HomeMy Public PortalAbout05 May 12, 2021 Commission
MEETING AGENDA
TIME/DATE: 9:30 a.m. / Wednesday, May 12, 2021
Pursuant to Governor Newsom’s Executive Order N-29-20, (March 18, 2020), the meeting will only be
conducted via video conferencing and by telephone. Please follow the instructions on the following page to
join the meeting remotely.
COMMISSIONERS
Chair – Jan Harnik
Vice Chair – V. Manuel Perez
Second Vice Chair – Bob Magee
Kevin Jeffries, County of Riverside, District 1
Karen Spiegel, County of Riverside, District 2
Chuck Washington, County of Riverside, District 3
V. Manuel Perez, County of Riverside, District 4
Jeff Hewitt, County of Riverside, District 5
David Happe / Alberto Sanchez, City of Banning
Lloyd White / David Fenn, City of Beaumont
Joseph DeConinck / Johnny Rodriguez, City of Blythe
Linda Molina / Wendy Hewitt, City of Calimesa
Jeremy Smith / Larry Greene, City of Canyon Lake
Raymond Gregory / Mark Carnevale, City of Cathedral City
Steven Hernandez / Denise Delgado, City of Coachella
Wes Speake / Jim Steiner, City of Corona
Scott Matas / Russell Betts, City of Desert Hot Springs
Clint Lorimore / Todd Rigby, City of Eastvale
Linda Krupa / Russ Brown, City of Hemet
Dana Reed / Donna Griffith, City of Indian Wells
Waymond Fermon / Oscar Ortiz, City of Indio
Brian Berkson / Guillermo Silva, City of Jurupa Valley
Kathleen Fitzpatrick / Robert Radi, City of La Quinta
Bob Magee / Natasha Johnson, City of Lake Elsinore
Bill Zimmerman / Dean Deines, City of Menifee
Yxstain Gutierrez / To Be Appointed, City of Moreno Valley
Scott Vinton / Lisa DeForest, City of Murrieta
Ted Hoffman / Katherine Aleman, City of Norco
Jan Harnik / Kathleen Kelly, City of Palm Desert
Lisa Middleton / Dennis Woods, City of Palm Springs
Michael M. Vargas / Rita Rogers, City of Perris
Ted Weill / Charles Townsend, City of Rancho Mirage
Chuck Conder / Erin Edwards, City of Riverside
Alonso Ledezma / Crystal Ruiz, City of San Jacinto
Matt Rahn / Maryann Edwards, City of Temecula
Ben J. Benoit / Joseph Morabito, City of Wildomar
Mike Beauchamp, Governor’s Appointee Caltrans District 8
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
www.rctc.org
MEETING AGENDA*
*Actions may be taken on any item listed on the agenda
9:30 a.m.
Wednesday, May 12, 2021
Pursuant to Governor Newsom’s Executive Order N-29-20, (March 18, 2020), the meeting will only be
conducted via video conferencing and by telephone. Please follow the instructions below to join the
meeting remotely.
INSTRUCTIONS FOR ELECTRONIC PARTICIPATION
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For members of the public wishing to submit comment in connection with the Commission Meeting
please email written comments to the Clerk of the Board at lmobley@rctc.org prior to May 11, 2021 at
5:00 p.m. and your comments will be made part of the official record of the proceedings. Members of
the public may also make public comments through their telephone or Zoom connection when
recognized by the Chair.
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 on the Commission’s website, www.rctc.org.
In compliance with the Americans with Disabilities Act, Government Code Section 54954.2, Executive Order N-29-20, 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
Riverside County Transportation Commission Meeting Agenda
May 12, 2021
Page 2
4. PUBLIC COMMENTS – Under the Brown Act, the Commission should not take action on or discuss
matters raised during public comment portion of the agenda that are not listed on the agenda.
Commission members may refer such matters to staff for factual information or to be placed on
the subsequent agenda for consideration.
5. ADDITIONS / REVISIONS – The Commission 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 Commission subsequent to the posting of the agenda. An action adding an item
to the agenda requires 2/3 vote of the Commission. If there are less than 2/3 of the Commission
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. PUBLIC HEARING – ADOPTION OF A RESOLUTION OF NECESSITY FOR THE ACQUISITION OF A
FEE INTEREST IN PORTIONS OF CERTAIN REAL PROPERTY, BY EMINENT DOMAIN, MORE
PARTICULARLY DESCRIBED AS ASSESSOR PARCEL NUMBER 305-080-092 (RCPN 1030), FOR
THE PLACENTIA AVENUE WIDENING PROJECT, IN RIVERSIDE COUNTY, CALIFORNIA
Page 1
Overview
This item is for the Commission to:
1) Conduct a hearing to consider the adoption of a Resolution of Necessity, including
providing all parties interested in the affected property and their attorneys, or their
representatives, an opportunity to be heard on the issues relevant to the Resolution of
Necessity;
2) Make the following findings as hereinafter described in this report:
a) The public interest and necessity require the proposed project;
b) The project is planned or located in a manner that will be most compatible with
the greatest public good and the least private injury;
c) The real property to be acquired is necessary for the project; and
d) The offer of just compensation has been made to the property owner;
3) Adopt Resolution of Necessity No. 21-006 described as “Adoption of a Resolution of
Necessity for the Acquisition of a Fee Interest in Portions of Certain Real Property, by
Eminent Domain, More Particularly Described as Assessor Parcel Number 305-080-092
(RCPN 1030), Located in Perris, Riverside County, California, for the Placentia Avenue
Widening Project for the Placentia Ave Widening Project.”
Riverside County Transportation Commission Meeting Agenda
May 12, 2021
Page 3
7. PUBLIC HEARING – PROPOSED BUDGET FOR FISCAL YEAR 2021/22
Page 14
Overview
This item is for the Commission to:
1) Discuss, review, and provide guidance on the proposed Fiscal Year 2021/22 Budget;
2) Open the public hearing in order to receive input and comments on the proposed
FY 2021/22 Budget on May 12 and June 9, 2021, and thereafter close the public hearing;
and
3) Approve an increase in the FY 2020/21 budget for revenues and expenditures for
$250,000 related to regional conservation right of way consultant costs.
8. 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.
8A. APPROVAL OF MINUTES – APRIL 14, 2021
Page 40
8B. SINGLE SIGNATURE AUTHORITY REPORT
Page 47
Overview
This item is for the Commission to receive and file the Single Signature Authority report
for the third quarter ended March 31, 2021.
8C. AGREEMENTS FOR AUDIT AND ATTESTATION SERVICES
Page 49
Overview
This item is for the Commission to:
1) Award the following agreements to provide audit and attestation services for the
Western Riverside County Measure A recipients and Transportation Development
Act (TDA) claimants of the Commission and the member agencies of the Western
Riverside County Regional Conservation Authority (RCA) for a three-year term,
with three one-year options to extend the agreements in the total aggregate
amount of $1,524,661, plus a contingency amount of $75,339, for a total
aggregate amount not to exceed $1,600,000:
a) Agreement No. 21-19-034-00 to BCA Watson Rice LLP;
b) Agreement No. 21-19-035-00 to Brown Armstrong Accountancy
Corporation (Brown Armstrong);
c) Agreement No. 21-19-036-00 to Conrad LLP; and
d) Agreement No. 21-19-037-00 to Eide Bailly LLP;
Riverside County Transportation Commission Meeting Agenda
May 12, 2021
Page 4
2) Award the following agreements to provide audit and attestation services for the
Eastern Riverside County Measure A Recipients and Transportation Development
Act Claimants of the Commission for a three-year term, with three one-year
options to extend the agreements in the total aggregate amount of $413,160,
plus a contingency amount of $19,840, for a total aggregate amount not to
exceed $433,000:
a) Agreement No. 21-19-056-00 to Brown Armstrong; and
b) Agreement No. 21-19-057-00 to Conrad LLP;
3) Authorize the Chair or Executive Director, pursuant to legal counsel review, to
finalize and execute the agreements, including options years, on behalf of the
Commission; and
4) Authorize the Executive Director or designee to approve contingency work up to
the total not to exceed amount as required for these audit and attestation
services.
8D. STATE AND FEDERAL LEGISLATIVE UPDATE
Page 256
Overview
This item is for the Commission to:
1) Receive and file an update on state and federal legislation;
2) Adopt the following bill positions:
a) SB 261 (Allen) – Oppose.
8E. 2021 MID-CYCLE STATE TRANSPORTATION IMPROVEMENT PROGRAM FUNDING
DISTRIBUTION AND PROGRAMMING
Page 271
Overview
This item is for the Commission to:
1) Approve the 2021 Mid-Cycle State Transportation Improvement Program (STIP)
funding distribution among the three geographic areas in Riverside County per
the adopted STIP Intracounty Memorandum of Understanding (MOU);
2) Approve programming $10,069,068 of 2021 Mid-Cycle STIP Western Riverside
County, Coachella Valley, and Palo Verde Valley funding capacity to the
71/91 Connector project, and submit the 2021 Mid-Cycle STIP to the California
Transportation Commission (CTC);
3) Include programming Planning, Programming, and Monitoring (PPM) funds
(2 percent of STIP programming capacity) in the amount of $205,491 in
Fiscal Year 2022/23;
4) Approve swapping the Coachella Valley STIP share with Surface Transportation
Block Grant (STBG) funds in the amount of $2,159,815;
Riverside County Transportation Commission Meeting Agenda
May 12, 2021
Page 5
5) Approve Agreement No. 07-71-028-04, Amendment No. 4 to Agreement
No. 07-71-028-00, with the city of Blythe (Blythe) to trade $43,297 of Palo Verde
Valley STIP funds with Measure A Western Riverside County Highway funds to
facilitate delivery of local arterial projects; and
6) Authorize the Executive Director, pursuant to legal counsel review, to execute
Agreement No. 07-71-028-04 on behalf of the Commission upon CTC adoption of
the 2021 Mid-Cycle STIP.
8F. AMENDMENT NO. 1 TO AGREEMENT NO. 16-31-102-00 WITH COUNTY OF RIVERSIDE
TO FUND A PROJECT STUDY REPORT FOR THE INTERSTATE 215/ETHANAC ROAD
INTERCHANGE
Page 275
Overview
This item is for the Commission to:
1) Approve Amendment No. 1 to Agreement No. 16-31-102-00 with the County of
Riverside (County) to utilize the remaining balance of $1,041,716 of 2009
Measure A Western County New Corridors Program funds from the original
agreement for the preparation of a Project Study Report (PSR) for the Interstate
215/Ethanac Road Interchange, for which the County will serve as lead agency;
and
2) Authorize the Executive Director, pursuant to legal counsel review, to execute the
amendment on behalf of the Commission.
8G. INTERSTATE 15 EXPRESS LANES PROJECT DESIGN-BUILD CONTRACT FINAL
ACCEPTANCE
Page 287
Overview
This item is for the Commission to approve Final Acceptance for the Interstate 15
Express Lanes Project (I-15 ELP or Project) Design-Build Contract, Agreement
No. 16-31-057-00, with Skanska-Ames, a Joint Venture, subject to the Executive
Director’s verification that all contract requirements for Final Acceptance have been
met.
Riverside County Transportation Commission Meeting Agenda
May 12, 2021
Page 6
8H. SMART FREEWAYS PILOT PROJECT
Page 290
Overview
This item is for the Commission to:
1) Approve Agreement No. 21-31-063-00 with WSP USA Inc, (WSP) to provide
professional services for preliminary engineering/environmental document, final
design, construction support, and operations support services for Smart Freeway
improvements on Interstate 15 (I-15) project (Project), from the San Diego
county line to Winchester Road in the city of Temecula in an amount of
$3,866,809, plus a contingency amount of $133,191, for a total amount not to
exceed of $4,000,000;
2) Approve Agreement No. 21-31-059-00 with Caltrans to obtain a State Highway
Operation and Protection Program (SHOPP) Minor Funds contribution for a total
amount not to exceed of $1,200,000;
3) Authorize the Chair or Executive Director, pursuant to legal counsel review,
to execute the agreements on behalf of the Commission; and
4) Authorize the Executive Director, or designee, to approve contingency work as
may be required for the Project.
8I. AMENDMENT NO. 1 TO COOPERATIVE AGREEMENT NO. 19-33-004-00 WITH
SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY FOR CONSTRUCTION OF THE
RIVERSIDE LAYOVER FACILITY IMPROVEMENT PROJECT
Page 361
Overview
This item is for the Commission to:
1) Approve Agreement No. 19-33-004-01, Amendment No. 1 to Agreement
No. 19-33-004-00, between the Commission and Southern California Regional Rail
Authority (SCRRA) for the construction of the Riverside Layover Facility
Improvement project (Project) in the amount of $99,999, plus a contingency
amount of $10,000, for an additional amount of $109,999, and a total amount
not to exceed $281,999;
2) Authorize the Chair or Executive Director, pursuant to legal counsel review, to
execute the cooperative agreement on behalf of the Commission; and
3) Authorize the Executive Director or designee to approve the use of a contingency,
as may be required for these services.
Riverside County Transportation Commission Meeting Agenda
May 12, 2021
Page 7
8J. QUARTERLY REPORTING OF CONTRACT CHANGE ORDER FOR CONSTRUCTION
CONTRACTS
Page 368
Overview
This item is for the Commission to receive and file the Quarterly Report of Contract
Change Orders for Construction Contracts for the past three months ending
March 31, 2021.
8K. LOW CARBON TRANSIT OPERATIONS PROGRAM RESOLUTION
Page 371
Overview
This item is for the Commission to adopt Resolution No. 21-005, “Resolution of the
Riverside County Transportation Commission Regarding Authorization for the Execution
of the Certifications and Assurances and Authorized Agent Forms for the Low Carbon
Transit Operations Program for the Expanded Perris Valley Line Operations Project Fiscal
Year 2022 Funds in the Amount of $864,540”.
9. MEASURE A SPECIALIZED TRANSIT AWARD RECOMMENDATIONS FOR FISCAL YEARS 2021/22
– 2023/24
Page 375
Overview
This item is for the Commission to:
1) Approve the staff recommendations for the Measure A Western Riverside County
Specialized Transit Program Fiscal Year (FY) 2021/22 - 2023/24 Call for Projects totaling
$8,951,257;
2) Approve an allocation of $150,000 for a specialized transit pilot program for the city of
Menifee (City);
3) Direct staff to prepare agreements with the award recipients to outline the scope,
project schedules, and local funding commitments; and
4) Authorize the Chair or Executive Director to execute the agreements with the award
recipients, pursuant to legal counsel review.
