HomeMy WebLinkAboutCC Resolution 12404 (Canalfront Conceptual Design)RESOLUTION NO. 12404
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN RAFAEL
AUTHORIZING THE CITY MANAGER TO EXECUTE AN AGREEMENT
TO ACCEPT AND EXPEND A GRANT IN THE AMOUNT OF $1409000
FROM THE CALIFORNIA DEPARTMENT OF TRANSPORTATION FOR
A CANALFRONT CONCEPTUAL DESIGN PLAN (P06-005)
WHEREAS, the California Department of Transportation, Division of Transportation
Planning provides grants for local officials, community leaders and stakeholders that enhance
mobility by promoting neighborhood and project design that enable more walking and biking for
healthier communities, reduce dependence on single -occupant vehicle trips and reduce traffic
congestion and improve air quality; and
WHEREAS, the City of San Rafael applied for and has been awarded a grant in the
amount of $140,000 from the California Department of Transportation to fund community based
transportation planning to create a safe and accessible way to walk and bike along and cross over
the San Rafael Canal; and
WHEREAS, this project includes $30,000 in matching funds, with $20,000 from the
Association of Bay Area Governments and $10,000 in-kind funds from the City of San Rafael.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SAN RAFAEL
DOES HEREBY RESOLVE as follows:
The City Manager is authorized to execute, on behalf of the City of San Rafael, an
agreement to accept and expend a grant in the amount of $140,000 from the California
Department of Transportation for a Canalfront Conceptual Design Plan, as shown in Exhibit 1,
Fund Transfer Agreement.
I, ESTHER C. BEIRNE, Clerk of the City of San Rafael, hereby certify that the
foregoing Resolution was duly and regularly introduced and adopted at a regular meeting of the
City Council of said City held on Monday, the 17th day of December, 2007 by the following
vote, to wit:
AYES: COUNCILMEMBERS: Brockbank, Connolly, Heller, Miller & Mayor Boro
NOES: COUNCILMEMBERS: None
ABSENT: COUNCILMEMBERS: None
.= C 2
ESTHER C. BEIRNE, City Clerk
Ia 4o4
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 5
Exhibit 1
Contract
FUND TRANSFER AGREEMENT
THIS FUND TRANSFER AGREEMENT (FTA), ENTERED INTO ON DECEMBER , 2007, between
the City of San Rafael, hereinafter referred to as CITY, and the State of California, acting by and through
its Department of Transportation, referred to herein as DEPARTMENT.
RECITALS
WHEREAS, CITY and DEPARTMENT, pursuant to Streets and Highways Code section 114 (b),
are authorized to enter in this FTA pertaining to State funding committed for Transportation studies and
planning under the jurisdiction of CITY; and,
WHEREAS, CITY has agreed to prepare a Canalfront Conceptual Design Plan, hereinafter the
Project, subject to the terms and conditions of this FTA. The Project Description (Scope of Work and Cost
Estimate) is attached hereto as Exhibit 3; and,
WHEREAS, all services performed by CITY pursuant to this FTA are intended to be performed in
accordance with all applicable Federal, State, and CITY laws, ordinances, regulations, and
DEPARTMENT encroachment permits, published manuals, policies, and procedures; and,
WHEREAS, project funding is as follows; and,
FUND TITLE FUND SOURCE DOLLAR AMOUNT
CalTrans State of California $140,000.00
Bay Trail ABAG $20,000.00
General Fund City of San Rafael $10,000.00
WHEREAS, this FTA is exempt from legal review and approval by the Department of General
Services, pursuant to PCC Section 10295.
AGREEMENT
NOW, THEREFORE, the parties hereby agree as follows:
SECTION I
CITY AGREES:
1. To satisfactorily complete all Project Work described in Exhibit 3.
SECTION II
DEPARTMENT AGREES:
2. To grant to the City a sum not to exceed one hundred and forty thousand dollars ($140,000), subject
to the terms and conditions of this agreement, to prepare the San Rafael Canalfront Conceptual Design
Plan. The Project description is attached as Attachment 3, which is incorporated by reference.
3. That when conducting an audit of the costs claimed by CITY under the provisions of this FTA,
DEPARTMENT will rely to the maximum extent possible on any prior audit of CITY pursuant to the
provisions of State and applicable Federal laws. In the absence of such an audit, work of other auditors
will be relied upon to the extent that such work is acceptable to DEPARTMENT when planning and
conducting additional audits.
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Pale: 6
SECTION III
In consideration of the foregoing and the mutual promises of the parties hereto, CITY and DEPARTMENT
agree as follows:
4. The City Manager shall be the representative of the CITY for all purposes under this Agreement. The
Principal Planner for Long -Range Planning is hereby designated the PROJECT MANAGER for the CITY,
and said PROJECT MANAGER shall supervise all aspects of the progress and execution of this Agreement.
5. DEPARTMENT. DEPARTMENT shall assign a single PROJECT DIRECTOR to have overall
responsibility for the progress and execution of this Agreement for CONTRACTOR. Robert R. Talley is
hereby designated as the PROJECT DIRECTOR for DEPARTMENT. Should circumstances or conditions
subsequent to the execution of this Agreement require a substitute PROJECT DIRECTOR for any reason,
the DEPARTMENT shall notify the CITY within ten (10) business days of the substitution.
