording the transfer of
PROJECT real property, structures or improvements thereon, or interest therein from the United
States.
(GRANTING CLAUSE)
NOW, THEREFORE, the U.S. Department of Transportation, as authorized by law, and upon the
condition that ADMINISTERING AGENCY will accept title to the lands and maintain the project
constructed thereon, in accordance with Title 23, United States Code, the Regulations for the
Administration of federal -aid for Highways and the policies and procedures prescribed by the
Federal Highway Administration of the Department of Transportation and, also in accordance with
and in compliance with the Regulations pertaining to and effectuating the provisions of Title VI of
the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. 2000d to 2000d-4), does hereby remise,
release, quitclaim and convey unto the ADMINISTERING AGENCY all the right, title, and interest
of the U.S. Department of Transportation in, and to, said lands described in Exhibit "A" attached
hereto and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto ADMINISTERING AGENCY and
its successors forever, subject, however, to the covenant, conditions, restrictions and reservations
herein contained as follows, which will remain in effect for the period during which the real
property or structures are used for a purpose for which federal financial assistance is extended or
for another purpose involving the provision of similar services or benefits and shall be binding on
ADMINISTERING AGENCY, its successors and assigns.
ADMINISTERING AGENCY, in consideration of the conveyance of said lands and interests in
lands, does hereby covenant and agree as a covenant running with the land for itself, its
successors and assigns,
(1) that no person shall on the grounds of race, color, sex, national origin, religion, age or
disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination with regard to any facility located wholly or in part on, over, or under such lands
hereby conveyed (;) (and) *
(2) that ADMINISTERING AGENCY shall use the lands and interests in lands so conveyed, in
compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations,
Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in
federally -assisted programs of the Department of Transportation - Effectuation of Title VI of the
Civil Rights Act of 1964, and as said Regulations may be amended (;) and
(3) that in the event of breach of any of the above-mentioned nondiscrimination conditions, the
U.S. Department of Transportation shall have a right to re-enter said lands and facilities on said
land, and the above-described land and facilities shall thereon revert to and vest in and become
the absolute property of the U.S. Department of Transportation and its assigns as such interest
existed prior to this deed.*
* Reverter clause and related language to be used only when it is determined that such a clause is
Page 24 of 26
necessary in order to effectuate the purposes of Title VI of the Civil Rights Act of 1964.
APPENDIX C TO EXHIBIT B
The following clauses shall be included in any and all deeds, licenses, leases, permits, or similar
instruments entered into by ADMINISTERING AGENCY, pursuant to the provisions of Assurance
7(a) of Exhibit B.
The grantee (licensee, lessee, permittee, etc., as appropriate) for himself, his heirs, personal
representatives, successors in interest, and assigns, as a part of the consideration hereof, does
hereby covenant and agree (in the case of deeds and leases add "as covenant running with the
land") that in the event facilities are constructed, maintained, or otherwise operated on the said
property described in this (deed, license, lease, permit, etc.) for a purpose for which a U.S.
Department of Transportation program or activity is extended or for another purpose involving the
provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.), shall
maintain and operate such facilities and services in compliance with all other requirements
imposed pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation,
Subtitle A, Office of Secretary, Part 21, Nondiscrimination in federally -assisted programs of the
Department of Transportation - Effectuation of Title VI of the Civil Rights Act of 1964, and as said
Regulations may be amended.
(Include in licenses, leases, permits, etc.)*
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to terminate the (license, lease, permit etc.) and to re-enter and
repossess said land and the facilities thereon, and hold the same as if said (license, lease, permit,
etc.) had never been made or issued.
(Include in deeds)*
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to re-enter said land and facilities thereon, and the above-
described lands and facilities shall thereupon revert to and vest in and become the absolute
property of ADMINISTERING AGENCY and its assigns.
* Reverter clause and related language to be used only when it is determined that such a clause is
necessary in order to effectuate the purposes of Title VI of the Civil Rights Act of 1964.
