HomeMy Public PortalAbout08 August 26, 2019 Budget & Implementation
Comments are welcomed by the Commission. If you wish to provide comments to the Commission,
please complete and submit a Speaker Card to the Clerk of the Board.
MEETING AGENDA
Budget and Implementation Committee
Time: 9:30 a.m.
Date: August 26, 2019
Location: BOARD ROOM
County of Riverside Administration Center
4080 Lemon St, First Floor, Riverside CA 92501
COMMITTEE MEMBERS
Linda Krupa, Chair / Russ Brown, City of Hemet
Lloyd White, Vice Chair / Julio Martinez, City of Beaumont
Larry Smith / Linda Molina, City of Calimesa
Randall Bonner / Jeremy Smith, City of Canyon Lake
Raymond Gregory / Mark Carnevale, City of Cathedral City
Steven Hernandez / Megan Beaman Jacinto, City of Coachella
Scott Matas / Russell Betts, City of Desert Hot Springs
Bob Magee / Natasha Johnson, City of Lake Elsinore
Lisa Middleton / Jon R. Roberts, City of Palm Springs
Rusty Bailey, / Andy Melendrez, City of Riverside
Michael Naggar / Maryann Edwards, City of Temecula
Karen Spiegel, County of Riverside, District II
Chuck Washington, County of Riverside, District III
STAFF
Anne Mayer, Executive Director
Theresia Trevino, Chief Financial Officer
AREAS OF RESPONSIBILITY
Annual Budget Development and Oversight
Competitive Federal and State Grant Programs
Countywide Communications and Outreach Programs
Countywide Strategic Plan
Legislation
Public Communications and Outreach Programs
Short Range Transit Plans
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
BUDGET AND IMPLEMENTATION COMMITTEE
www.rctc.org
AGENDA*
*Actions may be taken on any item listed on the agenda
9:30 a.m.
Monday, August 26, 2019
BOARD ROOM
County of Riverside Administrative Center
4080 Lemon Street, First Floor
Riverside, California
In compliance with the Brown Act and Government Code Section 54957.5, agenda materials distributed
72 hours prior to the meeting, which are public records relating to open session agenda items, will be
available for inspection by members of the public prior to the meeting at the Commission office, 4080 Lemon
Street, Third Floor, Riverside, CA, and on the Commission’s website, www.rctc.org.
In compliance with the Americans with Disabilities Act, Government Code Section 54954.2, and the Federal
Transit Administration Title VI, please contact the Clerk of the Board at (951) 787-7141 if special assistance
is needed to participate in a Commission meeting, including accessibility and translation services. Assistance
is provided free of charge. Notification of at least 48 hours prior to the meeting time will assist staff in
assuring reasonable arrangements can be made to provide assistance at the meeting.
1. CALL TO ORDER
2. ROLL CALL
3. PLEDGE OF ALLEGIANCE
4. PUBLIC COMMENTS – Each individual speaker is limited to speak three (3) continuous
minutes or less. The Committee may, either at the direction of the Chair or by majority vote
of the Committee, waive this three minute time limitation. Depending on the number of
items on the Agenda and the number of speakers, the Chair may, at his/her discretion, reduce
the time of each speaker to two (2) continuous minutes. Also, the Committee may terminate
public comments if such comments become repetitious. In addition, the maximum time for
public comment for any individual item or topic is thirty (30) minutes. Speakers may not yield
their time to others without the consent of the Chair. Any written documents to be
distributed or presented to the Committee shall be submitted to the Clerk of the Board. This
policy applies to Public Comments and comments on Agenda Items.
Under the Brown Act, the Board should not take action on or discuss matters raised during
public comment portion of the agenda which are not listed on the agenda. Board members
may refer such matters to staff for factual information or to be placed on the subsequent
agenda for consideration.
Budget and Implementation Committee
August 26, 2019
Page 2
5. ADDITIONS/REVISIONS (The Committee may add an item to the Agenda after making a
finding that there is a need to take immediate action on the item and that the item came to
the attention of the Committee subsequent to the posting of the agenda. An action adding
an item to the agenda requires 2/3 vote of the Committee. If there are less than 2/3 of the
Committee members present, adding an item to the agenda requires a unanimous vote.
Added items will be placed for discussion at the end of the agenda.)
6. APPROVAL OF MINUTES – JUNE 24, 2019
7. CONSENT CALENDAR - All matters on the Consent Calendar will be approved in a single
motion unless a Commissioner(s) requests separate action on specific item(s). Items pulled
from the Consent Calendar will be placed for discussion at the end of the agenda.
7A. SINGLE SIGNATURE AUTHORITY REPORT
Page 1
Overview
This item is for the Committee to:
1) Receive and file the Single Signature Authority report for the fourth quarter
ended June 30, 2019; and
2) Forward to the Commission for final action.
8. QUARTERLY PUBLIC ENGAGEMENT METRICS REPORT, APRIL – JUNE 2019
Page 3
Overview
This item is for the Committee to:
1) Receive and file the Quarterly Public Engagement Metrics Report for April – June
2019; and
2) Forward to the Commission for final action.
Budget and Implementation Committee
August 26, 2019
Page 3
9. REVISIONS TO THE PROCUREMENT POLICY MANUAL
Page 68
Overview
This item is for the Committee to:
1) Approve the revised Riverside County Transportation Commission Procurement
Policy Manual (PPM) for the procurement and contracting activities undertaken by
the Commission, pursuant to legal counsel review as to conformance to state and
federal law;
2) Adopt Resolution No. 19-008, “Resolution of the Riverside County Transportation
Commission Regarding the Revised Procurement Policy Manual”; and
3) Forward to the Commission for final action.
10. STATE AND FEDERAL LEGISLATIVE UPDATE
Page 76
Overview
This item is for the Committee to:
1) Receive and file an update on state and federal legislation; and
2) Forward to the Commission for final action.
11. FISCAL YEAR 2019/20 ANNUAL LOCAL TRANSPORTATION FUND PLANNING ALLOCATIONS
TO WESTERN RIVERSIDE COUNCIL OF GOVERNMENTS AND COACHELLA VALLEY
ASSOCIATION OF GOVERNMENTS
Page 87
Overview
This item is for the Committee to:
1) Approve an allocation of Local Transportation Fund (LTF) funds for planning in the
amount of $800,250 for Western Riverside Council of Governments (WRCOG) and
$436,500 for the Coachella Valley Association of Governments (CVAG) for efforts
identified in each agency’s Fiscal Year 2019/20 LTF Program Objectives/Work Plan
(Work Plan) that supports transportation planning programs and functions consistent
with regional and subregional plans, programs, and requirements; and
2) Forward to the Commission for final action.
Budget and Implementation Committee
August 26, 2019
Page 4
12. FISCAL YEAR 2019/20 STATE OF GOOD REPAIR PROGRAM ALLOCATIONS
Page 98
Overview
This item is for the Committee to:
1) Approve Resolution No. 19-009, “Resolution of the Riverside County Transportation
Commission Approving the FY 2019/20 Project List for the California State of Good
Repair Program”;
2) Approve an allocation of $3,910,756 related to Fiscal Year 2019/20 State of Good
Repair (SGR) program funds to eligible Riverside County transit operators;
3) Authorize the Executive Director, or designee, to review, approve and submit projects
to Caltrans which are consistent with SGR program guidelines and to execute and
submit required documents for the SGR program, including the Authorized Agent
Form;
4) Authorize the Executive Director, or designee, to approve administrative
amendments to the FY 2019/20 Short Range Transit Plans for incorporation of the
SGR funds, as necessary; and
5) Forward to the Commission for final action.
13. ITEM(S) PULLED FROM CONSENT CALENDAR AGENDA
14. COMMISSIONERS / STAFF REPORT
Overview
This item provides the opportunity for the Commissioners and staff to report on attended
and upcoming meeting/conferences and issues related to Commission activities.
15. ADJOURNMENT
The next Budget and Implementation Committee meeting is scheduled to be held at
9:30 a.m., Monday, September 23, 2019, Board Chambers, First Floor, County
Administrative Center, 4080 Lemon Street, Riverside.
AGENDA ITEM 6
MINUTES
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
BUDGET AND IMPLEMENTATION COMMITTEE
Monday, June 24, 2019
MINUTES
1. CALL TO ORDER
The meeting of the Budget and Implementation Committee was called to order by
Chair Linda Krupa at 9:30 a.m., in the Board Room at the County of Riverside
Administrative Center, 4080 Lemon Street, First Floor, Riverside, California, 92501.
2. ROLL CALL
Members/Alternates Present Members Absent
Rusty Bailey Lisa Middleton
Randall Bonner Larry Smith
Raymond Gregory
Megan Beaman Jacinto
Linda Krupa
Bob Magee
Scott Matas
Michael Naggar
Karen Spiegel*
Chuck Washington
Lloyd White
*Arrived after the meeting was called to order
3. PLEDGE OF ALLEGIANCE
Commissioner Lloyd White led the Budget and Implementation Committee in a flag
salute.
4. PUBLIC COMMENTS
There were no requests to speak from the public.
RCTC Budget and Implementation Committee Minutes
June 24, 2019
Page 2
5. APPROVAL OF MINUTES – APRIL 22, 2019
M/S/C (Naggar/Bailey) to approve the minutes of April 22, 2019 meeting as
submitted.
Abstain: Gregory and Washington
6. ADDITIONS / REVISIONS
There were no additions or revisions to the agenda.
7. CONSENT CALENDAR - All matters on the Consent Calendar will be approved in a single
motion unless a Commissioner(s) requests separate action on specific item(s). Items pulled
from the Consent Calendar will be placed for discussion at the end of the agenda.
M/S/C (Bonner/Gregory) to approve the following Consent Calendar item(s):
7A. QUARTERLY SALES TAX ANALYSIS
1) Receive and file the sales tax analysis for Quarter 4, 2018; and
2) Forward to the Commission for final action.
At this time, Commissioner Karen Spiegel joined the meeting.
8. #REBOOT MY COMMUTE PUBLIC ENGAGEMENT PROGRAM SUMMARY
Cheryl Donahue, Public Affairs Manager, presented the Reboot My Commute Program,
highlighting the following areas:
• Overview:
o March 6 – June 3 = 90 days
o Inform long-term transportation priorities
o “We are listening” theme
o Multiple tools for public to tell their stories, offer suggestions
• Information/engagement tools
• Website feedback, by the numbers – 22,061 number of sessions; 19,556 number
of unique users; and 473 for submissions
• Community outreach – Tele-town Halls – 7,539 participants; 52 comments; and 9
voice messages
o Community Booths – 6 events; 3,529 event attendance; 559 people
engaged
• Social Media Engagement with Facebook, Twitter, Instagram, and YouTube
RCTC Budget and Implementation Committee Minutes
June 24, 2019
Page 3
• Improving our profile – A graphic with social media public sentiment for March 1
– June 7, 2019
• We are listening – Reviewed every comment – 948 received; many comments
addressed more than one topic; please with volume, constructive tone; and
residents understand where investment is needed
• Comments by topic graphic and the most frequent topic of interest were the
highways-traffic
• Comment summary by topic – Active Transportation; Economy & Jobs; Highways
& Traffic; Streets & Local issues; Public Transportation; Safety; and Express Lanes
• Comments by Geography graphic
• Heat map displaying the origin of comments – Riverside County
• Zoomed in version of the heat map displaying the origin of comments – Western
County and Eastern County
• Comment summary by Geographic area – Coachella Valley; Hemet/San Jacinto;
I-215 Corridor; Northwestern Riverside County; Southwestern Riverside County;
Riverside; San Gorgonio Pass; and other
• Next steps
M/S/C (Washington/Spiegel) to:
1) Receive and file an update about the Commission’s #RebootMyCommute
public engagement program in Riverside County; and
2) Forward to the Commission for final action.
9. STATE AND FEDERAL LEGISLATIVE UPDATE
Jillian Guizado, Legislative Affairs Manager, presented an update for the state and federal
legislative activities, including one recommended bill position.
In response to Commissioner Chuck Washington’s inquiry about HR. 2939 (Napolitano)
for the aviation gas tax that is collected as a result of the Riverside County voters approval,
which is the only portion of the taxes being discussed wanting to retain here, Jillian
Guizado replied as far as the Commission goes yes. She stated for any cities that have
passed their local taxes it applies to their taxes as well.
Commissioner Washington explained being a supporter of this Federal Aviation
Administration (FAA) rule because the money collected locally should stay local. He
stated the money collected at a particular airport should go back into that facility and in
looking at economic development, airports play a crucial role for a Region or Subregion
and any funds siphoned away from that harm that community. He requested clarification
as to what HR. 2939 is going to do for the Commission and why the Commission is
supporting it.
RCTC Budget and Implementation Committee Minutes
June 24, 2019
Page 4
Anne Mayer, Executive Director, replied the challenge for the Commission as Jillian
Guizado noted, in any city where the voters passed a general sales tax, voters approved a
sales tax measure for a very specific purpose and it is clearly outlined how the money will
be spent and who gets to make those decisions. She stated with this action, FAA is
reaching into local funds overriding the intent of the voters to take the money for aviation
purposes on premises. Anne Mayer discussed how other state and federal agencies could
decide to take the money for their own purpose since the voters did not authorize a sales
tax countywide, which the basic premise of these sales taxes is it cannot happen.
Commissioner Washington clarified he is not stating that the federal government should
come in and take specifically approved sales tax dollars from the community. He clarified
what is does this legislation achieve for the Commission and how much is the Commission
fighting to keep what was approved.
Anne Mayer replied that is what the Commission is intending, fighting to protect the
Commission’s own funds.
Chair Krupa stated city of Hemet is one of the cities that has a sales tax and there is a
county airport within their city limits whose aviation fuel is taxed by the cities’ one-cent
sales tax, and she asked is this money going back to the city of Hemet.
Jillian Guizado replied if HR. 2939 passed then the city would retain the right to collect
that one-cent on gas. She explained currently with the rule making from 2014 states
those local taxes and the district taxes the Commission administers need to go to the
airports. The state of California that collects the sales taxes and redistributes them has
not been following the rule making so the Commission and the cities have been receiving
their taxes. She discussed the FAA May letter to the state of California about not
complying with the 2014 rule making if the state were to decide to comply then those
funds would stop coming to the city.
M/S/C (White/Bonner) to:
1) Adopt the following bill position:
a) HR. 2939 (Napolitano) – Support;
2) Receive and file an update on state and federal legislation; and
3) Forward to the Commission for final action.
10. FISCAL YEARS 2019/20 – 2023/24 MEASURE A FIVE-YEAR CAPITAL IMPROVEMENT
PLANS FOR THE LOCAL STREETS AND ROADS PROGRAM
Martha Masters, Senior Management Analyst, presented the Fiscal Years 2019/20 –
2023/24 Measure A Five-Year Capital Improvement Plans (CIPs) for the Local Streets and
Roads (LSR) Program, highlighting the following areas:
RCTC Budget and Implementation Committee Minutes
June 24, 2019
Page 5
• Measure A Ordinance: Western County LSR: 29%; Coachella Valley LSR: 35%; and
Palo Verde Valley LSR: 100%
• Distribution of Measure A LSR funds:
o Western County and Palo Verde Valley: 75% - Proportionate population
and 25% - Sales tax revenues generated within each jurisdiction
o Coachella Valley: 50% - Proportionate population and 50% Sales tax
revenues generated within each jurisdiction
• LSR requirements:
o Participate in the respective Council of Governments’ Transportation
Uniform Mitigation Fee (TUMF ) Program
o Western County agencies must also participate in the Multiple Species
Habitat Conservation Plan (MSHCP)
o Annually submit a Five-Year CIP certification of Maintenance of Effort
(MOE) and project status report of the prior year CIP
• LSR participating agencies for Western County, Coachella Valley, and Palo Verde
Valley
M/S/C (Bailey/Bonner) to:
1) Approve the Fiscal Years 2019/20 – 2023/24 Measure A Five-Year Capital
Improvement Plan (CIP) for Local Streets and Roads (LSR) as submitted
by the participating agencies; and
2) Forward to the Commission for final action.
11. RIVERSIDE COUNTY TRANSIT SERVICES FUNDING ALLOCATIONS FOR FISCAL YEAR
2019/20
Monica Morales, Management Analyst, presented the Riverside County Transit Services
funding allocations for Fiscal Year 2019/20, highlighting the following:
• The Commission provides funding to seven transit bus operators and two rail
programs within Riverside County
• Total funding request for FY 2019/20 is $250.1 million, of that $19.5 million is for
operating and $70.6 million is for capital costs
• Funding request comparison for FY 2020 vs FY 2019
• A graph summary for FY 2019/20 Transit funding by revenue source
• FY 2019/20 Transit Operator allocations
M/S/C (Gregory/Spiegel) to:
1) Conduct a public hearing at the July Commission meeting on the
proposed Federal Transit Administration (FTA) Section 5307 Program of
Projects (POP);
RCTC Budget and Implementation Committee Minutes
June 24, 2019
Page 6
2) Approve Fiscal Year 2019/20 Transit Operator Funding Allocations for the
cities of Banning, Beaumont, Corona and Riverside; Palo Verde Valley
Transit Agency (PVVTA); Riverside Transit Agency (RTA); SunLine Transit
Agency (SunLine); and the Commission’s Rail Program;
3) Direct staff to add the federally funded and regionally significant projects
into the Federal Transportation Improvement Program (FTIP);
4) Adopt Resolution No. 19-014, “Resolution of the Riverside County
Transportation Commission to Allocate Local Transit Assistance Funds
and State Transit Assistance Funds;”
5) Approve the FY 2019/20 FTA Sections 5307 and 5311 POP for Riverside
County (County); and
6) Forward to the Commission for final action.
12. 2019 TITLE VI PROGRAM REPORT UPDATE, INCLUDING PUBLIC PARTICIPATION PLAN
AND LANGUAGE ASSISTANCE PLAN
Alfredo Machuca, Management Analyst Intern, presented the 2019 Title VI Program
Report update, including Public Participation Plan and Language Assistance Plan,
highlighting the following areas:
• Background: Title VI of the Civil Rights Act of 1964 prohibits discrimination on the
basis of race, color, or national origin in any program or activity that receives
federal funds or federal financial assistance; and the Federal Transit
Administration (FTA) requires that the Title VI Program Report be updated every
three years
• Program objective:
o Ensure that the level and quality of public transportation service is
provided in an non-discriminatory manner
o Promote full and fair participation in public transportation without regard
to race, color, and national origin
o Ensue meaningful access to programs by Limited English Proficiency (LEP)
individuals
• FTA Title VI Requirements:
o Title VI note to the public
o Recipient’s instructions regarding how to file a Title VI complaint and a
copy of the complaint form
o List any past transportation-related Title VI investigations, complaints, or
lawsuits since the last report submission
o Formulate a Public Participation Plan that includes an outreach plan to
engage minority and LEP populations
o Develop a Language Assistance Plan
o A table depicting the membership on non-elected committees and
councils, broken down by race, which is the Citizens Advisory Committee
RCTC Budget and Implementation Committee Minutes
June 24, 2019
Page 7
o Subrecipient Title VI monitoring (not applicable)
o Title VI Equity Analysis for sites and location of facilities
o Documentation of governing board review and approval
M/S/C (Washington/Spiegel) to:
1) Approve the 2019 Title VI Program Report, including the Public
Participation Plan and Language Assistance Plan in compliance with
Federal Transit Administration (FTA) requirements; and
2) Forward to the Commission for final action.
13. 2020 STATE TRANSPORTATION IMPROVEMENT PROGRAM FUNDING DISTRIBUTION
Shirley Medina, Planning and Programming Director, presented the 2020 State
Transportation Improvement Program (STIP) funding distribution, highlighting the
following:
• 2020 STIP:
o The 2020 STIP Fund Estimate (FE) will be released by the CTC in late June
2019
o The FE will identify the amount of funding for each county share in the
state for FYs 2020/21 – 2024/25
o STIP Intracounty memorandum of understanding
• Measure A taxable sales for past STIP cycles and demonstrates the percentage
split for each area and growth increase
• Upon release of the 2020 STIP FE still will:
o Contact CVAG to review STIP submittal process and timeline
o Develop project nominations for Western County
o Present proposed 202 STIP projects to the Commission at its September or
October meeting
o Prepare submittal to CTC by December 15, 2019 deadline
o Blythe STIP fund trade MOU approval will be initiated upon the 2020 STIP
adoption by the CTC in March 2020
M/S/C (Bailey/Jacinto) to:
1) Approve the 2020 State Transportation Improvement Program (STIP)
funding distribution among the three geographic areas in Riverside
County per the adopted STIP Intracounty Memorandum of
Understanding (MOU); and
2) Forward to the Commission for final action.
RCTC Budget and Implementation Committee Minutes
June 24, 2019
Page 8
14. COACHELLA FESTIVAL SPECIAL EVENTS TRAIN PLATFORM DEVELOPMENT PROJECT
Sheldon Peterson, Rail Manager, presented the details for the Coachella Festival Special
Events Train Platform Development Project, including the agreements with CalSTA and
LOSSAN, and the resolutions for authorization and execution of the State Rail Assistance
Project.
In response to Commissioner Spiegel’s inquiry that this is for 10 cars and if staff is looking
at future Commuter Rail stations, Sheldon Peterson replied it would be special for the
Coachella Festival. He explained what LOSSAN and Amtrak has done for the Del Mar
trains when they take people to races they run a special 10 car set, which can handle the
most people for those trips.
Commissioner Jacinto expressed that this is an interesting project and in the Coachella
Valley some of the communities have a love hate relationship with the music festivals as
they bring a lot of opportunities, they elevate Coachella Valley and level of recognition
around the country and the world. She expressed there is traffic congestion and other
challenges to the neighboring communities so the optics are going to be complicated for
several of their residents as was reflected in the Reboot My Commute effort there has
been a long time desire to improve the rail connectivity between Coachella Valley and
any other place. She suggested to work towards that longer-term connectivity between
Coachella Valley and other parts of the state.
M/S/C (Gregory Bonner) to:
1) Approve Agreement No. 19-25-103-00 with the California State
Transportation Agency (CalSTA) regarding a State Rail Assistance (SRA)
grant to fund the Coachella Festival Special Event Train Platform
Development Project (Platform Project) for an amount not to exceed
$5,942,510;
2) Adopt Resolution No. 19-012, “Resolution of the Riverside County
Transportation Commission Regarding Authorization for the Execution of
the Certifications and Assurances and Authorized Agent Forms for the
State Rail Assistance”;
3) Adopt Resolution No. 19-013, “Resolution of the Riverside County
Transportation Commission Regarding Authorization for the Execution of
the State Rail Assistance Project”;
4) Approve Memorandum of Understanding (MOU) Agreement No. 19-25-
102-00 with Los Angeles – San Diego – San Luis Obispo Rail Corridor
(LOSSAN) and Amtrak for the coordination and development of the
Platform Project;
RCTC Budget and Implementation Committee Minutes
June 24, 2019
Page 9
5) Authorize the Executive Director, pursuant to legal counsel review, to
negotiate and execute the final CalSTA and MOU agreements on behalf
of the Commission;
6) Authorize the Executive Director, pursuant to legal counsel review, to
negotiate and execute a cooperative agreement with Amtrak for
construction of the Platform Project based on estimated costs
established by the Commission and within the Platform Project budget
estimated at $8,688,241;
7) Authorize the Executive Director, pursuant to legal counsel review, to
negotiate and execute agreements with LOSSAN, the city of Indio (City),
Goldenvoice, Valley Music Travel, and host railroads, as may be needed
for the full implementation of the Platform Project, provided that all such
agreements are within the Platform Project budget estimated at
$8,688,241; and
8) Forward to the Commission for final action.
15. ITEM(S) PULLED FROM CONSENT CALENDAR AGENDA
There were no items pulled from the consent calendar.
16. COMMISSIONERS / EXECUTIVE DIRECTOR REPORT
16A. Chair Krupa welcomed Commissioner Meagan Beaman Jacinto as an alternate to
this committee.
16B. Anne Mayer announced June 28 at 10:00 a.m. the groundbreaking will be held
for the State Route Truck Lane Project.
17. ADJOURNMENT
There being no further business for consideration by the Budget and Implementation
Committee, the meeting was adjourned at 10:23 a.m.
Respectfully submitted,
Lisa Mobley
Clerk of the Board
AGENDA ITEM 7A
Agenda item 7A
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: August 26, 2019
TO: Budget and Implementation Committee
FROM: Jose Mendoza, Senior Procurement Analyst
Matt Wallace, Procurement Manager
THROUGH: Theresia Trevino, Chief Financial Officer
SUBJECT: Single Signature Authority Report
STAFF RECOMMENDATION:
This item is for the Committee to:
1) Receive and file the Single Signature Authority report for the fourth quarter ended
June 30, 2019; and
2) Forward to the Commission for final action.
BACKGROUND INFORMATION:
Certain contracts are executed under single signature authority as permitted in the Commission’s
Procurement Policy Manual adopted in June 2018. The Executive Director is authorized to sign
services contracts that are less than $150,000 individually and in an aggregate amount not to
exceed $1.5 million in any given fiscal year. Additionally, in accordance with Public Utilities Code
Section 130323(c), the Executive Director is authorized to sign contracts for supplies, equipment,
materials, and construction of all facilities and works under $50,000 individually.
The attached report details all contracts that have been executed for the fourth quarter ended
June 30, 2019 under the single signature authority granted to the Executive Director. The unused
capacity of single signature authority for services at June 30, 2019 is $362,119.