6. Notification of Parties
a. CITY's Project Manager is:
Linda Jackson, Principal Planner
Community Development Department
City of San Rafael
P.O. Box 151560
San Rafael, Ca 94915-1560
415-485-3067
b. DEPARTMENT's Contract Manager is:
Robert R. Talley, Associate Transportation Planner
Caltrans District 4, Office of Transit & Community Planning
State Transit Grants Branch, MS 1 OD
PO Box 23660
Oakland, CA 94623-0660
510-286-5521.
c. All notices herein provided to be given, or which may be given, by either party to the other, shall
be deemed to have been fully given when made in writing and received by the parties at their
respective addresses.
7. Period of Performance
Work under this FTA shall begin on February 19, 2007, contingent upon approval of this FTA by
DEPARTMENT, and will terminate on February 28, 2010 unless extended by amendment.
8. Changes in Terms/Amendment
This FTA may only be amended or modified by mutual written agreement of the parties.
9. Termination
a. Discretionary. Either party may terminate this Agreement without cause upon thirty (30) days
written notice mailed or personally delivered to the other party.
b. Cause. Either party may terminate this Agreement for cause upon fifteen (15) days written notice
mailed or personally delivered to the other party, and the notified party's failure to cure or correct the
cause of the termination, to the reasonable satisfaction of the party giving such notice, within such
fifteen (15) daytime period.
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c. Effect of Termination. In the event of termination by said notice, funds reimbursed to CITY will
include all authorized non -cancelable obligations and prior costs incurred.
10. Cost Limitation
a. The total amount payable to CITY pursuant to this FTA by DEPARTMENT shall not exceed
$140,000.00.
b. It is agreed and understood that this FTA fund limit is an estimate and that DEPARTMENT will
only reimburse the cost of services actually rendered as authorized by the DEPARTMENT
Contract Manager at or below that fund limitation established hereinabove.
11. Allowable Costs
a. The method of payment for this FTA will be based on actual allowable costs. DEPARTMENT will
reimburse CITY for expended actual allowable direct and indirect costs, including, but not limited
to contracted consultant services costs incurred by CITY in performance of the Project work.
Actual costs shall not exceed the costs set forth in Exhibit 3 without prior written agreement
between DEPARTMENT and CITY.
b. Reimbursement of CITY expenditures will be authorized only for those allowable costs actually
incurred by CITY in the performance of the Project work. CITY must not only have incurred the
expenditures on or after the Effective Date of this FTA and before the Termination Date, but must
have also paid for those costs to claim any reimbursement.
c. Travel expenses and per diem rates are not to exceed the rate specified by the State of California
Department of Personnel Administration for similar employees (i.e. non -represented employees)
unless written verification is supplied that government hotel rates are not commercially available
to CITY, or its contractors, its subcontractors, and/or its subrecipients, at the time and location
required as specified in the California Department of Transportation's Travel Guide Exception
Process.
d. DEPARTMENT will reimburse CITY for all allowable Project costs no more frequently than
monthly in arrears as promptly as DEPARTMENT fiscal procedures permit upon receipt of
itemized signed invoices in triplicate. Invoices shall reference this FTA Number and shall be
signed and submitted to the Contract Manager at the address shown above.
e. Invoices shall include the following information:
1. Names of the CITY personnel or CITY consultant under contract performing work
2. Dates of Service
3. Locations of Service
12. Reports
a. CITY shall submit written progress reports with each set of invoices to allow the DEPARTMENT's
Contract Manager to determine if CITY is performing to expectations, is on schedule, is within
funding cost limitations, to communicate interim findings, and to afford occasions for airing
difficulties respecting special problems encountered so that remedies can be developed.
b. Any document or written report prepared as a requirement of this FTA shall contain, in a separate
section preceding the main body of the document, the number and dollar amounts of all contracts
and subcontracts relating to the preparation of those documents or reports.
c. CITY will provide five (5) copies and one (1) electronic version of the final written report to the
DEPARTMENT's Contract Manager.
13. Local Match Funds
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a. Except where expressly allowed in writing herein, reimbursement of credits for local matching
funds will be made or allowed only for work performed on and after the start date and prior to the
termination date of this FTA.
b. CITY agrees to contribute the required local contribution of matching funds specified within this
FTA toward the actual cost of the services described in Attachment 3. CITY shall contribute not
less than its required match amount toward the services as described in Attachment 3.
14. Cost Principles
a. CITY agrees to comply with Office of Management and Budget Circular A- 87, Cost Principles for
State and Local Government, and 49 CFR, Part 18, Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments.
CITY 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) all 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 FTA 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.
c. Any Project costs for which CITY has received payment or credit that are determined by
subsequent audit to be unallowable under Office of Management and Budget Circular A-87, 48
CFR, Chapter 1, Part 31 or 49 CFR, Part 18, are subject to repayment by CITY to
DEPARTMENT. Should CITY fail to reimburse moneys due DEPARTMENT within thirty (30)
days of discovery or demand, or within such other period as may be agreed in writing between
the Parties hereto, DEPARTMENT is authorized to intercept and withhold future payments due
CITY from DEPARTMENT or any third -party source, including, but not limited to, the State
Treasurer, the State Controller or any other fund source.
d. CITY agrees to include Project in the schedule of projects to be examined in CITY's annual audit
and in the schedule of projects to be examined under its single audit prepared in accordance with
Office of Management and Budget Circular A-133.
e. Prior to CITY seeking reimbursement of indirect costs, CITY must prepare and submit annually to
the DEPARTMENT an indirect cost rate proposal and a central service costs allocation plan (if
any) in accordance with Office of Management and Budget Circular A-87 and Local Program
Procedures Manual (LLP 04-10).