10. COACHELLA VALLEY-SAN GORGONIO PASS RAIL CORRIDOR TIER 1 PROGRAM DRAFT
ENVIRONMENTAL IMPACT STATEMENT/ENVIRONMENTAL IMPACT REPORT
Page 380
Overview
This item is for the Commission to receive and file an update on the Coachella Valley-San
Gorgonio Pass Rail Corridor Service Planning Study with the imminent release of the Draft Tier 1
Program Draft Environmental Impact Statement/Environmental Impact Report.
Riverside County Transportation Commission Meeting Agenda
May 12, 2021
Page 8
11. ITEM(S) PULLED FROM CONSENT CALENDAR AGENDA
12. COMMISSIONERS / EXECUTIVE DIRECTOR REPORT
Overview
This item provides the opportunity for the Commissioners and the Executive Director to report
on attended meetings/conferences and any other items related to Commission activities.
13. CLOSED SESSION
13A. CONFERENCE WITH REAL PROPERTY NEGOTIATORS
Pursuant to Government Code Section 54956.8
Agency Negotiator: Executive Director or Designee
Item Property Description Property
Owner
Buyer(s)
1 210-180-011, 034, 045,
and 210-190-001 RCTC Alexey Zaboloskikh
2 118-160-021 RCTC SPX Investment, LLC
3
102-092-030, 031,
102-101-002, 033, 035,
037
RCTC Realm AC, LLC
14. ADJOURNMENT
The next meeting of the Commission is scheduled to be held on Wednesday,
June 9, 2021, via Zoom.
AGENDA ITEM 6
PUBLIC HEARING
Agenda Item 6
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM: Hector Casillas, Right of Way Manager
Marlin Feenstra, Project Delivery Director
THROUGH: Anne Mayer, Executive Director
SUBJECT:
Adoption of a Resolution of Necessity for the Acquisition of a Fee Interest in
Portions of Certain Real Property, by Eminent Domain, More Particularly
Described as Assessor Parcel Number 305-080-092 (RCPN 1030), for the
Placentia Avenue Widening Project, in Riverside County, California
STAFF RECOMMENDATION:
This item is for the Commission to:
1) Conduct a hearing to consider the adoption of a Resolution of Necessity, including
providing all parties interested in the affected property and their attorneys, or their
representatives, an opportunity to be heard on the issues relevant to the Resolution of
Necessity;
2) Make the following findings as hereinafter described in this report:
a) The public interest and necessity require the proposed project;
b) The project is planned or located in a manner that will be most compatible with
the greatest public good and the least private injury;
c) The real property to be acquired is necessary for the project; and
d) The offer of just compensation has been made to the property owner;
3) Adopt Resolution of Necessity No. 21-006 described as “Adoption of a Resolution of
Necessity for the Acquisition of a Fee Interest in Portions of Certain Real Property, by
Eminent Domain, More Particularly Described as Assessor Parcel Number 305-080-092
(RCPN 1030), Located in Perris, Riverside County, California, for the Placentia Avenue
Widening Project for the Placentia Ave Widening Project.”
BACKGROUND INFORMATION:
At its June 2018 meeting, the Commission approved a memorandum of understanding between
the city of Perris (City) and the Commission, in which the Commission agreed to acquire the
right of way between October 2018 and January 2022 for the City’s project to widen
Placentia Avenue.
For the benefit of the City’s project, the Commission is being asked to consider the adoption of
a Resolution of Necessity declaring its intent to acquire a fee interest in portions of certain real
1
Agenda Item 6
property, by eminent domain, more particularly described as Assessor Parcel No. 305-080-092
(RCPN 1030) for the construction related to the City’s Placentia Avenue Widening Project, in
Riverside County, California (the Project).
The acquisition is required for the Project. The segment of Placentia Avenue that would be
widened as part of the Project will provide key access to the I-215/Placentia Avenue
interchange when it is completed for travelers in the Project vicinity.
A preliminary title report was obtained from Commonwealth Title Insurance Company to
confirm and identify the record owner of the parcel affected by the Project. The Commission
then served the affected property owner with a notice of the Commission’s decision to appraise
the property.
The Commission had the property appraised and made an offer to the record owner.
Negotiations have been unsuccessful for the purchase of the interests necessary for the Project.
Negotiations will continue after adoption of a Resolution of Necessity for the property interest.
Since an agreement has not been reached with the owner of record, it may be necessary to
acquire the fee interest described in the attachments by eminent domain. The initiation of the
eminent domain process is accomplished by the Commission’s adoption of a Resolution of
Necessity for the affected property.
Description of Property to Be Acquired
Assessor Parcel No. 305-080-092 (RCPN 1030) is owned by Coreslab Structures (LA) Inc. The
property is located at 150 W. Placentia Avenue, in Perris, Riverside County, California. The
property is occupied with an operating business. The Commission desires to acquire the
portion of the property to accommodate the widening of Placentia Avenue. The legal
descriptions and depictions of the property to be acquired is attached and marked as
Exhibit “A” in Attachment 1.
Project Description
This Project is known as the Placentia Ave Widening Project. The Project is a partnership
between the Commission and the city of Perris. In conjunction with the Commission and the
Placentia Interchange Project, the City will be widening Placentia Avenue from two lanes to four
lanes from the intersection of Indian Avenue to Perris Avenue. This will include various
improvements, such as sidewalk, curb and gutter, and storm drain.
Construction is expected to commence in winter 2021 and extend through approximately
summer 2022.
2
Agenda Item 6
Hearings and Required Findings
The action requested of the Commission at the conclusion of this hearing is the adoption of a
Resolution of Necessity, authorizing the acquisition of real property interests by eminent
domain. The property owner is Coreslab Structures (LA) Inc. This will be a fee acquisition of
portions of the property.
The property is further identified in the legal description and depiction attached hereto as part
of Attachment 1.
California eminent domain law provides that a public entity may not commence with eminent
domain proceedings until its governing body has adopted a resolution of necessity, which
resolution may only be adopted after the governing body has given each party with an interest
in the affected property, or their representatives, a reasonable opportunity to appear and be
heard on the following matters:
1. The public interest and necessity require the proposed project;
2. The project is planned or located in a manner that will be most compatible with the
greatest public good and the least private injury;
3. The real property to be acquired is necessary for the project; and
4. The offer of just compensation has been made to the property owner.
A notice of the hearing was sent by first class mail to the property owner and stated the
Commission’s intent to consider the adoption of a resolution, the right of the property owner to
appear and be heard on these issues, and that failure to file a written request to appear would
result in a waiver of the right to appear and be heard. The Commission has scheduled this
hearing at which all persons who filed a written request within 15 days of the date of notice
was mailed may appear and be heard. The Commission’s legal counsel mailed the required
notices to the property owner, on April 26, 2021, in accordance with California Code of Civil
Procedure, section 1245.235.
The property owner was also invited to meet with Commission and city of Perris staff to
address any concerns the property owner may have with the design of the Project in the
manner proposed and the necessity of the acquisition.
The four required findings are addressed as follows:
1. Public Interest and Necessity Require the Proposed Project
The Project will improve traffic flow and enhance safety.
2. The Project Is Planned Or Located In A Manner That Will Be Most Compatible With The
Greatest Public Good And The Least Private Injury
3
Agenda Item 6
A thorough analysis was conducted to find the single best location for this Project.
Environmental analyses and findings indicate that this site uniquely satisfies the
engineering, public health, and environmental issues, and this location is the most
compatible with the greatest public good. This location will result in the least private
injury.
3. The Property Sought To Be Acquired Is Necessary For The Proposed Project
As described above, a careful analysis was performed regarding this location and what
property and property rights were needed, and these parcels meet all the desired
characteristics for the construction of the improvements for the Project. Based on that
analysis, the acquisition of the property is necessary for construction of the Project.
4. The Offer Of Just Compensation Has Been Made
An appraisal was prepared by the Commission’s appraiser Scott Delahooke, MAI, of The
Delahooke Appraisal Company, to establish the fair market value of the real property
the Commission is seeking to acquire from the interest owned by the property owner
identified herein. An offer of just compensation was made to the property owner to
purchase the property interest, based on the approved appraisal, as required by Section
7267.2 of the California Government Code. Although negotiated settlements may still
be possible, and will be pursued by staff, it would be appropriate to commence the
procedures to acquire the interests sought through eminent domain, to ensure that the
property will be available to meet the time frames associated with the Placentia Avenue
Widening Project.
Environmental Analysis
Compliance with the California Environmental Quality Act has been satisfied by the city of Perris
through an initial study. The approval date of the initial study is May 26, 2020. The
determination finds the Project will not have a significant effect on the environment and a
negative declaration would be prepared.
Fiscal Impact
There is no fiscal impact as the amount of just compensation has been included in the
Commission’s FY 2020/21 and FY 2021/22 budgets.
4
Agenda Item 6
Notice of Public Hearing
A notice of Hearing to Property Owners was mailed on April 26, 2021 to Coreslab Structures
(LA) Inc., the owner of record. Of note, this corporation is based in Ontario, Canada. A notice
was mailed to the corporate address, as well as to the local business in Perris, California, at the
property described herein.
Attachments:
1) Resolution No. 21-006
2) Legal Description, Plat Map, and Aerial Map
5
RESOLUTION NO. 21-006
ADOPTION OF A RESOLUTION OF NECESSITY FOR THE
ACQUISITION OF A FEE INTEREST IN PORTIONS OF CERTAIN REAL
PROPERTY, BY EMINENT DOMAIN, MORE PARTICULARLY
DESCRIBED AS ASSESSOR PARCEL NO. 305-080-092 (RCPN 1030),
LOCATED IN PERRIS, RIVERSIDE COUNTY, CALIFORNIA, FOR THE
PLACENTIA AVENUE WIDENING PROJECT.
WHEREAS, the Riverside County Transportation Commission (the
“Commission”) proposes to acquire a fee interest in portions of certain real property, located in
Riverside County, California, more particularly described as Assessor Parcel No. 305-080-
092 (RCPN 1030), for the Placentia Avenue Widening Project, located in Perris,
Riverside County, California, pursuant to the authority granted to it by section 130220.5 of the
California Public Utilities Code; and
WHEREAS, pursuant to section 1245.235 of the California Code of Civil Procedure, the
Commission scheduled a public hearing for Wednesday, May 12, 2021 at 9:30 a.m., and gave
to each person whose property is to be acquired and whose name and address appeared on
the last equalized county assessment roll, notice and a reasonable opportunity to appear at
said hearing and be heard on the matters referred to in section 1240.030 of the California
Code of Civil Procedure; and
WHEREAS, pursuant to Governor Newsom’s Executive Order N-29-20, (March 18,
2020), the meeting will only be conducted via video conferencing and by telephone; and
WHEREAS, said hearing has been held by the Commission, and the affected
property owner was afforded an opportunity to be heard on said matters; and
WHEREAS, the Commission may now adopt a Resolution of Necessity pursuant to
section 1240.040 of the California Code of Civil Procedure;
NOW, THEREFORE, THE COMMISSION DOES HEREBY RESOLVE AND
DECLARE AS FOLLOWS:
Section 1. Compliance with California Code of Civil Procedure. There has been
compliance by the Commission with the requirements of section 1245.235 of the California
Code of Civil Procedure regarding notice and hearing.
Section 2. Public Use. The public use for the fee interest in the portions to be
acquired is for the Placentia Avenue Widening Project in Riverside County, California.
Section 130220.5 of the California Public Utilities Code authorizes the Commission to acquire,
by eminent domain, property necessary for such purposes.
Section 3. Description of Property. Attached and marked as Exhibit “A” are the legal
definitions, legal descriptions and plat maps, respectively, of the interests to be acquired by
ATTACHMENT 1
6
the Commission, which describe the general location and extent of the property with
sufficient detail for reasonable identification.
Section 4. Findings. The Commission hereby finds and determines each of the
following:
(a) The public interest and necessity require the
proposed project;
(b) The proposed project is planned or located in the
manner that will be most compatible with the greatest public
good and least private injury;
(c) The property defined and described in Exhibit “A” is
necessary for the proposed project; and
(d) The offer required by section 7267.2 of the California
Government Code was made.
Section 5. Use Not Unreasonably Interfering with Existing Public Use. Some or
all of the real property affected by the interest to be acquired is subject to easements and rights-
of-way appropriated to existing public uses. The legal descriptions of these easements
and rights-of-way are on file with the Commission and describe the general location and extent
of the easements and rights-of-way with sufficient detail for reasonable identification. In
the event the herein described use or uses will not unreasonably interfere with or impair
the continuance of the public use as it now exists or may reasonably be expected to exist in
the future, counsel for the Commission is authorized to acquire the herein described interest
subject to such existing public use pursuant to section 1240.510 of the California Code of Civil
Procedure.
Section 6. More Necessary Public Use. Some or all of the real property affected by
the interest to be acquired is subject to easements and rights-of-way appropriated to existing
public uses. To the extent that the herein described use or uses will unreasonably interfere
with or impair the continuance of the public use as it now exists or may reasonably be expected
to exist in the future, the Commission finds and determines that the herein described use or
uses are more necessary than said existing public use. Counsel for the Commission is
authorized to acquire the herein described real property appropriated to such
existing public uses pursuant to section 1240.610 of the California Code of Civil
Procedure. Staff is further authorized to make such improvements to the affected real
property that it determines are reasonably necessary to mitigate any adverse impact upon the
existing public use.
Section 7. Further Activities. Counsel for the Commission is hereby authorized
to acquire the hereinabove described real property in the name of and on behalf of the
Commission by eminent domain, and counsel is authorized to institute and prosecute such
legal proceedings as may be required in connection therewith. Legal counsel is further
7
authorized to take such steps as may be authorized and required by law, and to make such
security deposits as may be required by order of court, to permit the Commission to take
possession of and use said real property at the earliest possible time. Counsel is further
authorized to correct any errors or to make or agree to non-material changes in the legal
description of the real property that are deemed necessary for the conduct of the
condemnation action, or other proceedings or transactions required to acquire the
subject real property.
Section 8. Effective Date. This Resolution shall take effect upon adoption.
APPROVED AND ADOPTED this 12th day of May, 2021.