Page 25 of 26
APPENDIX D TO EXHIBIT B
The following shall be included in all deeds, licenses, leases, permits, or similar agreements
entered into by the ADMINISTERING AGENCY, pursuant to the provisions of Assurance 7 (b) of
Exhibit B.
The grantee (licensee, lessee, permittee, etc., as appropriate) for himself, his personal
representatives, successors in interest and assigns, as a part of the consideration hereof, does
hereby covenant and agree (in the case of deeds, and leases add "as a covenant running with the
land") that:
(1) no person on the ground of race, color, sex, national origin, religion, age or disability, shall be
excluded from participation in, denied the benefits of, or otherwise subjected to discrimination in
the use of said facilities;
(2) that in the construction of any improvements on, over, or under such land and the furnishing of
services thereon, no person on the ground of race, color, sex, national origin, religion, age or
disability shall be excluded from participation in, denied the benefits of, or otherwise be subjected
to discrimination; and
(3) that the (grantee, licensee, lessee, permittee, etc.,) shall use the premises in compliance with
the Regulations.
(Include in licenses, leases, permits, etc.)*
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to terminate the (license, lease, permit, etc.) and to re-enter and
repossess said land and the facilities thereon, and hold the same as if said (license, lease, permit,
etc.) had never been made or issued.
(Include in deeds)*
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to re-enter said land and facilities thereon, and the above-
described lands and facilities shall thereupon revert to and vest in and become the absolute
property of ADMINISTERING AGENCY, and its assigns.
* Reverter clause and related language to be used only when it is determined that such a clause is
necessary in order to effectuate the purposes of Title VI of the Civil Rights Act of 1964.
Page 26 of 26
PROGRAM SUPPLEMENT NO. N009 Date: September 06,2007
to Location: 12-ORA-0-SJCP
ADMINISTERING AGENCY -STATE AGREEMENT Project Number: STPL-5372(009)
FOR FEDERAL -AID PROJECTS NO. 12-5372R E.A. Number: 12-931839
This Program Supplement hereby incorporates the Administering Agency -State Agreement for Federal Aid which was entered into
between the Administering Agency and the State on / / and is subject to all the terms and conditions thereof. This Program
Supplement is executed in accordance with Article I of the aforementioned Master Agreement under authority of Resolution No.
, approved by the Administering Agency on (See copy attached).
The Administering Agency further stipulates that as a condition to the payment by State of any funds derived from sources noted
below obligated to this project, the Administering Agency accepts and will comply with the Special covenants or Remarks setforth
on the following pages.
PROJECT LOCATION:
Del Obispo Street from 1,000 feet north of Blue Fin Drive to Aguacate Road
TYPE OF WORK: Road rehabilitation
LENGTH: 1.3 (MILES)
Estimated Cost
Federal Funds
Matching Funds
$1,513,604.00
H230 $588,063.00
LOCAL
$925,541.00
$0.00
OTHER
$0.00
CITY OF SAN JUAN CAPISTRANO STATE OF CALIFORNIA
Department of Transportation
By By
Chief, Office of Project Implementation
Date c-(/ Division of Local Assistance
Attest 1 1
yy /� Date
Title ,''/J f11 ! . i !-
I hereby certify upon°my personal knowledge that budgeted funds are available for this encumbrance:
Accounting Officer C '9VA/t. A t U!M��
Date
f
$588,063.00
Chapter
I Statutes
Item
ear
Program
I HC
I Category
Fund Source I
AMOUNT
47 2006 2660-102-890 2006-2007
20.30.010.810 C
262040
892-F
588,063.00
Program Supplement 12-53728-NO09- ISTEA Page 1 of 3
12-ORA-0-SJCP
iTPL-5372(009)
SPECIAL COVENANTS OR REMARKS
09/06/2007
1, The ADMINISTERING AGENCY will advertise, award and administer
this project in accordance with the current published Local
Assistance Procedures Manual.