Attachment: Single Signature Authority Report as of June 30, 2019
1
CONTRACT #
CONSULTANT DESCRIPTION OF SERVICES ORIGINAL CONTRACT
AMOUNT PAID AMOUNT REMAINING
CONTRACT AMOUNT
AMOUNT AVAILABLE July 1, 2018 $1,500,000.00
19-12-006-00 NetFile Form 700 E-filing and administration system 15,000.00 0.00 15,000.00
19-12-008-00 ECS Imaging, Inc.Laserfiche document management services 44,794.00 41,738.00 3,056.00
16-24-080-01 S2 Engineering, Inc.Construction Management Svcs. - La Sierra Parking Lot Expansion Project 150,000.00 144,069.06 5,930.94
19-31-023-00 Potter Handy DBA Center for Disability Settlement agreement 12,000.00 12,000.00 0.00
15-19-043-04 Macias, Gini, O'Connell State of Good Repair audited financial statements for FY18 and FY19 7,000.00 0.00 7,000.00
18-19-169-01 UCR School of Business Sales tax analysis for two additional revenue scenarios and a modified
demographic forecast
16,000.00 0.00 16,000.00
19-33-048-00 Department of Toxic Substances Control Provide environmental hazard oversight and assessment for Downtown
Riverside station platform expansion project
29,087.00 0.00 29,087.00
19-19-060-00 BCA Watson Pre-award audit services 150,000.00 24,050.00 125,950.00
19-31-066-00 Glenn Lukos Associates I-215/Central Project mitigation and monitoring services 150,000.00 0.00 150,000.00
18-12-137-01 Exigent Information technology support services 150,000.00 38,408.28 111,591.72
19-12-084-00 Lora Hassani Human resources consulting services 50,000.00 9,520.00 40,480.00
19-19-098-00 Keenan and Associates Risk management assessment services 20,000.00 0.00 20,000.00
19-31-104-00 Cahuilla Band of Indians MCP Mitigation - Native American Monitoring 52,800.00 0.00 52,800.00
19-31-105-00 Gabrielino Tongva Nation MCP Mitigation - Native American Monitoring 52,800.00 0.00 52,800.00
19-31-106-00 Morongo Band of Mission Indians MCP Mitigation - Native American Monitoring 52,800.00 0.00 52,800.00
19-31-107-00 Pechanga Indian Reservation MCP Mitigation - Native American Monitoring 52,800.00 0.00 52,800.00
19-31-108-00 Soboba Band Luiseno Indians MCP Mitigation - Native American Monitoring 52,800.00 0.00 52,800.00
18-31-153-01 Bechtel Infrastructure Program and Construction Management Support Services 70,000.00 0.00 70,000.00
19-31-123-00 Fairbank, Maslin, Maullin, Metz &
Associates (FM3)
Customer survey for 91 project 10,000.00 0.00 10,000.00
AMOUNT USED 1,137,881.00
1,137,881.00
$362,119.00
None N/A $- $- $-
Jose Mendoza Theresia Trevino
Prepared by Reviewed by
AMOUNT USED
SINGLE SIGNATURE AUTHORITY
AS OF June 30, 2019
Note: Shaded area represents new contracts listed in the fourth quarter.
AMOUNT REMAINING through June 30, 2019
Agreements that fall under Public Utilities Code 130323 (C)
2
AGENDA ITEM 8
Agenda Item 8
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: August 26, 2019
TO: Budget and Implementation Committee
FROM: Matt Wallace, Procurement Manager
THROUGH: Theresia Trevino, Chief Financial Officer
SUBJECT: Revisions to the Procurement Policy Manual
STAFF RECOMMENDATION:
This item is for the Committee to:
1) Approve the revised Riverside County Transportation Commission Procurement Policy
Manual (PPM) for the procurement and contracting activities undertaken by the
Commission, pursuant to legal counsel review as to conformance to state and federal law;
2) Adopt Resolution No. 19-008, “Resolution of the Riverside County Transportation
Commission Regarding the Revised Procurement Policy Manual”; and
3) Forward to the Commission for final action.
BACKGROUND INFORMATION:
The Commission’s initial PPM was adopted in April 2007, in response to the Federal Transit
Administration’s (FTA) 2006 Triennial Review. Since then, the Commission adopted a
comprehensive PPM in July 2012 and approved several revisions to the PPM through
June 2018 to update and comply with FTA, Federal Highway Administration, Caltrans, other state
and federal, and Commission regulations.
Staff updated the PPM as a result of the following:
• Additional changes to the Office of Management and Budget’s issuance of the Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for Federal
Awards (Uniform Guidance), including increased thresholds for micro-purchases and
small purchases for professional services; and
• Other best practices, including Executive Director’s single signature authority based on
Uniform Guidance changes and contract execution.
The changes to the PPM consist of the following:
• Chapter 2 Procurement Generally revisions related to micro-purchase and small
purchase authority, Executive Director’s single signature authority, and contract
execution; and
3
Agenda Item 8
• Chapter 7 Non-Competitive and Emergency Procurements and Remedial Measures
updates consistent with changes in Chapter 2.
Staff recommends approval of these revisions and to adopt Resolution No. 19-008 related to the
revised PPM.
Attachments:
1) Resolution No. 19-008
2) Riverside County Transportation Commission Procurement Policy Manual
(Revision No. 5)
4
RESOLUTION NO. 19-008
RESOLUTION OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
REGARDING THE
REVISED PROCUREMENT POLICY MANUAL
WHEREAS, the Commission previously adopted Resolution No.
18-008, “Resolution of the Riverside County Transportation Commission Regarding the
Revised Procurement Policy Manual”; and
WHEREAS, the Commission is required to comply with the Office of Management
and Budget’s issuance of the Uniform Administrative Requirements, Cost Principles, and
Audit Requirements for Federal Awards (Uniform Grant Guidance); and
WHEREAS, the Commission desires to update its procurement policies and
procedures to continue to be a comprehensive, useful framework and incorporate best
practices for the Commission’s procurements.
NOW, THEREFORE, the Riverside County Transportation Commission does hereby
resolve as follows:
Section 1. The Procurement Policy Manual previously adopted on June 13, 2018, is
hereby replaced in its entirety by the revised Procurement Policy Manual,
set forth in Attachment 1, attached hereto and incorporated herein.
Section 2. The Riverside County Transportation Commission hereby approves and
adopts the Procurement Policy Manual, as revised, to be effective
immediately.
ATTACHMENT 1
5
APPROVED AND ADOPTED this 11th day of September, 2019.
_____________________________________
Chuck Washington, Chair
Riverside County Transportation Commission
ATTEST:
_________________________________
Lisa Mobley, Clerk of the Board
Riverside County Transportation Commission
6
Riverside County Transportation Commission
Procurement Policy Manual
(revised September _11_, 2019)
ATTACHMENT 2
7
Riverside County Transportation Commission
Procurement Policy
Manual September 2019 Revision: 5
i
CHAPTER 1 – PROCUREMENT PROCESS ........................................................................... 1
1.0 PURPOSE AND SCOPE ................................................................................................. 1
2.0 PROCUREMENT POLICY STATEMENT.................................................................... 1
3.0 PROCUREMENT STANDARDS ................................................................................... 2
4.0 TYPES OF CONTRACTS ............................................................................................... 6
5.0 OPTIONS ....................................................................................................................... 10
6.0 COOPERATIVE AGREEMENTS ................................................................................ 12
7.0 RECURRING CONTRACTS ........................................................................................ 13
CHAPTER 2 – PROCUREMENT GENERALLY .................................................................. 15
1.0 IMPLEMENTATION BY EXECUTIVE DIRECTOR; COMMISSION CONTROLS
AND LIMITATIONS .................................................................................................... 15
2.0 PROCUREMENT OFFICER—DESIGNATION AND DELEGATION ...................... 17
3.0 PROCUREMENT OFFICER—DUTIES ...................................................................... 17
4.0 IMPLEMENTATION OF PROCUREMENT PROCEDURES AND GUIDELINES .. 18
5.0 AUTHORIZED METHODS OF PROCUREMENT; SELECTION ............................. 18
6.0 INDEPENDENT COST ESTIMATE ............................................................................ 19
7.0 COST/PRICE ANALYSIS ............................................................................................ 20
8.0 VENDOR CONTACTS PRIOR TO ISSUANCE OF A SOLICITATION .................... 20
9.0 ADVERTISING/PUBLICIZING PROCUREMENTS .................................................. 20
10.0 NON-DISCRIMINATION IN PROCUREMENT ......................................................... 21
11.0 ORGANIZATIONAL CONFLICTS OF INTEREST .................................................... 21
12.0 DUTIES OF COMMISSION STAFF REGARDING PROCUREMENTS ................... 21
13.0 INSURANCE ................................................................................................................. 24
14.0 SUBCONTRACTING ................................................................................................... 25
15.0. DETERMINATION OF FAIR AND REASONABLE PRICE ...................................... 25
16.0 CONTRACT APPROVAL, AWARD, AND EXECUTION ......................................... 26
17.0 PROTEST PROCEDURES ........................................................................................... 27
18.0 PUBLIC RECORDS REQUESTS ................................................................................. 28
CHAPTER 3 – COMPETITIVE SEALED BIDS (“LOW BID”) .......................................... 29
CHAPTER 4 – ALTERNATE DELIVERY CONTRACTS ................................................... 32
1.0 PURPOSE ...................................................................................................................... 32
2.0 PROCEDURES FOR DESIGN-BUILD CONTRACTS ............................................... 32
CHAPTER 5 – COMPETITIVELY NEGOTIATED PROCUREMENTS .......................... 34
1.0 NEGOTIATED PROCUREMENTS—GENERAL....................................................... 34
2.0 SOURCE SELECTION TECHNIQUES ....................................................................... 34
3.0 PROPOSAL EVALUATION ........................................................................................ 35
4.0 REJECTION OF PROPOSALS ..................................................................................... 36
5.0 NEGOTIATION; SELECTION .................................................................................... 36
6.0 SPECIAL PROVISIONS APPLICABLE TO ARCHITECT-ENGINEER AND
RELATED SERVICES .................................................................................................. 36
8
Riverside County Transportation Commission
Procurement Policy
Manual September 2019 Revision: 5
ii
CHAPTER 6 – SIMPLIFIED PURCHASE PROCEDURES ................................................. 38
1.0 GENERAL ..................................................................................................................... 38
2.0 REQUIREMENTS FOR MICROPURCHASES ........................................................... 38
3.0 USE OF SMALL PURCHASE PROCEDURES ........................................................... 38
4.0 PROHIBITED USE OF SMALL PURCHASE PROCEDURES ................................... 39
CHAPTER 7 – NON-COMPETITIVE AND EMERGENCY PROCUREMENTS AND
REMEDIAL MEASURES ......................................................................................................... 40
1.0 NON-COMPETITIVE PROCUREMENTS .................................................................. 40
2.0 EMERGENCY PROCUREMENTS; REMEDIAL MEASURES ................................. 41
3.0 WRITTEN JUSTIFICATION FOR EMERGENCY AND OTHER NON-
COMPETITIVE PROCUREMENTS ............................................................................ 42
CHAPTER 8 – REFERENCES TO APPLICABLE LAWS /REGULATIONS ................... 43
1.0 GENERAL ..................................................................................................................... 43
2.0 REFERENCES .............................................................................................................. 43
3.0 FTA/FHWA-FUNDED PROCUREMENT BY NON-COMPETITIVE (SOLE
SOURCE) PROPOSALS ............................................................................................... 46
4.0 DISADVANTAGED BUSINESS ENTERPRISE AND OTHER REQUIREMENTS.. 47
5.0 GEOGRAPHICAL PREFERENCES ............................................................................ 47
6.0 REVENUE CONTRACTS ............................................................................................ 48
7.0 STATUTORY AND REGULATORY REQUIREMENTS ........................................... 48
CHAPTER 9 – DISPOSAL OF SURPLUS PROPERTY ....................................................... 51
1.0 DEFINITIONS ............................................................................................................... 51
2.0 DISPOSAL OF SURPLUS REAL PROPERTY ............................................................ 51
3.0 DISPOSAL OF PERSONAL PROPERTY .................................................................... 51
CHAPTER 10 – OTHER PROCUREMENT MATTERS ...................................................... 52
1.0 DISPUTES, CLAIMS, AND CHANGES—DEFINITIONS ......................................... 52
2.0 DISPUTES, CLAIMS, AND CHANGES—GENERAL ............................................... 52
3.0 TERMINATION ............................................................................................................ 52
4.0 BONDS, OTHER SECURITIES AND INSURANCE .................................................. 54
5.0 CONTRACT CLOSEOUT ............................................................................................ 55
CHAPTER 11 – PAYMENT ...................................................................................................... 56
1.0 COMMISSION PAYMENT PROCESS ........................................................................ 56
2.0 PROGRESS PAYMENTS ............................................................................................. 56
3.0 PROMPT PAYMENT TO SUBCONTRACTORS—FEDERALLY FUNDED
AGREEMENTS ............................................................................................................. 57
4.0 PAYMENT OF RETENTION ON PUBLIC WORKS CONTRACTS ........................ 57
5.0 REQUEST FOR PAYMENT CERTIFICATION ......................................................... 57
9
Procurement Policy
Manual September 2019 Revision: 5
1
CHAPTER 1 – PROCUREMENT PROCESS
1.0 PURPOSE AND SCOPE
A. The Riverside County Transportation Commission (hereinafter “RCTC” or
“Commission”) procures goods and services using public funds. It has a
responsibility to uphold the public trust and maximize the value of public funds by
using them as efficiently and cost-effectively as possible.
B. This Procurement Policy Manual (Manual) sets forth a general procurement policy
and set of standards that will govern the conduct of Commission procurement
activities and of Commission personnel engaged in those activities. The policies
contained herein are advisory, not mandatory, except as related to applicable state
or federal laws, and any deviation therefrom shall not render any contract of the
Commission void or voidable. This manual is for Commission internal purposes
only and shall not create any rights in any third parties. Compliance with the
provisions in this Manual related to state or federal funding is required in order to
maintain funding eligibility.
C. This Manual is intended to supersede, in its entirety, the Commission’s
Procurement Policies Manual which was adopted on December 13, 2017.
D. As used herein, “FHWA” refers to the Federal Highway Administration; “FTA”
refers to the Federal Transit Administration; and “Caltrans” refers to the California
Department of Transportation.
2.0 PROCUREMENT POLICY STATEMENT
A. The Commission procurement policies establish the guidelines and policies for
procuring the goods and services necessary for the Commission to carry out its
responsibilities and duties. The policies are intended to maintain the integrity of
the Commission’s procurement process, while ensuring that purchases are made in
a cost effective, timely manner; with fair and open competition; and in accordance
with all applicable laws and regulations.
B. The objectives of the Commission’s Procurement Policy Manual are to:
1. Maximize the value received for the Commission’s expenditure of public
funds;
2. Protect assets and/or services purchased with public funds and ensure their
application in the Commission’s interests;
3. Provide all vendors an equal opportunity to provide needed goods and/or
services; and
4. Protect the integrity and reputation of the Commission, its officers, and its
employees.
5. Ensure compliance with state and federal funding requirements, as
applicable.
10
Procurement Policy
Manual September 2019 Revision: 5
2
3.0 PROCUREMENT STANDARDS
A. General
1. Contract Administration System. The Commission will maintain a contract
administration system that helps ensure that contractors perform in
accordance with the terms, conditions, and specifications of their respective
contracts.
a. Contract administration activities may include the following:
i. Receive, evaluate, and act on value engineering and other
change proposals.
ii. Negotiate cost and schedule impact related to change orders and
other contract modifications.
iii. Process disputes under the contract’s disputes clause.
iv. Review and approve payments under any progress payments
clause.
v. Ensure that invoiced personnel charges are for positions and
classifications included in the contract. If new positions or
classifications are required, they must be included pursuant to a
written contract amendment dated prior to the date costs are
incurred.
vi. Ensure that hourly rates and other costs are billed at the
contracted rates. The contracted rates may not be changed,
except in accordance with the terms of the contract, or as legally
allowed based on specific findings approved by the Commission
members.
vii. Monitor progress and ensure timely notification of anticipated
overrun.
viii. Monitor financial status and advise if contract performance is
jeopardized.
ix. Issue task orders and ensure that the basis for payment set forth
in any task order is consistent with the terms of the contract and
the hourly rates included in the contract, as applicable.
x. Perform property administration.
xi. Ensure contractor compliance with quality assurance
requirements.
xii. Evaluate, for adequacy, the contractor’s engineering efforts and
management systems that relate to design, development,
production and testing.
xiii. Evaluate and make recommendations on contractor requests for
waivers and deviations.
11
Procurement Policy
Manual September 2019 Revision: 5
3
xiv. Monitor contractor’s small and disadvantaged business
subcontracting.
xv. Ensure timely submission of required reports.
xvi. Administer special clauses such as drug and alcohol testing.
xvii. Receive, inspect, and accept or reject partial deliveries and final
deliveries of all contract deliverables.
xviii. Assist in contract close out.
b. The administration of construction contracts may be further
supplemented by the Caltrans Construction Manual or other manual
developed for a specific project, as required.
2. Avoid Duplicative Purchases. Commission staff should regularly review
proposed and planned procurements to avoid purchase of unnecessary or
duplicative items.
3. Lease vs. Purchase Analysis. Where appropriate, an analysis should be
made of lease versus purchase alternatives and any other appropriate
analysis to determine the most economical procurement approach.
4. Value Engineering. When appropriate and in the Commission’s best
interests, the Commission will encourage the use of value engineering by
including applicable clauses in contracts for appropriate equipment
purchases and construction projects.
5. Award to Responsive and Responsible Contractors. The Commission will
make awards only to responsive and responsible contractors, as determined
by the Commission, possessing the ability to perform successfully under the
terms and conditions of a proposed contract. Consideration will be given to
such matters as contractor integrity, compliance with public policy as
implemented by applicable laws and regulations, record of past
performance, and financial and technical resources.
a. In connection with the responsibility determination for federally funded
procurements, a check of debarment and suspension must be performed
and documented in the procurement records.
6. Commission Rejection of Bids, Quotes, and/or Proposals. The
Commission, to the extent permitted by applicable laws, may reject any and
all bids, quotes and/or proposals and re-advertise at its sole discretion. The
Commission should ensure that such rights are clearly stated in all
Commission bid documents.
7. Procurement Records. Records sufficient to document the significant
history of each procurement activity should be maintained and retained by
the Commission in accordance with the Commission’s records retention
policy. At a minimum, these records should include:
a. The rationale for the method of procurement;
12
Procurement Policy
Manual September 2019 Revision: 5
4
b. Selection of contract type;
c. Reasons for contractor selection or rejection; and
d. The basis for the contract price.
8. Specifications. The Commission will have clear and accurate contract
specifications or statements of work that identify all requirements that
offerors must fulfill. Additionally, written selection procedures for formal
procurements shall be prepared to help ensure fair, unbiased evaluation of
competing proposals.
a. For federally funded procurements, the Commission is prohibited from
unduly restricting competition or placing unreasonable requirements on
firms in order for them to qualify to do business (e.g., unnecessary
experience and excessive bonding requirements).
9. Brand Name or Equal. The use of “brand name or equal” purchase
descriptions may be permitted:
a. Only when an adequate specification cannot be provided without
performing an inspection and analysis in time for the acquisition under
consideration; and
b. When minimum needs are carefully identified and those salient physical
and functional characteristics of the brand name product are clearly set
forth in the solicitation.
c. For non-federally funded procurements, as otherwise permitted by state
law.
This section is not intended to impose limitations on the Commission’s
ability to require a brand name when the procurement is not federally
funded and is not a “public work” subject to the requirements contained in
the California Public Utilities Code (PUC).
10. Audit Provisions. Every Commission contract wherein contractor or other
entity is receiving Commission funds in excess of $10,000 should include a
provision allowing examination and audit of records related to the contract
by the Commission’s auditor for a period of three years after final payment
under the terms of the contract.
11. Violations or Breach of Contract. All contracts exceeding $100,000 should
include administrative, contractual, or legal remedies for violations or
breach of the contract by the contractor.
12. Termination Clause. All contracts in excess of $25,000, and public works
contracts in excess of $2,000, should provide for the termination of the
contract for the Commission’s convenience, and all contracts should
provide for the termination of the contract for default in cases of contractor
breach or non-performance. Federally funded contracts in excess of
$10,000 must provide for both termination for convenience and cause.
13
Procurement Policy
Manual September 2019 Revision: 5
5
13. Issues not Included in the Procurement Policy Manual. If a policy,
procedure or particular strategy or practice is in the best interest of the
Commission and is not specifically addressed, nor prohibited by statute or
case law, users of this Manual should not assume it is prohibited. Rather,
the absence of direction should be interpreted as permitting the Executive
Director to innovate and use sound business judgment that is otherwise
consistent with law and within the limits of his or her authority.
B. Written Standards of Conduct
1. Conflicts of Interest. All Commission members, officers, employees and
other agents must conduct the procurement process so as to avoid conflicts
of interest, real or apparent. To maintain full and open competition, no
Commission member, officer, employee or other agent, or his or her
immediate family member, partner, or organization that employs or is about
to employ any of the foregoing individuals may participate in the selection,
award, or administration of any Commission contract if a conflict of
interest, prohibited by law, would be involved. For federally-funded
contracts, the foregoing shall also apply when any of those individuals
previously listed has a financial or other interest in the firm selected for
award. In addition to the foregoing, all procurements must be conducted in
accordance with the most current version of the “Conflict of Interest Code
for the Riverside County Transportation Commission” adopted pursuant to
the Political Reform Act of 1974 (as amended).
2. Lobbying and Gifts. Commission officers, employees, agents and
Commission members must comply with applicable state and federal law
regarding acceptance of gifts, gratuities, or favors from contractors,
potential contractors, or parties to subcontractor agreements. For federally-
funded procurements, Commission officers, employees, agents or
Commission members may neither solicit nor accept gifts, gratuities, favors,
or anything of monetary value from contractors, potential contractors, or
parties to subcontracts; provided that exceptions may apply if, as
determined by the Executive Director, the financial interest is not
substantial or the gift is an unsolicited item of nominal intrinsic value. For
federally-funded procurements, nominal value shall mean under fifty
dollars ($50).
3. Violations.
a. The violation of these Standards of Conduct by Commission employees
will subject the violator to any disciplinary proceedings or action deemed
appropriate by the Executive Director. Employees may correct a
violation in any manner provided for under the Political Reform Act, and
its implementing regulations.
b. The violation of any of these Standards of Conduct by Commission
members or officers will require correction of the violation in any
manner provided for under the Political Reform Act, and its
implementing regulations.
14
Procurement Policy
Manual September 2019 Revision: 5
6
c. Contractors or subcontractors that violate these Standards of Conduct as
relates to an active federally-funded procurement may be prohibited from
bidding on the procurement, or may be subject to other action as deemed
appropriate by the Executive Director.
d. Agents of the Commission that violate these Standards of Conduct as
relates to federally-funded procurements may be prohibited from
participation on behalf of the Commission on federally funded projects,
or subject to other action as deemed appropriate by the Executive
Director.
4. Prohibited Communications. To avoid any appearance of impropriety,
instructions to bidders in solicitation documents should prohibit contacts of
any kind from proposers/bidders with any Commission member or any
Commission staff, other than the Procurement Officer, during an open
procurement. Violation of this condition may result in immediate
disqualification of a bid or proposal. This provision is not meant to prohibit
communications between Commission staff and existing
consultants/contractors related to existing business which the
consultant/contractor is under contract to perform on behalf of the
Commission.
4.0 TYPES OF CONTRACTS
A. General Provisions
1. The Procurement Officer should use the types of contracts described in this
Chapter for most types of procurement, except as otherwise provided for
certain small purchases described hereunder in Chapter 6. Innovative
contracting arrangements are not prohibited, but require the advance
approval of the Executive Director or the Commission, as specified herein.
2. The “cost-plus-percentage-of-cost” method of contracting shall not be used
for state or federally funded contracts.
3. The Procurement Officer, in consultation with the project manager, should
select the type of contract that is most appropriate to the circumstances of
each procurement, in accordance with the provisions of this Chapter.
4. In procurements by other than competitive sealed bidding, the Procurement
Officer may negotiate a contract type and price (or estimated cost and fee)
that will result in reasonable contractor risk and provide the contractor with
the greatest incentive for efficient and economical performance.
B. Selecting Contract Types
1. The type of contract to be used should be determined prior to the
solicitation, and the solicitation should inform bidders of the type of
contract that will be used.
2. When procurement is by competitive sealed bidding, the Procurement
Officer must use a firm fixed-price contract.
15
Procurement Policy
Manual September 2019 Revision: 5
7
3. Except when procurement is by competitive sealed bidding as required by
law, the Procurement Officer should select the most effective contract type
and should consider contract type together with the issues of price, risk,
uncertainty, and responsibility for costs. The type of contract used should
reflect the cost risk and responsibility assumed by the contractor or supplier.
4. The Procurement Officer should avoid the continued use of a cost
reimbursement or time-and-materials contract after experience provides a
basis for firmer pricing.
5. The Procurement Officer should include documentation in each contract file
to show why the particular contract type was selected, except for purchase
orders under the small purchase threshold.
C. Fixed-Price Contracts
1. Fixed-price contracts may provide for a firm price or, in appropriate cases,
an adjustable price.
2. Fixed-price contracts providing for an adjustable price may include a ceiling
price, a target price (including target cost), or both. Unless otherwise
specified in the contract, the ceiling price or target price will be subject to
adjustment only by operation of contract clauses providing for equitable
adjustment or other revision of the contract price under stated
circumstances.
3. A firm-fixed-price contract should provide for a price that is not subject to
any adjustment on the basis of the contractor's cost experience in
performing the contract.
4. A firm-fixed-price contract should be used for acquiring commercial
products or commercial-type products, or for acquiring other supplies or
services, on the basis of reasonably definite functional or detailed
specifications if the Procurement Officer can establish fair and reasonable
prices at the outset, including the following circumstances:
a. When there is adequate price competition;
b. When there are reasonable price comparisons with prior purchases of
the same or similar supplies or services made on a competitive basis;
c. When available cost or pricing information permits realistic estimates
of the probable costs of performance;
d. When performance uncertainties can be identified and reasonable
estimates of their cost impact can be made, and the contractor is willing
to accept a firm-fixed-price contract; or
e. When required by law unless a sole source exception applies.
D. Cost Reimbursement/Cost-Plus-Fixed-Fee Contracts
1. Cost reimbursement contracts provide for payment of the contractor’s
reasonable, allocable and allowable incurred costs plus a negotiated fixed
16
Procurement Policy
Manual September 2019 Revision: 5
8
fee, to the extent prescribed in the underlying contract and Federal
Acquisition Regulation (FAR) Part 31.