___________________________________
Jan C. Harnik, Chair
Riverside County Transportation Commission
ATTEST:
Lisa Mobley, Clerk of the Board Riverside
County Transportation Commission
8
ATTACHMENT 2
9
10
11
12
BA
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E
T
T
A
V
E
PLACENTIA ST
ÄÄ60
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Project Site
City Boundary
Parcel Boundary
Centerline03.5 7Miles
0 90 180Feet^_
Project Site
VICINITY MAP
4/27/2021
APN 305-080-092
APN 305-080-092
13
17336.01112\33868729.1
NOTICE OF HEARING TO PROPERTY OWNERS
Pursuant to Section 1245.235 of the California Code of Civil Procedure, you are
hereby notified that at a regular meeting to be held on Wednesday, May 12, 2021, at 9:30 a.m., at
the Riverside County Administration Building, Board of Supervisors Chambers, the Commission
of the Riverside County Transportation Commission intends to consider the adoption of a
Resolution of Necessity, authorizing the commencement of eminent domain proceedings for the
acquisition of real property interests in property that, according to the last equalized county
assessment roll, is owned by you. The public use for which this resolution of necessity will be
considered is for roadway widening related to a project at the intersection of Interstate 215 and
Placentia Avenue, in Riverside County, California.
The definitions of the property rights to be acquired, together with the legal
descriptions and corresponding depictions, are attached to this notice.
A hearing will be held at the time and place mentioned above. You have the right
to appear and be heard on the following matters:
1. Whether the public interest and necessity require the project for which the
property is sought to be acquired.
2. Whether the project is planned or located in the manner that will be most
compatible with the greatest public good and least private injury.
3. Whether the property sought to be acquired by eminent domain and
described in the Resolution of Necessity is necessary for the proposed project.
4. Whether the offer required by Section 7267.2 of the California Government
Code has been made.
17336.01112\33868729.1
NOTE: Pursuant to Governor Newsom’s Executive Order N-29-20, (March 18,
2020), the meeting will only be conducted via video conferencing and by telephone. Please follow
the instructions below to join the meeting remotely.
INSTRUCTIONS FOR ELECTRONIC PARTICIPATION
Join Zoom Meeting: https://rctc.zoom.us/j/85630694948
Meeting ID: 856 3069 4948
One tap mobile
+16699006833,,85630694948# US
For members of the public wishing to submit comment in connection with the
Commission Meeting please email written comments to the Clerk of the Board at
lmobley@rctc.org prior to May 11, 2021 at 5:00 p.m. and your comments will be made part of the
official record of the proceedings.
Members of the public may also make public comments through their telephone or
Zoom connection when recognized by the Chair.
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
on the Commission’s website, www.rctc.org.
In compliance with the Americans with Disabilities Act, Government Code Section
54954.2, Executive Order N-29-20, 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.
17336.01112\33868729.1
Pursuant to California Code of Civil Procedure section 1245.235(b)(3), your failure
to file a written request with RCTC to appear and be heard within 15 days from the date that this
Notice is mailed may result in the waiver of your right to appear and be heard on the above-stated
matters and issues that are the subject of the hearing.
ALL COMMUNICATIONS SHOULD BE ADDRESSED TO:
Lisa Mobley
Clerk of the Board
Riverside County Transportation Commission
4080 Lemon Street, 3rd Floor
Riverside, California 92501
DATE OF HEARING: Wednesday, May 12, 2021
9:30 a.m.
PLACE OF HEARING: TO BE HELD VIA ZOOM VIDEO
CONFERENCING ONLY, AS STATED ABOVE
DATED: April 26, 2021 BEST BEST & KRIEGER LLP
By: ______________________________________
Mark A. Easter
Attorneys for
Riverside County Transportation Commission
17336.01112\33868729.1
PROOF OF MAILING NOTICE
I, Mandy Villareal, acting on behalf of the Riverside County Transportation Commission,
hereby certify that on April 26, 2021, I mailed a copy of the attached notice by first-class mail to
the following owners and other interested parties of real property located in the County of
Riverside, State of California, more particularly described as Assessor Parcel 305-080-092:
Coreslab Structures (L.A.) Inc.
323 Jones Road, Unit 8
Stoney Creek, ON Canada L8E5N2
Record Owner
Coreslab Structures, LA, Inc.
ATTN: Robert Konoske
150 W. Placentia Avenue
Perris, CA 92571
Record Owner
Dated: April 26, 2021
Mandy Villareal
PLACENTIA AVENUE WIDENING PROJECT
Adoption of a Resolution of Necessity
Commission Meeting
May 12, 2021
Hector Casillas, Right of Way Manager
1
Commission Guidance
•The property interests are required for
a public purpose
•The offer of just compensation was for
the full appraised value
•The commission uses eminent
domain as a last resort
•Staff will continue negotiations
2
THE COMMISSION IS REQUESTED TO MAKE
THE FOLLOWING FINDINGS :
1.The public interest and necessity require the proposed project;
2.The project is planned or located in a manner that will be
most compatible with the greatest public good and the least
private injury;
3.The real property to be acquired is necessary for the project;
and
4.The offer of just compensation has been made to the property
owner.
3
Coreslab Structure, LA, Inc.
SEC of Barrett Ave and Placentia
Ave, Perris, CA 92571
4
PARCEL INFORMATION
Owner: Coreslab Structures, LA, Inc.
APN: 305-080-092
Property Address: SEC Placentia Avenue and Barrett Avenue
Larger Parcel Area:32.46 Acres
Northern Site 22.08 Acres
Southern Site 10.38 Acres
Property Required: Partial Fee Acquisition (12,843 sf)
5
OFFER OF JUST COMPENSATION
Owner: Coreslab Structures, LA, Inc.
Offer Date(s):February 10, 2020-Original
January 11, 2021-Revised
6
CONTACT SUMMARY
In Person
Contacts
Video
Conference
Meeting Mailings
Telephone
Contacts
Email of
Information Totals
2 2 5 25 34 68
7
District Condemnation Evaluation Meeting
& Condemnation Panel Review Meeting
•Zoom Web Based Video Conference
•May 5, 2021 at 3pm
•Attended by Commission, City, OPC,
BB&K, and Property Owner
Representatives
8
Staff Recommendations:
THE COMMISSION ADOPT A RESOLUTION OF NECESSITY BASED ON
THE FOLLOWING FINDINGS:
1.The public interest and necessity require the proposed project;
2.The project is planned or located in a manner that will be most compatible
with the greatest public good and the least private injury;
3.The real property to be acquired is necessary for the project; and
4.The offer of just compensation has been made to the property owner.
9
QUESTIONS
10
AGENDA ITEM 7
PUBLIC HEARING
Agenda Item 7
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM:
Budget and Implementation Committee
Michele Cisneros, Deputy Director of Finance
Theresia Trevino, Chief Financial Officer
THROUGH: Anne Mayer, Executive Director
SUBJECT: Proposed Budget for Fiscal Year 2021/22
BUDGET AND IMPLEMENTATION COMMITTEE AND STAFF RECOMMENDATION:
This item is for the Commission to:
1) Discuss, review, and provide guidance on the proposed Fiscal Year 2021/22 Budget;
2) Open the public hearing in order to receive input and comments on the proposed
FY 2021/22 Budget on May 12 and June 9, 2021, and thereafter close the public hearing;
and
3) Approve an increase in the FY 2020/21 budget for revenues and expenditures for
$250,000 related to regional conservation right of way consultant costs.
BACKGROUND INFORMATION:
Staff completed the initial budget preparation process and the attached executive summary for
the proposed FY 2021/22 Budget. The policy goals and objectives approved by the Commission
on March 10 were the basis for this budget. The long-term policy goals that support the
Commission’s objectives considered during the preparation of the budget relate to promoting
quality of life; achieving operational excellence; connecting the economy; being a responsible
partner; and maintaining fiscal accountability.
At the meeting, staff will present highlights of significant items included in the budget and seeks
review of and input on the proposed FY 2021/22 Budget. Additionally, staff recommends opening
of the public hearing on May 12. As a result of input received from the public and the Commission
and any final staff revisions to budget amounts, staff will make the necessary changes to the
budget document for the Commission’s final review, closing of the public hearing, and adoption
at its June 9 Commission meeting. Should there be any revisions to budget amounts after the
May 12 Commission meeting, staff will provide a detailed reconciliation of such revisions.
14
Agenda Item 7
DISCUSSION:
The Commission’s budget is primarily project-driven, although the express lanes operations are
service-driven. As a project-driven agency, the Commission accumulates funds, or reserves, for
specific projects and programs – resulting in flexibility to adjust project development or programs
especially in times of economic downturns. The proposed FY 2021/22 Budget anticipates that
total uses will exceed total sources by approximately $143 million. Similar to prior years, the
accumulated reserves, which include bond proceeds issued in FY 2017/18, will fund the
deficiency. In the executive summary, Tables 18-20 provide a summary of budgeted sources and
uses from different perspectives (comparative, operating and capital, and fund).
Since the Commission is project-driven, personnel costs represents 1 percent of budgeted
expenditures. Budgeted personnel costs reflect a 4 percent pool for performance merit-based
salary increases and annual salary range adjustments.
With this budget, the Commission will continue to move forward current capital projects to
construction, thereby providing a stimulus for the local economy. Significant capital projects
include:
• Construction on the 60 Truck Lanes in the Badlands, 71/91 Connector in Corona,
91 Corridor Operations Project, Mid County Parkway’s (MCP) first project at
I-215/Placentia Avenue interchange in Perris, and Pachappa Underpass on SR-91 in
downtown Riverside;
• Design-build activities on the 15/91 Express Lanes Connector in Corona and completion
of the I-15 Express Lanes Project in northwestern Riverside County; and
• Preliminary engineering, final design, and/or right of way acquisition on the I-15 Express
Lanes Project-Southern Extension, I-15 Express Lanes Corridor Operations Project,
71/91 Connector, and MCP’s second construction project.
Other major capital project expenditures include pass-through funding for Measure A local
streets and roads, the other SB 132 projects in northwestern Riverside County, Western County
TUMF and Measure A regional arterial projects, and several commuter rail station upgrades and
improvements. Table 21 in the executive summary presents a summary of highway, regional
arterial, rail, and regional conservation program projects.
A public hearing to allow for public comment on the proposed budget is required prior to the
adoption of the proposed budget, including the proposed salary schedule. Accordingly, staff
recommends the Commission opens the public hearing on May 12, continues the public hearing
to June 9 followed by adoption of the proposed FY 2021/22 Budget. In accordance with the
Commission’s fiscal policies, the budget must be adopted no later than June 15 of each year.
A summary of the proposed FY 2021/22 Budget is as follows:
15
Agenda Item 7
FY 2021/22 Budget
Revenues and other financing sources:
Sales taxes-Measure A and Local Transportation Funds $ 295,000,000
Reimbursements (federal, state, and other) 338,753,900
Transportation Uniform Mitigation Funds, including reimbursements 11,000,000
State Transit Assistance 23,862,200
Tolls, penalties, and fees 65,123,700
Other revenues 657,300
Interest on investments 860,000
Debt proceeds 674,497,000
Transfers in 196,240,000
Total revenues and other financing sources 1,605,994,100
Expenditures and other financing uses:
Personnel salaries and fringe benefits 15,005,000
Professional services 19,265,800
Support services 16,957,000
Projects and operations 765,682,900
Capital outlay 6,359,700
Debt service (principal, interest, and payment to escrow agent) 729,093,600
Transfers out 196,240,000
Total expenditures and other financing uses 1,748,604,000
Excess (deficiency) of revenues and other financing sources over
(under) expenditures and other financing uses
(142,609,900)
Beginning fund balance (projected) 1,000,974,600
Ending fund balance (projected) $ 858,364,700
The proposed FY 2021/22 also assumes that the refinancing of the 91 Express Lanes toll revenue
bonds and Transportation Infrastructure Finance and Innovation Act loan, originally approved at
the March 2020 Commission meeting, will be completed. Amounts related to the refinancing are
included in debt proceeds and debt service expenditures. Staff anticipates bringing an update
on the refinancing and revised legal documents for Commission approval in the first half of FY
2021/22.
FY 2020/21 Budget Adjustment
In connection with the compilation of the FY 2021/22 Budget, staff determined that projected
FY 2020/21 revenues and expenditures for the regional conservation program exceeded the
budget amounts approved by the Commission in November 2020 in connection with approval of
the Implementation and Management Services Agreement between the Commission and the
Western Riverside County Regional Conservation Authority (RCA). Subsequent to the effective
16
Agenda Item 7
date of the agreement, the Commission’s right of way staff immediately assumed responsibility
for the RCA’s habitat acquisition program and began incurring costs through utilization of
Commission right of way consultant contracts. Accordingly, staff recommends that the
Commission approve an adjustment to increase the FY 2020/21 budget for reimbursement
revenues and expenditures for $250,000 related to regional conservation right of way consultant
costs.
FISCAL IMPACT:
Financial Information
In Fiscal Year Budget: No Year: FY 2020/21 Amount: $250,000
Source of Funds: RCA reimbursements Budget Adjustment: Yes
GL/Project Accounting No.: r22001 81403 00000 0000 750 68 81402 $250,000 expenditures
r22001 000 41608 750 68 41204 $250,000 revenues
Fiscal Procedures Approved: Date: 04/14/2021
Attachment: Draft Proposed FY 2021/22 Budget Executive Summary
Approved by the Budget and Implementation Committee on April 26, 2021
In Favor: 11 Abstain: 0 No: 0
17
Executive Summary
Introduction
The budget for FY 2021/22 is presented to the Board of Commissioners (Board) and the citizens of
Riverside County. The budget outlines the projects and programs the Commission plans to undertake
during the year and appropriates expenditures to accomplish these tasks. The budget also shows the
funding sources and fund balances for these projects and programs. This document serves as the
Commission’s monetary guideline for the fiscal year. To provide the reader a better understanding of
the projects and programs, staff included descriptive information regarding each department and
major programs and projects.
In early March 2020, the federal government as well as the California Governor issued emergency
declarations related to the COVID-19 pandemic. Further, on March 19, 2020, the Governor issued an
executive stay at home order to protect the health and well-being of all Californians and to establish
consistency across the State to slow the spread of COVID-19. The County of Riverside also issued a
directive to county residents supporting the Governor’s executive order. Over the past year, the
restrictions have been modified in response to the changing nature of the pandemic. The end of the
COVID-19 pandemic appears to be in sight with vaccine distributions becoming widely available, more
Californians returning to work or leisure activities with modified stay at home orders, and financial relief
to families and businesses most impacted by the pandemic.