15. Americans with Disabilities Act
By signing this FTA CITY assures DEPARTMENT that it complies with the applicable provisions of the
Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as
well as all applicable regulations and guidelines issued pursuant to the ADA. (42 U.S.C. 12101 et seq.)
16. Indemnification
a. Nothing in the provisions of the Agreement is intended to create duties or obligations to or rights
in third parties to this Agreement or affect the legal liability of either party to the agreement by
imposing any standard of care with respect to the operation, maintenance and repair of State
highways different from the standard of care imposed by law.
b, Neither DEPARTMENT nor any officer or employee thereof is responsible for any damage or
liability occurring by reason of anything done or omitted to be done by CITY under or in
connection with any work, authority or jurisdiction delegated to CITY under this FTA. It is
understood and agreed that, pursuant to Government Code section 895.4, CITY shall fully
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 9
defend, indemnify and save harmless DEPARTMENT, its officers and employees from all claims,
suits or actions of every name, kind and description brought for or on account of injury (as defined
in Government Code section 810.8) occurring by reason of anything done or omitted to be done
by CITY under or in connection with any work, authority or jurisdiction delegated to CITY under
this FTA.
c. Neither CITY nor any officer or employee thereof is responsible for any damage or liability
occurring by reason of anything done or omitted to be done by DEPARTMENT under or in
connection with any work, authority or jurisdiction delegated to DEPARTMENT under this FTA. It
is understood and agreed that, pursuant to Government Code section 895.4, DEPARTMENT
shall fully defend, indemnify and save harmless CITY, its officers and employees from all claims,
suits or actions of every name, kind and description brought for or on account of injury (as defined
in Government Code section 810.8) occurring by reason of anything done or omitted to be done
by DEPARTMENT under or in connection with any work, authority or jurisdiction delegated to
DEPARTMENT under this FTA.
17. Non -Discrimination
a. During the performance of this FTA, CITY and all of its subcontractors, if any, shall not unlawfully
discriminate, harass or allow harassment, against any employee or applicant for employment
because of sex, race, color, ancestry, religious creed, national origin, disability (including HIV and
AIDS), mental disability, medical condition (cancer), age (over 40), marital status, denial of family
and medical care leave, and denial of pregnancy disability leave.
CITY and its subcontractors shall ensure that the evaluation and treatment of their employees
and applicants for employment are free from such discrimination and harassment. CITY and its
sub -contractors shall comply with the provisions of the Fair Employment and Housing Act
(Government Code Section 12900 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 12990 (a -f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of
Regulations, are incorporated into this FTA by this reference and are made a part hereof as if set
forth in full. CITY and its subcontractors shall give written notice of their obligations under this
clause to labor organizations with which they have a collective bargaining or other agreement.
b. CITY shall include the nondiscrimination and compliance provisions of this clause in all
subcontracts to perform work under this FTA.
18. Funding Requirements
a. It is mutually understood between the parties that this FTA may have been written for the mutual
benefit of both parties in order to avoid program and fiscal delays that would occur if the FTA was
executed only after ascertaining the availability of a congressional or legislative appropriation of
funds.
b. This FTA is valid and enforceable only if sufficient funds are made available to DEPARTMENT by
the United States Government and/or the California State Legislature for the purpose of this
Project. In addition, this FTA is subject to any additional restrictions, limitations, conditions, or any
statute enacted by the Congress or the State Legislature that may affect the provisions, terms or
funding of this FTA in any manner.
c. It is mutually agreed that if the Congress or the State Legislature does not appropriate sufficient
funds for the program and Project, this FTA shall be amended to reflect any reduction in funds.
d. DEPARTMENT has the option to void this FTA under the thirty (30) day termination clause or to
amend this FTA to reflect any reduction of funds. In the event of an unscheduled termination, the
DEPARTMENT Contract Manager may reimburse CITY is accordance with the provisions of this
agreement.
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19. Records Retention
a. CITY, 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 CITY, its contractors and all subcontractors
shall conform to Generally Accepted Accounting Principles (GAAP), enable the determination of
incurred costs at interim points of completion, and provide support for reimbursement payment
vouchers or invoices. All accounting records and other supporting papers of CITY, its contractors
and subcontractors connected with Project performance under this FTA shall be maintained for a
minimum of three years from the date of final payment to CITY and shall be held open to
inspection, copying, and audit by representatives of DEPARTMENT, the California State Auditor,
and auditors representing the federal government.
Copies thereof will be furnished by CITY, its contractors, and its subcontractors upon receipt of
any request made by DEPARTMENT or its agents. In conducting an audit of the costs and match
credits claimed under this FTA, DEPARTMENT will rely to the maximum extent possible on any
prior audit of CITY pursuant to the provisions of federal and State law. In the absence of such an
audit, any acceptable audit work performed by CITY's external and internal auditors may be
relied upon and used by DEPARTMENT when planning and conducting additional audits.