2. A cost reimbursement contract establishes an estimate of total cost for the
purpose of obligating funds and establishing a ceiling on expenditures that
the contractor may not exceed without the approval of the Commission.
3. Cost reimbursement contracts are suitable for use when the uncertainties of
performance do not permit costs to be estimated with sufficient accuracy to
use a fixed-price contract.
4. The Commission must determine the adequacy of the contractor's
accounting system for cost-type contracts before awarding such a contract.
E. Time-And-Materials Contracts
1. A time-and-materials contract should be used only after the Procurement
Officer determines:
a. In writing, that no other type of contract is suitable; and
b. A ceiling price to be included in the contract that the contractor shall
not exceed except at its own risk.
2. A time-and-materials contract should be used only when it is not possible
at the time of executing the contract to estimate accurately the extent or
duration of the work or to anticipate costs with any reasonable degree of
certainty or confidence.
3. A time-and-materials contract should include direct labor hours at specified
fixed hourly rates that include wages, overhead, general and administrative
expenses, profit, and materials required at cost.
4. The user department/project manager should ensure that there is adequate
surveillance of contractor performance when a time-and-materials type
contract is used.
F. Labor-Hour Contracts
1. When materials are not required, the Procurement Officer may use a labor-
hour contract, a variation of the time-and-materials contract.
2. The use of a labor-hour contract should be in accordance with the above-
referenced provisions related to time-and-materials contracts.
17
Procurement Policy
Manual September 2019 Revision: 5
9
G. Letter Contracts (Letter Of Intent Contracts)
1. A letter contract is an interim type of contractual agreement that gives the
contractor a limited notice of award for the delivery of the required
goods/supplies or the performance of services.
2. The Procurement Officer may us e a letter contract when the Commission's
interests demand that the contractor be given a binding commitment so that
work can start immediately and executing a definitive contract is not
possible in sufficient time to meet the requirement. Each letter contract
should be as complete and definitive as possible under the circumstances
and should include clauses approved and required by the Procurement
Officer.
3. The estimated cost of the definitive contract should determine the type and
level of review and approval required for approval of a letter contract.
4. A letter contract may not be entered into without competition except as
provided for under Non-Competitive and/or Emergency Procurements
provisions of this Manual.
5. A letter contract may not be amended to satisfy a new requirement unless
the new requirement is inseparable from the existing contract. Any
amendment should be subject to the same requirements as a new letter
contract.
6. The total value of the letter contract should be the estimated sum necessary
to cover the contractor's requirement for funds before execution of the
definitive contract. However, the total value of a letter contract should not,
under any circumstances, exceed fifty percent (50%) of the overall price
ceiling for the term of the final negotiated (i.e., definitive) contract.
7. A letter contract should contain a negotiated schedule for execution of the
definitive contract, including dates for submission of the contractor's price
proposal, cost or pricing data (if required), a date for start of negotiations,
and a target for execution of the definitive contract.
8. The letter contract should provide that if the Procurement Officer and the
contractor cannot negotiate a definitive contract because of failure to reach
agreement regarding price or fee: 1) the Procurement Officer may terminate
the letter contract; or 2) if a “contract definitization” clause is included in
the letter contract, the Commission may unilaterally require the contractor
to continue the work and the Procurement Officer may, with the approval
of the Executive Director, determine a reasonable price or fee.
H. Multiple Year Contracts
Multiple year contracts may be used with competitive sealed bids, competitive
proposals, or by non-competitive procurement. The contract term, and any
extensions thereof, shall be established based on sound business judgment of the
Commission. Multiple year contracting is a method by which the Commission
awards a contract for a base period of one or more years, with option provisions for
18
Procurement Policy
Manual September 2019 Revision: 5
10
future years' requirements. The option provision in the contract should provide for
unilateral exercise at the discretion of the user department/project manager, as
additional requirements and funding become available. See below under Section
5.0 of this Chapter for further information regarding Options.
For federally-funded procurements, the procurement file shall document the
rationale for determining the term. Considerations should include the time
necessary to accomplish the purpose of the contract, competition, pricing, and
fairness.
I. Indefinite Delivery/Indefinite Quantity (ID/IQ) Contracts
1. The Procurement Officer may use an ID/IQ type of contract when the
Commission anticipates a recurring requirement, but cannot predetermine
the precise quantities of supplies or services at the time of contract award.
2. FHWA or Caltrans funded ID/IQ on-call contracts and FTA funded ID/IQ
contracts for rolling stock and replacement part contracts may not exceed
five (5) years.
3. ID/IQ contracts should specify maximum or minimum estimated quantities
that the Commission may require during the term of the agreement. An
ID/IQ contract should make no promise of exclusivity and may in fact be
one of several (multiple) contracts awarded for the same item or service.
4. There are several types of ID/IQ contracts, including:
a. Definite-quantity contracts
b. Requirements contracts
c. Indefinite quantity (IQ) contracts (commodities)
d. Task order contracts (services)
5. If possible under the circumstances, the Procurement Officer should ensure
that original solicitation and resultant ID/IQ contract contain both a
minimum and a maximum quantities, which represent the reasonably
foreseeable needs of the parties to the solicitation, and a clause stating that
the estimate is not a representation to a bidder, offeror, or consultant that
the estimated quantity or dollar amount above the estimated minimum will
actually be required or ordered by the Commission.
6. For task orders contracts, the procurement documents and executed
contracts must specify the procedures to be used in awarding task orders.
Such procedures must comply with state and federal regulations, as
applicable.
5.0 OPTIONS
A. General
1. When it is in the best interest of the Commission, a contract option may be
included providing the Commission the unilateral right to extend the term
19
Procurement Policy
Manual September 2019 Revision: 5
11
of the contract and/or to purchase additional supplies or services called for
by the contract.
2. Any written findings required for a contract option shall specify both the
base requirement(s) and the increase permitted by subsequent options.
Contract provisions setting forth the cost of the option may include, but are
not limited to, the following:
a. A specific dollar amount;
b. An amount to be determined by applying provisions (or a formula)
provided in the basic contract, but not including renegotiation of the
price for work in a fixed-price type contract;
c. In a cost-type contract, a stated fixed or maximum fee, or a fixed or
maximum fee amount determinable by applying a formula contained in
the basic contract;
d. A specific price that is subject to an economic price adjustment
provision; or
e. A specific price that is subject to change as a result of changes to the
prevailing labor rates provided by the U.S. Department of Labor (DOL)
or the California Department of Industrial Relations (DIR) prevailing
rates, whichever is applicable.
B. Solicitation of Contracts with Options
1. If a contract provides for an option, the solicitation should include
appropriate option clauses.
2. Each contract should state the period within which an option may be
exercised.
3. In order to meet the requirements of this Manual for full and open
competition, the option should be evaluated as part of the initial competition
and be exercisable at an amount specified from the terms of the basic
contract. When options have not been evaluated as part of the award, the
exercise of such options will be considered a non-competitive procurement
and must comply with the non-competitive procurement policies in
described in this Manual.
C. Exercise of Options
1. The user department/project manager, in cooperation with the Procurement
Officer, should initiate the exercise of an option only after determining the
following:
a. That sufficient budget authority is available;
b. That the requirement covered by the option fulfills an existing
Commission need; and
20
Procurement Policy
Manual September 2019 Revision: 5
12
c. That the exercise of the option will be the most advantageous method of
fulfilling the Commission's needs, when price and other factors are
considered.
2. The Procurement Officer, after considering price and other factors, should
make the determination whether to recommend exercising the option on the
basis of one of the following:
a. A new solicitation fails to produce a better price or a more advantageous
offer than that offered by the option; provided, that if it is anticipated
that the best price available is the option price (or that the option
provides the more advantageous offer), the Procurement Officer should
not use this method to test the market;
b. An informal analysis of prices or an examination of the market indicates
that the option price is better than prices available in the market or that
the option is the most advantageous offer; or
c. The short time between the award of the contract containing the option
and the exercise of the option indicates that the option price is the lowest
price obtainable or the most advantageous.
3. The contract modification or other written document, which notifies the
contractor of the exercise of the option, shall cite the option provision as
authority for the action and should be issued within the time period specified
in the contract.
6.0 COOPERATIVE AGREEMENTS
A. Policy on Intergovernmental or Inter-entity Agreements
To promote economy and efficiency, the Commission may enter into state and local
intergovernmental agreements or inter-entity agreements, where such agreements
are in the best interest of the Commission and are appropriate for procurement or
use of common or shared goods and services. The use of purchasing schedules may
be prohibited for federally funded procurements. Out-of-state purchasing
agreements are prohibited for FTA-funded procurements.
B. Memorandum of Understanding
A memorandum of understanding (MOU) is a contract document describing a
bilateral or multilateral agreement outlining the terms and details of an arrangement
between the parties to the MOU, including each party’s requirements and
responsibilities. An MOU is used when substantial involvement is expected
between the Commission and another agency or entity when carrying out the
activity contemplated in the MOU, and there exists some public or mutually
beneficial purpose in carrying out this activity.
C. Piggybacking
1. Piggybacking is the post-award use of an acceptable contract/solicitation
process that allows an entity not contemplated in the original procurement
to purchase the same supplies or equipment under the original
21
Procurement Policy
Manual September 2019 Revision: 5
13
contract/solicitation process.
2. Piggybacking is permissible when:
a. The underlying solicitation document and the resultant contract contain
an assignability clause that provides for the assignment of all or part of
the specified deliverables as originally advertised, competed, evaluated,
and awarded; and
b. For federally funded agreements, the original solicitation and resultant
contract contain a minimum and a maximum quantity, which represent
the reasonably foreseeable needs of the parties to the solicitation.
D. California Multiple Award Schedule and State Master Agreements
1. A California Multiple Award Schedule (CMAS) and State Master
Agreements are agreements established between the California Department
of General Services (DGS) and multiple vendors who agree to the State of
California terms and conditions, and may be used by the Commission.
2. Acquisitions based on CMAS or State Master Agreements shall be
competitively bid so as to result in offers from three or more vendors
including one small business, if available. If less than three offers are
received, documentation of solicitation methods must be included with the
contract documentation.
3. Three offers are not required for CMAS and State Master Agreements based
on competition, such as Cal-Store, the Master Rental Agreement, Western
States Contracting Alliance (WSCA), etc. Information on specific CMAS
and State Master Agreements are available on DGS-PD’s website at:
www.dgs.ca.gov/pd.
4. Notwithstanding PUC section 130232(a), Public Contract Code (PCC)
sections 10298(b) and 10299(a) provide authority for the Commission to
use CMAS or State Master Agreements for acquiring supplies, equipment
and materials that exceed $25,000 without engaging in further competitive
bidding.
7.0 RECURRING CONTRACTS
A. The Commission may, on an annual basis, evaluate existing contracts for
professional services that are due to expire within the next fiscal year. While some
of these contracts may be placed on the calendar for a new procurement solicitation
or allowed to expire because they are no longer required, notwithstanding any other
provision herein, some contracts may be included in an annual recurring contracts
list that must be approved by the Commission. Most contracts for professional
services should be subject to a competitive process; however, there may be limited
circumstances in which staff believes it is more efficient and cost effective to retain
such consultants on the recurring contracts list rather than rebidding the services.
Those circumstances generally are due to the consultant’s historical knowledge,
unique experience, and understanding of the Commission and/or specific
Commission projects. Approval of the recurring contracts list allows the
22
Procurement Policy
Manual September 2019 Revision: 5
14
Commission to continue work on existing projects without interruptions and
maintain consistency.
1. State or federally-funded contracts may not be included in the annual
recurring contracts list.
23
Procurement Policy
Manual September 2019 Revision: 5
15
CHAPTER 2 – PROCUREMENT GENERALLY
1.0 IMPLEMENTATION BY EXECUTIVE DIRECTOR; COMMISSION
CONTROLS AND LIMITATIONS
A. Final authority for purchasing actions and decisions rests with the Commission,
except as delegated by the Commission to the Executive Director.
B. The Commission authorizes the Executive Director to execute contracts approved
by the Commission. The Executive Director may designate the Deputy Executive
Director, Chief Financial Officer or Directors to execute contracts under his or her
signature authority on his/her behalf.
C. The policies set forth herein will be implemented by the Chief Financial Officer.
The Chief Financial Officer has primary responsibility for ensuring that the
Commission’s procurement process is in accordance with applicable laws and
regulations, as interpreted by the General Counsel and Commission policy.
D. The Executive Director is authorized to approve and enter into contracts on behalf
of the Commission under his/her single signature authority as follows:
1. When the expenditure is less than fifty thousand dollars ($50,000) for the
purchase of all supplies, equipment, materials and for the construction of all
facilities and works in accordance with PUC § 130232; and
2. When the expenditure is less than twoone hundred fifty thousand dollars
($250,000150,000) for the purchase of services; however, (i) the aggregate
amount of contracts executed under the single signature authority shall not
exceed $1,500,000 in any given fiscal year; (ii) the aggregate value of all
contracts awarded to any one entity under the Executive Director’s single
signature authority shall not exceed $250,000150,000 in any fiscal year; and
(iii) the Executive Director may execute contract amendments for existing
contracts that do not exceed $250,000150,000. Such authority however,
may not be exercised more than once during the life of any contract and
may not be used to amend contracts originally executed under the Executive
Director’s single signature authority. The Commission’s fiscal year is from
July 1 to June 30.
E. The powers of the Executive Director pursuant to Paragraph “D” above are subject
to: (i) the existence and provisions of a Commission approved budget; and (ii)
applicable laws and regulations.
F. The Executive Director must provide the Commission with a regular report of all
contracts entered into pursuant to the single signature authority provided in
Paragraph “D” above, and must report to the Commission at its next regularly
scheduled meeting each new contract awarded on an emergency basis or other
contracts in excess of the Executive Director’s single signature authority.
24
Procurement Policy
Manual September 2019 Revision: 5
16
G. Approval Limits and Solicitation Types
1. Supplies, Equipment, and Materials (PUC § 130232).
PURCHASE
AMOUNT
SOLICITATION
TYPE SOLICITATION PROCESS APPROVER
Less than $1,000 Micro-purchase Informal: Commercial availability,
Rotate Vendors
Procurement
Officer*
$1,000 to $25,000 Small Purchase Informal: Three (3) Quotes Procurement
Officer*
$25,001 to $50,000 Formal Procurement Formal: Advertisement, Clauses,
Competitive Sealed Bids
Executive
Director
Greater than $50,000 Formal Procurement Formal: Advertisement, Clauses,
Competitive Sealed Bids
Commission
2. Public Works (PUC § 130232).
PURCHASE
AMOUNT
SOLICITATION
TYPE SOLICITATION PROCESS APPROVER
Less than $1,000 Micro-purchase Informal: Commercial availability,
Rotate Vendors, Non-Collusion
Declaration, Insurance
Procurement
Officer *
$1,000 to $25,000 Small Purchase Informal: Three (3) Quotes,
Prevailing Wage, Clauses, Insurance,
License, Non-Collusion Declaration
Procurement
Officer*
$25,001 to $50,000 Formal Procurement Formal: Advertisement, Clauses,
Prevailing Wage, Insurance, License,
Competitive Sealed Bids, Payment
Bond, Non-Collusion Declaration
Executive
Director
Greater than $50,000 Formal Procurement Formal: Advertisement, Clauses,
Prevailing Wage, Insurance, License,
Competitive Sealed Bids, Payment
Bond, Non-Collusion Declaration
Commission
* As delegated by the Executive Director
25
Procurement Policy
Manual September 2019 Revision: 5
17
3. Services.
PURCHASE
AMOUNT
SOLICITATION
TYPE SOLICITATION PROCESS APPROVER
Less than
$10,0003,500
Micro-purchase Informal: Commercial availability,
Rotate Vendors, Insurance
Procurement
Officer*
$10,0003,500 to
$50,000
Small Purchase Informal: Three (3) Quotes, Clauses,
Insurance
Procurement
Officer*
$50,001 to
$250,000150,000
Small Purchase Informal: Three (3) Quotes, Clauses,
Insurance; or
Formal: Advertisement, Clauses,
Insurance, and Negotiated
Agreement, or Competitive Sealed
Bids, or A/E Contract procedures
Executive
Director
Greater than
$250,000150,000
Formal Procurement Formal: Advertisement, Clauses,
Insurance, Certifications, and
Negotiated Agreement, or
Competitive Sealed Bids, or A/E
Contract procedures
Commission
* As delegated by the Executive Director
H. In addition to the authority granted above, and except as otherwise prohibited by
applicable state or federal law, the Executive Director is authorized to approve and
enter into contracts on behalf of the Commission, where the relevant contract is
directly related to and necessary to implement a project that has been approved by
the Commission, the contract is within the approved project budget and, based on
the circumstances, exercise of this authority is in the best interest of the
Commission.
2.0 PROCUREMENT OFFICER—DESIGNATION AND DELEGATION
A. The Chief Financial Officer is the designated “Procurement Officer” for the
Commission. The Chief Financial Officer may delegate all or part of the
Procurement Officer duties described in this Manual.
3.0 PROCUREMENT OFFICER—DUTIES
A. The Procurement Officer has the duty to oversee all procurement activities of the
Commission, and to implement the policies and standards set forth in this Manual,
subject to the limitations of the authority that has been delegated to the Procurement
Officer by the Commission or the Executive Director.
B. The Procurement Officer may issue instructions for the implementation of
Commission procurement policies.
C. The Procurement Officer has the duty to ensure Commission contracts, purchase
orders, modifications, and supplemental agreements are executed in accordance
with established thresholds and delegated authority.
26
Procurement Policy
Manual September 2019 Revision: 5
18
D. The Procurement Officer, subject to the review of the Commission’s General
Counsel, has the authority to draft and determine the final form of the contract to
be used for each procurement.
E. The Procurement Officer should ensure that a complete record of each procurement
action is maintained in accordance with the Commission’s records retention policy
by establishing files containing the records of all major procurements and
contractual actions pertinent to that office's responsibilities.
1. The Procurement Officer is responsible for maintaining the original contract
file pursuant to applicable state and/or federal records retention policies.
2. The documentation in each contract file maintained by the Procurement
Officer should be sufficient to constitute a complete history of the
transaction for the following purposes:
a. Providing a complete background as a basis for informed decisions at
each step of the procurement process;
b. Supporting actions taken;
c. Providing information for reviews, audits, and investigations; and
d. Furnishing essential facts in the event of litigation.
F. The Procurement Officer has the duty to ensure Commission staff engaged in
procurement activities are trained in the procurement requirements set forth in this
Manual.
4.0 IMPLEMENTATION OF PROCUREMENT PROCEDURES AND GUIDELINES
A. The Procurement Officer, in his or her discretion and subject to the review and
concurrence of the Commission’s General Counsel, may adopt procurement and
materials management procedures and guidelines needed to implement and
supplement the policies and standards set forth in this Manual. Any such
procedures and guidelines shall:
1. Provide for timely review and processing of all procurement actions;
2. Ensure that procurements proceed timely, efficiently and economically;
3. Ensure that procurements adhere to principles of good public policy
practices and sound business judgment; and
4. Prohibit arbitrary actions. An example of an arbitrary action is the award
of a construction contract, using the competitive sealed bids method of
procurement, to a bidder other than the lowest responsive, responsible
bidder.
5.0 AUTHORIZED METHODS OF PROCUREMENT; SELECTION
A. Selection
As part of the procurement initiation process, the Procurement Officer will
determine which method of procurement is appropriate.
27
Procurement Policy
Manual September 2019 Revision: 5
19
B. Authorized Methods
The following methods of procurement may be used, as appropriate, in accordance
with the policies and procedures included in the Procurement Manual for all federal
and non-federal procurement actions contemplated under this Procurement Manual:
1. Micro Purchase Procedures, pursuant to Chapter 6 of this Manual;
2. Small Purchase Procedures, pursuant to Chapter 6 of this Manual;
3. Competitive Sealed Bid (“Low Bid”), pursuant to Chapter 3 of this Manual;
4. Competitively Negotiated Procurement, pursuant to Chapter 5 of this
Manual;
5. Non-Competitive and Emergency Procurement, pursuant to Chapter 7 of
this Manual; and
6. Alternate Delivery, pursuant to Chapter 4 of this Manual.
6.0 INDEPENDENT COST ESTIMATE
A. An independent cost estimate is a determination of price reasonableness. An
estimate shall be completed prior to the receipt of bids or proposals. Key elements
of the independent cost estimate include, but are not limited to:
1. Date of the independent cost estimate;
2. Basis for the independent cost estimate, including applicable supporting
documentation; and
3. The value determined by the independent cost estimate.
B. The method and means of establishing the estimate may vary based on the
circumstances and can range from checking historical records or published price
guides to a detailed estimate in the same level of detail that is required for
contractors submitting proposals. Estimates can be obtained from a design firm or
in-house technical personnel for construction work or from independent third-party
staff (not impacted by final procurement).
C. The estimate provides the Procurement Officer with essential input during the
solicitation process. Independent cost estimates may be used by the Commission
to:
1. Provide a determination of value (i.e., do benefits warrant the cost);
2. Support procurement planning;
3. Determine the appropriate solicitation type and process based on the
approval limits set forth in Chapter 2, 1.0(G);
4. Establish the competitive range and supplement the evaluation process;
5. Provide a basis for a price analysis, which may eliminate the need for a more
burdensome cost analysis;
6. Provide a basis for development of a pre-negotiation objective;
28
Procurement Policy
Manual September 2019 Revision: 5
20
7. Support the Commission’s negotiation position with contractor; and/or
8. After contract award, provide essential input with respect to contract
amendments, change orders and claims.
7.0 COST/PRICE ANALYSIS
A. A cost/price analysis shall be performed in connection with every federally funded
procurement action, including contract modifications, and should be conducted for
non-federally funded procurements. The method and degree of analysis is
dependent on the facts surrounding the particular procurement situation.
B. If the contract being awarded is a cost-reimbursement type, the cost/price analysis
shall address the realism of the various cost elements proposed, and where the costs
are unrealistically low, an adjustment shall be made to reflect what the Commission
believes the effort will actually cost given that offeror's specific technical approach
as well as its direct and indirect cost rates.
1. The Commission shall, when applicable, or must, if required by law, utilize
the guidelines provided in the FAR Part 31 to determine whether of the
contractor’s proposed costs are reasonable, allowable and allocable.
C. As applicable, the Commission shall negotiate profit as a separate element of the
price for each contract in which there is no price competition and in all applicable
cases where cost analysis is performed. To establish a fair and reasonable profit,
consideration must be given to the complexity of the work to be performed, the risk
borne by the contractor, the contractor’s investment, the amount of subcontracting,
the quality of its record of past performance, and industry profit rates in the
surrounding geographical area for similar work.
8.0 VENDOR CONTACTS PRIOR TO ISSUANCE OF A SOLICITATION
A. Informational and market research contacts with prospective contractors/vendors
should be circumscribed based upon legitimate, identifiable business purposes and
guided by the exercise of sound judgment. The primary pitfalls to be avoided are
promises or implications from Commission staff of a future contract, development
by a vendor of a specification or scope of services to be used as part of a
Commission solicitation that vendor intends to participate in, requests from
Commission staff for complimentary services or supplies, and other activities that
may create a real or apparent conflict of interest or the impression of an obligation
on the part of the Commission.
9.0 ADVERTISING/PUBLICIZING PROCUREMENTS
A. The Procurement Officer should use the most efficient and effective means to
publicize contract actions to increase competition in accordance with the
requirements of the specific procurement.
B. PUC § 130232, applicable to the purchase of all supplies, equipment, materials and
for the construction of all facilities and works when the expenditure exceeds
twenty-five thousand dollars ($25,000), requires that notice requesting bids shall
be published at least once in a newspaper of general circulation. The publication
29
Procurement Policy
Manual September 2019 Revision: 5
21
must be made at least 10 days before the date for the receipt of the bids. The
Commission, at its discretion, may reject any and all bids and re-advertise.
C. PUC § 130238 for the purchase of computers, telecommunications equipment,
microwave equipment, and other related electronic equipment and apparatus that is
not available in substantial quantities to the general public requires (i) the
procurement be conducted through competitive negotiation, after a finding by the
Commission by a two-thirds vote that this particular procurement qualifies under
PUC § 130238, and (ii) notice of the request for proposals be published at least
twice in a newspaper of general circulation, at least 10 days before the date for
receipt of the proposals.
D. Federal Transit Administration
Section 9.c of FTA Circular 4220.1F requires that invitations for bids are to be
"publicly" advertised, and Section 9.d of FTA Circular 4220.1F requires that
requests for proposals are to be publicized.
E. Caltrans and Federal Highway Administration (FHWA)
Chapter 15, paragraph 15.4 Project Advertisement, of the Caltrans Local Assistance
Procedures Manual provides detailed guidance regarding advertising of FHWA-
and/or Caltrans-funded projects.
F. Pre-solicitation advertising prescribed in this section is not required for non-
competitive, sole source, or emergency procurements processed in accordance with
this Manual.
10.0 NON-DISCRIMINATION IN PROCUREMENT
A. All formal contracts entered into by the Commission should contain appropriate
clauses prohibiting discrimination by the contractor against any person or group of
persons on account of race, color, religion, creed, national origin, ancestry, physical
handicap, medical condition, age, marital status, sex or sexual orientation in the
performance of the contract.
11.0 ORGANIZATIONAL CONFLICTS OF INTEREST
A. An unfair competitive advantage could result if a contractor were allowed to submit
a bid or proposal for work described in a specification or statement of work that the
contractor itself developed. For the purpose of eliminating a potential unfair
competitive advantage, and in compliance with applicable state and federal laws
and regulations, a contractor that develops or assists in developing specifications,
requirements, statements of work, invitation for bids, and/or request for proposals
for a Commission procurement is excluded from competing for the resultant
procurement, unless an appropriate waiver is issued by the Commission. All
waivers will be assessed by the Commission on a case-by-case basis.