COVID-19 and the related government health orders have negatively impacted the local, regional,
state, and federal economies; the magnitude and duration of these impacts remain uncertain. This
budget is presented based on the best available economic information. The Board and staff will
continuously monitor, assess, and adjust the budgeted revenue and expenditures as necessary
throughout the crisis and duration of economic recovery.
Policy Goals and Objectives
As approved at its March 10, 2021 meeting, the Commission is driven by four core mission statements
and underlying goals for the people of Riverside County and the transportation system upon which they
rely:
QUALITY OF LIFE
RCTC is focused on improving life for the people of Riverside County and empowering them to live
life at their pace.
Choice RCTC empowers the residents of Riverside County to choose how to get safely
to where they are going.
Environmental
Stewardship
RCTC protects and preserves the County’s environment for its residents.
Mobility RCTC provides access, equity, and choice in transportation; RCTC is a mobility
partner.
Equity
RCTC supports transportation services and projects that equitably benefit all
residents, including those in rural, low income, and disadvantaged
communities.
Access
RCTC projects and programs are the connection to employment, housing,
schools, community institutions, parks, medical facilities, and shopping in the
region.
Goods Movement
RCTC facilitates the funding and delivery of projects that mitigate the impact
of increased goods movement flow through Riverside County and advocates
for a reasonable balance between the need to create jobs and to protect
public health.
18
OPERATIONAL EXCELLENCE
RCTC is a responsible and conservative steward of taxpayer dollars.
State of Good Repair RCTC invests in road safety and maintenance in its residents’ neighborhoods.
Promises Fulfilled Projects are completed on-time, on-budget; RCTC delivers on its promises as a
steward of Riverside County residents’ investment.
Efficiency RCTC operates in an efficient and cost-effective manner.
Innovation Program and project delivery innovations drive results, savings, and greater
economic opportunities for Riverside County residents.
Information RCTC operations are transparent and easily accessible; customers get prompt,
reliable, quality service.
CONNECTING THE ECONOMY
RCTC is a driver of economic growth in Riverside County.
Workforce Mobility
RCTC improves the economy by creating a robust workforce to workplace
system; RCTC fosters workforce development by improving transportation
access to major employment and education centers.
Population Growth
Since 1976, RCTC has been responsible for connecting the County’s economy
as the County’s population has quadrupled from 550,000 to over 2.4 million
today. RCTC is sensitive to each geographic area’s unique needs.
Economic Impact
RCTC has invested over $4.3 billion in the County’s economy thanks to Measure
A and toll revenues, which has a multiplier impact in terms of jobs and
economic opportunity throughout Riverside County.
RESPONSIBLE PARTNER
RCTC partners with local, regional, and state governments to deliver road and transit projects.
Streets and Roads RCTC has invested over $1 billion in local priorities for maintaining streets and
roads and fixing potholes.
Transit
RCTC partners with other transit operators to provide residents mobility
choices, flexibility, intercity and intercounty connectivity, and access—
especially during a post-pandemic recovery.
Active Transportation
Facilities
RCTC continually improves its stations for better bicycle and pedestrian access
and partners with agencies within the County to promote active
transportation alternatives, including the building of regional trails and bicycle
and pedestrian facilities in accordance with local general master and active
transportation plans.
Grants RCTC is a steward of state and federal grants to leverage Measure A dollars
and improve our communities.
Local Measure A Value RCTC invests Measure A dollars into projects and programs that benefit local
communities throughout the County.
Staff used these core mission statements and goals to prepare this budget and develop the following
short-term objectives to guide further the development of the FY 2021/22 budget.
Capital Project Development and Delivery
Continue preliminary engineering, design, right of way acquisition, and/or construction of projects
included in the Western County Highway Delivery Plan.
Continue operations planning and design of projects led by other agencies.
As lead agency for partner agency projects, continue construction of the I-15/Railroad Canyon
Interchange project and commence preliminary engineering of the I-10/Highland Springs Avenue
Interchange project.
Consider opportunities to implement technology-based strategies, or Smart Freeway projects, to
manage traffic, reduce congestion and pollution, increase safety, and improve the quality of
commutes.
19
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�� M a i n t a i n a d m i n i s t r a t i v e p r o g r a m d e l i v e r y c o s t s b e l o w t h e p o l i c y t h r e s h o l d o f 4 % o f M e a s u r e A
r e v e n u e s ; t h e F Y 2 0 2 1 / 2 2 M a n a g e m e n t S e r v i c e s b u d g e t i s 2 . 0 0 % o f M e a s u r e A r e v e n u e s .
�� M a i n t a i n a d m i n i s t r a t i v e s a l a r i e s a n d b e n e f i t s a t l e s s t h a n 1 % o f M e a s u r e A r e v e n u e s ; t h e F Y 2 0 2 1 / 2 2
a d m i n i s t r a t i v e s a l a r i e s a n d b e n e f i t s i s 0 . 7 1 % o f M e a s u r e A r e v e n u e s .
�� M a i n t a i n p r u d e n t c a s h r e s e r v e s t o p r o v i d e s o m e l e v e l o f i n s u l a t i o n f o r u n p l a n n e d e x p e n d i t u r e s .
�� M a i n t a i n c u r r e n t s t r o n g b o n d r a t i n g s w i t h r a t i n g a g e n c i e s .
�� E s t a b l i s h a n d m a i n t a i n r e v e n u e s a n d r e s e r v e s g e n e r a t e d f r o m t o l l o p e r a t i o n s t o b e a v a i l a b l e f o r
d e b t s e r v i c e i n a c c o r d a n c e w i t h t o l l s u p p o r t e d d e b t a g r e e m e n t s ; m a i n t e n a n c e , r e p a i r ,
r e h a b i l i t a t i o n , a d m i n i s t r a t i o n a n d o p e r a t i o n s ; a n d c a p i t a l p r o j e c t s w i t h i n t h e c o r r i d o r .
L i n k i n g C o m m i s s i o n a n d D e p a r t m e n t a l M i s s i o n S t a t e m e n t s
T h e f o l l o w i n g m a t r i x ( T a b l e 1 ) i l l u s t r a t e s t h e l i n k a g e o f t h e C o m m i s s i o n s c o r e m i s s i o n s t a t e m e n t s
d e s c r i b e d i n t h i s s e c t i o n t o t h e i n d i v i d u a l d e p a r t m e n t a l m i s s i o n s t a t e m e n t s i n c l u d e d i n e a c h
d e p a r t m e n t s s e c t i o n .
2 0
Table 1 – Relationship between Commission and Departmental Mission Statements
Department Quality
of Life
Operational
Excellence
Connecting
the Economy
Responsible
Partner
Management Services
Executive Management X X X X
Administration X
External Affairs X X X
Finance X
Regional Programs
Planning and Programming X X X X
Rail Maintenance and Operations X X X X
Public and Specialized Transit X X X X
Commuter Assistance X X X X
Motorist Assistance X X X X
Regional Conservation X X X X
Capital Project Development and Delivery X X X X
Toll Operations X X X X
Budget Overview
Total sources (Table 2) are budgeted at $1,605,994,100, an increase of 108% over FY 2020/21 projected
sources and 83% increase over the FY 2020/21 budget. Total sources are comprised of revenues of
$735,257,100, transfers in of $196,240,000, and debt proceeds of $674,497,000. The projected fund
balance at June 30, 2021 available for expenditures/expenses (excluding amounts restricted for debt
service of $11,681,500 and advances receivable of $19,384,700) is $969,908,400. Accordingly, total
funding available for the FY 2021/22 budget totals $2,575,902,500.
Table 2 – Sources FY 2020-2022
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Measure A Sales Tax 195,036,300$ 195,000,000$ 195,000,000$ 195,000,000$ -$ 0%
LTF Sales Tax 100,283,600 100,000,000 100,000,000 100,000,000 - 0%
STA Sales Tax 27,796,500 28,915,700 19,015,100 23,862,200 (5,053,500) -17%
Intergovernmental 147,620,000 273,315,400 227,107,700 338,753,900 65,438,500 24%
TUMF Revenue 23,257,900 15,500,000 11,000,000 11,000,000 (4,500,000) -29%
Tolls, Penalties, and Fees 56,434,000 31,718,600 44,545,700 65,123,700 33,405,100 105%
Other Revenue 566,600 549,100 582,400 657,300 108,200 20%
Investment Income 18,491,600 3,545,500 6,462,500 860,000 (2,685,500) -76%
Transfers In 146,618,000 179,922,600 152,650,800 196,240,000 16,317,400 9%
Debt Proceeds 111,301,900 47,371,900 15,661,000 674,497,000 627,125,100 1324%
TOTAL Sources 827,406,400$ 875,838,800$ 772,025,200$ 1,605,994,100$ 730,155,300$ 83%
Riverside County has specific competitive advantages over nearby coastal counties (Los Angeles,
Orange, and San Diego), including housing that is more available and affordable as well as plentiful
commercial real estate and land available for development at lower costs. Prior to the COVID-19
pandemic in early 2020, Riverside County’s economy benefitted from employment gains due to the
County’s ability to attract businesses with lower commercial rents and a skilled labor force. Population
migration to the Inland Empire (i.e., Riverside and San Bernardino counties) occurred due to these
employment opportunities and a lower cost of living compared to the coastal counties. Improvements
in the local labor market and housing advantages had increased economic activity contributing to
stable sales tax revenue growth through FY 2018/19 as noted on Chart 3. Following the onset of the
pandemic, the local unemployment rate increased while sales tax revenues declined 3% less than
anticipated in FY 2019/20. During FY 2020/21, the local unemployment rate has declined and sales tax
revenues have been better than anticipated. The strong sales tax revenues performance is attributable
to the diversified economic taxable sales base in the County.
21
Chart 3 – Sources: Five-Year Trend
$0
$100,000,000
$200,000,000
$300,000,000
$400,000,000
$500,000,000
$600,000,000
$700,000,000
$800,000,000
FY 17/18 FY 18/19 FY 19/20 FY 20/21 FY 21/22
Measure A Sales Tax
LTF Sales Tax
STA Sales Tax
TUMF
Federal, State, Local Revenues
Toll Revenue
Transfers In
Debt Proceeds
Regardless of the current and future economic conditions, the Commission faces formidable ongoing
challenges in terms of providing needed infrastructure enhancements to support a population and an
economy that has outgrown the capacity of its existing infrastructure. Fortunately, the foundation of the
regional economy continues to retain many of the fundamental positive attributes that fueled its earlier
growth, including more affordable real estate with proximity to coastal communities, a large pool of
skilled workers, and increasing wealth and education levels.
While the Commission’s primary revenues are the Measure A and Local Transportation Fund (LTF) sales
taxes, other revenues and financing sources are required to fund the Commission’s programs and
projects as illustrated in Chart 4. The Commission receives Measure A and LTF sales tax revenues from
the California Department of Tax and Fee Administration (CDTFA), as statutorily created and authorized
successor to the former California State Board of Equalization.
Chart 4 – Sources: Major Categories
Measure A Sales Tax 12%
LTF Sales Tax 6%
STA Sales Tax2%
Intergovernmental 21%
TUMF Revenue1%
Tolls, Penalties, and Fees4%Investment Income0%Transfers In 12%
Debt Proceeds42%
After considering the state of the local economy due to COVID-19, staff projects Measure A sales tax
revenues of $195,000,000 for FY 2021/22. This is no change from the FY 2020/21 revised projection of
$195,000,000. Generally the Commission reassesses its sales tax revenue projections at midyear based
on the economy and revenue trends; however, the Commission anticipates more frequent reviews
throughout FY 2021/22 as the post COVID-19 impacts become known.
22
On behalf of the County, the Commission administers the LTF for public transportation needs, local
streets and roads, and bicycle and pedestrian facilities. The majority of LTF funding received by the
County and available for allocation is distributed to all public transit operators in the County. The
Commission receives allocations for administration, planning, and programming in addition to funding
for Western County rail operations included in the commuter rail Short Range Transit Plan (SRTP). LTF sales
tax revenue is budgeted at $100,000,000, no change from the FY 2020/21 revised projection.
A statewide sales tax on motor vehicle diesel fuel generates State Transit Assistance (STA) funds, which
the State Controller allocates by formula to the Commission for allocations to the County’s public transit
operators. SB 1 provides additional STA revenues, including State of Good Repair (SGR) funds for transit
maintenance, rehabilitation, and capital projects. The FY 2021/22 STA/SGR allocations, based on recent
State estimates, is $23,862,200.
Intergovernmental revenues include reimbursement revenues from federal sources of $107,431,400,
state sources of $210,931,000, and local agencies of $20,391,500 for highway and rail capital projects,
rail operations and station maintenance, commuter assistance, and motorist assistance programs as
well as planning and programming activities. The increase of 24% in FY 2021/22 compared to the FY
2020/21 budget is related to increases in federal and state agency reimbursements offset by a decrease
in local reimbursements. SB 132 provides state funding for the 15/91 Express Lanes Connector and pass-
through funding to the County for the Hamner Bridge widening and to the County and city of Corona
for grade separation projects. Other state reimbursements will fund the SR-60 Truck Lanes, 71/91
Connector, Mid County Parkway (MCP) I-215/Placentia Avenue Interchange, I-15/Railroad Canyon
Interchange, and station rehabilitation projects. Federal reimbursements provide funding for the I-15
Express LanesSouthern Extension, SR-91 Corridor Operations Project (91 COP), SR-60 Truck Lanes, 71/91
Connector, Pachappa Underpass, MCP second construction package, and station rehabilitation
projects. In connection with the Coronavirus Aid, Relief, and Economic Security (CARES) Act, the
Commission anticipates that less than 2% of federal revenues will primarily support commuter rail stations
and the commuter assistance program. Reimbursement revenues vary from year to year depending on
project activities and funding levels.
Based on an amended Memorandum of Understanding (MOU) with the Western Riverside Council of
Governments (WRCOG), the Commission receives 45.7% of TUMF revenues (as updated by the most
recent Nexus study). TUMF represents fees assessed on new residential and commercial development
in Western County. The Commission projects FY 2021/22 TUMF fees at $11,000,000. The 29% decrease is
related to additional TUMF zone reimbursements in the prior year for the Lake Elsinore I-15/Railroad
Canyon Interchange project.