For the purpose of determining compliance with Title 21, California Code of Regulations, Section
2500 of seq., when applicable, and other matters connected with the performance of CITY's
contracts with third parties pursuant to Government Code section 8546.7, CITY, CITY's
contractors and subcontractors and DEPARTMENT shall each maintain and make available for
inspection 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 materials available at their
respective offices at all reasonable times during the entire Project period and for three years from
the date of final payment to CITY under this FTA. DEPARTMENT, the California State Auditor, or
any duly authorized representative of DEPARTMENT or the United States Department of
Transportation, shall each have access to any books, records, and documents that are pertinent
to a Project for audits, examinations, excerpts, and transactions, and CITY shall furnish copies
thereof if requested.
c. CITY, its contractors and subcontractors will permit access to all records of employment,
employment advertisements, employment application forms, and other pertinent data and records
by the State Fair Employment Practices and Housing Commission, or any other agency of the
State of California designated by DEPARTMENT, for the purpose of any investigation to
ascertain compliance with this FTA.
20. Disputes
a. Any dispute concerning a question of fact arising under this FTA that is not disposed of by
agreement shall be decided by the DEPARTMENT Contract Officer, who may consider any
written or verbal evidence submitted by CITY.
b. Neither the pendency of a dispute nor its consideration by the Contract Officer will excuse CITY
from full and timely performance in accordance with the terms of the FTA.
21. Subcontractors
CITY shall perform the work contemplated with resources available within its own organization and no
portion of the work shall be subcontracted without written authorization by DEPARTMENT's Contract
Manager, unless expressly identified in this agreement. Any subcontract in excess of $25,000 entered
into as a result of this FTA shall contain all the provisions stipulated in this FTA to be applicable to CITY's
subcontractors.
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22. Third Party Contracting
a. CITY shall not award a contract over $25,000 without the prior written approval of
DEPARTMENT. Contracts awarded by CITY, if intended as local match credit, must meet the
requirements set forth in this FTA regarding local match funds.
b. Any subcontract entered into by CITY as a result of this FTA 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.
c. If local match is a requirement of these funds, CITY must ensure that local match funds used for
the Project meet the requirements outlined in this FTA in the same manner as is required of all
other Project expenditures.
d. In addition to the above, the preaward requirements of third party contractor/consultants with local
agencies must be consistent with Local Program Policy (LPP 00-05).
23. Disabled Veterans Business Enterprise
a. Should Military and Veterans Code sections 999 et seq. be applicable to CITY, CITY will meet, or
make good faith efforts to meet, the 3% Disabled Veterans Business Enterprises goals (or CITY's
applicable higher goals) in the award of every contract for Project work to be performed under this
FTA.
b. CITY shall have the sole duty and authority under this FTA and each amendment to determine
whether these referenced code sections are applicable to CITY and, if so, whether good faith
efforts asserted by those contractors of CITY were sufficient as outlined in Military and Veterans
Code sections 999 et seq.
24. Drug -Free Workplace Certification
By signing this FTA, CITY hereby certifies under penalty of perjury under the laws of the State of
California that CITY will comply with the requirements of the Drug -Free Workplace Act of 1990
(Government Code section 8350 et seq.) and will provide a drug-free workplace by doing all of the
following:
a. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation,
possession, or use of a controlled substance is prohibited and specifying actions to be taken
against employees for violations, as required by Government Code section 8355(a).
b. Establish a Drug -Free Awareness Program as required by Government Code section 8355(b) to
inform employees about all of the following:
1. the dangers of drug abuse in the workplace,
2. the person's or organization's policy of maintaining a drug-free workplace,
3. any available counseling, rehabilitation, and employee assistance programs, and
4. penalties that may be imposed upon employees for drug abuse violations.
c. Provide as required by Government Code section 8355(c),that a very employee who works on the
proposed contract or grant:
1. will receive a copy of the company's drug-free policy statement, and
2. will agree to abide by the terms of the company's statement as a condition of employment on
the contract or grant.
Failure to comply with these requirements may result in suspension of payments under this FTA or
termination of this FTA or both, and CITY may be ineligible for the award of any future state contracts
if DEPARTMENT determines that any of the following has occurred: (1) CITY has made a false
SAN RAFAEL CITY COUNCIL AGENDA REPORT / PaLye: 12
certification or, (2) CITY violates the certification by failing to carry out the requirements as noted
above.
25. Relationship of Parties
It is expressly understood that this is an agreement is executed by and between two independent
governmental entities and that this is not intended to, and shall not be construed to, create the
relationship of agent, servant, employee, partnership, joint venture or association, or any other
relationship whatsoever other than that of an independent party.
26. Equipment Purchase (By CITY)
a. Prior authorization in writing by the DEPARTMENT Contract Manager shall be required before
CITY enters into any non -budgeted purchase order or subagreement exceeding $500 for
supplies, equipment, or consultant services. CITY shall provide an evaluation of the necessity or
desirability of incurring such costs.
b. For the purchase of any item, service or consulting work not covered in the attached Project
Description (Attachment III) and exceeding $500, three competitive quotations must be submitted
with the request or the absence of bidding must be adequately justified, and prior authorization
must be obtained from the DEPARTMENT's Contract Manager.