12.0 DUTIES OF COMMISSION STAFF REGARDING PROCUREMENTS
A. General
Procuring goods, services, and contracts for the Commission must be a cooperative
effort, and it will be the responsibility of all Commission staff involved in
30
Procurement Policy
Manual September 2019 Revision: 5
22
procurement to employ sound business judgment and appropriate standards of
ethics and fairness to procure goods and services in a manner most advantageous
to the Commission. All employees and departments are instructed to follow the
procedures set forth in the Manual, as well as any instructions issued by the
Procurement Officer regarding procurements.
1. For FTA-funded procurements, the user department should consider use of
the FTA checklists provided in FTA Circular 4220.1F, Appendix C, which
address, among other things, undue restrictions on competition, when use
of brand name or equal is permitted, and other FTA requirements and
limitations.
2. For FHWA and Caltrans-funded procurements, the user department shall
use the Caltrans’ Local Assistance Procedures Manual for guidance and
shall ensure that appropriate Commission procurement and contract forms
for the relevant funding source are used.
B. In order to initiate a procurement action (including amendments,
procurements, exercising of available options, etc.), the user
department/project manager should, at a minimum, provide the
Procurement Officer with the following items, as applicable:
1. Specification, Scope of Services, or Statement of Work. For a new
procurement, a complete and clearly written specification, purchase
description, or statement of work suitable for either competition or for
negotiation with a sole source contractor, if justified.
For competitive procurements, the description must not (for federally
funded procurements) and should not (for non-federally funded
procurements) contain features which unduly restrict competition. The
description may include a statement of the qualitative nature of the material,
product or service to be procured and, when necessary, must set forth those
minimum essential characteristics and standards to which it must conform
if it is to satisfy its intended use. For federally funded procurements,
detailed product specifications should be avoided. When it is impractical
or uneconomical to make a clear and accurate description of the technical
requirements, a “brand name or equivalent” description may be used as a
means to define the performance or other salient requirements of
procurement. The specific features of the named brand which must be met
by offerors must (for federally funded procurements) and should (for non-
federally funded procurements) be clearly stated.
2. Changes. Changes to existing contracts, including amendments and
construction change orders, must be documented pursuant to a written
amendment or written construction change order, as applicable, executed
by the appropriate parties, and should comply with the following.
a. Amendments
31
Procurement Policy
Manual September 2019 Revision: 5
23
If a contract amendment has been negotiated based upon an existing
advanced pricing arrangement or labor rates/categories included in the
underlying agreement, the user department/project manager should
provide the Procurement Officer with a copy of the final negotiated
scope of services for the extra work, associated pricing terms, and/or
schedule.
b. Construction Change Orders
Construction change orders should follow the procedures established by
the Capital Projects Department and applicable contract specifications.
Documentation of the change order does not need to be provided to the
Procurement Officer, but should be maintained by the user
department/project manager as specified herein. If a construction
change order has been negotiated based upon an existing advanced
pricing arrangement or labor rates/categories included in the underlying
agreement, the user department/project manager should maintain a
record of the change order and supporting documentation in the project
files including an independent cost estimate and cost and/or price
analysis, as applicable.
i. Any change order must be administered in accordance with its
terms, and appropriate documentation must be generated and
maintained supporting payment in accordance with state or federal
requirements, as applicable.
ii. All change orders must be signed by a Commission employee who
is a registered civil engineer.
iii. Any change order in excess of $100,000 also requires approval by
the Executive Director.
iv. Any change order that will increase the total contract value to an
amount that exceeds the contractual authority approved by the
Commission may not be executed until additional contractual
authority has been obtained through the Commission.
v. The Capital Projects Director is responsible for determining that
change orders are processed and approved in accordance with
departmental and contractual requirements.
c. Changes to Federally Funded Contracts
For federally funded contracts, findings must be included in the project
file that the change is in the general scope of the original contract. A
significant change in contract work that causes a major deviation from
the original purpose of the work or the intended method of achievement,
or causes a revision of contract work so extensive, significant, or
cumulative that, in effect the contractor is required to perform very
different work from that described in the original contract, is considered
a “cardinal change” or “tag-on” contract, and is not permitted unless it
meets the requirements of Chapter 8, Section 3.0.
32
Procurement Policy
Manual September 2019 Revision: 5
24
3. Agreement Summary Sheet. The user department/project manager must
provide a complete and executed Agreement Summary Sheet for all
procurement actions, including applicable small purchases, formal
procurements, MOUs, agreements, change order modifications and the like.
The Agreement Summary Sheet identifies the nature of funding for the
subject goods/services, provides a record that the requirement was budgeted
and properly approved before the procurement process began, and ensures
that the procurement action is assigned a unique agreement number for
purposes of contract administration, payment, and recordkeeping.
4. Cost Estimate. The user department/project manager shall provide the
Procurement Officer with a cost estimate for the anticipated procurement of
goods/services. See paragraph 6.0 above for additional guidance regarding
the development of an independent cost estimate.
5. Justification for Sole Source/Non-competitive Procurement (if applicable).
The user department/project manager must prepare and submit to the
Procurement Officer a written statement recording all the facts that provide
justification for avoiding mandated competitive procurement practices
explicitly defined in this Manual and/or required by relevant state and
federal law in favor of a non-competitive/sole source award. The
Procurement Officer must approve the sole source procurement
methodology before the procurement can proceed. If the procurement is
funded with state or federal funds, the appropriate findings required by the
applicable funding entity must be made. For Caltrans or FHWA funded
contracts, a Public Interest Finding (PIF) must be approved by the
appropriate funding entity.
13.0 INSURANCE
A. Contractors providing goods and services should be required to carry sufficient
insurance to protect the Commission from third party lawsuits for personal injury
(including death) and property damage. Insurance may also be required for damage
to Commission property and for errors and omissions in the provision of
professional services.
B. The following types of procurement actions should be reviewed by the Procurement
Officer for appropriate levels, types and limits of coverage on a case-by-case basis:
1. All operations and non-operational construction contracts.
2. All professional services contracts.
3. All contracts where work will be performed within “50 feet” of railroad.
4. All environmental contracts, including engineering services.
5. All procurement contracts and/or purchase agreements where outside
vendors will be conducting work or performing installation services on
Commission premises.
6. All procurement contracts and/or purchase agreements where outside
vendors will be delivering products to a Commission facility.
33
Procurement Policy
Manual September 2019 Revision: 5
25
C. The contract documents should ensure that Commission contractors will be
required to comply with insurance requirements imposed by state and local
governments.
D. At a minimum, the contract documents should require the contractor and
subcontractor to carry general liability, workmen's compensation, and automobile
insurance coverages for public works contracts.
E. In certain limited cases, the Procurement Officer may permit the contractor to
substitute an approved program of self-insurance in order to obtain such approval.
The contractor will have to demonstrate that it can sustain the potential losses being
self-insured.
F. The Procurement Officer should include insurance and indemnification provisions
in equipment, supply, and services contracts in accordance with Commission
policies described herein.
14.0 SUBCONTRACTING
A. The Commission may consider requiring a prime contractor to perform certain tasks
or a minimum percentage of the work, in order to ensure that the prime contractor
maintains a specified degree of control over the project.
B. Approval of contractor proposed subcontractors usually involves an evaluation of
three primary areas:
1. Assurance that the prime contractor has included the required “flow-down”
provisions (clauses) from the prime contract in the subcontract.
2. The prime contractor’s compliance with the Disadvantaged Business
Enterprise (DBE) requirements in its prime contract.
3. Assurance that the prime contractor has selected its critical subcontractors
in a prudent fashion, so as to protect the Commission’s interests.
15.0. DETERMINATION OF FAIR AND REASONABLE PRICE
A. The Procurement Officer should determine, in writing, that the price to be paid to
the successful offeror is fair and reasonable. Typically, adequate price competition
is sufficient to establish price reasonableness; however, price reasonableness may
also be established through:
1. Prices established by law or regulation;
2. Published catalog or market price for commercial product sold to the public
in substantial quantities;
3. Previous or relevant historical pricing for same or similar terms;
4. Valid cost estimate;
5. Value analysis; or
6. Cost/price analysis.
B. Single Offer/Lack of Adequate Competition
34
Procurement Policy
Manual September 2019 Revision: 5
26
1. Upon receiving a single bid or single proposal in response to a solicitation,
the Procurement Officer should determine if competition was adequate.
a. Such determination should include a review of the specifications for
undue restrictiveness and may include a survey of potential sources that
chose not to submit a bid or proposal.
b. If the results of the review are that the scope of work was so restrictive
that only one firm could have responded, then there is a lack of
competition. The Procurement Officer should (1) cancel and re-procure
the solicitation or (2) treat the solicitation as a sole source procurement,
if it meets the requirements of Chapter 7 of this Manual.
c. If the results of the review are that the scope of work was not restrictive
and more than one firm could have responded, then there is adequate
competition. The Procurement Officer may recommend an award of the
agreement to the single offeror, as determined by the Commission, in
accordance with this Manual and in accordance with applicable legal
requirements.
2. When the price variance between multiple responses reflects a lack of
adequate competition, the Procurement Officer may re-solicit quotes or, if
appropriate, recommend an award of the agreement to the lowest or best
offeror, as determined by the Commission, in accordance with this Manual
and in accordance with applicable legal requirements.
3. A recommendation for award under either of the above circumstances
should include a statement in the contract file giving the basis for the
determination (e.g., that there was adequate competition and/or the pricing
terms are fair and reasonable).
16.0 CONTRACT APPROVAL, AWARD, AND EXECUTION
A. Following authorization for contract award by the Commission, the following
actions should be taken:
1. The Procurement Officer requests all Commission required documents and
contract contingency requirement (e.g., bonds, proof of insurance) from the
successful contractor.
2. The Procurement Officer conforms and sends copies of the final contract or
amendment to the contractor for signature, and obtains the appropriate
Commission authorization by ensuring full execution of the contract.
3. The contract or amendment may be executed in one or more counterparts.
The Procurement Officer may accept facsimile signatures, including
signatures transmitted via electronic mail, as original signatures. If the
Commission adopts an electronic signature policy, the Procurement Officer
may accept electronic signatures.
3.4. After full execution of the contract and the contractor’s submittal of the
required contract contingency items, unless otherwise agreed, the
35
Procurement Policy
Manual September 2019 Revision: 5
27
Procurement Officer coordinates with the user department/project manager
to prepare a "Notice to Proceed" letter, if required.
4.5. The Procurement Officer transmits a fully executed original copy of the
contract to the contractor. Conformed copies should be sent to the project
manager for use in the administration of the contract.
5.6. Contract Administration Responsibilities
a. The user department/project manager conducts all further coordination
on technical issues between the contractor and the Commission,
subsequent to the issuance of the “Notice to Proceed” letter.
b. Issues affecting the business or legal terms in the contract and/or
requests for modification or supplemental agreements to the contract
should immediately be brought to the attention of the Procurement
Officer.
c. The contract and all documents pertaining thereto should be maintained
by the Procurement Officer, except for construction change orders
which will be maintained by the project management team.
17.0 PROTEST PROCEDURES
A. Under formal procurement processes described under this Manual, an interested
party that has timely submitted a bid or proposal in response to any procurement of
the Commission may file a protest objecting to the award of a contract.
B. In order for a protest to be considered properly and timely filed, the protest must:
1. Be filed in writing with the Executive Director of the Commission, within
seven (7) calendar days after (i) all requests for clarifications and requests
for approved equals have been answered by the Commission or, if no
requests for clarification or approved equals are received, after the period
for requests for clarifications or approved equals has closed; (ii) after the
Commission takes action, or such other time period as may be specified in
the solicitation document; or (iii) the date certain contained in the
solicitation for any solicitation for which a contract award is not made by
the Commission.
2. Be filed by an actual bidder or proposer responding to the procurement and
signed by a properly authorized representative. No other party has standing
to protest or is considered an interested party.
3. Identify the specific procurement number involved.
4. Identify the specific recommended action or decision being protested.
5. Specify in detail the grounds for the protest, the facts supporting the protest
and the status of the protester.
6. Include all relevant supporting documentation with the protest at the time
of submittal.
7. Describe the resolution to the protest desired by the protesting party.
36
Procurement Policy
Manual September 2019 Revision: 5
28
If a protest does not comply with each of the seven (7) requirements listed above,
the protest will not be considered and will be returned to the protester.
C. The Procurement Officer will attempt to resolve a properly filed protest or perform
additional fact-finding, including establishing a protest evaluation team to evaluate
the merits of the protest. The Procurement Officer, in consultation with the
Commission’s General Counsel, will prepare a recommended resolution of the
protest for consideration by the Executive Director. The Executive Director will
review the recommendation of the evaluation team and will render a determination
to uphold or deny the protest.
D. If the Executive Director’s decision is to deny the protest, the solicitation may be
continued without further delay or the contract will be recommended to the
Commission for award, or executed, if previously awarded by the Commission
subject to resolution of the protest. If the Executive Director’s decision is to uphold
the protest, a recommendation will be made to the Commission to amend the
solicitation and the date for receipt of proposals or bids, reject all proposals or bids,
cancel the request for proposals or invitation for bids and solicit new proposals or
bids, award the contract to another proposer, or other such actions as he/she deems
appropriate.
E. The Executive Director’s decision shall be final, and there shall be no further
administrative recourse at the local level, except for protests related to federally
funded procurements.
F. The procedures set forth in this Chapter 2, Section 17.0 are not intended to reduce
or restrict protest rights specifically provided under applicable funding agreements,
or state or federal laws authorizing the use of money funding applicable contracts.
1. In any procurement involving FTA funds, the Procurement Officer shall
disclose information regarding the protest to FTA and shall keep FTA
informed about the status of the protest.
2. An interested party that has filed a protest must exhaust all administrative
remedies with the Commission before pursuing a protest with FTA.
G. A debrief will be available for proposers to whom award was not made, for a period
of ten (10) days following award of the contract by the Commission.
18.0 PUBLIC RECORDS REQUESTS
A. All requests for procurement related records and/or information must be submitted
to the Clerk of the Board for appropriate action. Procurement related records
should not be disclosed as public information until staff recommendation for award
has been forwarded to all interested parties or as otherwise appropriate under the
California Public Records Act and applicable state and federal laws, guidelines and
requirements.
37
Procurement Policy
Manual September 2019 Revision: 5
29
CHAPTER 3 – COMPETITIVE SEALED BIDS (“LOW BID”)
A. PUC § 130232 requires that the purchase of all supplies, equipment, and materials,
and the construction of all facilities and works, when the expenditure required
exceeds twenty-five thousand dollars ($25,000), must be by competitive sealed
bidding, also known as “low bid”, contracting, with the contract let to the lowest
responsive, responsible bidder. Notice requesting bids must be published in at least
one newspaper of general circulation. The publication must be made at least ten
(10) days before the date for receipt of bids; however, based on the nature of the
procurement, a longer period of time shall be provided, as necessary, to ensure that
bidders are allowed adequate and sufficient time to prepare bids before the date of
bid opening. The resulting contract will be a fixed price contract.
B. In order for competitive sealed bidding to be most effective, the following
conditions should be present in the development of an Invitation for Bids (IFB):
1. A complete, adequate and sufficiently generic specification is developed;
2. Adequate competition is available in the marketplace (two or more
responsive and responsible bidders will compete); and
3. The procurement lends itself to a firm-fixed price contract.
C. Discussions and Communications
1. Bids shall be evaluated without discussions with bidders.
2. Information concerning proposed procurements should not be released
outside the Commission before an IFB is released, except for pre-
solicitation notices and publicly available general project information.
D. Pre-Bid Conferences
1. The Contracting Officer may use pre-bid conferences to explain
procurement requirements.
2. If the Commission requires any type of mandatory pre-bid conference, site
visit, or meeting, the IFB should include the time, date, and location of the
mandatory pre-bid site visit, conference or meeting, and when and where
project documents, including final plans and specifications are available.
Any mandatory pre-bid site visit, conference or meeting should be no
sooner than a minimum of five (5) calendar days following the publication
of the IFB.
E. Bid Addenda
1. If it becomes necessary to make changes in quantity, specifications, delivery
schedules, opening dates, or other items, or to correct a defective or
ambiguous IFB, the change should be accomplished by addendum of the
IFB.
2. Addenda to an IFB should be identified as such and should require the
bidder to acknowledge receipt of all addenda issued.
38
Procurement Policy
Manual September 2019 Revision: 5
30
F. Time Of Bid Receipt
The IFB should specify a time for receipt of bids. Bids must be received in the
office designated in the IFB not later than the time identified in the IFB.
G. Late Bids
Unless otherwise specified in a particular bid solicitation, bids are considered late
based on the time clock at the 3rd floor Commission Receptionist Desk, located at
4080 Lemon Street, Riverside, CA 92501. Bids are considered late if the time
stamped by the Commission upon receipt of the bid is later than the deadline/time
identified in the IFB. Late bids will not be accepted by the Commission, unless a
bid is late owing solely to Commission mishandling or some other legitimate
extenuating factor, as determined in the Commission’s sole discretion.
H. Receipt Of Bids
As bids are received, the Procurement Officer should secure and safeguard the bids
until the established time for bid opening.
I. Opening Of Bids
The Procurement Officer will coordinate the bid opening. All bids over $25,000
for supplies, equipment, and materials and the construction of all facilities and
works received prior to the bid submission deadline will be publicly opened, read
aloud to the persons present, and recorded. Bid opening documentation should
include the date, time, and place of bid opening and a tabulation of bidder names
and related bid amount. Such bid opening documentation should include the
signature of at least one witness.
J. Recording Of Bids
Construction bids over the small purchase threshold of $25,000 that are publicly
opened will be recorded on a bid summary or bid tabulation sheet. The
Procurement Officer should certify the accuracy of the bid summary sheet by
placing his/her signature thereon. The Commission’s Procurement Officer should
ensure that these results are posted on the Commission internet site within a
reasonable time after bid opening.
K. Tie Bids
If two or more responsible and responsive bids are received for the same total or
unit price, quality and service being equal, the Commission shall establish a date
and time to draw lots, which shall be accomplished by tossing a coin or pulling
bidder names out of a hat, to determine the winner. Using the lottery method, the
Commission shall:
1. Advise the tied bidders in writing that a tie has occurred, advise them a
winner will be determined by drawing lots, and invite them to attend the
drawing.
2. Conduct the drawing of lots on the date and time previously established
with at least two individuals as witnesses. The procurement file should
reflect the names, titles, and departments of the witnesses. If the witnesses
39
Procurement Policy
Manual September 2019 Revision: 5
31
are not Commission staff, the name, organization, address, and telephone
number of the individuals should be listed.
3. Declare the winner of the drawing of lots as the apparent low bidder for bid
evaluation and award purposes.
L. Alternative Sources of Procurement Authority
Notwithstanding the requirements of PUC § 130232, and the provisions set forth in
this Chapter, the Commission may use Cooperative Agreements (as described in
Chapter 1, Section 6.0) where such use is otherwise permitted by law.
40
Procurement Policy
Manual September 2019 Revision: 5
32
CHAPTER 4 – ALTERNATE DELIVERY CONTRACTS
1.0 PURPOSE
A. For the purposes of this Chapter, “Design-Build” means a method of procuring
design and construction from a single source. The selection of the single source
occurs before the development of complete plans and specifications.
For the purposes of this Chapter, “CM/GC” means a project delivery method in
which a construction manager is procured to provide preconstruction services
during the design phase of the project and construction services during the
construction phase of the project. The structure of the contract for such services is
within the discretion of the Commission.
For the purposes of this Chapter, “Alternate Delivery Method” means Design-
Build, CM/GC or any other alternate method of project procurement or delivery
which the Commission is authorized by law to utilize.
B. As set forth in PCC Section 6820, et. seq., the Commission is authorized to utilize
Design-Build for projects on or adjacent to the state highway system, including
related non-highway portions of the project, based on either best value or lowest
responsible bid.
C. As set forth in PCC Section 6700, et. seq., the Commission is authorized to utilize
the Construction Manager/General Contractor (CM/GC) method, contingent upon
delegation of authority by Caltrans, for two highway projects in Riverside County.
D. As set forth in AB 115 (Chapter 20, Statutes of 2017), the Commission is authorized
to utilize CM/GC for the 91 Toll Connector to Interstate 15 North project.
E. As set forth in PCC Section 6700, et. seq., the Commission is authorized to utilize
CM/GC method for certain expressways that are not on the state highway system,
provided that the required findings are made, consistent with PCC Section 6701,
and the Commission adopts the CM/GC method.
F. As set forth in AB 115 (Chapter 20, Statutes of 2017), the Commission is authorized
to amend or change any existing contract for the Interstate 15 express lanes
construction project or the State Highway Route 91 express lanes to include work
or services on the 91 Toll Connector to Interstate 15 North project, if the
Commission, with the concurrence of Caltrans, finds that to be a cost-effective
method to accelerate the delivery of that project.
2.0 PROCEDURES FOR ALTERNATE DELIVERY CONTRACTS
A. The Executive Director may adopt any lawful methods, procedures and criteria that
he or she determines are in the best interest of the Commission.
B. The Toll Program Director, through coordination with the Procurement Officer,
will prepare documents for the solicitation of proposals for highway-related
Alternate Delivery procurements.
41
Procurement Policy
Manual September 2019 Revision: 5
33
C. Where an Alternate Delivery Method does not require a solicitation of proposals,
the Toll Program Director shall, through coordination with the Procurement
Officer, prepare the contract documents for such procurement.
D. The documents prepared for Alternate Delivery procurements shall control over
any conflicting provisions contained herein.
E. The Commission shall use a procurement method permitted by law and appropriate
for the elements of the services (design v. construction) representing the
preponderance of work and having the greatest cost, even though other necessary
services would not typically be procured by that method. For example, the
construction costs of a Design-Build project are usually predominant, so the
Commission would use competitive negotiations or sealed bids for the entire
procurement rather than the qualification-based “Brooks Act” procurement
procedures.
1. The use of the Design-Build procurement method for FTA-funded projects
shall comply with FTA Circular 4220.1F, Section VI.3.h.
2. The use of the Design-Build procurement method for FHWA-funded
projects shall comply, as applicable, with any requirements specified by
Caltrans in the relevant project agreements.
42
Procurement Policy
Manual September 2019 Revision: 5
34
CHAPTER 5 – COMPETITIVELY NEGOTIATED PROCUREMENTS
1.0 NEGOTIATED PROCUREMENTS—GENERAL
A. This Chapter outlines the Commission's procedures for competitively negotiated
procurements for contracts:
1. Not legally required to be procured through the low-bid competitive
procurement method pursuant to PUC §130232; and
2. Intended to be awarded on the basis of both price and non-price factors.
B. A procurement is “negotiated” if discussions, negotiations, or other exchanges
between the Commission and the offerors are anticipated and planned in order to
maximize the Commission’s ability to communicate, understand, and obtain the
best value for contract award.
1. The exchanges involve bargaining, persuasion, alteration of assumptions
and positions, and give-and-take applied to price, schedule, technical
requirements, type of contract, and other proposed terms.
2. The exchanges after establishment of the competitive range of price and
terms are done with the intent of allowing the offeror to revise its proposal,
once and potentially several times.
C. Though not an all-inclusive listing, competitively negotiated procurements can be
used for the following types of procurements:
1. Professional services contracts for non-architect-engineer related services;
miscellaneous service contracts;
2. Architect-Engineer and related services contracts as further defined and
subject to the limitations specified in Section 6.0 of this Chapter;
3. Specialized equipment, computers, telecommunications equipment,
microwave equipment and other related electronic equipment and
apparatus; or
4. Best Value, Alternate Delivery contracts described in Chapter 4.
2.0 SOURCE SELECTION TECHNIQUES
A. The Procurement Officer can choose from a range of source selection techniques
for the competitively negotiated process based on:
1. What is suitable for the specific circumstances of a requirement, and
2. Which technique provides the best opportunity to tradeoff price/cost and
qualitative benefits in order to gain the best value for the Commission.
B. In acquisitions where the requirement is clearly definable and the risk of
unsuccessful contract performance is minimal, and excluding contracts for
Architect-Engineer and related services, cost or price may play a dominant role as
a significantly important evaluation factor for award.
43
Procurement Policy
Manual September 2019 Revision: 5
35
C. On the other hand, the less definitive the requirement, a requirement for technical
superiority, more development work required, or the greater the performance risk,
then the technical or past performance considerations play a more dominant role as
significantly important evaluation factors for award.
D. The Commission obtains best value in negotiated acquisitions by using any one or
a combination of selection approaches wherein the relative importance of cost or
price may vary with other non-cost or price factor(s). The Procurement Officer and
user department/project manager shall select an approach that will provide the
Commission with the best offer based on the requirements, and on applicable legal
requirements.
E. All evaluation factors associated with a particular proposal shall be identified along
with their relative importance. The Procurement Officer, in cooperation with the
user department/project manager, may utilize explicit factors, price performance
trade off, technically qualified/lowest price or other reasonable and appropriate
means of evaluating proposers.
F. Proposals will be solicited from an adequate number of qualified sources. In
determining sources to solicit, the Procurement Officer should use all reasonable
means available to ensure that an adequate number of potential qualified proposers
receive the solicitation in order to obtain maximum fair and open competition.
3.0 PROPOSAL EVALUATION
A. The evaluation factors that will be considered in evaluating proposals shall be
tailored to each procurement and shall include only those factors that will have an
impact on the source selection decision. The evaluation factors that apply to a
particular procurement and the relative importance of those factors are within the
broad discretion of the Procurement Officer and/or the user department/project
manager.
B. The Procurement Officer shall establish a formal evaluation committee, of at least
two persons, referred to as the “Evaluation Committee.” The size of an evaluation
committee should be (1) based on the size and complexity of the goods or services
being procured and (2) well balanced and represented by individuals involved with
the procurement and/or affected by the goods or services being procured. The
Evaluation Committee will be charged with responsibility for evaluating proposals,
short listing firms, establishing a competitive range, and/or recommending a firm
or firms for contract award.
1. Personnel engaged in the evaluation process shall not discuss or reveal
information concerning the evaluations except to those individuals
participating in the same proceedings and only to the extent that information
is required in connection with such proceedings.
2. Divulging information during the evaluation, selection, and negotiation
phases to offerors or to personnel not having a need to know is prohibited
as it could jeopardize the evaluation process and resultant award.