FY 2020/21 marked the fourth complete fiscal year of toll operations for the RCTC 91 Express Lanes
following substantial completion of the 91 Project in March 2017. Since opening and through February
2020, the RCTC 91 Express Lanes traffic and toll revenues surpassed initial 2013 financing assumptions
and an updated Riverside County 91 Express Lanes Extension Investment Grade Traffic and Revenue
Study approved by the Commission in December 2018. As a result of COVID-19 stay at home orders,
traffic and related revenues on the RCTC 91 Express Lanes declined below the 2018 updated study;
however, traffic and related revenues have improved through February 2021 with traffic levels
approximately 26% and revenues 41% lower than the same period through February 2020. Based on the
anticipated impacts of post COVID-19 on the RCTC 91 Express Lanes, the Commission conservatively
estimates FY 2021/22 toll revenues, penalties and fees of $41,551,900 — a 47% increase from the FY
2020/21 projected revenues of $28,205,000.
FY 2020/21 marked the initial year of toll operations for the 15 Express Lanes following substantial
completion of the I-15 Express Lanes Project and opening of the 15 Express Lanes in April 2021. For FY
2021/22, the Commission projects $23,571,800 in toll revenues, penalties and fees for the 15 Express
Lanes.
23
Other revenue of $657,300 includes property management generated from properties acquired in
connection with various highway and rail properties.
The Commission anticipates a 76% decrease in FY 2021/22 investment income due to extremely
conservative investment yield projections resulting from lower interest rates in FY 2020/21. The FY 2021/22
budget projects investment income at a 0.10% investment yield, compared to at least 0.50% in recent
prior year budgets.
Transfers in of $196,240,000 relate primarily to the transfer of available debt proceeds for highway
projects; LTF funding for general administration, planning and programming, rail operations, and grade
separation project allocations; approved interfund allocations for specific projects and administrative
cost allocations; and debt service requirements from highway, new corridors, and regional arterial
funds. Debt proceeds consist of $6,919,000 in drawdowns from the federal Transportation Infrastructure
Finance and Innovation Act (TIFIA) Loan related to the I-15 Express Lanes Project and $667,578,000 in
senior lien and second lien toll revenue refunding bonds (2020 Refunding Bonds) from the anticipated
refinancing of the Commission’s 2013 Toll Revenue Senior Lien Current Interest Bonds and 2013 TIFIA Loan
related to the 91 Project.
Total uses (Table 3), including transfers out of $196,240,000, are budgeted at $1,748,604,000, a 79%
increase from the prior year budget amount of $979,349,700. Program expenditures and transfers out
totaling $997,087,400 represent 57% of total budgeted uses in FY 2021/22. Program costs increased by
13% from $880,658,200 in FY 2020/21 due to projects and programs identified below.
Table 3 – Uses FY 2020-2022
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Capital Highway, Rail, and Regional Arterials 422,079,000$ 586,548,100$ 408,752,400$ 633,370,100$ 46,822,000$ 8%
Capital Local Streets and Roads 58,983,400 59,152,100 59,152,100 59,138,400 (13,700) 0%
Commuter Assistance 3,938,600 5,333,900 3,356,500 4,785,600 (548,300) -10%
Debt Service 76,885,000 76,638,900 76,948,600 729,093,600 652,454,700 851%
Management Services 20,849,300 22,052,600 19,789,600 22,423,000 370,400 2%
Motorist Assistance 7,334,000 8,994,900 6,981,800 9,096,100 101,200 1%
Planning and Programming 8,078,200 8,202,700 5,020,000 8,121,100 (81,600) -1%
Public and Specialized Transit 124,913,900 123,932,200 74,284,200 164,063,200 40,131,000 32%
Rail Maintenance and Operations 31,015,900 51,199,500 40,245,500 42,153,100 (9,046,400) -18%
Regional Conservation - 2,050,000 2,030,300 5,570,500 3,520,500 172%
Toll Operations 16,299,800 35,244,800 25,799,100 70,789,300 35,544,500 101%
TOTAL Uses 770,377,100$ 979,349,700$ 722,360,100$ 1,748,604,000$ 769,254,300$ 79% Note: Management Services includes Executive Management, Administration, External Affairs, and Finance.
Capital highway, rail, and regional arterials budgeted uses of $633,370,100 are 8% higher compared to
the FY 2020/21 budget due to project activity on the I-15 Corridor Operations Project (15 COP), 15/91
Express Lanes Connector, County Hamner Bridge widening, County and city of Corona grade
separation projects, MCP second construction package, 71/91 Connector, SR-60 Truck Lanes, and
completion and close-out activities on the I-15 Express Lanes Project and 91 Project.
Local streets and roads expenditures of $59,138,400 is comparative to the FY 2020/21 budget and
represent the disbursements of 2009 Measure A to local jurisdictions for the construction, repair, and
maintenance of local streets and roads.
Commuter assistance budgeted expenditures of $4,785,600 are 10% lower than the FY 2020/21 budget
due to a decline in projected vanpools and restructuring of rideshare/vanpool platforms.
Debt service of $729,093,600 includes the refinancing of the 91 Project toll debt with proceeds from the
2020 Refunding Bonds. The Commission approved and budgeted for the refinancing in March 2020;
24
however, the Commission postponed the refinancing to FY 2021/22 due to market disruptions caused
by COVID-19.
Management services expenditures of $22,423,000 increased 2% due to four new positions approved
by the Commission in November 2020. The positions were necessary for workload management and
continuance of service levels specifically for the Finance and External Affairs departments in connection
with the Commission serving as the management agency for the Western Riverside County Regional
Conservation Authority (RCA) effective January 1, 2021. Expenditures include information technology
equipment upgrades, communication and engagement efforts, financial advisory services, and debt
service contribution.
Motorist assistance expenditures of $9,096,100 increased 1% due to transfers out for SAFE matching funds
to Freeway Service Patrol (FSP) and commuter assistance special projects.
Planning and programming budgeted expenditures of $8,121,100 reflect a 1% decrease and is
comparable to the FY 2020/21 budget.
Public and specialized transit budgeted expenditures of $164,063,200 are 32% higher than the FY
2020/21budget. With the increased federal funds available to help respond to COVID-19, operating
subsidy expenditures for public transit decreased in the previous year.
The rail maintenance and operations budgeted expenditures of $42,153,100 are 18% lower than the FY
2020/21 budget due to the inability to obtain access agreements with the host railroads for the Indio
special events train platform for the Coachella Valley-San Gorgonio Pass Corridor rail service.
Regional conservation budgeted expenditures of $5,570,500 reflect a full year serving as the managing
agency for the RCA, as FY 2020/21 includes six months after the effective date of the Implementation
and Management Services Agreement between the Commission and the RCA.
Toll operations expenses are budgeted at $70,789,300 to manage the operations, maintenance, and
capital support of the RCTC 91 Express Lanes and 15 Express Lanes and to pay interest on 91 Express
Lanes toll revenue debt. The 101% increase is due to a full year of 15 Express Lanes operations following
opening in April 2021, required repair and rehabilitation activity on the RCTC 91 Express Lanes, and
transfer of surplus toll revenues for the 15/91 Express Lanes Connector project.
Chart 5 is an illustration of total uses included in the FY 2021/22 budget by major categories.
Chart 5 – Uses: Major Categories
Capital Highway, Rail, and
Regional Arterials
36%
Capital Local Streets and
Roads
3%
Commuter Assistance
0%
Debt Service
42%
Management Services
1%
Motorist Assistance
1%
Planning and Programming
1%
Public and Specialized
Transit
9%
Rail Maintenance and
Operations
3%
Regional Conservation
0%
Toll Operations
4%
25
Commission Personnel
The Commission’s salaries and benefits total $15,005,000 for FY 2021/22. This represents an increase of
$1,859,000 or 14% over the FY 2020/21 budget of $13,146,000 (Chart 6). The increase relates primarily to
additional staff positions related to regional conservation and to maintain management services levels
for a full year, reinstating funding for previously approved positions, a 4% pool for performance merit-
based salary increases, and an annual salary range cost of living adjustment. The 18% decrease from
FY 2019/20 is due to the Commission’s one-time disbursement to fund the California Public Employees
Retirement System (CalPERS) net pension liability of $8.6 million. The Commission’s salary schedule for
FY 2021/22 is included in Appendix B and complies with Government Code §20636 “Compensation
Earnable” and California Code of Register §570.5, “Requirements for a Publicly Available Pay
Schedule.”
Chart 6 – Salaries and Benefits Cost: Five-Year Comparison
$-
$2,000,000
$4,000,000
$6,000,000
$8,000,000
$10,000,000
$12,000,000
$14,000,000
$16,000,000
$18,000,000
$20,000,000
FY 17/18 FY 18/19 FY 19/20 FY 20/21 FY 21/22
The 73 full-time equivalent (FTE) positions included in the FY 2021/22 budget (Table 4) remains consistent
with the FY 2020/21 budget and reflects an increase of 23 FTE from FY 2019/20. The 23 FTEs include 15
regional conservation positions related to serving as managing agency for the RCA, four new
management services positions, and reinstatement of funding for four approved but unfilled RCTC
positions.
The Commission accomplished significant organization changes over the last year related to
management of the RCA, toll operations, and various projects requiring substantial attention at many
staff levels. Management continues to be firmly committed to the intent of the Commission’s enabling
legislation requiring a lean organization. The Commission will continue providing staff the tools needed
to ensure an efficient and productive work environment. However, small should not be viewed in an
absolute context; it is relative to the required tasks and the demands to be met.
26
Table 4 – Full-Time Equivalents by Department FY 2020—2022
FY 19/20 FY 20/21 FY 21/22
Executive Management 0.8 1.3 0.8
Administration 5.3 5.6 5.7
External Affairs 3.0 3.4 3.4
Finance 9.3 10.7 9.4
Planning and Programming 5.8 4.8 5.6
Rail Maintenance and Operations 3.5 4.4 4.4
Public and Specialized Transit 2.7 2.7 2.7
Commuter Assistance 1.5 1.8 1.7
Motorist Assistance 0.8 1.1 1.4
Regional Conservation 0.0 15.8 17.5
Capital Project Development and Delivery 13.3 17.3 13.7
Toll Operations 4.0 4.1 6.7
TOTAL 50.0 73.0 73.0
The Commission provides a comprehensive package of benefits to employees. The package includes:
health, dental, vision, life insurance, short and long-term disability, workers’ compensation, tuition
assistance, sick and vacation leave, retirement benefits in the form of participation in the CalPERS,
postretirement health care, deferred compensation, and employee assistance program. Chart 7
illustrates the compensation components.
Chart 7 – Personnel Salaries and Benefits
Salaries
69%
Retirement
19%
Health
11%
Other Fringes
1%
Department Initiatives
Staff prepared each department’s budget based on key assumptions, accomplishments in FY 2020/21,
major initiatives for FY 2021/22, and department goals and related objectives. Tables 5 through 16
present the key initiatives and summary of expenditures/expenses for each department. The
department budgets section contains detailed discussions about each department.
Executive Management
Continue project development and delivery as the key Measure A priority.
Foster growth in usage of express lanes and ensure their financial success.
Actively monitor, assess, and manage financial implications of the COVID-19 crisis.
Influence and monitor the implementation of SB 743 related to transportation impacts analysis and
mitigation as part of CEQA.
27
�� C o n t i n u e p l a n n i n g e f f o r t s t o a d v a n c e p a s s e n g e r r a i l s e r v i c e i n t h e C o a c h e l l a V a l l e y - S a n G o r g o n i o
P a s s C o r r i d o r .
�� A d v o c a t e f o r s t a t e a n d f e d e r a l i n v e s t m e n t s i n t r a n s p o r t a t i o n t o f u n d n e e d e d t r a n s p o r t a t i o n p r i o r i t i e s
i n t h e C o u n t y a n d s t i m u l a t e t h e l o c a l e c o n o m y .
�� M a i n t a i n r e g i o n a l c o o p e r a t i o n a n d c o l l a b o r a t i o n a s a s i g n i f i c a n t e f f o r t c o n s i s t e n t w i t h t h e
p h i l o s o p h y a n d m i s s i o n o f t h e C o m m i s s i o n .
�� S u p p o r t a c o m p r e h e n s i v e s o c i a l m e d i a o u t r e a c h p r o g r a m t o b u i l d a w a r e n e s s o f t h e C o m m i s s i o n
a n d i t s r o l e i n t h e c o m m u n i t y .
�� M a i n t a i n a n e f f e c t i v e m i d - s i z e d t r a n s p o r t a t i o n a g e n c y w i t h d e d i c a t e d s t a f f .
T a b l e 5 E x e c u t i v e M a n a g e m e n t
F Y 1 9 / 2 0 F Y 2 0 / 2 1 F Y 2 0 / 2 1 F Y 2 1 / 2 2 D o l l a r P e r c e n t
A c t u a l R e v i s e d B u d g e t P r o j e c t e d B u d g e t C h a n g e C h a n g e
P e r s o n n e l 6 2 8 , 3 0 0 $ 4 8 2 , 2 0 0 $ 4 8 2 , 2 0 0 $ 3 4 5 , 3 0 0 $ ( 1 3 6 , 9 0 0 ) $ - 2 8 %
P r o f e s s i o n a l 2 3 4 , 0 0 0 3 0 0 , 0 0 0 3 0 0 , 0 0 0 3 0 0 , 0 0 0 - 0 %
S u p p o r t 6 1 , 8 0 0 9 1 , 8 0 0 8 0 , 9 0 0 9 1 , 8 0 0 - 0 %
T O T A L 9 2 4 , 1 0 0 $ 8 7 4 , 0 0 0 $ 8 6 3 , 1 0 0 $ 7 3 7 , 1 0 0 $ ( 1 3 6 , 9 0 0 ) $ - 1 6 % �
A d m i n i s t r a t i o n
�� P r o v i d e h i g h q u a l i t y s u p p o r t s e r v i c e s t o t h e C o m m i s s i o n a n d t o i n t e r n a l a n d e x t e r n a l c u s t o m e r s .
�� M a i n t a i n t r a n s p a r e n c y a n d p u b l i c a c c e s s i b i l i t y t o C o m m i s s i o n b u s i n e s s d u r i n g C O V I D - 1 9 c r i s i s .
�� M a i n t a i n a n a c c u r a t e a n d e f f i c i e n t e l e c t r o n i c r e c o r d s m a n a g e m e n t s y s t e m .
�� P r o v i d e t i m e l y c o m m u n i c a t i o n s a n d h i g h q u a l i t y s u p p o r t s e r v i c e s t o C o m m i s s i o n e r s .
�� U p d a t e t e c h n o l o g y t o i m p r o v e i n t e r n a l p r o c e s s e s a n d i n t e r a c t i o n w i t h t h e p u b l i c .