Any equipment purchased as a result of this FTA is subject to the following: CITY shall maintain
an inventory record for each piece of non -expendable equipment purchased or built with funds
provided under the terms of this FTA. The inventory record of each piece of such equipment shall
include the date acquired, total cost, serial number, model identification (on sale, in accordance
with established DEPARTMENT procedures, purchased equipment), and any other information or
description necessary to identify said equipment. Nonexpendable equipment so inventoried are
those items of equipment that have a normal life expectancy of one year or more and an
approximate unit price of $5,000 or more. In addition, theft -sensitive items of equipment costing
less than $5,000 shall be inventoried. A copy of the inventory record must be submitted to
DEPARTMENT upon request by DEPARTMENT.
At the conclusion of the FTA, or if the FTA is terminated, CITY may either keep the equipment
and credit DEPARTMENT in an amount equal to its fair market value or sell such equipment at
the best price obtainable at a public or private sale in accordance with established
DEPARTMENT procedures and credit DEPARTMENT in an amount equal to the sales price. If
CITY elects to keep the equipment, fair market value shall be determined, at CITY expense, on
the basis of a competent, independent appraisal of such equipment. Appraisals shall be obtained
from an appraiser mutually agreeable to DEPARTMENT and CITY. If it CITY is determined to sell
the equipment, the terms and conditions of such sale must be approved in advance by
DEPARTMENT.
e. CFR 49, Part 18 requires a credit to Federal funds when participating equipment with a fair
market value greater than $5,000 is credited to the Project.
f. Any subagreement entered into as a result of this FTA shall contain all of the provisions of this
Article.
27. Project Close Out
The FTA Expiration Date refers to the last date for CITY to incur valid Project costs or credits and is the
date the FTA expires. CITY has sixty (60) days after that Expiration Date to make final allowable
payments to Project contractors or vendors, prepare the Project Closeout Report, and submit the final
invoice to DEPARTMENT for reimbursement for allowable Project costs. Any unexpended Project funds
not invoiced by that sixtieth (60th) day will be reverted and will no longer be accessible to reimburse late
Project invoices.
IN WITNESS WHEREOF, the parties hereto have executed this FTA on the day and year first herein
above written:
State of California
Department of Transportation
9
City of San Rafael
By: X/Vt
Title: Cit a r
Date: 3- ��9W%
. 1 I
By:
Title:
Date:
ATTEST:
ESTHER C. BEIRNE, City Clerk
APPR 'VED O DORM:
ROBERT F. STEIN, 9 {Y Attorney
By:
Title: Contract Officer
.
.
Date:
By.
. :
Title:
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Date:
9
City of San Rafael
By: X/Vt
Title: Cit a r
Date: 3- ��9W%
. 1 I
By:
Title:
Date:
ATTEST:
ESTHER C. BEIRNE, City Clerk
APPR 'VED O DORM:
ROBERT F. STEIN, 9 {Y Attorney
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 13
ATTACHMENTS:
The following attachments are incorporated into and are made a part of this FTA by this reference and
attachment.
I. Accounting & Audit Guidelines
II. CITY Resolution
III. Scope of Work, Schedule, and Costs
IN WITNESS WHEREOF, the parties hereto have executed this FTA on the day and year
first herein above written:
State of California
Department of Transportation
By:
Title: Contract Officer
Date:
By:
Title:
Date:
City of San Rafael
By:
Title: City Manager
Date:
By:
Title:
Date:
ATTEST:
ESTHER C. BEIRNE, City Clerk
APPROVED AS TO FORM:
ROBERT F. EPSTEIN, City Attorney
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Pale: 14
Attachment I
ACCOUNTING & AUDIT GUIDELINES FOR CONTRACTS WITH
CALTRANS
INTRODUCTION
The purpose of this brochure is to outline for you, a potential contractor with the California State
Department of Transportation (Caltrans), the basic elements of an adequate accounting system, and the
types and objectives of audits that will be performed in relation to your contract. In order to successfully
compete for a contract and meet the audit requirements, a contractor (whether a prime or subcontractor)
must have a system of record keeping and internal control. Although a specific cost accounting system is
not required, a contractor needs a system which will assure compliance with the terms of the agreement.
A preaward audit will be performed to assure you meet these requirements prior to contract execution. If
your system is deficient, the contract will not be executed. Caltrans reimburses, through your overhead
rate, the costs attributable to establishing and maintaining a cost accounting system.
Staff time and other costs related to an audit performed of your contract are also normally reimbursed
through your overhead rate.
ACCOUNTING SYSTEM
Contractors (whether a prime or subcontractor) planning to contract with Caltrans must have an
accounting system which meets the following objectives:
• The ability to record and report financial data in accordance with generally accepted accounting
principles.
• A system of record keeping to ensure that costs billed to Caltrans are:
a. Supported by adequate documentation.
b. In compliance with the terms of the contract and applicable Federal and State regulations specified in
the contract.