44
Procurement Policy
Manual September 2019 Revision: 5
36
C. The Evaluation Committee will evaluate each proposal in accordance with the
evaluation criteria in the solicitation. The Evaluation Committee’s selection
decision is subject to the final approval of the Commission or the Executive
Director, as required under this Manual.
4.0 REJECTION OF PROPOSALS
A. The Evaluation Committee may reject all proposals received that are determined
not to be in the competitive range, including those proposals made by offerors who
refuse to execute any reasonably required representations and/or certifications.
B. The Executive Director may, in his or her discretion, do any of the following (i)
reject any or all proposals received, (ii) cancel the procurement process, and/or (iii)
direct commencement of a new procurement process for the same services because:
1. All otherwise acceptable proposals received are at unreasonable prices;
2. The proposals were not independently arrived at in open competition, were
collusive or were submitted in bad faith; or
3. For other reasons, rejection is clearly in the Commission’s best interest.
5.0 NEGOTIATION; SELECTION
A. The methods and procedures for selection and negotiation will be determined by
the Procurement Officer, in coordination with the user department/project manager,
and set forth in the request for proposals.
6.0 SPECIAL PROVISIONS APPLICABLE TO ARCHITECT-ENGINEER AND
RELATED SERVICES
A. This Section prescribes guidelines and requirements for the procurement of
Architectural-Engineering (“A-E”) and related services. A-E Services are defined
as professional services of an architectural or engineering nature that are required
by law to be performed by a registered or licensed architect or engineer. Related
services include: land surveying and construction project management. For the
procurement of A-E and related services, the Procurement Officer shall follow the
procedures set forth in this Section 6.0, in addition to the pertinent procedures set
forth elsewhere in this Chapter.
B. If the procurement is for A-E and related services, the selection must be based on
the demonstrated competence and qualifications of prospective contractors, and
shall comply with Government Code 4525, et seq., and, when applicable, the laws
and regulations that govern the procurement of design-related services with federal
funds (see e.g., Title 23 U.S.C. 112, Letting of Contracts and 23 CFR 172,
Administration of Engineering and Design Related Service Contracts). These
services shall be acquired based on a two-step, sealed bidding procedure, whereby
qualifications are presented in a separate sealed envelope from a firm’s price
proposal. The proposals shall be evaluated based on qualifications only, and price
negotiations shall then be commenced with the proposer determined by the
Commission to be most qualified. If the Commission is unable to negotiate
satisfactory terms, at a fair and reasonable price, with the proposer considered to be
45
Procurement Policy
Manual September 2019 Revision: 5
37
most qualified, then negotiations shall be terminated with that proposer and
commenced with the next most qualified proposer. This process shall be continued
with successive qualified proposers until agreement is reached that is determined
to be fair and reasonable.
46
Procurement Policy
Manual September 2019 Revision: 5
38
CHAPTER 6 – SIMPLIFIED PURCHASE PROCEDURES
1.0 GENERAL
A. Procurement of materials, supplies, or services by the Commission should adhere
to the procedures in this Manual, as described in Chapter 2, Section 1.G. The
procedures ensure that the appropriate authorizations are secured for the type of
procurement made, and that the minimum requirements associated with the
materials, equipment, supplies or services requested are procured in a fair and open
manner.
B. This Chapter sets forth the procedures for small purchases and other simplified
purchase procedures. These purchases should be made competitively except where
it is in the best interests of the Commission to accomplish such purchases non-
competitively. Justification for such non-competitive procurement should be made,
in writing, and maintained in the procurement record.
2.0 REQUIREMENTS FOR MICROPURCHASES
A. If the purchase price for required supplies, equipment, services and/or materials is
considered a micropurchase as defined in Chapter 2, Section 1.G, then multiple
quotes are not required; however, such purchases should be fairly priced using a
purchase technique that best serves the needs of the Commission, and rotated
among commercial vendors offering competitive pricing.
B. Micropurchases may be accomplished by securing one proposal or quotation from
a commercial vendor offering supplies, equipment or materials to the public in
substantial quantities and the price is deemed to be fair and reasonable.
a. For federally-funded procurements, the determination that the price is fair and
reasonable and how the determination was derived must be included as
documentation in the procurement file.
C. If oral quotes are obtained, written record of the quotes should be retained. The
record should include, at a minimum, vendor name, telephone number and address,
name of person providing the quote, and terms.
3.0 USE OF SMALL PURCHASE PROCEDURES
A. For small purchases as defined in Chapter 2, Section 1.G, staff should obtain a
minimum of three (3) written quotations with reasonable efforts to include at least
one Disadvantaged Business Enterprise (DBE) vendor and, when practicable and
appropriate, an award should be made on the basis of lowest price.
B. For public works projects (i.e., maintenance, repair or construction work) and
planned solicitations for services defined as small purchases in accordance with
Chapter 2, Section 1.G, review by the Procurement Officer prior to the solicitation
of quotes is required in order to ensure compliance with relevant insurance
requirements, applicable legal mandates, e.g., insurance, bonding, prevailing wage,
and payroll records.
C. The Procurement Officer should use and/or authorize the Small Purchase
Procedures that are most suitable, efficient, and economical based on the
47
Procurement Policy
Manual September 2019 Revision: 5
39
circumstances of each procurement and determine that the price is fair and
reasonable.
4.0 PROHIBITED USE OF SMALL PURCHASE PROCEDURES
A. The Procurement Officer and or Commission staff may not divide, split or fragment
a procurement totaling more than the Commission’s small purchase limitation into
several purchases that are less than the limit in order to use the Small Purchase
Procedures.
48
Procurement Policy
Manual September 2019 Revision: 5
40
CHAPTER 7 – NON-COMPETITIVE AND EMERGENCY
PROCUREMENTS AND REMEDIAL MEASURES
1.0 NON-COMPETITIVE PROCUREMENTS
A. The non-competitive procurement of non-federally funded goods and services,
which otherwise require competitive procurement may be authorized under one or
more of the following circumstances, subject to any minimum Commission vote
required by applicable law:
1. The Commission has advertised the contract as required by this Manual and
has undertaken reasonable efforts to solicit potential contractors, but has
determined that competition is inadequate;
2. There is only a single source of supply available, or only one contractor is
qualified to provide the service or product;
3. The goods or services are to be provided by a government or other public
entity;
4. The goods or services are to be provided pursuant to an amendment of an
existing contract that does not materially alter the terms and conditions of
the contract (other than to extend the term and/or increase compensation to
provide for the extended term or for additional goods/services to be
provided under substantially the same terms of the original contract),
provided that such renewal, extension or amendment is authorized or
permitted by the contract;
5. The equipment to be purchased is of a technical nature and the procurement
thereof without advertising is necessary in order to assure standardization
of equipment and interchangeability of parts;
6. The item to be purchased is a capital maintenance item that is available only
from the original manufacturer or supplier or is required to maintain system
operational compatibility and connectivity with the existing system(s);
7. The contract is for employment services;
8. The contract is one for which only per diem and travel expenses are paid
and there is no payment for services rendered;
9. The Commission is piggybacking on an existing agreement between a
contractor and any public agency or entity within the County of Riverside
and/or the County of San Bernardino, or other public entities if: (a) the
proposed Commission contract is for the same material scope of work as
the other contract; (b) the proposed Commission contract contains
substantially the same terms as the other contract; and (c) the other contract
was competitively procured in accordance with requirements applicable to
such other agency’s procurements;
10. The provisions listed under Chapter 8, Section 3.0 regarding federally
funded sole source, non-competitive, sole source procurements are
applicable; or
49
Procurement Policy
Manual September 2019 Revision: 5
41
11. Except as may otherwise be limited by applicable law, the Commission
determines that a non-competitive procurement is in the public interest and
in the best interest of the Commission.
B. Except as limited by applicable law, the Executive Director shall have authority to
determine that non-competitive procurements are permitted under paragraph A,
subparagraphs (1) through (11) for contracts for amounts less than or equal to
$250,000150,000. Commission approval is required for contracts over
$250,000150,000. Each decision to proceed with a non-competitive procurement
must be supported by a written justification that is approved by the Executive
Director or Procurement Officer, as required under this Manual.
C. The Procurement Officer will take action, whenever possible and in coordination
with the user department/project manager, to avoid the need to continue to procure
the same supply, service, or construction without competition.
D. A non-competitive or sole source procurement, where competition is legally
required, should not be justified on the basis of any of the following circumstances:
1. The lack of adequate advance planning for the procurement of the required
commodities, services, or other items;
2. Delays in the procurement caused by administrative delays, lack of
sufficient procurement personnel, or improper handling of procurement
requests or competitive procedures; or
3. Pending expiration of budget authority.
E. The Procurement Officer should ensure that each non-competitive contract contains
all of the required clauses, representations, and certifications, in accordance with
the applicable laws, regulations, or Commission adopted policy.
F. The Procurement Officer should ensure that proper records of each non-competitive
procurement are maintained.
2.0 EMERGENCY PROCUREMENTS; REMEDIAL MEASURES
A. The Commission may award a contract on an emergency basis if the requirement
is essential to deal with an existing emergency condition, as defined below in
Paragraph “B”, and the Executive Director may award a contract when necessary
as a remedial measure as defined below in Paragraph “C”. The emergency
procurement of supplies or services and procurements as a remedial measure should
be limited to quantities and time periods sufficient to meet the immediate threat and
should not be used to meet long-term requirements.
B. For purposes of an emergency procurement under this Chapter, an “emergency
condition” is a situation (such as a flood, epidemic, riot, equipment failure, or any
other reason declared by the Commission) which creates an immediate threat to the
public health, welfare, or safety. The existence of an emergency condition creates
an immediate need for supplies, services, or construction which cannot be met
through normal procurement methods, and the lack of which would seriously
threaten one (1) or more of the following:
50
Procurement Policy
Manual September 2019 Revision: 5
42
1. The health or safety of any person;
2. The preservation or protection of property;
3. The continuation of necessary Commission functions; or
4. Contract delays that could result in an increase to the cost of the project.
In the case of contracts for services, the Executive Director may declare the
emergency condition.
C. The Executive Director may authorize the expenditure of funds previously
appropriated by the Commission for the direct purchases of goods and services,
without following bid requirements (i) when a finding is made that immediate
remedial measures are necessary to avert or alleviate damage to property, or to
replace, repair, or restore damaged or destroyed property, of the Commission and
are necessary in order to ensure that the facilities of the Commission are available
to serve the transportation needs of the general public, and upon determining that
available remedial measures, including procurement or construction in compliance
with PUC § 130232, 130233, and 130234, are inadequate.
D. A contract procured on an emergency basis or as a remedial measure should not be
modified to expand the scope or extend the time of the procurement unless a limited
number of additional commodities, services, or other items are needed to fill an
ongoing emergency requirement until regular procurement action procedures
initiated under other Chapters in this Manual can be completed.
E. The Executive Director must, after an emergency expenditure in excess of his/her
delegated signature authority, and after an expenditure necessary as a remedial
measure, submit to the Commission a procurement summary explaining the
necessity for the expenditure.
F. The Procurement Officer should ensure that each emergency procurement contract
and/or contract entered into as a remedial measure contains the required clauses,
representations, and certifications, in accordance with the requirements of this
Manual.
G. The Procurement Officer should ensure that proper records of each non-competitive
procurement are maintained in accordance with the requirements of this Manual.
3.0 WRITTEN JUSTIFICATION FOR EMERGENCY AND OTHER NON-
COMPETITIVE PROCUREMENTS
A. In each instance where the non-competitive procurement procedures set forth in
this Chapter are used, the user department/project manager is required to prepare a
written statement recording all of the facts that provide justification for proceeding
with the non-competitive or emergency procurement.
B. The Procurement Officer must approve the justification for all non-competitive
procurements described under this chapter before such a procurement can proceed.
51
Procurement Policy
Manual September 2019 Revision: 5
43
CHAPTER 8 – REFERENCES TO APPLICABLE LAWS /REGULATIONS
1.0 GENERAL
A. This Manual lists references to the various federal, state, and local regulations, to
which the Manual was written to conform and/or comply.
B. The Procurement Officer will be responsible, in cooperation with the
Commission’s General Counsel, for reviewing these references from time to time
in order to review new requirements and to note updates to the existing regulations.
2.0 REFERENCES
A. For the Commission's capital projects and contracts for goods and services utilizing
FTA or FHWA funds, the provisions included in the Manual will apply only to the
extent that they do not conflict with FTA or FHWA requirements, including the
standards of FTA Circular 4220.1F, or the most current version thereof, entitled
“Third Party Contracting Requirements” or FHWA Form FHWA-1273 entitled
“Required Contract Provisions Federal-Aid Construction Contracts.” In case of
any conflict, the applicable federal standards shall govern. The foregoing
documents, though not all-inclusive, set forth requirements that the Commission
must comply with in the solicitation, selection and administration of contracts
funded by the FTA and FHWA, respectively.
B. For projects funded by Caltrans and/or FHWA, the selection process shall be in
accordance with Caltrans’ Local Assistance Procedures Manual.
C. FTA Circular 4220.1F (or the most current version thereof) sets forth the
requirements the Commission must adhere to in the solicitation, award, and
administration of its third party contracts. FTA Circular 4220.1F applies to all FTA
grantees and subrecipients that contract with third parties under FTA assistance
programs.
a. In addition to the requirements set forth in this Chapter 8, the FTA standards
for competition are set forth generally in Chapter 1 hereof and the FTA
procedures for competitive sealed bid (“low bid”) procurements and
competitively negotiated procurements are set forth in Chapters 3 and 5 hereof,
respectively.
D. Some of the requirements include the following:
1. Pre-Award Audits. A pre-award (pre-negotiation) audit shall be completed,
as required based on the participating state or federal funds, for each
consultant contract.
2. Brooks Act Provisions. The provisions of the Brooks Act (40 U.S.C. 544)
require local agencies to award federally funded engineering and design
contracts on the basis of fair and open competitive negotiations,
demonstrated competence, and professional qualifications (23 CFR, Section
172).
3. Required Contract Provisions/Forms.
52
Procurement Policy
Manual September 2019 Revision: 5
44
a. Disadvantaged Business Enterprise
i. Notice to Proposers Disadvantaged Business Enterprise
Information
ii. Standard Agreement for Subcontractor/DBE Participation
iii. Local Agency Proposer DBE Commitment (Consultant
Contracts)
iv. Local Agency Proposer DBE Information (Consultant Contract)
v. Final Report-Utilization of DBE, First-Tier
vi. Subcontractor Listing
b. Federal Lobbying Restrictions, Title 31 U.S.C. Section 1352
i. Non-lobbying Certification for Federal-aid Contracts
ii. Disclosure of Lobbying
c. Financial Provisions.
i. Compliance with 2 CFR Part 200, Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for
Federal Awards.
ii. Compliance with 48 CFR, Chp. 1, Part 31, Contract Cost
Principles and Procedures.
4. iii. Provisions required by Caltrans Master Funding Agreement.
Caltrans/FWHA Authorization to Proceed. FHWA or Caltrans acting in
FHWA’s behalf must give the local agency an “Authorization to Proceed”
with a project prior to the performance of any work for which federal
reimbursement is to be requested, including the pre-award audit. Copies of
the “Authorization to Proceed” and the consultant contract must be retained
in the project files for future audit purposes.
5. Veterans Employment. Pursuant to 49 U.S.C. 5325(k), the Commission
shall ensure that contractors working on an FTA-funded capital project give
a hiring preference, to the extent practicable, to veterans (as defined in
Section 2108 of Title 5) who have the requisite skills and abilities to perform
the construction work required under the contract. This subsection shall not
be understood, construed or enforced in any manner that would require an
employer to give preference to any veteran over any equally qualified
applicant who is a member of any racial or ethnic minority, female, an
individual with a disability, or former employee. For FHWA-funded capital
projects, the Commission shall comply with the veteran’s preference
requirement, as set forth in 23 U.S.C. 114.
E. Though not an all-inclusive listing, the following laws, regulations and code
sections are applicable to Commission contracts:
53
Procurement Policy
Manual September 2019 Revision: 5
45
Federal Statute, Regulations,
Policies, and Agreements Subject
2CFR Part 200 Uniform Administrative Requirements, Cost Principles, and
Audit Requirements for Federal Awards
49 CFR Part 26 Participation by Minority Business Enterprises; DBE
Program
FAR Part 31 Contract Cost Principles and Procedures
FTA Circular 4220.1x Third Party Contracting Requirements
FTA Circular 5010.1x Grant Management Guidelines
FTA Master Agreement Terms & Conditions of Grantee Administration of Projects
Supported & Funded by the FTA
Caltrans Local Assistance
Master Agreement
Terms & Conditions of Grantee Administration of Projects
Supported & Funded by the FHWA or Caltrans
23 U.S.C. 114 / 23 CFR 633
23 U.S.C. 315 / 49 CFR 1.48
Form FHWA-1273 entitled “Required Contract Provisions
Federal-Aid Construction Contracts.”
23 CFR 172 Procurement, Management, and Administration of
Engineering and Design Related Services
CA State Codes Section(s) Subject
Civil Code 9550-9566 Payment Bond
Civil Code 3320 Payments to Prime Design Professionals
Code of Civil
Procedure
995.311 Bond Issuer Requirements
Government Code 4525 et seq. Architect & Engineering Services
Government Code 6250 - 6270 Public Records Disclosure
Government Code 5956 et seq. Infrastructure Projects
Labor Code 1777.1 Debarment by California Labor Commissioner
Labor Code 1770-1780 Prevailing Wage, Work Hours, Certified Payroll
Records, Apprentices
Public Contract Code 1103 Responsibility on Public Works Contracts
Public Contract Code 1104 Plans and Specifications
Public Contract Code 3300 Contractor’s License
Public Contract Code 3400 Brand Name OR Equal; Restrictive Clauses
Public Contract Code 4100 - 4114 Subcontracting
Public Contract Code 5100 - 5107 Relief of Bidders
Public Contract Code 6100 - 6610 Awarding of Contracts
Public Contract Code 6700 et. seq. Construction Manager/General Contractor
Authority
Public Contract Code 6820 et seq.
Design/Build Authority
Public Contract Code 7100 - 7200 Contract Clauses, Non-Collusion Affidavit
Public Contract Code 9201 - 9204 Claims and Disputes
54
Procurement Policy
Manual September 2019 Revision: 5
46
CA State Codes Section(s) Subject
Public Contract Code 10335 et seq. Service Contracts
Public Contract Code 20101 Prequalification
Public Contract Code 20103.6 Limitation on Architect’s Indemnity Obligation
Public Contract Code 20103.8 Alternative Bids
Public Contract Code 20104-20104.6 Resolution of Construction Claims
Public Contract Code 20104.50 Progress Payments on Public Works
Public Contract Code 22300 Substitution of Securities
Public Utilities Code 130221 Contracting With Other Government Agencies and
Other Persons
Public Utilities Code 130232 -
130239
Award of Contracts Based On Price or Price and
Other Factors; Bid Security; Emergency
Procurements; Advertising; Immediate Remedial
Measures; Rejecting Bids
Public Utilities Code 130232(c) Authorization of Executive Director for Bid
Expenditures <$50,000.
Public Utilities Code 130232(d) Bid Security for Construction Work >$25,000
3.0 FTA/FHWA-FUNDED PROCUREMENT BY NON-COMPETITIVE (SOLE
SOURCE) PROPOSALS
A. Notwithstanding any other provision herein, federally funded contracts must
comply with the federal requirements for non-competitive or sole source
procurements. Non-competitive or sole source procurements are accomplished
through solicitation of a proposal from only one source, or after solicitation of a
number of sources, competition is determined inadequate. A contract change that
amounts to a “cardinal change” or a “tag-on” as defined in FTA Circular 4220.1f
that involves a major deviation from the original purpose is considered a sole source
procurement on a federally funded contract that must comply with this paragraph.
1. Procurement by noncompetitive proposals may be used only when the
award of a contract is infeasible under small purchase procedures,
competitive sealed bids, or competitive proposals and at least one of the
following circumstances applies:
a. The item is available only from a single source;
b. The public exigency or emergency for the requirement will not permit a
delay resulting from competitive solicitation;
c. FTA/FHWA, as applicable, authorizes noncompetitive negotiations—
e.g., if FTA/FHWA, as applicable, provides a joint procurement grant
or a research project grant with a particular firm or combination of firms,
the grant agreement is the sole source approval;
d. After solicitation of a number of sources, competition is determined
inadequate;
55
Procurement Policy
Manual September 2019 Revision: 5
47
e. The item is an associated capital maintenance item as defined in 49
U.S.C. §5307(a)(1) that is procured directly from the original
manufacturer or supplier of the item to be replaced. The grantee must
first certify in writing to FTA:
i. that such manufacturer or supplier is the only source for such item;
and
ii. that the price of such item is no higher than the price paid for such
item by like customers; or
f. Any other circumstance justifying sole source procurement set forth in
the applicable federal rules and regulations.
2. For Caltrans or FHWA funded procurements, a PIF has been approved by
the applicable funding entity.
3. A cost analysis, i.e., verifying the proposed cost data, the projections of the
data, and the evaluation of the specific elements of costs and profit, is
required.
4.0 DISADVANTAGED BUSINESS ENTERPRISE AND OTHER
REQUIREMENTS
A. In order to ensure the Commission’s compliance with the federal DBE Program on
all applicable procurements funded with United States Department of
Transportation (DOT) dollars, the Commission will make reasonable efforts to
utilize disadvantaged business enterprises in compliance with applicable federal
regulations.
B. The Commission’s procurement process is structured to ensure that its DBE
Program supports the Commission’s commitment to promote, foster and utilize
disadvantaged business enterprises as required and defined by applicable federal
regulations.
C. As a condition of funding assistance, and in accordance with DOT DBE regulations
published in applicable federal regulations, the Commission is required to submit
for approval a DBE Program and regular DBE goals, which it will make good faith
efforts to achieve through procurement actions carried out under this Manual.
D. Pursuant to 2 CFR Part 200.321, the Commission shall also take affirmative steps
to assure that minority businesses, women’s business enterprises, and labor surplus
area firms are used when possible on federally funded projects.
5.0 GEOGRAPHICAL PREFERENCES
A. For any federally-funded contracts, except when procuring A-E services, the
Commission is prohibited from using statutorily or administratively imposed in-
state or local geographical preferences in the evaluation of bids or proposals unless
federal statutes expressly mandate or encourage geographic preference.
56
Procurement Policy
Manual September 2019 Revision: 5
48
6.0 REVENUE CONTRACTS
A. The Commission may enter into revenue contracts with a third party whereby the
primary purpose is to either generate revenues in connection with a transit-related
activity or create business opportunities utilizing an FTA-funded asset. The FTA
requires such third party revenue contracts to be awarded utilizing competitive
selection procedures and principles. The extent of and type of competition required
is within the discretionary judgment of the Commission.
7.0 STATUTORY AND REGULATORY REQUIREMENTS
A. The Commission shall comply with applicable federal statutory and regulatory
requirements (such as Davis-Bacon Act, DBE, Debarment and Suspension, Clean
Air, Environmental and Conservation Requirements, Buy America and Cargo
Preference) in carrying out federally-funded procurement actions under this
Manual. Below is a contract clause matrix that is applicable to third-party contract
provisions for federally funded contracts, excluding micropurchases and except for
Davis-Bacon requirements which apply to construction contracts exceeding $2,000.
The matrix should be reviewed at least annually for any regulatory changes.
TYPE OF PROCUREMENT
PROVISION Professional
Services/A&E
Operations/
Management
Rolling
Stock
Purchase
Construction Materials &
Supplies
No Federal Government
Obligations to Third Parties
(by Use of a Disclaimer)
All
All
All
All
All
False Statements or Claims Civil
and Criminal Fraud
All
All
All
All
All
Access to Third Party Contract
Records
All All All All All
Changes to Federal Requirements All All All All All
Termination >$10,000 if 2
CFR Part
200applies.
>$10,000 if 2
CFR Part 200
applies.
>$10,000 if 2
CFR Part 200
applies.
>$10,000 if 2
CFR Part 200
applies.
>$10,000 if 2
CFR Part 200
applies.
Civil Rights (Title VI, ADA, EEO
except Special DOL EEO clause for
construction projects)
All All All>$10,000 All All
Special DOL EEO clause for
construction projects
>$10,000
Disadvantaged Business
Enterprises (DBEs)
All All All All All
* Incorporation of FTA Terms All All All All All
Debarment and Suspension >$25,000 >$25,000 >$25,000 >$25,000 >$25,000
Buy America >$150,000
>$150,000 >$150,000
Resolution of Disputes, Breaches,
or Other Litigation
>$100,000 >$100,000 >$100,000 >$100,000 >$100,000
57
Procurement Policy
Manual September 2019 Revision: 5
49
TYPE OF PROCUREMENT
PROVISION
Professional
Services/A&E
Operations/
Management
Rolling Stock
Purchase Construction Materials &
Supplies
Lobbying >$100,000 >$100,000 >$100,000 >$100,000 >$100,000
Clean Air >$150,000 >$150,000 >$150,000 >$150,000 >$150,000
Clean Water >$150,000 >$150,000 >$150,000 >$150,000 >$150,000
Cargo Preference Transport by
ocean vessel.
Transport by
ocean vessel.
Transport by
ocean vessel.
Fly America Foreign air
transp./travel.
Foreign air
transp./travel.
Foreign air
transp./travel.
Foreign air
transp./travel.
Foreign air
transp./travel.
Veterans Hiring Preference All
Davis-Bacon Act >$2,000 (also
ferries).
Contract Work Hours and Safety
Standards Act
>$100,000
(transportation
services
excepted).
>$100,000 >$100,000
(also ferries).
Copeland Anti-Kickback Act
Section 1
Section 2
All
> $2,000 (also
ferries).
Bonding $100,000
Seismic Safety A&E for new
buildings &
additions.
New
buildings &
additions.
*Transit Employee Protective
Arrangements
Transit
operations.
* Charter Service Operations All
* School Bus Operations All
* Drug Use and Testing Transit
operations.
* Alcohol Misuse and Testing Transit
operations.