�� S u p p o r t a n d d e v e l o p a m o t i v a t e d w o r k f o r c e w i t h a f r a m e w o r k o f a c t i v i t i e s a n d p r a c t i c e s t h a t
c o m p l y w i t h e m p l o y m e n t l a w s a n d r e g u l a t i o n s .
T a b l e 6 A d m i n i s t r a t i o n
F Y 1 9 / 2 0 F Y 2 0 / 2 1 F Y 2 0 / 2 1 F Y 2 1 / 2 2 D o l l a r P e r c e n t
A c t u a l R e v i s e d B u d g e t P r o j e c t e d B u d g e t C h a n g e C h a n g e
P e r s o n n e l 1 , 4 1 8 , 6 0 0 $ 7 6 7 , 6 0 0 $ 7 6 6 , 8 0 0 $ 8 8 4 , 5 0 0 $ 1 1 6 , 9 0 0 $ 1 5 %
P r o f e s s i o n a l 1 , 0 2 9 , 5 0 0 1 , 1 1 3 , 6 0 0 1 , 0 1 1 , 5 0 0 1 , 2 4 1 , 6 0 0 1 2 8 , 0 0 0 1 1 %
S u p p o r t 8 2 3 , 5 0 0 1 , 2 1 2 , 4 0 0 8 8 7 , 6 0 0 1 , 3 5 0 , 4 0 0 1 3 8 , 0 0 0 1 1 %
C a p i t a l O u t l a y 1 3 2 , 9 0 0 4 0 5 , 0 0 0 - 3 6 0 , 0 0 0 ( 4 5 , 0 0 0 ) - 1 1 %
D e b t S e r v i c e 1 5 , 8 0 0 - - - - N / A
T O T A L 3 , 4 2 0 , 3 0 0 $ 3 , 4 9 8 , 6 0 0 $ 2 , 6 6 5 , 9 0 0 $ 3 , 8 3 6 , 5 0 0 $ 3 3 7 , 9 0 0 $ 1 0 % �
�
E x t e r n a l A f f a i r s
�� D e v e l o p e f f e c t i v e p a r t n e r s h i p s w i t h t r a n s p o r t a t i o n p r o v i d e r s t o c o m m u n i c a t e a u n i f i e d m e s s a g e t o
C o n g r e s s r e g a r d i n g m o b i l i t y n e e d s .
�� A d v o c a t e o n b e h a l f o f R i v e r s i d e C o u n t y s i n t e r e s t s r e g a r d i n g t h e i m p l e m e n t a t i o n o f S B 7 4 3 a n d t h e
S t a t e s C l i m a t e A c t i o n P l a n f o r T r a n s p o r t a t i o n I n f r a s t r u c t u r e ( C A P T I ) .
�� A d v o c a t e p o s i t i o n s i n t h e S t a t e L e g i s l a t u r e a n d i n C o n g r e s s t h a t a d v a n c e t h e C o u n t y s
t r a n s p o r t a t i o n i n t e r e s t s .
�� C o n t i n u e a l e a d e r s h i p r o l e i n f o r m u l a t i n g a c o u n t y w i d e d i r e c t i o n o n f e d e r a l t r a n s p o r t a t i o n p o l i c i e s .
�� C o n d u c t a c o n c e r t e d o u t r e a c h e f f o r t t o n e w f e d e r a l a n d s t a t e r e p r e s e n t a t i v e s o n l o c a l
t r a n s p o r t a t i o n i s s u e s .
�� U s e m o d e r n t e c h n o l o g y t o s u p p o r t a r o b u s t p u b l i c c o m m u n i c a t i o n a n d e n g a g e m e n t e f f o r t
f o c u s i n g o n a c c e s s i b l e a n d t r a n s p a r e n t c o m m u n i c a t i o n o f t h e C o m m i s s i o n s p r o j e c t s a n d
p r o g r a m s .
�� B u i l d a w a r e n e s s a n d s u p p o r t f o r t h e R C A a n d t h e i m p l e m e n t a t i o n o f t h e M u l t i p l e S p e c i e s H a b i t a t
C o n s e r v a t i o n P l a n ( M S H C P ) .
2 8
Table 7 – External Affairs
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Personnel 1,255,300$ 734,600$ 729,500$ 829,200$ 94,600$ 13%
Professional 671,800 1,020,500 990,500 1,014,900 (5,600) -1%
Support 108,500 232,100 201,500 230,500 (1,600) -1%
TOTAL 2,035,600$ 1,987,200$ 1,921,500$ 2,074,600$ 87,400$ 4%
Finance
Proactively monitor, assess, manage, and minimize COVID-19 crisis financial impacts on the
Commission’s programs and projects to the maximum extent possible.
Continue appropriate uses of long- and short-term financing to advance the Commission’s 2009
Measure A projects.
Provide support to the RCTC 91 Express Lanes and 15 Express Lanes toll operations contractor back
offices to ensure the proper accounting of toll revenues and operations and maintenance costs.
Keep abreast of Governmental Accounting Standards Board technical activities affecting the
Commission’s accounting and financial reporting activities and implement new pronouncements.
Upgrade the Enterprise Resource Planning (ERP) system to benefit all staff in the management of
accounting and project information and automation of a paperless workflow system.
Manage a centralized procurements process in order to strengthen controls and ensure consistency
in the application of procurement policies and procedures and adherence to applicable laws and
regulations.
Support outreach activities to encourage disadvantaged business enterprise (DBE) and small
business enterprise (SBE) participation in various contracts.
Table 8 – Finance
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Personnel 2,569,200$ 1,686,500$ 1,672,800$ 1,676,700$ (9,800)$ -1%
Professional 1,390,700 2,416,300 1,819,000 2,217,000 (199,300) -8%
Support 359,400 669,000 678,000 933,800 264,800 40%
Capital Outlay 132,500 913,300 161,600 870,000 (43,300) -5%
Transfers Out 10,033,300 10,007,700 10,007,700 10,077,300 69,600 1%
TOTAL 14,485,100$ 15,692,800$ 14,339,100$ 15,774,800$ 82,000$ 1%
Planning and Programming
Monitor funding authority and responsibility related to the State Transportation Improvement
Program (STIP).
Ensure administration and implementation of STIP/Regional Improvement Program (RIP), Active
Transportation Program (ATP), and other funded projects consistent with California Transportation
Commission (CTC), Caltrans, and Southern California Association of Governments (SCAG) policies.
Continue to strategically program projects for all local agencies countywide into the Federal
Transportation Improvement Program (FTIP) and obligate funds in an expeditious manner for the
maximum use of all available funding, including monitoring the use of such funding to prevent from
lapsing.
Monitor all projects programmed to receive 2009 Measure A, TUMF, state, and federal funds to
ensure timely delivery and prevent funds from lapsing.
Focus on interregional concerns and maintain effective working relationships involving various multi-
county transportation issues.
Coordinate planning efforts with regional and local agencies relating to the development of
Regional Transportation Plan/Sustainable Communities Strategy (RTP/SCS) and greenhouse gas
reduction (GHG) implementation guidelines.
Administer the Bicycle and Pedestrian Facilities Program (SB 821).
29
Table 9 – Planning and Programming
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Personnel 2,479,900$ 1,028,000$ 1,010,600$ 1,333,600$ 305,600$ 30%
Professional 950,300 1,167,300 314,000 473,000 (694,300) -59%
Support 573,300 1,367,100 12,100 28,600 (1,338,500) -98%
Projects and Operations 3,149,700 3,578,900 2,621,900 5,445,200 1,866,300 52%
Transfers Out 925,000 1,061,400 1,061,400 840,700 (220,700) -21%
TOTAL 8,078,200$ 8,202,700$ 5,020,000$ 8,121,100$ (81,600)$ -1%
Rail Maintenance and Operations
As a member of the SCRRA, continue active participation in the governance and operations of the
Metrolink commuter rail system.
Continue the planning and implementation of capital improvements at the commuter rail stations
in the County, including security and rehabilitation projects and meeting parking requirements.
Continue to support and evaluate activities related to the PVL service, such as promoting ridership
especially for weekend service.
Establish the best approach to build, maintain, and operate cost effective and environmentally
sustainable facilities that meet the public’s transportation needs.
Lead the service development process and actively coordinate with all stakeholders along the
Coachella Valley-San Gorgonio Pass Corridor for intercity passenger rail service.
Advance the next generation rail feasibility study to evaluate future growth opportunities for
passenger rail in the County.
Table 10 – Rail Maintenance and Operations
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Personnel 1,347,200$ 866,700$ 866,700$ 855,600$ (11,100)$ -1%
Professional 858,600 2,530,000 1,282,900 1,972,900 (557,100) -22%
Support 2,789,400 4,021,100 2,732,300 3,630,400 (390,700) -10%
Projects and Operations 25,098,800 41,498,400 34,051,300 34,613,700 (6,884,700) -17%
Capital Outlay 167,300 528,500 405,200 180,000 (348,500) -66%
Transfers Out 754,600 1,754,800 907,100 900,500 (854,300) -49%
TOTAL 31,015,900$ 51,199,500$ 40,245,500$ 42,153,100$ (9,046,400)$ -18%
Public and Specialized Transit
Coordinate the operation of all public transportation services, especially for disadvantaged
communities and essential workers, within the County by promoting program efficiency between
transit operators.
Monitor and coordinate federal stimulus (CARES Act, Coronavirus Response and Relief
Supplemental Appropriations Act (CRRSAA), and American Rescue Plan Act of 2021 (ARPA))
allocations for COVID-19-related service impacts with transit operators.
Monitor and coordinate state and federal regulations for operating and/or capital impacts with
transit operators.
Continue public transit operator oversight and fiduciary responsibilities to ensure completion of
annual fiscal audits and state triennial performance audits in accordance with Transportation
Development Act (TDA) regulations.
Support innovative programs that provide transit assistance in hard to serve rural areas or for riders
having very special transit needs and monitor funding of these programs.
Continue long-range planning activities to ensure that anticipated revenues are in line with
projected levels of service by transit operators.
Develop a TDA manual for transit operators receiving allocations from the Commission.
Table 11 – Public and Specialized Transit
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Personnel 878,400$ 523,100$ 450,000$ 551,700$ 28,600$ 5%
Professional 287,200 579,700 326,600 1,179,700 600,000 104%
Support 45,100 91,600 67,700 115,600 24,000 26%
Projects and Operations 99,483,500 101,383,700 55,546,100 143,681,400 42,297,700 42%
Transfers Out 24,219,700 21,354,100 17,893,800 18,534,800 (2,819,300) -13%
TOTAL 124,913,900$ 123,932,200$ 74,284,200$ 164,063,200$ 40,131,000$ 32%
30
Commuter Assistance
Operate a cost-effective Transportation Demand Management (TDM) program within the County
that results in a reduction of single occupant vehicles, vehicle miles traveled, and emissions.
Transition from a locally provisioned Inland Empire-based rideshare and vanpool system to a
regional platform/database.
Maintain and grow employer partnerships through value-added services and tools for rideshare and
telework programs.
Evaluate the feasibility of expanding Commuter Assistance services and incentives to the Coachella
Valley to stimulate countywide employer and TDM participation.
Maintain the long-term partnership with San Bernardino County Transportation Authority (SBCTA) to
manage and implement a “sister” commuter assistance program for residents and employers in San
Bernardino County; release a request for proposals (RFP) for the Commission and SBCTA’s next
evolution of the region’s TDM program.
Optimize park and ride facilities to support shared-ride arrangements and facilitate transit
connections.
Table 12 – Commuter Assistance
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Personnel 638,200$ 401,700$ 401,700$ 321,800$ (79,900)$ -20%
Professional 441,900 747,700 477,400 509,200 (238,500) -32%
Support 18,900 179,700 3,500 57,900 (121,800) -68%
Projects and Operations 2,561,500 3,742,000 2,211,100 3,600,600 (141,400) -4%
Transfers Out 278,100 262,800 262,800 296,100 33,300 13%
TOTAL 3,938,600$ 5,333,900$ 3,356,500$ 4,785,600$ (548,300)$ -10%
Motorist Assistance
Maintain a high benefit-to-cost ratio related to the performance of the FSP program.
Transition from a locally provisioned IE511 system to a regional southern California 511 solution.
Implement a “mobile” call box program to supplement the existing fixed call box system and
enhance access to motorist aid call center services.
Table 13 – Motorist Assistance
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Personnel 279,300$ 207,600$ 207,600$ 224,900$ 17,300$ 8%
Professional 361,100 534,500 491,300 535,300 800 0%
Support 272,300 203,800 170,800 203,600 (200) 0%
Projects and Operations 3,726,800 5,433,000 3,856,100 5,227,000 (206,000) -4%
Transfers Out 2,694,500 2,616,000 2,256,000 2,905,300 289,300 11%
TOTAL 7,334,000$ 8,994,900$ 6,981,800$ 9,096,100$ 101,200$ 1%
Regional Conservation
Maintain commitment to protecting sensitive habitat and ensuring open space is a key component
in enhancing the quality of life for local residents.
Strengthen communications to stakeholders, members of the public, and elected officials to be
transparent about the RCA’s conservation efforts, funding, and collaboration opportunities.
Build upon relationships with local, state and federal agencies to manage lands purchased or
controlled by the RCA.
31
Table 14 – Regional Conservation
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Personnel -$ 1,500,000$ 1,500,000$ 3,337,700$ 1,837,700$ 123%
Professional - 86,200 72,500 243,900 157,700 183%
Support - 7,800 7,800 60,300 52,500 673%
Projects and Operations - 256,000 250,000 500,000 244,000 95%
Transfers Out - 200,000 200,000 1,428,600 1,228,600 614%
TOTAL -$ 2,050,000$ 2,030,300$ 5,570,500$ 3,520,500$ 172%
Capital Project Development and Delivery
Continue project work on the 91 COP, I-15 Express LanesSouthern Extension, 15/91 Express Lanes
Connector, 15 COP, I-215/Placentia Avenue Interchange improvement, 71/91 Connector, SR-60
Truck Lanes, and MCP and Smart Freeway projects included in the Western County Delivery Plan as
well as projects on behalf of other agencies, including the I-15/Railroad Canyon Interchange, I-
10/Highland Springs Road Interchange, and Santa Ana River Trail.
Continue design and operations planning of the 241/91 Express Lanes Connector and I-15 Express
LanesNorthern Extension led by other agencies.
Provide 2009 Measure A funding to the incorporated cities and the County for local streets and
roads maintenance, repair, and construction and to the Coachella Valley Association of
Governments (CVAG) for highways and regional arterials.