• A system of record keeping which ideally includes the following:
a. A General Ledger
b. Job cost ledger
c. Labor distributions
d. Time records
e. Subsidiary journals
f. Chart of accounts
g. Financial statements
• The ability to accumulate and segregate reasonable, allocable (incurred solely for a project) and
allowable (per terms of the contract) costs through the use of a cost accounting system. The following are
some of the attributes which would ideally be found in such a system:
a. A chart of accounts which includes indirect and direct general ledger accounts. Indirect costs are not
specifically identified to a project, for example, rent and/or utilities. Direct costs are specifically
identified with a project, for example, drafting hours and/or design hours.
b. Segregation of costs by contract, category of cost and milestones (if applicable).
c. Proper recording of direct and indirect costs. For example, recording of labor costs should provide
that non -project indirect hours be recorded on a timesheet and in the accounting records to an
administration, vacation, sick leave or other indirect cost account/code. Direct project hours should be
recorded on a timesheet and in the accounting records to a direct project cost account/code.
d. Consistent accounting treatment of costs in recording and reporting. For example, if travel expense is
charged directly to a project, all travel expense incurred on any project should be considered a direct
cost. As a result, project related travel, whether reimbursable per the contract terms or not, should not
be included as an indirect cost.
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 15
e. Ability to trace from invoices submitted to Caltrans to job cost records and original, approved source
documents, for example, timesheets, vendor invoices, canceled checks.
f. Ability to reconcile job cost records to the accounting records.
. Compliance with cost principles described in the Code of Federal Regulations 48, Federal Acquisition
Regulations System (FAR), Chapter 1, Part 31. Information on how to obtain this regulation is described
under "Audit Criteria" in this brochure.
• Procedures to monitor and adjust projected overhead rates to actual rates.
• Controls to ensure that written approval is obtained prior to any changes to the contract.
• Procedures to retain accounting records and source documentation as required by the terms of the
contract.
• A system of internal control which provides reasonable assurance that assets are protected; financial
data, records and statements are reliable; and errors and irregularities are promptly discovered, reported,
and corrected. The elements of a system of internal control should include, but not be limited to, the
following:
a. Separation of duties for proper protection of assets. Incompatible duties are those that place any
person in a position to both perpetrate and conceal errors or irregularities in the normal course of
business. For example, the person who writes checks should be different from the person who
reconciles bank statements and the person who purchases goods should be different from the person
who receives goods.
b. Limiting access to assets to only authorized personnel who require these assets in the performance
of their assigned duties. For example, blank check stock should be locked in a safe when not in use.
c. Authorization and record keeping procedures which provide effective accounting control over assets,
liabilities, revenues, and expenditures.
d. A system of practices to be followed in the performance of duties and functions. Such a system
normally includes policies and procedures which establish the purpose and requirements of the
accounting system. For example, timekeeping practices should ideally provide for the following:
- Timesheets be prepared, signed, and dated by all employees.
- Timesheets be completed in non -erasable ink.
- Timesheet corrections be crossed -out and initialed by the employee.
- Timesheets be signed by a supervisor as reviewed and retained on file as required by the
contract.
e. Personnel with skills and training commensurate with their responsibilities.
f. A system of internal review. For example, bank reconciliations and travel expense claims should be
reviewed approved and signed by a supervisor.
AUDITS
Contractors, whether a prime or subcontractor, performing under a negotiated contract with
Caltrans are subject to the following audits:
PREAWARD AUDITS
Prior to the award of a contract, the Caltrans Audits Office will conduct a preaward evaluation to
determine if the contractor's accounting system is adequate to accumulate and segregate costs as
detailed in the previous section and to determine if the proposed costs are reasonable. It alerts both the
contractor and Caltrans management to problems relative to the contractor's cost proposal and cost
accounting system. Due to time constraints in the award process, your cooperation in scheduling the
preaward audit with short notice will expedite the execution of your contract.
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Pave: 16
INTERIM AUDITS
Interim audits are performed on an as needed basis. During the preaward audit, if it is determined that the
contractor's accounting system is new or minor deficiencies are noted, an interim audit is scheduled to
determine that the system is functioning adequately to ensure that billed costs are supported and that any
deficiencies were corrected. An interim audit may be requested by the contract administrator or by
Caltrans management to address concerns during the course of the contract. Also, an audit manager may
initiate an interim audit of a long duration contract to ensure that costs reimbursed to date are allowable.
POST AUDITS
Post audits of contracts are performed routinely after project completion. Post audits are performed to
determine whether the costs claimed are allowable, allocable, reasonable, and in compliance with the
Federal and State laws and regulations as well as the fiscal provisions stipulated in the contract. The
examination includes reviews of applicable laws and regulations, the contract requirements and the
contractor's system of internal controls. Audit tests of the contractor's accounting records and other
auditing procedures considered necessary will also be made. Applications of all audit procedures would
also be governed by the individual contract under audit. Unsupported or unallowable costs are normally
the result of weaknesses in the accounting system and will be reimbursed to Caltrans.
AUDIT CRITERIA
For specific information regarding basic cost accounting systems and applicable State and Federal
regulations, please see the following:
Code of Federal Regulations 48, Federal Acquisition Regulations System, Chapter 1, Part 31
This regulation contains cost principles and procedures for the pricing of contracts/subcontracts
and the determination, negotiation, or allowance of costs. Contact:
Superintendent of Documents
Government Printing Office
Washington, DC 20402
(202) 783-3238
California State Administrative Manual
A reference source for statewide policies, procedures, regulations, and information. Contact:
Documents and Publications
Office of Procurement
Department of General Services
P.O. Box 1015
North Highlands, CA 95660
(916) 973-3700
For review of the above references, contact your local library or the California State Library.