2. Award information shall be submitted by the ADMINISTERING AGENCY
to the District Local Assistance Engineer within 60 days after
the project contract award. A copy of the award package shall
also be included with the submittal of the ADMINISTERING AGENCY's
first invoice for the construction contract to:
Department of Transportation
Division of Accounting
Local Programs Accounting Branch, MS #33
P. O. Box 942874
Sacramento, CA 94274-0001.
Failure to do so will cause a delay in the State processing
invoices for the construction phase. Please refer to Section
15.7 "Award Package" of the Local Assistance Procedures Manual.
3, ADMINISTERING AGENCY agrees that it will only proceed with work
authorized for specific phase(s) with an "Authorization to
Proceed" and will not proceed with future phase(s) of this
project prior to receiving an "Authorization to Proceed" from the
STATE for that phase(s) unless no further State or Federal funds
are needed for those future phase(s).
4. Any State and Federal funds that may have been encumbered for
this project are only available for disbursement for a period of
five (5) years and seven (7) years, respectively, from the start
of the fiscal year(s) that those funds were appropriated within
the State Budget Act. All project funds not liquidated within
these periods will revert unless an executed Cooperative Work
Agreement extending these dates is requested and is approved by
the California Department of Finance per Government Code Section
16304. The exact date of each fund reversion will be reflected
in the approved finance letter(s) issued for this project.
Notwithstanding the unliquidated sums of project specific State
and Federal funding remaining and available to fund project work,
any invoice for reimbursement that is not submitted to the
Department on or before 60 days after that applicable fixed fund
Program Supplement 12 -5372R -N009- ISTRA Page 2 of 3
l2-ORA-0-SJOP
'TPL-5372(009)
SPECIAL COVENANTS OR REMARKS
09/06/2007
reversion date will not be paid from that fiscal year's
encumbered funds because all of these unexpended funds will be
irrevocably reverted by the Department's Division of Accounting
on that date.
Pursuant to a directive from the State Controller's Office and
the Department of Finance, the last date to submit invoices for
reimbursed work in each fiscal year is May 15th in order for
payment to be made out of those then current appropriations.
Project work performed and invoiced after May 15th will be
reimbursed only out of available funding that might be encumbered
in the subsequent fiscal year, and then only when those funds are
actually allocated and encumbered as authorized by the California
Transportation Commission and the Department's Accounting Office.
5. ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at
least once every six months commencing after the funds are
encumbered for each phase by the execution of this Project
Program Supplement Agreement, or by STATE's approval of an
applicable Finance Letter. STATE reserves the right to suspend
future authorizations/obligations, and invoice payments for any
on-going or future federal -aid project by ADMINISTERING AGENCY if
PROJECT costs have not been invoiced by ADMINISTERING AGENCY for
a six-month period.
If no costs have been invoiced for a six-month period,
ADMINISTERING AGENCY agrees to submit for each phase a written
explanation of the absence of PROJECT activity along with target
billing date and target billing amount.
ADMINISTERING AGENCY agrees to submit the final report documents
that collectively constitute a "Report of Expenditures" within
one hundred eighty (180) days of PROJECT completion. Failure of
ADMINISTERING AGENCY to submit a "Final Report of Expenditures"
within 180 days of PROJECT completion will result in STATE
imposing sanctions upon ADMINISTERING AGENCY in accordance with
the current Local Assistance Procedures Manual.
Program Supplement 12-53728-N009- ISTEA Page 3 of 3
PRO(4RAM SUPPLEMENT NO. N010 Date:October 10, 2007
to Location:12-ORA-0-SJCP
ADMINISTERING AGENCY -STATE AGREEMENT Project Number: STPL-5372(010)
FOR FEDERAL -AID PROJECTS NO. 12-53728 E.A. Number: 12-931936
This Program Supplement hereby incorporates the Administering Agency -State Agreement for Federal Aid which was entered into
between the Administering Agency and the State on / / and is subject to all the terms and conditions thereof. This Program
Supplement is executed in accordance with Article I of the aforementioned Master Agreement under authority of Resolution No.