Provide TUMF regional arterial funding and support to local jurisdictions for regional arterial project
engineering, right of way acquisition, and construction.
Maintain a right of way acquisition and management program in support of capital projects and in
the most cost effective manner within project schedules, while adhering to federal and state
regulations.
Maintain and manage the access, use, safety, and security of Commission-owned properties
including commuter rail stations, properties in acquisition process, and income-generating
properties.
Develop strategies to implement alternative financing structures including public express lanes.
Table 15 – Capital Project Development and Delivery
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Personnel 5,909,500$ 3,584,000$ 3,583,200$ 3,094,800$ (489,200)$ -14%
Professional 2,842,600 4,303,700 2,574,800 4,586,300 282,600 7%
Support 526,100 2,457,900 2,140,000 1,478,600 (979,300) -40%
Projects and Operations 363,630,200 489,901,600 337,042,300 537,510,500 47,608,900 10%
Capital Outlay 3,364,700 3,927,500 3,642,500 4,769,700 842,200 21%
Debt Service 69,749,300 69,519,000 69,828,700 70,037,700 518,700 1%
Transfers Out 104,789,300 141,525,500 118,921,700 141,068,600 (456,900) 0%
TOTAL 550,811,700$ 715,219,200$ 537,733,200$ 762,546,200$ 47,327,000$ 7%
Toll Operations
Manage the operations of the RCTC 91 Express Lanes and 15 Express Lanes adhering to the
Commission’s Express Lanes toll policies.
Manage toll operations using investment grade traffic and revenue studies and cost estimate
assumptions specific to each express lane facility.
Provide timely and effective reporting of toll operation metrics including revenue, transactions,
carpool usage, and performance indicators.
Support the design-build activities related to the 15/91 Express Lanes Connector and the design and
development led by other agencies related to the 241/91 Express Lanes Connector and I-15 Express
Lanes Northern Extension.
Participate in the California Toll Operators Committee (CTOC) to advance regional and statewide
tolling initiatives, technology, interoperability, and coordination among California toll agencies.
32
Table 16 – Toll Operations
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Personnel 786,200$ 1,364,000$ 1,364,000$ 1,549,200$ 185,200$ 14%
Professional 1,341,700 6,072,900 3,084,300 4,992,000 (1,080,900) -18%
Support and Maintenance 3,321,300 5,576,100 3,462,700 8,775,500 3,199,400 57%
Projects and Operations 7,509,800 20,783,200 16,744,500 35,104,500 14,321,300 69%
Capital Outlay 417,300 308,300 3,300 180,000 (128,300) -42%
Debt Service 7,119,900 7,119,900 7,119,900 659,055,900 651,936,000 9157%
Transfers Out 2,923,500 1,140,300 1,140,300 20,188,100 19,047,800 1670%
TOTAL 23,419,700$ 42,364,700$ 32,919,000$ 729,845,200$ 687,480,500$ 1623%
Fund Balances
The projected total fund balance as of June 30, 2021 is $1,000,974,600. The Commission expects the FY
2021/22 budgeted activities to result in an $142,609,900 decrease of total fund balance at June 30, 2022
to $858,364,700. The primary cause of the decrease is project activities in FY 2021/22 related to the I-15
Express Lanes Project completion, MCP project, I-15/Railroad Canyon Interchange, close-out activity
on the 91 Project, rail station rehabilitation and maintenance, Western County Measure A and TUMF
regional arterial projects, and public transit allocations. Table 17 presents the components of the
projected fund balance by program at June 30, 2022.
Table 17 – Projected Fund Balances by Fund Type and Program at June 30, 2022
Western County Coachella Valley Palo Verde Other Total
Restricted:
Bond Financing 16,239,600$ -$ -$ -$ 16,239,600$
Commuter Assistance 16,208,900 - - - 16,208,900
Debt Service - - - 11,693,200 11,693,200
Economic Development 6,853,900 - - - 6,853,900
Highways 40,494,300 43,823,700 - 60,412,600 144,730,600
New Corridors 54,373,300 - - - 54,373,300
Planning and Programming - - - 1,610,500 1,610,500
Public and Specialized Transit 6,915,200 1,062,000 - 264,248,300 272,225,500
Rail 43,160,100 - - 9,966,200 53,126,300
CETAP - - - 26,806,100 26,806,100
Regional Arterials 58,574,500 - - 23,115,400 81,689,900
Motorist Assistance - - - 10,196,500 10,196,500
Toll Operations - - - 157,784,000 157,784,000
Assigned:
Management Services - - - 4,826,400 4,826,400
TOTAL Fund Balance 242,819,800$ 44,885,700$ -$ 570,659,200$ 858,364,700$
Measure A Sales Tax
Chart 8 illustrates the actual and projected trends in fund balances for each governmental and
enterprise fund type from FY 2018/19 through FY 2021/22.
33
Chart 8 – Projected Fund Balance Trends by Fund Type FY 2019 – 2022
$5,000,000
$105,000,000
$205,000,000
$305,000,000
$405,000,000
$505,000,000
$605,000,000
$705,000,000
$805,000,000
General Fund Special Revenue
Funds
Capital Projects
Funds
Debt Service Fund Enterprise Fund
FY 18/19
FY 19/20
FY 20/21
FY 21/22
Budget Summary
The overall budget for FY 2021/22 is presented in Table 18 by summarized line items, Table 19 by
operating and capital classifications, and Table 20 by fund type. Highway, regional arterial, rail, and
regional conservation program projects expenditures are summarized in Table 21.
34
Table 18 – Budget Comparative by Summarized Line Item FY 2020—2022
FY 19/20 FY 20/21 FY 20/21 FY 21/22 Dollar Percent
Actual Revised Budget Projected Budget Change Change
Revenues
Measure A Sales Tax 195,036,300$ 195,000,000$ 195,000,000$ 195,000,000$ -$ 0%
LTF Sales Tax 100,283,600 100,000,000 100,000,000 100,000,000 - 0%
STA Sales Tax 27,796,500 28,915,700 19,015,100 23,862,200 (5,053,500) -17%
Federal Reimbursements 34,120,400 103,535,700 71,624,500 107,431,400 3,895,700 4%
State Reimbursements 109,840,500 149,063,600 140,552,600 210,931,000 61,867,400 42%
Local Reimbursements 3,659,100 20,716,100 14,930,600 20,391,500 (324,600) -2%
TUMF Revenue 23,257,900 15,500,000 11,000,000 11,000,000 (4,500,000) -29%
Tolls, Penalties, and Fees 56,434,000 31,718,600 44,545,700 65,123,700 33,405,100 105%
Other Revenue 566,600 549,100 582,400 657,300 108,200 20%
Investment Income 18,491,600 3,545,500 6,462,500 860,000 (2,685,500) -76%
TOTAL Revenues 569,486,500 648,544,300 603,713,400 735,257,100 86,712,800 13%
Expenditures/Expenses
Personnel Salaries and Benefits 18,190,100 13,146,000 13,035,100 15,005,000 1,859,000 14%
Professional and Support
Professional Services 10,409,400 20,872,400 12,744,800 19,265,800 (1,606,600) -8%
Support Costs 8,899,600 16,110,400 10,444,900 16,957,000 846,600 5%
TOTAL Professional and Support Costs 19,309,000 36,982,800 23,189,700 36,222,800 (760,000) -2%
Projects and Operations
Program Operations 22,888,500 39,249,300 31,794,400 41,120,600 1,871,300 5%
Engineering 10,969,300 30,450,200 17,366,100 26,462,300 (3,987,900) -13%
Construction 74,650,500 206,182,700 132,862,700 266,474,600 60,291,900 29%
Design Build 143,977,800 100,615,600 60,650,100 97,959,000 (2,656,600) -3%
Right of Way/Land 52,766,300 57,738,700 32,227,600 67,546,600 9,807,900 17%
Operating and Capital Disbursements 125,896,800 138,032,200 88,120,300 174,960,400 36,928,200 27%
Special Studies 482,900 1,403,000 150,000 2,021,000 618,000 44%
Local Streets and Roads 58,983,400 59,152,100 59,152,100 59,138,400 (13,700) 0%
Regional Arterials 14,544,800 33,753,000 30,000,000 30,000,000 (3,753,000) -11%
TOTAL Projects and Operations 505,160,300 666,576,800 452,323,300 765,682,900 99,106,100 15%
Debt Service
Principal Payments 27,253,700 28,495,000 28,495,000 518,386,600 489,891,600 1719%
Interest Payments 49,631,300 48,143,900 48,453,600 60,335,600 12,191,700 25%
Cost of Issuance - - - 2,883,400 2,883,400 N/A
TOTAL Debt Service 76,885,000 76,638,900 76,948,600 581,605,600 504,966,700 659%
Capital Outlay 4,214,700 6,082,600 4,212,600 6,359,700 277,100 5%
TOTAL Expenditures/Expenses 623,759,100 799,427,100 569,709,300 1,404,876,000 605,448,900 76%
Excess (deficiency) of Revenues over
(under) Expenditures/Expenses (54,272,600) (150,882,800) 34,004,100 (669,618,900) (518,736,100) 344%
Other Financing Sources (Uses)
Transfers In 146,618,000 179,922,600 152,650,800 196,240,000 16,317,400 9%
Transfers Out (146,618,000) (179,922,600) (152,650,800) (196,240,000) (16,317,400) 9%
Debt Proceeds - - - 627,600,000 627,600,000 N/A
TIFIA Loan Proceeds 111,301,900 47,371,900 15,661,000 6,919,000 (40,452,900) -85%
Bond Premium - - - 39,978,000 39,978,000 N/A
Payment to Escrow Agent - - - (147,488,000) (147,488,000) N/A
Net Financing Sources (Uses)111,301,900 47,371,900 15,661,000 527,009,000 479,637,100 1012%
Excess (deficiency) of Revenues over
(under) Expenditures/Expenses and Other
Financing Sources (Uses)57,029,300 (103,510,900) 49,665,100 (142,609,900) (39,099,000) 38%
Beginning Fund Balance 894,280,200 951,309,500 951,309,500 1,000,974,600 49,665,100 5%
ENDING FUND BALANCE 951,309,500$ 847,798,600$ 1,000,974,600$ 858,364,700$ 10,566,100$ 1%
35
Table 19 – Operating and Capital Budget FY 2021/22
FY 21/22 FY 21/22 FY 21/22
Operating Budget Capital Budget TOTAL Budget
Revenues
Measure A Sales Tax 26,945,000$ 168,055,000$ 195,000,000$
LTF Sales Tax 100,000,000 - 100,000,000
STA Sales Tax 23,862,200 - 23,862,200
Federal Reimbursements 18,343,600 89,087,800 107,431,400
State Reimbursements 8,493,500 202,437,500 210,931,000
Local Reimbursements 8,266,500 12,125,000 20,391,500
TUMF Revenue - 11,000,000 11,000,000
Tolls, Penalties, and Fees - 65,123,700 65,123,700
Other Revenue - 657,300 657,300
Investment Income 333,500 526,500 860,000
TOTAL Revenues 186,244,300 549,012,800 735,257,100
Expenditures/Expenses
Personnel Salaries and Benefits 10,292,100 4,712,900 15,005,000
Professional and Support
Professional Services 9,667,500 9,598,300 19,265,800
Support Costs 6,702,900 10,254,100 16,957,000
TOTAL Professional and Support Costs 16,370,400 19,852,400 36,222,800
Projects and Operations
Program Operations 12,491,300 28,629,300 41,120,600
Engineering - 26,462,300 26,462,300
Construction 1,711,000 264,763,600 266,474,600
Design Build - 97,959,000 97,959,000
Right of Way and Land 6,546,100 61,000,500 67,546,600
Operating and Capital Disbursements 174,060,400 900,000 174,960,400
Special Studies 2,021,000 - 2,021,000
Local Streets and Roads - 59,138,400 59,138,400
Regional Arterials - 30,000,000 30,000,000
T OTAL Projects and Operations 196,829,800 568,853,100 765,682,900
Debt Service
Principal Payments - 518,386,600 518,386,600
Interest Payments - 60,335,600 60,335,600
Cost of Issuance - 2,883,400 2,883,400
TOTAL Debt Service - 581,605,600 581,605,600
Capital Outlay 1,410,000 4,949,700 6,359,700
TOTAL Expenditures/Expenses 224,902,300 1,179,973,700 1,404,876,000
Excess (deficiency) of Revenues over
(under) Expenditures/Expenses (38,658,000) (630,960,900) (669,618,900)
Other Financing Sources (Uses)
Transfers In 27,480,500 168,759,500 196,240,000
Transfers Out (34,983,300) (161,256,700) (196,240,000)
Debt Proceeds - 627,600,000 627,600,000
TIFIA Loan Proceeds - 6,919,000 6,919,000
Bond Premium (187,466,000) 39,978,000 (147,488,000)
Payment to Escrow Agent 187,466,000 (147,488,000) 39,978,000
Net Financing Sources (Uses)(7,502,800) 534,511,800 527,009,000
Excess (deficiency) of Revenues over
(under) Expenditures/Expenses and Other
Financing Sources (Uses)(46,160,800) (96,449,100) (142,609,900)
Beginning Fund Balance 366,148,300 634,826,300 1,000,974,600
ENDING FUND BALANCE 319,987,500$ 538,377,200$ 858,364,700$
36
Table 20 – Budget by Fund Type FY 2021/22
FY 21/22
General Fund Special Revenue Capital Projects Debt Service Enterprise TOTAL Budget
Revenues
Measure A Sales Tax -$ 195,000,000$ -$ -$ -$ 195,000,000$
LTF Sales Tax - 100,000,000 - - - 100,000,000
STA Sales Tax - 23,862,200 - - - 23,862,200
Federal Reimbursements 15,700,000 88,922,300 - 2,809,100 - 107,431,400
State Reimbursements 3,004,500 207,926,500 - - - 210,931,000
Local Reimbursements 312,300 19,238,400 - - 840,800 20,391,500