California State Library/Library and Courts Building
914 Capitol Mall
P. O. Box 942837
Sacramento, CA 94237-0001
Information: (916) 654-0261
For assistance in establishing an accounting system which will meet the objectives outlined in this
brochure, you should contact an accountant and/or bookkeeper who is familiar with cost
accounting systems.
Caltrans is an affirmative action employer. Equal opportunity is offered to all regardless of race,
color, creed, national origin, ancestry, sex, marital status, disability, religious or political affiliation,
age or sexual orientation. Contractors that contract with Caltrans are responsible for taking
necessary and reasonable steps to achieve these same goals.
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 17
Attachment 2
December 17, 2007 Resolution of the City Council authorizing agreement to accept
Caltrans Grant of $140,000 for a Canalfront Conceptual Design Plan
(to be attached)
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: Izs
Attachment 3
Scope of Work, Schedule and Cost
City of San Rafael Canalfront Conceptual Design Plan
1.0 PROJECT START-UP AND PROJECT MANAGEMENT
Task 1.1: Form Technical Advisory Committee (TAC)
• Form Technical Advisory Committee (TAC) of City staff (Public Works, Redevelopment, City
Attorney, etc.) and other interested agencies, such as Transportation Authority of Marin.
Deliverable Documentation
Membership of Technical Advisory Membership list of Technical Advisory
Committee Committee
Task 1.2: Form Canal Advisory Committee (CAC)
• Advertise widely through direct mailings to residents, newspaper press releases in Spanish and
English, and email to local agencies the availability of applications to apply for the Canal
Advisory Committee.
• City Council appointment of the members of the Canal Advisory Committee. A majority of the
Committee shall be residents and business owners from the Canal Neighborhood.
• Prepare for, facilitate and summarize meetings of the Canal Advisory Committee.
Deliverable Documentation
Distribute by hand, email and/or mail 20 Numbers will be on the invoices
invitations to apply to interested
residents, local businesses, and local
institutions.
Appointment of the Canal Advisory City Council staff report
Committee by the City Council Membership list of Canal Advisory
Committee
Task 1.3: Select Project Consultant
• Send out request for proposals to design/engineering firms with expertise in community
involvement and conceptual design plans.
• With the assistance of members from the TAC and CAC, review the work program, and interview
potential project consultants to conduct workshops.
• With feedback from the TAC and CAC, staff selects consultant and prepare contract. Collaborate
with Caltrans as needed re. consultant selection.
• City Council approval of consultant's contract.
Deliverable Documentation
Request for Proposal distributed Request for Proposal document
Selection of Consultant Consultant's contract
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 19
Task 1.4: Project Management
The City of San Rafael Community Development Department will manage the project including
administration of the grant and coordination of all activities related to the scope of work. Duties will
include establishing contractual arrangements with all subconsultants, monitoring consultant work,
participating in public events, reviewing deliverables, processing invoices, etc.
Deliverable Documentation
Meetings of the Canal Advisory Meeting summaries
Committee
2.0 BACKGROUND REPORT
Task 2.1: Prepare background report
• Using the Bay Trails matching grant funds, contract for services to provide background
information necessary for the preparation of a conceptual design plan.
• Prepare a report of background information that would include the following:
o Preliminary environmental information essential to the preparation of the design plan,
such as
■ Geotechnical/Hazardous Materials (review of available information)
■ Biotic Study (map of approximate boundary of wetlands, assessment of potential
biological resources, description of regulatory agencies)
o Results of consultation with the State Lands Commission regarding property ownership
information and issues.
o History of planning to date, including the Bay Trail, the General Plan, and the Canal
Community -Based Transportation Plan.
o All permitting requirements for possible crossing of a navigable waterway, such as Corps
of Engineers, Coast Guard, State Lands Commission, Fish & Game, BCDC, and local
groups such as the Bicycle/Pedestrian Advisory Committee.
o Other necessary environmental or other background studies
o Base maps (topographic, aerial, etc.) and related information (property ownership) to
convey topographic and building footprint information
o Preparation of Background Report
Deliverable
Documentation
Background information summarized in Background Report document
background report for use by TAC,
CAC, and participants in the community
workshops
3.0 COMMUNITY WORKSHOP #1
Workshop #1 will be a review of the background information, a walk of the site, and community
dialogue to identify potential design options for the paseo, crossing and development facing the
Canal.
Task 3.1
• Prepare for workshop with TAC, CAC and consultant. Workshop will include walkabouts and
exercises that result in "wish list" ideas for the consultant to consider.
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 20
Task 3.2
• Work with the Canal Welcome Center to ensure outreach to the community about the first
workshop, including distribution of fliers, publicity through local agencies, publicity through the
schools, and publicity through the local media, including the Spanish language newspaper.
Task 3.3
• Prepare materials and conduct community workshop #1.
Task 3.4
• Prepare summary of community workshop #1 for TAC, CAC and consultant.