Patent Rights R & D
Rights in Data and Copyrights R & D
Energy Conservation All All All All All
Recycled Products EPA-selected
items $10,000
or more
annually.
EPA-selected
items $10,000
or more
annually.
EPA-selected
items $10,000
or more
annually.
Conformance with ITS National
Architecture
ITS projects. ITS projects. ITS projects. ITS projects. ITS projects.
ADA Access A&E All All All All
Notification of Federal
Participation for States
Limited to
States.
Limited to
States.
Limited to
States.
Limited to
States.
Limited to
States.
58
Procurement Policy
Manual September 2019 Revision: 5
50
* Applies only to FTA funding
Caltrans Fiscal Provisions Checklist
All contract fiscal provisions must utilize the language specified by Caltrans and set forth in the LAPM sample contract
language form. The clauses that must be used verbatim are for the items specified below (except as otherwise noted).
Consult the LAPM form, and the latest RCTC model contract for Caltrans/FHWA funded projects.
Performance Period: Beginning date cannot be prior to the date Caltrans issues the conformance letter, if applicable.
Allowable Costs and Payments: The contract method of payment must be one of the four methods required as listed
in Section 10.2 of the LAPM.
Termination: The provision must contain language regarding termination for cause and convenience Per 23 CFR 172.9
(c)(1)(xii).
Cost Principles and Administrative Requirements.
* Travel and subsistence in accordance with DPA regulations
* Maintain an accounting system that accumulates and segregates project costs
* Accounting system must conform to GAAP
Retention of Records/Audit.
Audit Review Procedures, including the Audit Clause. Ensure use of appropriate clauses for (i) contracts $150,000 or
greater; or (ii) contracts $3,500,000 or greater.
Subcontracting
Equipment Purchase
State Prevailing Wage Rates.
Conflict of Interest.
Rebates, Kickbacks, or other Unlawful Considerations.
Prohibition of Expending State or Federal Funds for Lobbying.
* Specific provisions addressing these items are not included in LAPM form, but are required and are included in the
RCTC model contract.
59
Procurement Policy
Manual September 2019 Revision: 5
51
CHAPTER 9 – DISPOSAL OF SURPLUS PROPERTY
1.0 DEFINITIONS
A. “Surplus personal property” shall mean personal property of the Commission which
is no longer needed or fit for its intended purpose or has exceeded its useful life.
B. “Surplus real property” shall mean real property of the Commission which is no
longer needed for a specified project.
2.0 DISPOSAL OF SURPLUS REAL PROPERTY
A. Upon recommendation by the Executive Director, designated Commission staff
may dispose of surplus real property in accordance with the RCTC Right of Way
Policies and Procedures Manual.
3.0 DISPOSAL OF PERSONAL PROPERTY
A. Upon recommendation by the Executive Director and in accordance with applicable
state or federal funding requirements, designated Commission staff may dispose of
all surplus and obsolete personal property by donation, bid, auction, negotiated sale
or exchange. If the disposal of such items is conducted by bid, the sale shall be
conducted in accordance with generally accepted best practices and applicable laws
and regulations. The Commission staff shall attempt to obtain the best value for
the property that can reasonably be obtained.
60
Procurement Policy
Manual September 2019 Revision: 5
52
CHAPTER 10 – OTHER PROCUREMENT MATTERS
1.0 DISPUTES, CLAIMS, AND CHANGES—DEFINITIONS
A. Change Orders – the commercial and technical resolution of a contract
modification. The change order document can be unilateral or bilateral in
execution.
B. Potential Claim – written notice provided to the Commission by the contractor
when the:
1. Parties are unable to reach bilateral agreement on a change and the
contractor is provided a unilateral change order (“protest”); or,
2. Contractor perceives that it is entitled to additional compensation (time or
money) for something it believes to constitute extra work performed or to
be performed.
C. Claim – differences that have developed during the contract, under protest or under
notice of potential claim, which are not resolved at the time the contractor returns
the proposed final pay estimate.
D. Dispute – a disagreement between the parties as to the merits, amount or remedy
arising out of an issue in controversy, including a disagreement regarding a Claim
or asserted default.
E. Amendment – a modification considered outside the original contract scope or
terms and formalized with a written agreement signed by both parties.
2.0 DISPUTES, CLAIMS, AND CHANGES—GENERAL
A. The Procurement Officer is responsible for documenting negotiation activities for
the record, and should be present at all professional services and construction
contract negotiations.
B. The Procurement Officer or project manager, as required, prepares the appropriate
documentation (e.g., change order forms) for review and approval by the
Commission’s Executive Director or Commission, prior to issuance to the
consultant/contractor for signature. This document includes full definition of work
scope, impact on DBE goals, definition of time and schedule impacts, and price.
The change order language stipulates that the agreed-upon terms are all inclusive,
and no other relief will be available regarding this work.
1. For federally-funded contracts, any damages recovered must be credited to
the project involved unless the FTA/FHWA, as applicable, permits
otherwise.
2. For federally-funded contracts, change orders that amount to cardinal
changes or tag-ons shall comply with Chapter 8, Section 3.0(A).
3.0 TERMINATION
A. All Commission contracts exceeding $25,000 should contain provisions enabling
the Commission to terminate such contracts for the convenience of the
Commission, and all federally funded contracts must contain such provisions.
61
Procurement Policy
Manual September 2019 Revision: 5
53
These provisions should specify the manner in which such termination will be
effected and the basis for settlement. There should also be included in such
contracts appropriate provisions specifying causes for which the contracts may be
terminated for default.
B. Terminations for Convenience of the Commission
1. Commission contracts will be terminated for convenience only when this is
determined to be in the best interests of the Commission. In lieu of issuing
a notice of termination for convenience, the Procurement Officer will effect
a no-cost settlement agreement where possible and appropriate.
2. Formal written notice to the contractor is necessary to terminate a contract
for convenience. Such notice will state that the contract is being terminated
pursuant to the termination for convenience provision of the contract, the
effective date, the extent of termination and instructions to the contractor to
cease performance under the contract.
3. The Procurement Officer will negotiate a no-cost settlement with the
contractor if possible. Otherwise, the Procurement Officer will negotiate
an appropriate settlement agreement with the contractor pursuant to the
provisions of the termination for convenience clause of the contract.
C. Terminations For Default
1. If a contractor's right to proceed is terminated for default, the Commission
may take over and complete the work or cause it to be completed, and the
contractor and his sureties, if any, shall be liable to the Commission for any
increased costs caused thereby. The contractor and his sureties should, in
addition to increased costs in completing the work, be liable for liquidated
damages, if liquidated damages are provided in the contract, or for actual
damages, if liquidated damages are not so provided.
2. If the Procurement Officer determines that the contractor's failure to
perform arises from causes which are excusable under the terms of the
contract, the Procurement Officer shall not terminate the contractor's right
to proceed, nor shall he/she charge the contractor with liquidated damages
(or if no liquidated damages, then actual damages) because of any delays
occasioned by such causes.
3. Where the surety does not complete performance of the contract, the
Procurement Officer normally will complete the performance of work by
awarding a new contract based on the same plans and specifications. Such
award may be the result of competitive bidding or negotiation; whichever
procedure is most appropriate under the circumstances. The Procurement
Officer must use reasonable diligence to obtain the lowest price available
for completion.
4. If, after due consideration, the Procurement Officer determines that
termination is not in the best interest of the Commission although the
contractor is in default, the Procurement Officer may permit the contractor
to continue the work, and the contractor and his sureties shall be liable to
62
Procurement Policy
Manual September 2019 Revision: 5
54
the Commission for liquidated damages, as specified in the contract, or if
liquidated damages are not so specified, for any actual damages occasioned
by the failure of the contractor to complete the work in accordance with the
terms of the contract.
5. Any provision for a liquidated damages assessment must be at a specific
rate per day for each day of overrun and must be specified in the contract.
a. For FTA-funded contracts, any damages recovered must be credited to
the project involved unless the FTA permits otherwise.
4.0 BONDS, OTHER SECURITIES AND INSURANCE
A. The Commission should specify bonding, in compliance with applicable federal
and state requirements for all public works contracts.
1. In general, all construction contracts over $25,000 require a payment bond
in the amount of 100% of the contract value.
2. All FTA-funded construction contracts over $100,000 require a
performance bond in the amount of 100% of the contract value and a bid
guarantee in the amount of no less than 5% of the contract value.
3. Bids for construction of facilities where the work is anticipated to exceed
$25,000 require bid security as set forth in PUC § 130232.
B. The Procurement Officer may require any of the following types of security for any
solicitation or contract subject to this Manual, other than a small purchase,
regardless of the estimated amount of the contract:
1. Bid bonds;
2. Other bid or proposal security;
3. Construction performance and payment bonds; and
4. Performance or payment bonds or other security on non-construction
contracts.
C. Requirement for Bonds To Be Executed By An Admitted Surety Insurer
1. California Code of Civil Procedure § 995.311 calls for any bond required
on a public works contract to be executed by an admitted surety insurer.
2. The Commission has a duty to verify that an admitted surety insurer
executes the bond. The Procurement Officer should print out information
from the website of the California Department of Insurance
(http://www.insurance.ca.gov/docs/FS-CompanyProfiles.htm) confirming
that the surety is an admitted surety insurer and attach it to the bond.
D. For federally funded procurements, the Commission shall not require unnecessary
experience or excessive bonding.
63
Procurement Policy
Manual September 2019 Revision: 5
55
5.0 CONTRACT CLOSEOUT
A. A completed contract is one which is both physically and administratively complete
and in which all aspects of contractual performance have been accomplished,
terminated, or otherwise disposed of by contract modification. A contract is
physically complete only after all articles and services called for under the contract,
including such related items as reports, spare parts, and exhibits, have been
delivered to and accepted by the Commission, including those articles and services
for which no specific compensation may have been stipulated. A contract is
administratively complete when all payments have been made and administrative
actions accomplished.
B. The project manager, in cooperation with the Procurement Officer, is responsible
for review of the contract file and obtaining all necessary documentation to ensure
that: (1) all deliverables and/or services (including any reports) required under the
contract have been received and accepted; (2) the terms and conditions of the
contract have been complied with; (3) disposition of accountable property under
the contract has been accomplished; all necessary actions including final payment
and releases required to close the contract are completed and documented.
C. Small purchase files should be considered closed when the Procurement Officer
receives evidence of receipt of property and final payment.
D. A contract file should not be closed in any of the following situations:
1. If the contract is the subject of a claim or dispute;
2. If the contract is in litigation or under appeal;
3. In the case of a termination, if all termination actions have not been completed;
or
4. If state or federal approval is required and has not been received.
64
Procurement Policy
Manual September 2019 Revision: 5
56
CHAPTER 11 – PAYMENT
1.0 COMMISSION PAYMENT PROCESS
A. The Commission will promptly process all contract payments with necessary
controls to assure compliance with all contract terms and conditions in accordance
with internal procedures recommended by the Chief Financial Officer and
authorized by the Executive Director.
B. The Procurement Officer should clearly specify in solicitations and contracts the
form and content of an acceptable invoice, including a requirement that invoices be
sequentially numbered, that they contain a date and contract number and the
services for which they are invoicing, the period of performance being invoiced,
and to whom invoices are to be sent.
2.0 PROGRESS PAYMENTS
A. The Commission may provide for progress payments under contracts that require
long time periods to complete contract performance or if the use of progress
payments contributes to the effective and efficient administration of
consultant/contractor work. Progress payments will be made on the basis of
allowable costs incurred by the consultant/contractor, and the stage of completion
of the contract.
1. Criteria. Contract clauses providing for progress payments should be used
when the investment in work and progress is expected to be great enough to
add substantial costs to the contract or strain the consultant/contractor’s
cash flow or ability to obtain financing. Under no circumstances should
payments exceed the consultant/contractor’s physical completion of the
Work, nor should they amount to advance payments. Progress payments
can be based on a periodic voucher for expenditures, a milestone, or the
Commission’s estimate of work accomplished as defined in the contract.
2. For federally funded procurements, the Commission must obtain adequate
security (i.e., title to work in progress; letter of credit) for any progress
payments made.
3. For FTA-funded procurements, advance payments are prohibited unless
prior written concurrence is obtained from the FTA.
B. Progress Payments on Public Works
In accordance with PCC § 20104.50, the Commission must make progress
payments within 30 days after receipt of an undisputed and properly submitted
payment request from a contractor on a construction contract. If the Commission
fails to make timely payment, the Commission may be required to pay interest to
the contractor equivalent to the legal rate set forth in subdivision (s) of Section
685.010 of the Code of Civil Procedure.
C. Progress Payments and Retentions on Architect, Engineer, and Land Surveyor
Contracts
65
Procurement Policy
Manual September 2019 Revision: 5
57
Pursuant to California Civil Code §3320, for any contract for public works or
improvement, the Commission shall pay to the prime design professional any
progress payment within 30 days of receipt of a written demand for payment in
accordance with the contract, and the final retention payment, if applicable, within
45 days of receipt of a written demand for payment in accordance with the contract.
If any amount is wrongfully withheld or is not timely paid, the prime design
professional should be entitled to a penalty of 1½ percent for the improperly
withheld amount, in lieu of any interest otherwise due, per month for every month
that payment is not made.
3.0 PROMPT PAYMENT TO SUBCONTRACTORS—FEDERALLY FUNDED
AGREEMENTS
A. In accordance with 49 CFR Part 26, Commission contracts above the small
purchase threshold must require that the prime contractor or subcontractor shall pay
to any subcontractor, not later than 7 days of receipt of each progress payment from
the Commission, unless otherwise agreed to in writing, the respective amounts paid
to the contractor on account for the work performed by the subcontractors, to the
extent of each subcontractor’s interest therein. The Commission contract may
provide that, in the event that there is a good faith dispute over all or any portion of
the amount due on a progress payment from the prime contractor or subcontractor
to a subcontractor, then the prime contractor or subcontractor may withhold no
more than 150 percent of the disputed amount.
B. The Commission must also require the prompt return of retainage payments from
the prime contractor to the subcontractor within 7 days after the subcontractor’s
work is satisfactorily completed.
4.0 PAYMENT OF RETENTION ON PUBLIC WORKS CONTRACTS
A. Pursuant to PCC § 7107, within 60 days after the date of completion of the work of
improvement, the Commission must release any retention withheld except funds
withheld to satisfy outstanding stop notices or otherwise properly withheld. In the
event of a dispute between the Commission and the original contractor, the
Commission may withhold from the final payment an amount not to exceed 150
percent of the disputed amount.
5.0 REQUEST FOR PAYMENT CERTIFICATION
A. All contracts above the small purchase threshold may contain a clause, which
requires the contractor to submit with each request for payment, a certification that
the claim for payment is true, correct, and for services rendered and/or supplies
delivered in accordance with the contract.
B. The user department/project manager will disapprove and Accounts Payable will
return unpaid any request for payment which does not contain the certification
when required.
66
Procurement Policy
Manual September 2019 Revision: 5
58
REVISION HISTORY:
Revision
No.
Revisions Adopted
0 Adopted by the Commission 7/11/12
1 Adopted by the Commission 12/12/12
2 Adopted by the Commission 9/9/15
3 Adopted by the Commission 12/13/17
4 Adopted by the Commission 6/13/18
5 Adopted by the Commission 9/11/19
(anticipated)
67
AGENDA ITEM 9
Agenda Item 9
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: August 26, 2019
TO: Riverside County Transportation Commission
FROM Cheryl Donahue, Public Affairs Manager
THROUGH: Aaron Hake, External Affairs Director
SUBJECT: Quarterly Public Engagement Metrics Report, April – June 2019
STAFF RECOMMENDATION:
This item is for the Committee to:
1) Receive and file the Quarterly Public Engagement Metrics Report for April – June 2019;
and
2) Forward to the Commission for final action.
BACKGROUND INFORMATION:
Staff has been monitoring public engagement activities since January 2018 and preparing
Quarterly Public Engagement Metrics Reports for the Commission. This report covers the second
quarter of 2019, from April to June. These quarterly reports are a data-driven approach to
measuring progress toward public engagement goals, allow staff to assess the effectiveness of
its efforts on an ongoing basis, and provide transparency into how the Commission is using its
resources to engage and educate the public.
This quarterly report includes four sets of data:
1) Metrics for RCTC’s overall public engagement activities, including website use and access;
website top pages visited; email notifications; social media likes, engagement and reach;
and public sentiment
2) Metrics for RCTC’s Interstate 15 Express Lanes Project public engagement activities,
including email activity, website sessions, and social media
3) Metrics for RCTC’s #RebootMyCommute public engagement program, which took place
from March 6 to June 3
4) New for this quarter are metrics for the State Route 60 Truck Lanes Project. Note that
these numbers are small, due to the start of communications for this project in late May.
The quarterly report will continue to evolve as staff refines its approaches to measuring public
engagement activities and in response to any feedback from Commissioners. Staff will continue
to add new project-related metrics as other projects begin.
68
Agenda Item 9
Report highlights for this quarter follow and are included in a graphical format with this agenda
item. It is important to note that most of the social media metrics show a decline this quarter,
due to a planned decrease in digital advertising expenditures.
RCTC Overall Public Engagement
1) Website
a. For the quarter, there were 27,950 website sessions, a 17 percent increase from
last quarter’s 23,818 sessions. There also were 16,107 unique users, also an
increase of 17 percent compared to the previous quarter’s 13,774 unique users.
b. More than one-third of the visitors accessed the website using a direct search
(keying in rctc.org). Another 45 percent used organic searches, such as Google.
Others used social media (10 percent), and website referrals (10 percent).
c. Website access via desktop versus mobile changed slightly. The second quarter
showed 57 percent accessing the website through a desktop computer and
43 percent using mobile devices. During the first quarter of 2019, the ratio was
54 percent to 46 percent.
d. The homepage continues to be the most frequently visited page within the
website, followed by the “Employment” page, likely due to the high volume of
employee recruitment that took place this spring. The “Meetings and Agendas”
page and “Route 60 Truck Lanes” page ranked third and fourth.
2) Social Media
a. Facebook: At the end of the quarter, the Facebook page had 9,265 likes, a
10 percent increase over last quarter’s 8,412 likes. The page also had 27,584 forms
of engagement, such as likes, comments and shares, a 36 percent reduction from
last quarter’s record-breaking 43,322 forms of engagement. Facebook also had
3.1 million impressions, which is the number of times that RCTC’s content was
displayed in news feeds. This was a large decrease – 41 percent – from last
quarter’s largest-ever 5.3 million impressions. This decrease was due to the
decrease in digital advertising, compared to the first quarter.
b. Twitter: RCTC’s Twitter page showed a 3 percent increase in followers, from
1,117 to 1,154. Engagement, however, declined 96 percent, from 5,321 forms of
engagement to just 218. Impressions also showed a large drop of 92 percent –
from 783,246 to 60,296. Similar to Facebook, these decreases are the result of a
decline in digital advertising compared to the first quarter.
c. Instagram: The Instagram page followers grew 20 percent, from 372 to
448 followers. Engagement decreased 34 percent, from 465 forms of engagement
to 309. Impressions, however, grew 34 percent to a total of 11,311, compared to
last quarter’s 8,417 impressions.
d. Overall, public sentiment was positive, with the most positive comments related
to the tribute of fallen CHP Sergeant Licon, the upcoming construction of the
Route 60 Truck Lanes, and a construction update about the I-15 Express Lanes
Santa Ana River Bridge.
69
Agenda Item 9
3) RCTC’s The Point: RCTC continues to produce content for its online blog, The Point, and
distributes this information and other news via email to subscribers. RCTC’s subscriber
rate grew 13 percent, from 2,884 to 3,260. Thirty-five percent of subscribers opened The
Point, and 11 percent clicked on links to learn more.
Interstate 15 Express Lanes Construction Public Engagement
1) Emails: Total email list sign-ups since the project began grew to 2,577. This is a 2 percent
increase over the 2,522 inquiries received through the end of the first quarter. There also
have been a total of 137 email inquiries, a 4 percent increase over the 132 inquiries
through the end of the first quarter.
2) Website: Total website visits since project inception grew to 49,590, a 17 percent climb
from the 42,208 visits through the end of Q1.
3) Social Media: The project’s Facebook, Twitter and Instagram accounts all showed small
gains. The Facebook page grew to 2,219 likes from 2,030 likes last quarter, a 9 percent
increase. Twitter increased from 220 followers to 235, a 7 percent increase. Instagram
followers increased 6 percent from 384 to 407.
#RebootMy Commute Public Engagement
1) Tele-Townhall Meetings: The Commission hosted Tele-town Hall meetings on March 19
and 20. These attracted 7,539 participants, 52 phone discussions, and nine follow-up
voice messages.
2) Community Booths: The Commission staffed booths at six community events throughout
Riverside County and engaged with 559 residents at these events.
3) News Media: Ten news stories featured the “Reboot” program. Advertisements were
placed in The Press-Enterprise and The Desert Sun, with a combined print ad circulation
of 461,702 and digital ad circulation of 156,250. The video ad aired 16 times on television
station KESQ. Commissioners and staff also took part in various video and podcast series.
4) Website: The RebootMyCommute.org website had 22,061 sessions with 19,556 unique
visitors. The Commission received 473 comment forms via the site.
5) The Point Subscriptions: The Commission publishes a monthly newsletter, The Point,
which the Commission emails to subscribers. As part of the #RebootMyCommute
program, residents were encouraged to register to receive the newsletter; 1,315 new
subscribers registered during the program.
6) Text Messaging: A text-messaging feature was available for those who wished to provide
input via text. The Commission received 81 text messages. However, the texts received
were limited to those who registered to receive The Point.
7) Brochures and Postcards: The Commission produced and distributed more than
5,500 brochures – printed in English and Spanish – to city halls, community centers,
libraries, senior centers, transportation groups, chambers of commerce, and elected
70
Agenda Item 9
officials’ offices across Riverside County. The brochures also were available at community
booths and presentations.
8) Social Media: The Commission placed a series of targeted social media ads with videos
related to #RebootMyCommute.
a. On Facebook, 596,316 people viewed the videos in their entirety and
31,736 clicked to learn more. There were 2,098 direct engagements with viewers,
3.9 million impressions, and a reach of 630,409.
b. On Twitter, there were 7,613 full video views, 1,989 click-throughs, 54 direct
engagements, and 368,225 impressions.
c. On Instagram, 30,820 people watched the full video, and 4,448 clicked to learn
more. There were 1,830 direct engagements, 2.2 million impressions, and a reach
of 629,129.
d. On YouTube, there were 803,978 full video views, 13,584 click-throughs, and
3.5 million impressions.
9) Helpline: A toll-free helpline was available for those who preferred to express their views
by telephone. The Commission received 56 calls through the helpline.
10) Presentations: The Commission made several presentations, including multiple chapters
of Riverside Transit Agency’s Transportation Now, the Greater Riverside Chamber of
Commerce, the March Joint Powers Authority, the Temescal Valley Municipal Advisory
Council, the Riverside Bike Club, the Riverside City Council, and the Norco City Council.
State Route 60 Truck Lanes Construction Public Engagement
1) Emails: Email and text sign-ups during the first month totaled 61, and emails to the
project team totaled 67.
2) Webpage: Visits to the rctc.org/60trucklanes webpage totaled 1,414 during the quarter.
3) Social Media: The project’s Facebook, Twitter and Instagram accounts launched in late
May. Facebook likes totaled 115, Twitter followers totaled 13, and Instagram followers
totaled 36 at the end of this quarter.
Attachments:
1) RCTC Overall Public Engagement Metrics
2) Interstate 15 Express Lanes Construction Public Engagement Metrics
3) #RebootMyCommute Public Engagement Metrics
4) State Route 60 Truck Lanes Construction Public Engagement Metrics
71
Top Pages Visited
2
3
4
Desktop vs Mobile Users
Top Channels
57%43%Desktop Mobile
Facebook Twitter Instagram
Overall Social Media Sentiment Eblasts Web
Public Engagement Metrics: Q2 April – June 2019
Social Media
Direct (34.4%) — 5,738
DifferencesPaid advertising decreased in Q2.
Subscribers3,260
AverageOpen 35%
AverageClick11%
27,950Number of Sessions
+17%16,107Number ofUnique Users
+17%
Impressions3,138,105
Page Likes8,447
Engagement27,584
Impressions60,296
Followers1,154
Engagement218
Impressions11,311
Followers448
Engagement309
–92%
+3%
–96%
+34%
+20%
–34%
–41%
+0.4%
–36%
Employment
Meetings and Agendas
Route 60 Truck Lanes
Homepage is #1 most visited page
Organic (45.5%) — 7,594
Social (9.8%) — 1,641
Referral (10.2%) — 1,701
+13%
-1
- 0.5
0
0.5
1
1.5
2
4/1 4/8 4/15 4/22 4/29 5/6 5/13 5/20 5/27 6/3 6/246/10 6/17
4/11 (+) Community response to tribute for Sergeant Steve Licon5/28 (+) Route 60 Truck Lanes Project announcements6/24 (+) Positive response to The Press-Enterprise story on I-15 Santa Ana River Bridge construction
ATTACHMENT 1
72
15 Express Lanes ProjectOutreach Metrics Oct 2016 – June 2019
Facebook Page Likes
Instagram Followers (Account Opened 02/05/18)
Twitter Followers (Account Opened 02/05/18)Oct – Dec 2016Jan – Mar 2017Apr – Jun 2017Jul – Sep 2017Oct – Dec 2017Jan – Mar 2018Jul – Sep 2018Apr – Jun 2018Oct – Dec 2018Jan – Mar 2019Apr – Jun 2019Number of Likes/FollowsFacebook Page Likes
Instagram Followers (Account Opened 02/05/18)
Twitter Followers (Account Opened 02/05/18)
21 127 195
932 979
1,297 1,477 1,665
1,933 2,030 2,219
0
500
1000
1500
2000
2500
181
176
293
20852
148
351
219
384
220
407
235
845 3,635 5,780 8,81311,056
14,980
20,440
36,841
28,184
Oct – Dec 2016Jan – Mar 2017Apr – Jun 2017Jul – Sep 2017Oct – Dec 2017Jan – Mar 2018Jul – Sep 2018Apr – Jun 2018Oct – Dec 2018Jan – Mar 2019Apr – Jun 2019Total Website visits to DateOct – Dec 2016Jan – Mar 2017Apr – Jun 2017Jul – Sep 2017Oct – Dec 2017Jan – Mar 2018Jul – Sep 2018Apr – Jun 2018Oct – Dec 2018Jan – Mar 2019Apr – Jun 20190
30
60
90
120
150
Number of Sign-Ups45 114
703
1,240 1,401
1,706 1,915
2,301 2,522 2,5772,426
Oct – Dec 2016Jan – Mar 2017Apr – Jun 2017Jul – Sep 2017Oct – Dec 2017Jan – Mar 2018Jul – Sep 2018Apr – Jun 2018Oct – Dec 2018Jan – Mar 2019Apr – Jun 20197
20
32 40 48
62
77
104
132 137
118
42,208
49,590 Total Emails Received to Date0
500
1000
1500
2000
2500
3000
0
10000
20000
30000
40000
50000
Email List Sign-Ups
Website Visits
Emails Received
Social Media Likes/Follows
ATTACHMENT 2
73
Media
Community Outreach Online SentimentMessages
Social Media Ads
Website
#RebootMyCommute Metrics March - June 2019
Facebook Twitter YouTube
TrendVu
Video Views (100%)7,613
Clicks1,989
Direct Engagements54
Impressions368,225
Video Views (100%)803,978
Clicks13,584
Impressions3,495,097
Video Views (100%)596,316
Clicks31,736
Direct Engagements2,098
Impressions3,927,342
Reach630,409
Community Booths
Tele-town Halls
22,061Number of Sessions
473FormSubmissions
7,539Participants 52Comments 9Voice Messages
6Events 3,529Event Attendance
Publications
Television
10Media Stories 461,702
Print Ad Circulation
156,250
Digital Ad Circulation
16
Video Ad Airs
Email
1,315Subscribers
Text81Subscribers
Print Piece5,205Delivered 3/6 (+) #RebootMyCommute campaign launches.