, approved by the Administering Agency on (See copy attached).
The Administering Agency further stipulates that as a condition to the payment by State of any funds derived from sources noted
below obligated to this project, the Administering Agency accepts and will comply with the Special covenants or Remarks setforth
on the following pages.
PROJECT LOCATION:
Del Obispo Street from Aguacate Road to Alipaz Street and from Camino Capistrano to Ortega Highway and Junipero Serra Rand from
Camino Capistrano to 1-5 SB off -ramps
TYPE OF WORK: Road rehabilitation
LENGTH: 0.9 (MILES)
Estimated Cost
Federal Funds
Matching Funds
$1,128,467.00
H230 $564,233.00
LOCAL
$564,234.00
$0.00
OTHER
$0.00
CITY OF SAN JUAV CAPISTRANO
By /V
Date)
Attest
Title
STATE OF CALIFORNIA
Department of Transportation
By
—, Chief, Office of Project Implementation
' Division of Local Assistance
Date
: t4 14-1 -
I hereby certify upon my Personal knowledge that bud ted funds are available for this encumbrance:
Accounting Officer / ra:�� Date `Y $564,233.00
Chapter Statutes Item ear Program BC Category Fund Source AMOUNT
47 2006 2660-102-890 2006-2007 20.30.010.810 C 262040 892-F 564,233.00
Program Supplement 12-53728-N010- ISTEA Page 1 of 3
12-ORA-0-SJCP
STPL-5372(010)
SPECIAL COVENANTS OR REMARKS
10/10/2007
1, The ADMINISTERING AGENCY will advertise, award and administer
this project in accordance with the current published Local
Assistance Procedures Manual.
2. Award information shall be submitted by the ADMINISTERING AGENCY
to the District Local Assistance Engineer within 60 days after
the project contract award. A copy of the award package shall
also be included with the submittal of the ADMINISTERING AGENCY's
first invoice for the construction contract to:
Department of Transportation
Division of Accounting
Local Programs Accounting Branch, MS #33
P. O. Box 942874
Sacramento, CA 94274-0001.
Failure to do so will cause a delay in the State processing
invoices for the construction phase. Please refer to Section
15.7 "Award Package" of the Local Assistance Procedures Manual.
3, ADMINISTERING AGENCY agrees that it will only proceed with work
authorized for specific phase(s) with an "Authorization to
Proceed" and will not proceed with future phase(s) of this
project prior to receiving an "Authorization to Proceed" from the
STATE for that phase(s) unless no further State or Federal funds
are needed for those future phase(s).
4. Any State and Federal funds that may have been encumbered for
this project are only available for•disbursement for a period of
five (5) years and seven (7) years, respectively, from the start
of the fiscal year(s) that those funds were appropriated within
the State Budget Act. All project funds not liquidated within
these periods will revert unless an executed Cooperative Work
Agreement extending these dates is requested and is approved by
the California Department of Finance per Government Code Section
16304. The exact date of each fund reversion will be reflected
in the approved finance letter(s) issued for this project.
Notwithstanding the unliquidated sums of project specific State
and Federal funding remaining and available to fund project work,
any invoice for reimbursement that is not submitted to the
Department on or before 60 days after that applicable fixed fund
Program Supplement 12-53728-x010- ISTEA page 2 of 3
12-ORA-0-SJCP
STPL-5372(010)
SPECIAL COVENANTS OR REMARKS
10/10/2007
reversion date will not be paid from that fiscal year's
encumbered funds because all of these unexpended funds will be
irrevocably reverted by the Department's Division of Accounting
on that date.
Pursuant to a directive from the State Controller's Office and
the Department of Finance, the last date to submit invoices for
reimbursed work in each fiscal year is May 15th in order for
payment to be made out of those then current appropriations.
Project work performed and invoiced after May 15th will be
reimbursed only out of available funding that might be encumbered
in the subsequent fiscal year, and then only when those funds are
actually allocated and encumbered as authorized by the California
Transportation Commission and the Department's Accounting Office.
5, ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at
least once every six months commencing after the funds are
encumbered for each phase by the execution of this Project
Program Supplement Agreement, or by STATE's approval of an
applicable Finance Letter. STATE reserves the right to suspend
future authorizations/obligations, and invoice payments for any
on-going or future federal -aid project by ADMINISTERING AGENCY if
PROJECT costs have not been invoiced by ADMINISTERING AGENCY for
a six-month period.
If no costs have been invoiced for a six-month period,
ADMINISTERING AGENCY agrees to submit for each phase a written
explanation of the absence of PROJECT activity along with target
billing date and target billing amount.
ADMINISTERING AGENCY agrees to submit the final report documents
that collectively constitute a "Report of Expenditures" within
one hundred eighty (180) days of PROJECT completion. Failure of
ADMINISTERING AGENCY to submit a "Final Report of Expenditures"
within 180 days of PROJECT completion will result in STATE
imposing sanctions upon ADMINISTERING AGENCY in accordance with
the current Local Assistance Procedures Manual.
Program Supplement 12 -5372R -x010- ISTEA Page 3 of 3
CERTIFIED COPY
RESOLUTION NO. 07-11-20-01
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN JUAN
CAPSITRANO, CALIFORNIA, AUTHORIZING CITY MANAGER TO
EXECUTE ALL MASTER AGREEMENTS, PROGRAM SUPPLEMENTAL
AGREEMENTS, FUND EXCHANGE AGREEMENTS, FUND TRANSFER
AGREEMENTS AND/OR ANY AMENDMENTS THERETO WITH THE
CALIFORNIA DEPARTMENT OF TRANSPORTATION
WHEREAS, the City of San Juan Capistrano is eligible to receive Federal
and/or State funding for certain transportation projects, through the California
Department of Transportation; and
WHEREAS, Master Agreements, Program Supplemental Agreements, Fund
Exchange Agreements and/or Fund Transfer agreements need to be executed with the
California Department of Transportation before such funds could be claimed; and
WHEREAS, the City of San Juan Capistrano wishes to delegate authorization to
execute these agreements and any amendments thereto that the City Manager be
authorized to execute all Master Agreements, Program Supplemental Agreements,
Fund Exchange Agreements, Fund Transfer Agreements and/or any amendments
thereto with the California Department of Transportation.
NOW, THEREFORE, BE IT RESOLVED that the City of San Juan Capistrano,
hereby authorizes the City Manager of the City of San Juan Capistrano to execute all
Master Agreements, Program Supplemental Agreements, Fund Exchange
Agreements, Fund Transfer Agreements and/or any amendments thereto with the
California Department of Transportation.
BE IT FURTHER RESOLVED that the City of San Juan Capistrano, agrees to
fund its share of the project costs and any additional costs over the identified
programmed amount.
Page 1 of 2 11/20/2007
APPROVED, AND ADOPTED this 20th da of Nov ber, 007
M LLEVATO, MAYOR
STATE OF CALIFORNIA )
COUNTY OF ORANGE ) ss.
CITY OF SAN JUAN CAPISTRANO
I, MARGARET R. MONAHAN, appointed City Clerk of the City of San Juan Capistrano,
do hereby certify that the foregoing Resolution No. 07-11-20-01 was duly adopted by
the Cit Council of the City of San Juan Capistrano at a Regular meeting thereof, held
the 20t day of November 2007, by the following vote:
AYES: COUNCIL MEMBERS: Nielsen, Hribar, Uso, Soto, and Mayor Ailevato
NOES, COUNCIL MEMBER: None
ABSEN I : , . COUNCIL MEMBER: None
the tamps' ins a correct tow at the oeowoeflein
this office. bttest 1 20
City Clerk of t an .lean Cepirtwne. County 1of 0m'
State of California J � * . I/ aA nn. � i
Page 2 of 2 11/20/2007