Deliverable
Publicity about workshop #1
Community workshop #1
Workshop summary
Documentation
Numbers of people and names of agencies
contacted
Press releases and media contacted
Agenda and workshop materials
Summary document from community
workshop #1
4.0 DEVELOPMENT OF DESIGN ALTERNATIVES
Task 4.1
With input from the TAC and CAC and from community workshop #1 comments, the consultant
will prepare design alternatives for the Bay Trail alignment/ Canal paseo and crossing for
consideration by the TAC and CAC, and at community workshop #2.
Task 4.2
Prepare a review of costs and benefits of each alternative, as well as permitting constraints from
necessary agencies.
Deliverable Documentation
Design Alternatives Drawings of design alternatives presented at
Community Workshop #2
5.0 COMMUNITY WORKSHOP #2
Workshop #2 will be a review of design alternatives and identification of preferred components to be
included in the final design plan. All possible permitting agencies will be included in the discussions
of preferred alternatives.
Task 5.1
• Work with TAC, CAC and consultant to prepare format of community workshop #2.
Task 5.2
• Work with the Canal Welcome Center to ensure outreach to the community about the first
workshop, including distribution of fliers, publicity through local agencies, publicity through the
schools, and publicity through the local media, including the Spanish language newspaper.
Task 5.3
• Prepare materials and conduct community workshop #2.
Task 5.4
• Prepare summary of community workshop #1 for TAC, CAC and consultant.
Deliverable I Documentation
�AN RAFAEL CITY COUNCIL AGENDA REPORT / Paye: 21
Publicity about workshop #2
Community workshop #2
Workshop summary
Numbers of people and names of agencies
contacted
Press releases and media contacted
Agenda and workshop materials
Summary document of results from
community workshop #2
6.0 DRAFT CANALFRONT CONCEPTUAL DESIGN PLAN
Task 6.1
With direction from the TAC and CAC after considering the results from community workshop
#2, the consultant will prepare a draft conceptual design plan, including a review of the costs and
benefits and permitting requirements of any proposed infrastructure.
Deliverable
IDraft Conceptual Design Plan
Documentation
Document of draft plan
Task 6.2
• Contact neighborhood groups and organizations, and the Pickleweed Park Advisory Committee,
the Design Review Board, and the Bicycle/Pedestrian Advisory Committee to schedule focus
group discussions about the draft conceptual design plan. Conduct focus group meetings, and
prepare summary of the comments received on the draft plan.
Deliverable Documentation
Focus group meetings Calendar of focus group meetings
Comment Summary Document summarizing the comments heard
at the focus group discussions
7.0 FINAL CANALFRONT CONCEPTUAL DESIGN PLAN
Task 7: Final Conceptual Design Plan
Task 7.1
• With direction from the TAC and CAC after considering the results from focus groups
discussions, the consultant will prepare a final conceptual design plan, including a review of the
costs and benefits and permitting requirements of any proposed infrastructure.
• The CAC and staff will present the recommended Conceptual Design Plan to the City Council.
Task 7.2
• Print final Canalfront Conceptual Design Plan and distribute to community, planners, and
agencies. Use final plan to pursue funding for implementation.
Deliverable Documentation
Final Conceptual Design Plan Document of final plan
Staff report of presentation to the City
Council.
SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 22,
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RESOLUTION NO. 12404
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN RAFAEL
AUTHORIZING THE CITY MANAGER TO EXECUTE AN AGREEMENT
TO ACCEPT AND EXPEND A GRANT IN THE AMOUNT OF $1409000
FROM THE CALIFORNIA DEPARTMENT OF TRANSPORTATION FOR
A CANALFRONT CONCEPTUAL DESIGN PLAN (P06-005)
WHEREAS, the California Department of Transportation, Division of Transportation
Planning provides grants for local officials, community leaders and stakeholders that enhance
mobility by promoting neighborhood and project design that enable more walking and biking for
healthier communities, reduce dependence on single -occupant vehicle trips and reduce traffic
congestion and improve air quality; and
WHEREAS, the City of San Rafael applied for and has been awarded a grant in the
amount of $140,000 from the California Department of Transportation to fund community based
transportation planning to create a safe and accessible way to walk and bike along and cross over
the San Rafael Canal; and
WHEREAS, this project includes $30,000 in matching funds, with $20,000 from the
Association of Bay Area Governments and $10,000 in-kind funds from the City of San Rafael.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SAN RAFAEL
DOES HEREBY RESOLVE as follows:
The City Manager is authorized to execute, on behalf of the City of San Rafael, an
agreement to accept and expend a grant in the amount of $140,000 from the California
Department of Transportation for a Canalfront Conceptual Design Plan, as shown in Exhibit 1,
Fund Transfer Agreement.
I, ESTHER C. BEIRNE, Clerk of the City of San Rafael, hereby certify that the
foregoing Resolution was duly and regularly introduced and adopted at a regular meeting of the
City Council of said City held on Monday, the 17th day of December, 2007 by the following
vote, to wit:
AYES: COUNCILMEMBERS: Brockbank, Connolly, Heller, Miller & Mayor Boro
NOES: COUNCILMEMBERS: None
ABSENT: COUNCILMEMBERS: None
ESTHER C. BEIRNE, City Clerk
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