3/30 (+) Round 2 ends. Ad data is used to optimize targeting and messaging.
5/21 (+) #RebootMyCommute digital advertising ramps down.
Instagram
Video Views (100%)30,820
Clicks4,448
Direct Engagements1,830
Impressions2,898,023
Reach629,129
559People Engaged
19,556Number of Unique Users
ATTACHMENT 3
74
May – June 30, 2019
State Route 60 Truck Lanes ProjectMonthly “At-a-Glance” Metrics Report
Facebook Page Likes
Instagram Followers
Twitter FollowersMay – Jun 2019Number of Likes/FollowsFacebook Page Likes
Instagram Followers
Twitter Followers
115
0
20
40
60
80
100
120
13
36
1,414
May – Jun 2019Total Website visits to DateMay – Jun 20190
10
20
30
40
50
60
70
80
Number of Sign-Ups61
May – Jun 201967
Number of Emails0
300
600
900
1200
1500
0
10
20
30
40
50
60
70
80
Email & Text Sign-Ups
Website Sessions
Emails to Project Team
Social Media Likes/FollowsJan – Mar 2017Apr – Jun 2017Jul – Sep 2017Oct – Dec 2017Jan – Mar 2018Jul – Sep 2018Apr – Jun 2018Oct – Dec 2018Jan – Mar 2019Apr – Jun 2019Jan – Mar 2017Apr – Jun 2017Jul – Sep 2017Oct – Dec 2017Jan – Mar 2018Jul – Sep 2018Apr – Jun 2018Oct – Dec 2018Jan – Mar 2019Apr – Jun 2019Jan – Mar 2017Apr – Jun 2017Jul – Sep 2017Oct – Dec 2017Jan – Mar 2018Jul – Sep 2018Apr – Jun 2018Oct – Dec 2018Jan – Mar 2019Apr – Jun 2019Jan – Mar 2017Apr – Jun 2017Jul – Sep 2017Oct – Dec 2017Jan – Mar 2018Jul – Sep 2018Apr – Jun 2018Oct – Dec 2018Jan – Mar 2019Apr – Jun 2019ATTACHMENT 4
75
PUBLIC ENGAGEMENT METRICS
Quarterly Report: April-June 2019
Budget & Implementation Committee
August 26, 2019
Cheryl Donahue, Public Affairs Manager
1
It’s All about the Data
2
“One accurate measurement is worth a thousand expert
opinions.” –Rear Admiral Grace Hopper
•Data-driven approach to public engagement
•Adjust strategies, goals
•Analyze strengths, weaknesses
•Boost transparency
•Began tracking January 2018
•Compare data over time
Four Sets of Data
3
Overall public engagement activities
I-15 Express Lanes Project
#RebootMyCommute program –through early June
New this quarter –60 Truck Lanes Project –May-June
1
2
3
4
Overall Public
Engagement
4
1
5
Reflects changes from previous quarter, Jan-March 2019
Social Media
6
Social Media Sentiment
7
Website
8
The Point E-Newsletter
I-15 Express Lanes Project
9
2
10
Social Media, Sign-Ups
11
Email Inquiries, Website Visits
#RebootMyCommute Program
(Through June 3)
12
3
13
Social Media
14
Facebook Sentiment
15
Website Feedback
Route 60 Truck Lanes Project
(May-June)
16
4
17
Social Media, Sign-Ups
18
Email Inquiries, Website Visits
QUESTIONS
19
AGENDA ITEM 10
Agenda Item 10
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: August 26, 2019
TO: Budget and Implementation Committee
FROM: Jillian Guizado, Legislative Affairs Manager
THROUGH: Aaron Hake, External Affairs Director
SUBJECT: State and Federal Legislative Update
STAFF RECOMMENDATION:
This item is for the Committee to:
1) Receive and file an update on state and federal legislation; and
2) Forward to the Commission for final action.
BACKGROUND INFORMATION:
State Update
On August 12, 2019, the State Legislature reconvened following its summer recess. Bills that
made it through their house of origin and through policy committee is the other house are either
waiting to be heard of the floor of the other house or being scheduled for a hearing in
Appropriations Committee. It is likely to be an intense last month of the first year of the current
two-year legislative session in California. Staff will provide a verbal update on notable bills as
necessary or applicable at the August 26 Budget and Implementation Committee meeting.
Federal Update
Congress went on recess at the end of July and will not come back until the second week of
September.
Appropriations
Despite preliminary work being done on a Fiscal Year 2020 appropriations bill, the current federal
fiscal year ends on September 30, which gives the Senate only three weeks upon returning from
recess to pass a bill, reconcile it with the House-passed bill, and hope the President will sign it.
News outlets are already beginning to report on a likely full or partial government shutdown as
a result of this tight timeline. Staff will continue to monitor and report on Congress’ progress on
funding the federal government in FY 2020.
76
Agenda Item 10
FAST Act Reauthorization
Before the recess, the Senate Committee on Environment and Public Works (EPW) introduced a
reauthorization of the current transportation authorization bill, the Fixing American’s Surface
Transportation (FAST) Act. As a reminder, the FAST Act expires on September 30, 2020. A
long-term transportation authorization bill is critically important for the ongoing and long-term
planning of transportation projects with federal funding sources such as Congestion Mitigation
Air Quality (CMAQ) and Surface Transportation Block Grant (STBG), in addition to discretionary
programs the Commission has been pursuing lately like Better Utilizing Investments to Leverage
Development (BUILD) and Infrastructure for Rebuilding America (INFRA). The Senate EPW bill
would authorize funding for transportation programs over five years (like the FAST Act does) and
increases proposed funding levels by 27 percent. While funding and duration in the proposal are
both positive, there is yet to be a proposal for how to pay for the $287 billion bill. A considerable
amount of additional work is ahead of Congress to reauthorize federal transportation programs
beyond 2020 which, notably, is a presidential election year. Staff remains observant and engaged
in the reauthorization process through the Commission’s federal advocates and various coalitions
and will continue to report on progress being made in the coming months.
INFRA
On August 7, 2019, staff participated in a debrief with the United State Department of
Transportation (USDOT) on the Commission’s State Route 91 Workforce to Workplace Vitality
Network INFRA grant application submitted on March 4, 2019. As a reminder, the Commission’s
application requested $75 million in federal funding for the SR-91 Corridor Operations Project,
SR-71/SR-91 Interchange Improvement Project, and Interstate 15/SR-91 Express Lanes
Connector Project. USDOT indicated that the Commission’s grant application received medium
and high marks, which gave it a spot on USDOT Secretary of Transportation Elaine Chao’s desk.
The Commission’s application was one of 40 large project applications Secretary Chao
considered; eight of which were from California. Ultimately, USDOT staff providing the debrief
indicated our application was strong and to the extent there continues to be a funding need on
the projects in our application, we should continue to pursue federal discretionary grant
opportunities.
Table 1. Summary of 2019 INFRA Applications Submitted to USDOT
OVERALL
193 applications submitted $9.8 billion requested $856 million available
40 applications funded
31 applications from California
LARGE* PROJECTS
98 large project applications
submitted
$8 billion requested $770 million large project
money available
23 (of 98) large project applications
from California
77
Agenda Item 10
40 large project applications on
recommended list to Secretary
8 large project applications on
recommended list to Secretary
from California
10 large project applications
selected by Secretary
SMALL PROJECTS
95 small project applications
submitted
$1.8 billion requested $86 million small project
money available
8 (of 95) small project applications
from California
58 small project applications on
recommended list to Secretary
10 small project applications
selected by Secretary
*Large project: cost in excess of $100 million
The Safer Affordable Fuel Efficient Vehicles Rule for Model Years 2021-2026 Passenger Cars and
Light Trucks
On August 24, 2018, the National Highway Traffic Safety Administration (NHTSA) and the
Environmental Protection Agency (EPA) issued a joint proposed rule, “The Safer Affordable Fuel
Efficient (SAFE) Vehicles Rule for Model Years 2021-2026 Passenger Cars and Light Trucks.” The
SAFE Vehicles Rule, as it is referred to, would amend federal fuel efficiency standards for
passenger vehicles for model years 2021 to 2026. In 2012, the NHTSA and EPA issued proposed
tailpipe emissions standards that would increase each year through model year 2025. The Trump
Administration conducted a review and found the 2012 standards are not feasible, initiating the
rulemaking process. The SAFE Vehicles Rule would freeze fuel economy standards for new cars
at 2020 levels through model year 2026 rather than continuing the proposed annual increases.
NHTSA and EPA contend higher fuel economy standards have diminishing returns, unnecessarily
increasing the cost of vehicles.
As applicable to the Commission, the Southern California Association of Governments (SCAG)
region, and the entire state of California, the SAFE Vehicles Rule would rescind California’s ability
to set its own more stringent fuel standards. The Clean Air Act generally preempts the state
regulation of motor vehicles, but given California’s unique air quality challenges, the state has
been granted a preemption waiver since 1967. The SAFE Vehicles Rule argues the waiver should
not be allowed because the higher fuel economy standards push the rest of the country to adopt
standards above and beyond what is required by federal law. If California’s waiver is rescinded,
the state will be unable to enforce its more stringent vehicle emissions standards, which would
result in challenges achieving federal air quality standards, state greenhouse gas emission
reduction requirements, and zero-emission vehicle targets.
78
Agenda Item 10
Rescinding California’s waiver threatens over 2,000 transportation projects, totaling more than
$130 billion in investment, with project delivery delays or loss of funding. This is primarily due
to the fact that the air quality emissions model which is developed by the California Air Resources
Board (CARB) would be invalidated. CARB estimates it will take at least two years to update the
model using the new, lower emissions standards. Until the model can be updated and then
validated by EPA, the Commission would not be able to amend the Federal Transportation
Improvement Program (FTIP) to make project changes or process federal grants. Without the
ability to amend the FTIP, which is necessary to do frequently as projects evolve, the Commission
will be challenged to deliver many of its projects. It is believed the rulemaking may be finalized
in September 2019.
The California Association of Councils of Governments (CALCOG), of which the Commission is a
member, is heavily engaged with state and federal agencies regarding the SAFE Vehicles Rule. In
addition, SCAG and its member agencies submitted a letter to the Southern California
Congressional Delegation noting our opposition to the finalization of the SAFE Vehicles Rule. The
latest update from CALCOG and a copy of the letter sent by SCAG is attached. Staff continues to
be engaged with CALCOG and other Regional Transportation Planning Agencies throughout the
state.
Attachments:
1) Legislative Matrix – September 2019
2) CALCOG Proposed Safe Vehicles Rule Update – July 2019
3) SCAG SAFE Vehicles Rule Letter – July 2019
79
RIVERSIDE COUNTY TRANSPORTATION COMMISSION - POSITIONS ON STATE AND FEDERAL LEGISLATION – SEPTEMBER 2019
Legislation/
Author
Description Bill
Status
Position Date of Board
Adoption
AB 252
(Daly, Frazier) Removes the sunset date from the NEPA Reciprocity program. Passed Senate Transportation
Committee; referred to
Senate Appropriations
Committee.
(June 11, 2019)
SUPPORT 3/13/19
AB 1402
(Petrie-Norris) Makes substantive changes to the Active Transportation Program administered
by the State, allocating 75% of funds to be distributed by large MPOs.
Referred to Committee on
Transportation.
(March 27, 2019)
SUPPORT 4/1/19
SB 152
(Beall) Makes substantive changes to the Active Transportation Program administered
by the State, allocating 75% of funds to be distributed by large MPOs.
Held in Senate Appropriations
Committee under submission.
(May 16, 2019)
SUPPORT 4/1/19
AB 626
(Quirk-Silva) Seeks to dictate that professionals who provide professional services on one
phase of a project be deemed not to have a conflict of interest in subsequent
project phases, disregarding the Commission’s adopted Procurement Policy.
Ordered to inactive file at
request of member.
(May 30, 2019)
OPPOSE UNLESS AMENDED
4/10/19
AB 456
(Chiu, Bonta,
Low)
Removes the January 1, 2020 sunset provision on claims resolution processes. Passed Senate Judiciary;
referred to Senate
Appropriations Committee.
(June 11, 2019)
OPPOSE 5/8/19
SB 498
(Hurtado) Takes funds dedicated in the Trade Corridors Improvement Fund and
repurposes them for a new short-line railroad project grant program.
Passed Senate floor.
(May 28, 2019)
OPPOSE
Staff action
based on
platform
5/30/19
SR 742
(Allen) Authorizes existing state funds for Amtrak to be used on intercity passenger bus
transportation, regardless of whether the passenger is connecting to or from
intercity rail service.
Passed Senate floor; referred
to Assembly Transportation
Committee.
(May 30, 2019)
SUPPORT 6/12/19
AB 1149
(Fong) Eliminates the ability of petitioners to opt to prepare the record of proceedings
and would place that responsibility solely on the lead agency.
Re-referred to Assembly
Natural Resources.
(April 24, 2019)
SUPPORT 6/12/19
ATTACHMENT 1
80
Legislation/
Author
Description Bill
Status
Position Date of Board
Adoption
SB 664
(Allen) Revises existing statute in the Streets and Highways Code and the Vehicle Code
to allow for improved operations of toll facilities in California.
Referred to Assembly
Appropriations.
(August 13, 2019)
SUPPORT Staff action based on platform
6/17/19
SB 277
(Beall) Changes the SB 1-created Local Partnership Program to be administered at 85%
formula, rather than 50% formula as is currently in adopted guidelines.
Referred to Assembly
Appropriations; on suspense.
(August 14, 2019)
SUPPORT Staff action based on platform
7/1/19
HR 2939
(Napolitano) Protects state and local general sales tax revenues from being directed to
airports.
Introduced.
(May 23, 2019)
SUPPORT 7/10/19
81
CALCOG
Last Updated 7.26.19
PROPOSED SAFE VEHICLES RULE UPDATE
JULY 2019
Trump Administration Slows, But Doesn’t Stop.
Initial sources indicated the Trump administration was rushing to finalize the proposed rule in
early summer 2019. Finalization in early summer would have allowed the administration to
defend the rule during President Trump’s current term. Recent updates from three anonymous
federal sources, indicate the proposed SAFE Vehicles Rule is anticipated to be finalized after
Labor Day 2019.
California’s AG’s office and a host of environmental groups have already indicated their intent
to sue if the rule is finalized. It is anticipated this legal battle will reach the U.S. Supreme Court.
Delaying the final rule until September, increases the likelihood that the case won’t be litigated
until after the November 2020 elections. Under this scenario, the next president is anticipated
to be largely influential in determining the SAFE Vehicles Rule’s outcome. If President Trump is
re-elected; it is assumed the administration will continue the legal battle through the Supreme
Court. If a democrat is elected, perhaps, like the early years of the Obama Administration, the
administration will withdraw the rule, or refuse to litigate the issue further.
In response, we turn our eyes to the nation, and the 2020 presidential election.
Four Automakers Strike Emissions Deal with California.
In June 2019, seventeen automakers sent a letter to President Trump expressing the auto
industry’s opposition to the proposed SAFE Vehicles Rule. The carmakers called on U.S. EPA
and U.S. DOT to jointly promulgate a final rule that results in broad support, arguing it would
provide stability and increased affordability by allowing the industry to proceed without fear of
litigation. The letter urged President Trump to resume negotiations with the California Air
Resources Board. A similar letter was sent to Governor Newsom as well. The Trump
administration rejected the automakers pleas and to date, has not returned to the negotiating
table.
July 25, 2019 - Ford, BMW, Volkswagen, and Honda struck a voluntary deal with California on a
framework for annual reductions of greenhouse gas emissions for light-duty vehicles that they
will incorporate throughout the entire country and that could be incorporated into a final
federal rule. This framework was deemed acceptable by California as a reasonable compromise
in the face of the Trump Administration’s planned rollback.
While the framework would provide additional flexibilities to the carmakers to meet the
current emission standards, it delivers the same GHG reductions in five years as the original
Obama standards would have achieved in four years. This framework also commits the auto
ATTACHMENT 2
82
CALCOG
Last Updated 7.26.19
companies to accelerate their transition to electric vehicles. Finally, it recognizes and preserves
California’s authority to regulate greenhouse gas emissions.
The Trump administration is not a party to the agreement. "Today’s announcement from CARB
has no impact on EPA’s regulation of greenhouse gas emissions under the Clean Air Act. This
voluntary framework is a PR stunt that does nothing to further the one national standard that
will provide certainty and relief for American consumers. As the Administration stated earlier
this year, despite our best efforts to reach a common-sense solution with CARB, they
continually refused to produce reasonable and responsible proposals,” Michael Abboud, an EPA
spokesman, said in email.
Odds Slim for House Appropriations Language Preventing Rule Implementation.
Appropriations bill, HR 3055 section 145 prohibits funding from being used to finalize or
enforce the proposed rule. In early July, labor and industry representatives met with Senate
Appropriations Committee staff to discuss the prospects of the House appropriations bill
language defunding enforcement of a final SAFE Vehicles Rule, surviving in the Senate. Senate
staff acknowledged the SAFE Vehicles Rule was an administration priority and very political.
The prospects of the House language surviving, as is, are slim.
House Energy & Commerce Subcommittees Provide Bipartisan Letter Requesting
Trump Administration and California to Return to Negotiating Table.
On June 20, 2019, the House Energy and Commerce Subcommittees on Energy and Commerce
and Environment and Climate Change held a joint hearing Driving in Reverse the
Administrations Rollback of Fuel Economy and Clean Car Standards. On June 25, 2019, the
chairs and ranking subcommittee members sent a bi-partisan letter to EPA Administrator
Wheeler and DOT Secretary Chao. The letter called for all interested parties to return to the
negotiating table while acknowledging there were differing views about the Constitution
(mainly, state’s rights and the role of the interstate commerce clause), the importance of
climate change, and how best to make sure the economies of the auto sector are strong along
with the traditional and vital questions of safety. At the time of this staff report, the Trump
administration has not returned to the negotiating table with California and other interested
parties.
SAFE Vehicles Rule Architect, EPA Air Chief Wehrum Resigns Abruptly.
EPA Air Chief, Bill Wehrum, thought to be the architect of the SAFE Vehicles Rule, abruptly
resigned at the end of June. In April, House Democrats launched an investigation into whether
Wehrum violated ethics rules by launching the rollback of air pollution regulations that
benefited his former lobbying clients in the electric utility sector. Democrats are seeking
83
CALCOG
Last Updated 7.26.19
communications between the companies, Wehrum and other EPA regulators. "These
allegations have raised substantial questions regarding whether Mr. Wehrum and Mr. Harlow
are properly carrying out the [Clean Air Act] as directed by Congress or instead changing Agency
policies and programs to benefit former clients, who are also clients of your law firm," the
lawmakers wrote to Hunton Andrew Kurth managing partner Wendell Taylor – Mr. Wehrum’s
prior employer. To date, his resignation has had no noticeable impact on the proposed
finalization of the rule.
What Next?
In June, CALCOG reported the proposed SAFE Vehicles Rule had been submitted to the federal
Office of Management and Budget (OMB) in May 2019. This was incorrect. To date, the rule
has not been submitted to OMB. As a refresher, OMB review is one of the last steps in the
federal rule making process. OMB is the agency responsible for regulatory policy, including
coordination and review of all significant Federal regulations by executive agencies. As part of
that review process, OMB will grant meetings with interested parties. We encourage agencies
to schedule individual meetings with OMB (note – meetings can be held via conference call) to
discuss concerns. A template outlining how to request a meeting with OMB can be found here
or on the CALCOG Policy Tracker website.
CALCOG website provides continuing updates.
Please visit the CALCOG Policy Tracker (www.calcog.org/policytracker) for up to date
information regarding the Proposed SAFE Vehicles Rule.
84
Page 1 of 2
July 9, 2019
Southern California Congressional Delegation
U.S. House of Representatives
Washington, DC 20515
Re: Negative Impacts to Transportation Funding and Projects from the Proposed Safer Affordable
Fuel-Efficient (SAFE) Vehicles Rule
Dear Members:
On behalf of the undersigned transportation agencies in Southern California, we write to convey our
opposition to the proposed Safer Affordable Fuel Efficient (SAFE) Vehicles Rule, which would weaken
national fuel-efficiency standards and result in a wide variety of negative impacts in California and across
the nation. The proposed rule would also eliminate the waiver that allows California to set its own stricter
emissions standards, which gets special treatment under the Clean Air Act due to our historic smog
problems.
The change in standards would have significant impacts on transportation plans and projects throughout
California. Specifically, in Southern California, the proposed rule would put 443 transportation
infrastructure improvement projects totaling $53 billion at risk of project delivery delays or loss of funding
and would severely impact well-paying construction jobs. This is in addition to the more obvious
environmental and public health impacts. An expected increase in ozone-forming nitrogen oxides
emissions from less fuel-efficient vehicles of 15 million metric tons by 2030 will make our air dirtier and
reduce the quality of life for the 19 million residents we serve in Southern California.
Last August, the U.S. Environmental Protection Agency (EPA) and the National Highway Traffic Safety
Administration (NHTSA) proposed the SAFE Vehicles Rule for Model Years 2021-2026 Passenger Cars and
Light Trucks to amend existing Corporate Average Fuel Economy (CAFE) standards and establish new
standards for model years 2021 through 2026. If finalized, by changing the fundamental assumptions of
vehicle fuel-efficiency, the SAFE Vehicles Rule would invalidate California’s air quality emissions model
(EMFAC), which is used to meet the Federal Highway Administration's transportation planning
requirements. Without a valid air quality conformity model, state and regional transportation planning
agencies in non-attainment areas would be unable to obtain federal approval or make modifications to
specified transportation projects in the pipeline (see attached map and list of projects). While the
California Air Resources Board (CARB) would endeavor to update the EMFAC model, the process would
take a minimum of one year and would need another one to two years to obtain EPA approval before
transportation projects could resume.
ATTACHMENT 3
85
Page 2 of 2
Although NHTSA and EPA officials have touted the proposed rule as a savings to consumers, it would put
$130 billion in transportation funding at-risk in California alone. Furthermore, the Administration and
leaders of both parties in Congress have indicated that increased funding for infrastructure is a priority.
Action to finalize the proposed SAFE Vehicles Rule would be inconsistent with statements of support for
investing in the nation’s vital infrastructure.
We respectfully oppose the proposed SAFE Vehicles Rule and ask that the Southern California
Congressional Delegation work together to ensure the Administration fully considers these impacts,
specifically of rescinding California’s waiver, and withholds from moving forward with the proposed rule.
If you have questions, I am always available at (213) 236-1835 or via email at Ajise@scag.ca.gov.
Sincerely,
Kome Ajise Mark Baza
Executive Director Executive Director
Southern California Association of Governments Imperial County Transportation Commission
Darrell E. Johnson Darren M. Kettle
Chief Executive Officer Executive Director
Orange County Transportation Authority Ventura County Transportation Commission
Anne E. Mayer Phillip A. Washington
Executive Director Chief Executive Officer
Riverside County Transportation Commission Los Angeles County Metropolitan
Transportation Authority
Ray Wolfe
Executive Director
San Bernardino County Transportation Authority
cc: Mick Mulvaney, Director of the Office of Management and Budget
Elaine L. Chao, Secretary of Transportation
Heidi King, Deputy Administrator of the National Highway Traffic Safety Administration
Andrew Wheeler, Administrator of the Environmental Protection Agency
86
AGENDA ITEM 11
Agenda Item 11
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: August 26, 2019
TO: Budget and Implementation Committee
FROM: Martha Masters, Senior Management Analyst
THROUGH: Shirley Medina, Planning and Programming Director
SUBJECT:
Fiscal Year 2019/20 Annual Local Transportation Fund Planning Allocations to
Western Riverside Council of Governments and Coachella Valley Association
of Governments
STAFF RECOMMENDATION:
This item is for the Committee to:
1) Approve an allocation of Local Transportation Fund (LTF) funds for planning in the amount
of $800,250 for Western Riverside Council of Governments (WRCOG) and $436,500 for
the Coachella Valley Association of Governments (CVAG) for efforts identified in each
agency’s Fiscal Year 2019/20 LTF Program Objectives/Work Plan (Work Plan) that
supports transportation planning programs and functions consistent with regional and
subregional plans, programs, and requirements; and
2) Forward to the Commission for final action.
BACKGROUND INFORMATION:
The LTF established in state law by the Transportation Development Act (TDA) is funded through
a one-quarter of one cent of the state’s 7.25 percent sales tax (based on point of sale and
returned to source). LTF funds are used to fund transportation planning, operations, and capital
projects. The action requested at this time is specifically to allocate the planning funds to the
two councils of governments, WRCOG and CVAG. Other LTF allocations such as those for transit
and rail operations and capital projects were approved by the Commission in July 2019 following
approval of the annual Short Range Transit Plans in June. Bicycle and pedestrian facilities are also
funded by LTF and are part of the biennial SB 821 Call for Projects.
The LTF funding is distributed by the State Board of Equalization to the counties on a pro rata
basis, pursuant to Section 99233.2 of the TDA, providing up to 3 percent of annual revenues to
fund transportation planning and programming efforts. The Commission, as the regional
transportation planning agency, is legally responsible for apportioning the LTF funds. Based on
the projected FY 2019/20 revenues of $97 million, 3 percent of the projected revenue, or
$2.91 million, is for planning and programming. By statute, the TDA also requires one half of
these LTF funds, or $1.45 million, be allocated for planning activities within the Western Riverside
87
Agenda Item 11
County and the Coachella Valley areas, as determined by the Commission. Distribution of the
funding, as confirmed by the Commission in October 2014, is as follows:
Planning Agency Percentage Apportionment/Allocation
RCTC 15 $218,250
WRCOG 55 800,250
CVAG 30 436,500
Total 100 $1,455,000
WRCOG and CVAG submitted their respective FY 2019/20 Work Plans in accordance with existing
guidelines.
WRCOG’s Work Plan is divided into two program areas and includes the following activities:
1) Planning Programs – including, but not limited, to:
- Riverside County Traffic Analysis Model (RIVTAM) Update
- 2020 Southern California Association of Government’s (SCAG) Regional
Transportation Plan/Sustainable Communities Strategy (RTP/SCS)
- SB 743 Implementation Study
- Framework development of a long-term cybersecurity/transportation systems
strategy for the WRCOG subregion
- Research on the effects of automated vehicles on the WRCOG subregion
- Transportation related climate change and climate adaptation analyses and
planning for the WRCOG subregion
- Smart Cities and Alternative Fuel Vehicle Development and Air Quality
2) Regional Transportation Programs
- Transportation Uniform Mitigation Fee (TUMF) Program
- Riverside County Transportation Commission Programs
CVAG’s Work Plan consists of nine main program areas:
1) Transportation Department Operations;
2) Project Management and Contract Administration;
3) CV Link Project Development;
4) Riverside County Transportation Commission Programs;
5) Planning, Programming, and Monitoring Program;
6) Miscellaneous Programs including GIS Information Services, support for the RIVTAM
model and Regional Arterial Traffic Count Program;
7) Congestion Management/Air Quality Programs;
8) TUMF Program; and
9) Governmental and Special Projects.
88
Agenda Item 11
Staff reviewed the Work Plans and found them to be consistent with the Commission’s overall
transportation programming and planning objectives and recommends approval. The Work
Plans also benefit the respective geographic regions and are consistent with subregional and
regional plans including SCAG’s RTP/SCS. WRCOG and CVAG, in conjunction with SCAG, are
responsible for subregional planning efforts that implement and are in conformance with the
RTP/SCS.
Financial Information
In Fiscal Year Budget: Yes Year: FY 2019/20 Amount: $1,236,750
Source of Funds: LTF Budget Adjustment: No
GL/Project Accounting No.: 106 65 86205
Fiscal Procedures Approved: Date: 08/15/2019
Attachments:
1) WRCOG FY 2019/20 LTF Program Objectives/Work Plan
2) CVAG FY 2019/20 LTF Program Objectives/Work Plan
89
Western Riverside Council of Governments
(WRCOG)
Fiscal Year 2019/2020
Local Transportation Funds Program Objectives
The Work Plan for FY 2019/2020 is divided into two Program areas: 1) Planning Programs
and 2) Regional Transportation Programs.
1. Planning Programs
California Air Resources Board
South Coast Air Quality Management District (SCAQMD)
Southern California Associations of Governments (SCAG)
California Association of Councils of Governments (CALCOG)
Local Jurisdictions within WRCOG subregion
Planning:
This program includes staff time to develop and work on ten main
projects/program areas. These are listed below and include a brief description.
A. Continued development of the new Riverside County Traffic Analysis Model
(RIVCOM)
The RIVCOM Update will provide updates on socio-economic forecasts to
reflect SCAG’s recently adopted growth forecasts, updates to the roadway
network, utilize data from SCAG’s most recent Regional Travel Model to
ensure consistency, and correct any significant structural issues related to
RIVCOM.
B. Support local jurisdictions on 2020 Connect SoCal Plan (SCAG Regional
Transportation Plan/Sustainable Communities Strategy)
Staff will continue to provide support to local jurisdictions as SCAG refines
socio-economic data (SED) forecasts to incorporate into the Connect SoCal
Plan. The assistance provided will be to ensure that input from the WRCOG
subregion will be included in the long-range vision plan that aims to balance
future mobility and housing needs with economic, environmental and public
health goals. The Plan is vital for the subregion as it allows RCTC and its
jurisdictions to qualify for federal funding towards transportation projects.
Connect SoCal is supported by a combination of transportation and land use
strategies that help the region achieve state greenhouse gas emission
reduction goals and federal Clean Air Act requirements, preserve open space
areas, improve public health and roadway safety, support our vital goods
movement industry and utilize resources more efficiently.
ATTACHMENT 1
90
C. Continue to assist jurisdictions with Senate Bill (SB) 743 Implementation
The SB 743 Implementation Study will assist stakeholders with transition from
utilizing a vehicle miles traveled methodology for mitigation impacts to level of
service. WRCOG will continue to assist jurisdictions in identifying the
necessary steps to implementing SB 743 and create template ordinances for
jurisdictions to utilize when adopting ordinances becomes necessary.
D. Research, agenda preparation, and staffing for WRCOG Planning Directors
Committee
The research, agenda preparation, and staffing for the WRCOG Planning
Directors Committee will support WRCOG member agencies to obtain
information, access to research, and awareness of applicable grant
opportunities, as well as foster discussions between WRCOG member
jurisdictions regarding the latest challenges and opportunities facing the
WRCOG subregion, in order to achieve more cost effective and efficient
solutions to planning-related matters on a monthly basis.
E. Research, agenda preparation, and staffing for WRCOG Public Works
Committee
The research, agenda preparation, and staffing for the WRCOG Public Works
Committee will support WRCOG member agencies to obtain information,
access to research, and awareness of applicable grant opportunities, as well
as foster discussions between WRCOG member jurisdictions regarding the
latest challenges and opportunities facing the WRCOG subregion, in order to
achieve more cost effective and efficient solutions to public works or
engineering-related matters on a monthly basis.
F. Research framework on the development of a long-term cybersecurity
strategy for the WRCOG subregion
WRCOG will continue to conduct research into a possible framework of a
cybersecurity strategy that will focus on a large-scale plan to provide direction
for future research and regional policy development on cybersecurity and
transportation systems for the subregion as the system increases the level of
connectivity with traffic signals and cameras, and transportation management
centers regularly communicate with each other and the outside world. Staff
will also continue to identify possible funding mechanisms to develop a Plan
and develop applications if feasible.
G. Follow-up research and outreach on the effects of automation on the
WRCOG subregion
WRCOG will conduct follow-up research and outreach on the effects of
automation on the subregion that will continue to analyze the subregion’s
current economic structure, strategic positioning, and risks as reference
points. The research will also analyze the expected future economic
structure and opportunities for strategic positioning, and discuss future risks
based on the technical automation potential of industry sectors. WRCOG will
91
work to ensure this information is disseminated to jurisdictions through its
Committee structure and is presented at forums, conferences, and panels
where suitable.
H. Outreach for WRCOG Programs and activities and engagement with
WRCOG members, partner agencies, and stakeholders
The outreach for WRCOG Programs and activities and partner agencies will
include assisting local jurisdictions and education institutions on the various
WRCOG Programs and subregional challenges faced. Outreach will
continue on the WRCOG Public Service Fellowship, which encourages
students to seek careers in public policy and local government by gaining
meaningful, hands-on experience at WRCOG member agencies. Staff will
continue to provide content for educational outreach on issues faced in the
WRCOG subregion and WRCOG Programs through the “WRCOGCAST”. In
addition, staff will continue to promote and attend member jurisdiction/agency
events throughout the year. Lastly, staff will conduct outreach to the
subregion’s legislatures and their staff to provide updates on issues local
jurisdictions and agencies are facing, such as housing.
I. Staff time for climate change and climate adaptation analyses and planning
for the WRCOG subregion.
The staff time for climate change and climate adaptation efforts for the
WRCOG subregion will be to continue overseeing studies and planning
efforts to identify effects of climate change to the subregion and opportunities
to mitigate these effects, particularly as it relates to transportation
infrastructure. One specific effort that will be supported by LTF will be the
development of design guidelines to create climate reliant transportation
infrastructure. These funds will be used as matching funds to support the
development of this guidebook, as funded through SB 1 Planning Funds.
J. Smart Cities and Alternative Fuel Vehicle Development, and Air Quality:
Activities include:
a) Research and implementation of Smart Cities technologies for local
transportation infrastructure including the possible development of a
regional ITS program for Western Riverside County.
b) Provide outreach to the jurisdictions regarding air quality issues and
funding opportunities.
c) Support WRCOG Clean Cities and Programs that WRCOG has
developed to assist jurisdictions in the purchase of alternative fuel
vehicles and the development of the supporting infrastructure.
d) Continued staff participation in SCAQMD activities, rule-making, funding
opportunities, and the SCAQMD Air Quality Management Plan Advisory
Group that will review and make recommendations regarding the
development of the 2022 Air Quality Management Plan (AQMP).
92
2. Regional Transportation Programs
Riverside County Transportation Commission (RCTC)
Riverside Transit Agency
Caltrans
SCAG
CALCOG
This program includes staff time to develop and work on two main
projects/program areas. These are listed below and include a brief description.
TUMF:
This Program includes staff time to administer the TUMF Program, which
includes but is not limited to the following:
A. Program contract/agreement administration:
Review, coordinate, and finalize Reimbursement Agreements with member
agencies for funding allocations based on five-year Zone Transportation
Improvement Program (TIP).
B. Public outreach/information:
Prepare the TUMF Annual Report detailing collections for fiscal year and
projects being funded with collections. Develop Press Releases for the
TUMF Program highlighting major milestones, groundbreakings, ribbon
cuttings. Filming of groundbreakings and ribbon cuttings for TUMF funded
projects. Develop and purchase of signage for TUMF funded projects.
C. TUMF Zone Transportation Improvement Program (TIP):
Preparation and approval of five-year Zone TIPs with programmed funding for
delivery of TUMF projects. Convene meetings of the Zone at the request of
member agencies for funding additions and adjustments. Review funding
requests to ensure that allocations are within limits of the Nexus Study.
D. Preparation of annual adjustment for construction costs:
Per the TUMF Administrative Plan, annual review of the construction cost
index adjustment to the TUMF for consideration by the WRCOG Executive
Committee. Preparation of the adjustment to the TUMF Network and develop
documents for review by the WRCOG Committee structure. If approved by
the WRCOG Executive Committee, prepare TUMF Ordinance/Resolution for
member agency approval.
E. Develop TUMF payment portal:
WRCOG is collecting TUMF on behalf of agencies that have approved a
TUMF Ordinance Amendment with the option to delegate fee collection
93
responsibility to WRCOG. To provide efficient and effective calculation and
collection of TUMF, WRCOG will develop a portal for member agency staff to
submit calculation requests and for developers to make payments.
F. Work with developers on credit and reimbursement agreements:
Coordinate with member agencies Credit Agreements with developers to
ensure that all policies and procedures are in place prior to execution of
agreements. If necessary, convene meetings with applicable stakeholders to
memorialize eligible expenses, maximum allocations of the Nexus Study and
reconciliation of projects costs.
G. Review available data for request made my stakeholders regarding TUMF
calculations:
At the request of a stakeholder, review available data specific to land uses
that may generate trips that don’t typically fall within the standard TUMF land
uses.
Riverside County Transportation Commission Programs:
This Program includes staff time to administer assist RCTC as it relates
transportation planning and air quality programs, which includes but is not limited
to the following:
a) Participation in TUMF Program tasks as needed to assist RCTC in the
implementation of the Regional TUMF Program.
b) Participate in evaluation committees as requested; outreach assisting
with RCTC’s Programs and goals, and other planning related tasks as
determined in consultation with the RCTC Executive Director.
94
TRANSPORTATION DEPARTMENT
PROGRAM GOALS AND OBJECTIVES
FISCAL YEAR 2019/20
The Work Plan for 2019/20 is separated into nine main program areas:
1) Transportation Department Operations
Transportation Program Administration
Implementation of Transportation Project Prioritization Study (TPPS),
Regional Arterial Cost Estimate (RACE) and Active Transportation Program
(ATP)
Capital Improvement Program (CIP) Update
Other Transportation Planning
Operations Management and Administration
This program area performs primarily administrative functions which consist of
general transportation program administrative activities and various transportation
planning duties in support of the Transportation Department. Continued
implementation of the 2016 TPPS, RACE and ATP Program and implementation
of the Valley–wide Signal Synchronization program are primary consideration
this fiscal year.
(Funded from Measure A, TUMF and Active Transportation Program Funds)
2)Project Management and Contract Administration
Financial Cash Flow
Project Status Tracking
Preparation and Monitoring of Reimbursement Agreements
Includes staff time to conduct project oversight (design, environmental,
construction and close-out), preparation of reimbursement agreements for
regional arterial projects, review and approval of project billings in accordance
with project scope of work and participation in project development team
meetings and associated staff reports.
(Funded from Measure A, TUMF, LTF and Special Program Funds)
3) CV Link Project Development (Phased)
Project Development and Monitoring
Cash Flow Tracking
Grant Condition Monitoring
Includes staff time to conduct project oversight of consultant services
(environmental compliance and phased construction plans); review of project
billings; participation in project development team meetings and preparation of
associated reports. Finalizing construction plans, specifications and cost estimates
and starting construction of the CV Link Project is a primary consideration this
fiscal year.
ATTACHMENT 2
95
(Funded from Riverside County Regional Park and Open Space District Grant,
Caltrans Environmental Justice Grant, California Strategic Growth Council
Grant, PP&M, LTF, Sentinel Project AQMD Grant, CMAQ, STIP, ATP and
Measure A)
4) Riverside County Transportation Commission (RCTC) Programs
Congestion Management Program/System (CMP/CMS)
RCTC Technical Advisory Committee
SB 821
Coachella Valley Rail Program
Includes staff time to support the Riverside County Congestion Management
Program; analysis of traffic patterns through the traffic count program; provide
RCTC staff regional transportation project information for the State Regional
Transportation Improvement Program (RTIP); support the RCTC Technical
Advisory Committee; support efforts for County-wide SB 821 funding; Coachella
Valley Passenger Rail Service Development Plan.
(Funded from LTF, STA, Proposition 1B [one-time funds] and TUMF)
5) Planning, Programming and Monitoring Program
Regional Transportation Improvement Program/State Transportation
Improvement Program (RTIP/STIP)
This area includes staff time in support of the State Transportation Improvement
Program (STIP) and Regional Transportation Improvement Program (RTIP),
support in implementation of the CVAG Transportation Project Prioritization
Study (TPPS), coordination of updates to the Capital Improvement Plan (CIP),
and monitoring and examining impacts of implementing SB 45. TPPS activities
support the regional project construction program which includes staff time to
develop an annual prioritized list of construction projects and required financial
resources.
(Funded from PP&M, LTF and Measure A)
6) Miscellaneous Programs
GIS Information Services
Maintain Transportation Model
Regional Arterial Traffic Count Program
This area involves support to multiple programs with a focus on key project areas.
These areas include staff time and project management to maintain and provide
input for GIS Information Services, the countywide transportation demand model,
the regional arterial traffic count program, and transportation legislation review
and analysis. GIS Information Services includes staff time to provide regional
land use information to CVAG jurisdictions, developers, SCAG and Caltrans.
The countywide transportation model involves support for the RIVTAM
transportation model for forecasting projected transportation system needs to the
year 2039.
(Funded from Measure A, TUMF, and Special Program Funds)
96
7) Congestion Management /Air Quality Programs
CM/AQ Programs
Conformance with SIP requirements
Involves Transportation Department staff support to CMAQ program areas. Also
includes implementation of State Implementation Plan (SIP) conformance to
CVAG regional projects.
(Funded from CMAQ and Measure A)
8) Transportation Uniform Mitigation Fee (TUMF) Program
TUMF Program Administration
TUMF/GIS Interface
TUMF Audits
Includes staff time in support of the TUMF program and TUMF/GIS Interface
program. TUMF program activities include staff time to update the program,
monitor the implementation of the TUMF program in member jurisdictions, to
perform annual fiscal reviews of building permits and monthly TUMF collections,
to research, analyze and prepare reports for TUMF appeals, to enter TUMF
collections in the TUMF data base, to meet with developers on request to review
potential TUMF assessments, and to perform special TUMF analysis on request.
The TUMF/GIS Interface program requires support for continuing the
development of integrating the TUMF collection process with electronic
transmission of new development information for land use coverages. The TUMF
program is a primary consideration this fiscal year.
(Funded from TUMF)
9) Governmental and Special Projects
Southern California Association of Governments (SCAG)
The SCAG program includes staff time to coordinate the CVAG sub-region
SCAG Program needs, develop annual growth projections, provide input to the
Federal and Regional Transportation Improvement Plans (FTIP and RTIP), and
assist SCAG with transportation modeling refinements. Additionally, staff
performs specific transportation project work for SCAG.
(Funded from Special Program Funds)
Special Projects
Some proposed projects may involve general fund money or special grants. Any
project not already a part of the regular work programs, will be brought through
the committee process for approval of the proposed work.
(Funded from Special Grant funds)
97
AGENDA ITEM 12
Agenda Item 12
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: August 26, 2019
TO: Budget and Implementation Committee
FROM: Monica Morales, Management Analyst
THROUGH: Lorelle Moe-Luna, Multimodal Services Director
SUBJECT: Fiscal Year 2019/20 State of Good Repair Program Allocations
STAFF RECOMMENDATION:
This item is for the Committee to:
1) Approve Resolution No. 19-009, “Resolution of the Riverside County Transportation
Commission Approving the FY 2019/20 Project List for the California State of Good Repair
Program”;
2) Approve an allocation of $3,910,756 related to Fiscal Year 2019/20 State of Good Repair
(SGR) program funds to eligible Riverside County transit operators;
3) Authorize the Executive Director, or designee, to review, approve and submit projects to
Caltrans which are consistent with SGR program guidelines and to execute and submit
required documents for the SGR program, including the Authorized Agent Form;
4) Authorize the Executive Director, or designee, to approve administrative amendments to
the FY 2019/20 Short Range Transit Plans for incorporation of the SGR funds, as necessary;
and
5) Forward to the Commission for final action.
BACKGROUND INFORMATION:
The SGR program was established through SB 1 in April 2017 and is funded from a portion of the
new Transportation Improvement Fee on vehicle registrations. SGR provides approximately
$105 million annually to transit operators in California for eligible transit maintenance,
rehabilitation, and capital projects. Funds are apportioned similar to the State Transit Assistance
(STA) program formula, utilizing two categories for funding. The first category of funds is
apportioned by population; these are discretionary and fall under Public Utilities Code (PUC)
99313. The second category of funds is calculated based on transit operator revenues; these are
non-discretionary and fall under PUC 99314. Apportionments for both PUC 99313 and 99314 are
determined by the State Controller’s Office (SCO). The total estimated amount of SGR funds
available to Riverside County for FY 2019/20 is $3,910,756. Of this amount, $3,288,705 is
apportioned by population under PUC 99313, and will be sub-allocated by the Commission. PUC
99314 provides $622,051 directly to the transit operators as determined by the SCO.
98
Agenda Item 12
As the Regional Transportation Planning Agency for Riverside County, the Commission has the
following responsibilities:
• Receive and allocate SGR funds to transit operators based on local needs (PUC 99313) and
based on formula amounts published by the SCO (PUC 99314);
• Via board resolution, approve the annual list of SGR projects submitted by the public
transit operators and ensure funds are expended on SGR-eligible activities;
• Complete an updated authorized agent form; and
• Comply with all relevant federal and state laws, regulations, and policies for funding.
In order to receive funding for FY 2019/20, by September 1, the Commission is required to submit
to Caltrans a resolution, which confirms the Commission is an eligible project sponsor and may
receive, distribute, concur and approve the list of projects, which are to be funded under the SGR
program. Revised SGR funding amounts were released on August 1. Due to the board meeting
schedule, Caltrans approved the Commission’s request to submit an approved resolution and
project list by September 30. Moving forward, staff will incorporate the SGR funding allocations
concurrently with the annual Short Range Transit Plan allocation process to ensure that the
annual September 1 project and document submittal deadline is met.
Staff recommends approval of Resolution No. 19-009. Due to the timing of this staff report for
the committee agenda, a final project list by transit operator is not available; however, it will be
included in the Commission agenda. Attachment 1 of this report represents amounts allocated
to each transit operator for project allocation. Sub-allocations for PUC 99313 were based on a
population distribution by subregion and a distribution of 78 percent to bus and 22 percent to
rail in Western County. Staff reviewed the current distribution methodology and recommends a
formal policy be adopted before the FY 2020/21 SGR funds are sub-allocated. It is important to
note that the funding allocation is an estimate provided by the SCO. Actual funds received are
based on the Transportation Improvement Fee collected on vehicle registrations.
Financial Information
In Fiscal Year Budget: Yes Year: FY 2019/2020 Amount: $ 3,910,756
Source of Funds: SB1 State of Good Repair Budget Adjustment: No
GL/Project
Accounting No.:
00222X 401 4230X 0000 242 62 4230X (SGR revenues by various geographic
area/project numbers)
Fiscal Procedures
Approved: Date: 08/19/2019
Attachments:
1) Resolution No 19-009
2) SGR FY 2019/20 Allocations by Operator
99
RESOLUTION NO. 19-009
RESOLUTION OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
APPROVING THE FY 2019-20 PROJECT LIST
FOR THE CALIFORNIA STATE OF GOOD REPAIR PROGRAM
WHEREAS, Senate Bill 1 (SB 1), the Road Repair and Accountability Act 2017, established the State
of Good Repair (SGR) program to fund eligible transit maintenance, rehabilitation and capital
project activities that maintain the public transit system in a state of good repair; and
WHEREAS, the Riverside County Transportation Commission is an eligible project sponsor and
may receive and distribute State Transit Assistance – SGR funds to eligible project sponsors (local
agencies) for eligible transit capital projects;
WHEREAS, the Riverside County Transportation Commission distributes SGR funds to eligible
project sponsors (local agencies) under its regional jurisdiction; and
WHEREAS, the Riverside County Transportation Commission concurs with and approves the
attached project list for the SGR Program funds; and
NOW, THEREFORE, BE IT RESOLVED, that the Riverside County Transportation Commission
hereby approves the SB 1 SGR Project List for FY 2019-20; and
NOW, THEREFORE, BE IT RESOLVED, by the Board of Commissioners of the Riverside County
Transportation Commission that the fund recipient agrees to comply with all conditions and
requirements set forth in the Certification and Assurances document and applicable statutes,
regulations and guidelines for all SGR funded transit capital projects.
NOW, THEREFORE, BE IT RESOLVED, that the Executive Director is hereby authorized to submit
a request for Scheduled Allocation of the SB 1 SGR funds and to execute the related grant
applications, forms and agreements, including the Authorized Agent Form.
APPROVED AND ADOPTED this 11th day of September, 2019.
_____________________________________
Chuck Washington, Chair
Riverside County Transportation Commission
ATTEST:
_________________________________
Lisa Mobley, Clerk of the Board
Riverside County Transportation Commission
ATTACHMENT 1
100
ATTACHMENT 2
101
Tara Byerly
From: Tara Byerly
Sent: Tuesday, August 20, 2019 2:47 PM
To: Tara Byerly
Cc: Lisa Mobley; Anne Mayer; JOHN STANDIFORD
Subject: RCTC: August Budget and Implementation Committee Agenda - August 26, 2019
Good afternoon Budget and Implementation Committee Members,
Attached is the link to the Budget and Implementation Committee Agenda for the meeting scheduled @ 9:30 a.m. on
Monday, August 26.
https://www.rctc.org/wp-content/uploads/2019/08/August-Budget-and-Implementation-Committee-Agenda.pdf
Please let me know if you have any questions. Thank you.
Respectfully,
Tara Byerly
Deputy Clerk of the Board
Riverside County Transportation Commission
951.787.7141 W 1951.787.7906 F
4080 Lemon St. 3rd FI. 1 P.O. Box 12008 Riverside, CA 92502
rctc.org
f l/ in 0
1
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
BUDGET AND IMPLEMENTATION COMMITTEE SIGN —IN SHEET
AUGUST 26, 2019
NA
t A,,1GENCY /
E_MAIL ADDRESS
c ' ff e
� �
,,4(5 f i ( / /(—\ � �/ ./
v
�� / �' �1
4-
3-1-,-;°1<
L oY1)
i ! 7-2-
.-141,/ z'nlr
124
�
i
(7? �4 ��, e�
Cyr •
CA t 4 �nCIA(4
f
-1, - f .
g.3 00 -1-iQ-__
i
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
BUDGET AND IMPLEMENTATION COMMITTEE
ROLL CALL
AUGUST 26, 2019
Present Absent
County of Riverside, District II e 0
County of Riverside, District III 0 0
City of Beaumont 0 0
City of Calimesa M 0
City of Canyon Lake 0 In
City of Cathedral City 0 0
City of Coachella 0 0
City of Desert Hot Springs 0 0
City of Hemet M 0
City of Lake Elsinore 7 0
City of Palm Springs 0 21
City of Riverside izr 0
City of Temecula • pecrM iii'