TUMF Revenue - 11,000,000 - - - 11,000,000
Tolls, Penalties, and Fees - - - - 65,123,700 65,123,700
Other Revenue - 559,300 - - 98,000 657,300
Investment Income 17,500 612,800 60,300 11,700 157,700 860,000
TOTAL Revenues 19,034,300 647,121,500 60,300 2,820,800 66,220,200 735,257,100
Expenditures/Expenses
Personnel Salaries and Benefits 5,875,300 7,580,500 - - 1,549,200 15,005,000
Professional and Support
Professional Services 5,839,500 8,434,300 - - 4,992,000 19,265,800
Support Costs 3,087,200 5,094,300 - - 8,775,500 16,957,000
TOTAL Professional and Support Costs 8,926,700 13,528,600 - - 13,767,500 36,222,800
Projects and Operations
Program Operations - 19,509,100 - - 21,611,500 41,120,600
Engineering - 26,312,300 - - 150,000 26,462,300
Construction 1,711,000 254,980,600 - - 9,783,000 266,474,600
Design Build - 94,399,000 - - 3,560,000 97,959,000
Right of Way/Land - 67,546,600 - - - 67,546,600
Operating and Capital Disbursements 30,650,000 144,310,400 - - - 174,960,400
Special Studies 2,021,000 - - - - 2,021,000
Local Streets and Roads - 59,138,400 - - - 59,138,400
Regional Arterials - 30,000,000 - - - 30,000,000
TOTAL Projects and Operations 34,382,000 696,196,400 - - 35,104,500 765,682,900
Debt Service
Principal Payments - - - 29,995,000 488,391,600 518,386,600
Interest Payments - - 443,400 39,599,300 20,292,900 60,335,600
Cost of Issuance - - - - 2,883,400 2,883,400
TOTAL Debt Service - - 443,400 69,594,300 511,567,900 581,605,600
Capital Outlay 1,230,000 4,949,700 - - 180,000 6,359,700
TOTAL Expenditures/Expenses 50,414,000 722,255,200 443,400 69,594,300 562,169,100 1,404,876,000
Excess (deficiency) of Revenues over
(under) Expenditures/Expenses (31,379,700) (75,133,700) (383,100) (66,773,500) (495,948,900) (669,618,900)
Other Financing Sources (Uses)
Transfers In 24,671,200 101,974,500 - 69,594,300 - 196,240,000
Transfers Out (1,613,300) (155,387,600) (16,241,900) (2,809,100) (20,188,100) (196,240,000)
Debt Proceeds - - - - 627,600,000 627,600,000
TIFIA Loan Proceeds - 6,919,000 - - - 6,919,000
Bond Premium - - - - 39,978,000 39,978,000
Payment to Escrow Agent - - - - (147,488,000) (147,488,000)
Net Financing Sources (Uses)23,057,900 (46,494,100) (16,241,900) 66,785,200 499,901,900 527,009,000
Excess (deficiency) of Revenues over
(under) Expenditures/Expenses and Other
Financing Sources (Uses)(8,321,800) (121,627,800) (16,625,000) 11,700 3,953,000 (142,609,900)
Beginning Fund Balance 23,356,800 735,068,300 77,037,000 11,681,500 153,831,000 1,000,974,600
ENDING FUND BALANCE 15,035,000$ 613,440,500$ 60,412,000$ 11,693,200$ 157,784,000$ 858,364,700$
37
Table 21 – Highway, Regional Arterial, Rail, and Regional Conservation Program Projects FY 2021/22
Description
HIGHWAY ENGINEERING
71/91 Connector 1,380,000$
91 Express Lanes 150,000
I-15 Express Lanes―Southern Extension 6,500,000
I-15 Corridor Operations Project 4,300,000
Mid County Parkway (MCP)155,000
MCP I-215/Placentia Avenue Interchange 211,000
MCP Sweeney mitigation 10,000
MCP construction contract package 4,000,000
Riverside County-Santa Ana River Trail (details presented in Sections 5.2 Planning and Programming and 5.3 Capital Projects)1,821,000
SR-74 corridor ― Ethanac Road 1,041,800
SR-79 realignment 125,000
SR-60 Truck Lanes 50,000
General (details presented in Section 5.3 Capital Projects)3,050,000
SUBTOTAL HIGHWAY ENGINEERING 22,793,800
REGIONAL ARTERIAL ENGINEERING
I-15/Railroad Canyon Interchange 195,500
I-10/Highland Springs Avenue Interchange 1,158,000
SUBTOTAL REGIONAL ARTERIAL ENGINEERING 1,353,500
RAIL ENGINEERING
Moreno Valley March Field station upgrade 200,000
Riverside layover facility 115,000
Riverside Downtown station track and platform 2,000,000
SUBTOTAL RAIL ENGINEERING 2,315,000
TOTAL HIGHWAY, REGIONAL ARTERIAL, AND RAIL ENGINEERING 26,462,300$
HIGHWAY CONSTRUCTION
15/91 Express Lanes Connector 4,840,000$
71/91 Connector 5,739,000
91 Corridor Operations Project 16,049,000
91 Project 1,471,000
91 Express Lanes 9,783,000
Hamner Bridge widening 26,238,500
I-15 Express Lanes 9,591,000
I-15/Limonite Interchange 10,000
Jurupa Avenue grade separation 38,000,000
MCP I-215/Placentia Avenue Interchange 22,295,600
McKinley Avenue grade separation 51,000,000
Pachappa Underpass 6,129,000
SR-60 Truck Lanes 45,000,000
General (details presented in Section 5.2 Planning and Programming)311,000
General (details presented in Section 5.3 Capital Projects)45,000
SUBTOTAL HIGHWAY CONSTRUCTION 236,502,100
REGIONAL ARTERIAL CONSTRUCTION
I-15/Railroad Canyon Interchange 12,900,000
Various Western County MARA and TUMF regional arterial projects 5,557,500
SUBTOTAL REGIONAL ARTERIAL CONSTRUCTION 18,457,500
RAIL CONSTRUCTION
Moreno Valley-March Field station upgrade 9,815,000
Riverside layover facility 300,000
Other Riverside Downtown station mobility improvements (costs and details presented in Section 5.2 Rail)1,400,000
SUBTOTAL RAIL CONSTRUCTION 11,515,000
TOTAL HIGHWAY, REGIONAL ARTERIAL, AND RAIL CONSTRUCTION 266,474,600$
38
Description
HIGHWAY DESIGN BUILD
15/91 Express Lanes Connector 85,697,000$
91 Corridor Operations Project 201,000
91 Express Lanes 3,560,000
91 Project 978,000
I-15 Express Lanes Project 7,323,000
I-15 Express Lanes - Northern Segment 200,000
TOTAL HIGHWAY DESIGN BUILD 97,959,000$
HIGHWAY RIGHT OF WAY AND LAND
60/215 East Junction high occupancy vehicle (HOV) lane connectors 5,000$
71/91 Connector 1,150,000
91 Project 12,420,000
91 Corridor Operations Project 146,000
Jurupa Avenue grade separation 2,000,000
MCP 8,300,000
MCP I-215/Placentia Avenue Interchange 28,275,000
SR-60 Truck Lanes 120,000
Pachappa Underpass 110,000
Riverside County-Santa Ana River Trail (details presented in Sections 5.2 Planning and Programming and 5.3 Capital Projects)155,000
SR-74/I-15 to 7th Street 5,000
SR-91 HOV lanes/Adams Street to 60/91/215 interchange 15,000
General (details presented in Section 5.3 Capital Projects)676,100
SUBTOTAL HIGHWAY RIGHT OF WAY AND LAND 53,377,100
REGIONAL ARTERIAL RIGHT OF WAY AND LAND
I-15/Railroad Canyon Interchange 30,000
I-10/Highland Springs Avenue Interchange 10,000
Various Western County MARA and TUMF regional arterial projects 11,045,000
SUBTOTAL REGIONAL ARTERIAL RIGHT OF WAY AND LAND 11,085,000
RAIL RIGHT OF WAY AND LAND
Riverside layover facility 2,000
Riverside Downtown station track and platform 2,400,000
Moreno Valley - March Field rail upgrades 30,000
General 152,500
SUBTOTAL RAIL RIGHT OF WAY AND LAND 2,584,500
REGIONAL CONSERVATION RIGHT OF WAY AND LAND
Regional Conservation acquisition consultant costs 500,000
TOTAL HIGHWAY, REGIONAL ARTERIAL, RAIL, AND REGIONAL CONSERVATION RIGHT OF WAY AND LAND 67,546,600$
GRAND TOTAL HIGHWAY, REGIONAL ARTERIAL, RAIL, AND REGIONAL CONSERVATION PROGRAMS 458,442,500$
39
PROPOSED BUDGET
FISCAL YEAR 2021/22
Michele Cisneros, Deputy Director of Finance
Theresia Trevino, Chief Financial Officer 1
BUDGET PROCESS
2
Budget
Development
Budget
Compilation
Budget Review
and Adoption
•Resource Estimation
•Commission Goals
•Department Goals and
Budget Development
•Analysis
•Reconciliation
•Initial: Executive summary
•Final: Budget document
FY 2021/22 BUDGET CONSIDERATIONS
3
Sales tax and TUMF revenues
•Use of Measure A and TUMF revenues for project expenditures
•Use of LTF/STA revenues for transit operations and capital needs
•Stronger than expected sales taxes during pandemic
RCTC projects and programs
•Use of accumulated reserves for projects and programs, as necessary
•Flexibility to change scope and timing of capital projects
•Significant outsourcing of engineering and operations
Financing needs and related costs
•Final TIFIA loan drawdown on the I-15 Express Lanes project
•Resume refinancing of 91 Express Lanes toll debt
BUDGET SUMMARY
4
FY 2021/22
Beginning Fund Balance (7/1/2021)1,000,974,600$
Revenues 735,257,100
Debt Proceeds 674,497,000
Transfers In 196,240,000
Total Estimated Sources 1,605,994,100
Expenditures/Expenses (823,270,400)
Debt Service (729,093,600)
Transfers Out (196,240,000)
Total Estimated Uses (1,748,604,000)
Uses Over Sources (offset by beginning fund balance)(142,609,900)
Ending Fund Balance (6/30/2022)858,364,700$
REVENUES/SOURCES BREAKDOWN
5
FY 2020/21 FY 2020/21 FY 2021/22
Revised Budget Projected Budget
Measure A Sales Tax 195,000,000$ 195,000,000$ 195,000,000$
LTF Sales Tax 100,000,000 100,000,000 100,000,000
STA Sales Tax 28,915,700 19,015,100 23,862,200
Intergovernmental 273,315,400 227,107,700 338,753,900
TUMF Revenue 15,500,000 11,000,000 11,000,000
Tolls, Penalties, and Fees 31,718,600 44,545,700 65,123,700
Other Revenue 549,100 582,400 657,300
Investment Income 3,545,500 6,462,500 860,000
Transfers In 179,922,600 152,650,800 196,240,000
Debt Proceeds 47,371,900 15,661,000 674,497,000
TOTAL Sources 875,838,800$ 772,025,200$ 1,605,994,100$
REVENUES/SOURCES COMPARISON
6
$-
$100
$200
$300
$400
$500
$600
$700
$800
Mi
l
l
i
o
n
s
FY 2020/21 Revised Budget
FY 2020/21 Projected
FY 2021/22 Budget
EXPENDITURES/EXPENSES BY DEPARTMENT
7
FY 2020/21 FY 2020/21 FY 2021/22
Revised Budget Projected Budget
Capital Highway, Rail, and Regional Arterials 586,548,100$ 408,752,400$ 633,370,100$
Capital Local Streets and Roads 59,152,100 59,152,100 59,138,400
Commuter Assistance 5,333,900 3,356,500 4,785,600
Debt Service 76,638,900 76,948,600 729,093,600
Management Services 22,052,600 19,789,600 22,423,000
Motorist Assistance 8,994,900 6,981,800 9,096,100
Planning and Programming 8,202,700 5,020,000 8,121,100
Public and Specialized Transit 123,932,200 74,284,200 164,063,200
Rail Maintenance and Operations 51,199,500 40,245,500 42,153,100
Regional Conservation 2,050,000 2,030,300 5,570,500
Toll Operations 35,244,800 25,799,100 70,789,300
TOTAL Expenditures/Expenses 979,349,700$ 722,360,100$ 1,748,604,000$
EXPENDITURES/EXPENSES COMPARISON
8
$-
$50
$100
$150
$200
$250
$300
$350
$400
$450
$500
$550
$600
$650
$700
$750
Mi
l
l
i
o
n
s
FY 2020/21 Revised Budget
FY 2020/21 Projected
FY 2021/22 Budget
CAPITAL DEVELOPMENT AND DELIVERY DEPARTMENT HIGHLIGHTS
9
15/91 Express Lanes Connector
I-15 Express Lanes
91 Corridor Operations Project
91 Project close out
Mid County Parkway
60 Truck Lanes
EXPENDITURES/EXPENSES BY FUNCTION
10
FY 2020/21 FY 2020/21 FY 2021/22 Percent
Revised Budget Projected Budget Change
Salaries and Benefits 13,146,000$ 13,035,100$ 15,005,000$ 14%
Professional Services 20,872,400 12,744,800 19,265,800 -8%
Support Costs 16,110,400 10,444,900 16,957,000 5%
Projects and Operations 666,576,800 452,323,300 765,682,900 15%
Debt Service 76,638,900 76,948,600 729,093,600 851%
Capital Outlay 6,082,600 4,212,600 6,359,700 5%
TOTAL Expenditures/Expenses 799,427,100$ 569,709,300$ 1,552,364,000$ 94%
*Excludes transfers out
EXPENDITURES/EXPENSES BY FUNCTION COMPARISON
11
$-
$100
$200
$300
$400
$500
$600
$700
$800
Salaries and Benefits Professional Services Support Costs Projects and
Operations
Debt Service Capital Outlay
Mil
l
i
o
n
s
*Excludes transfers out
FY 2020/21 Revised Budget
FY 2020/21 Projected
FY 2021/22 Budget
NEXT STEPS
12
Close public hearing and adopt budget June 9, 2021
Review the final budget draft, close the public hearing, and adopt the final budget
Open public hearing May 12, 2021
Receive input on the proposed budget and open the public hearing
Continue monitoring revenues and costs
Measure A administrative salaries and benefits
Funding needs for projects and transit operations
Sales Tax and TUMF revenue trends
Timeliness of federal and state reimbursements
AGENDA ITEM 8A
MINUTES
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
MEETING MINUTES
Wednesday, April 14, 2021
1. CALL TO ORDER
The Riverside County Transportation Commission was called to order by Chair Jan Harnik at
9:33 a.m., via Zoom Meeting ID 820 6201 2974. Pursuant to Governor Newsom’s Executive
Order N-29-20.
2. ROLL CALL
Commissioners/Alternates Present Commissioners Absent
Ben J. Benoit Bob Magee David Happe
Brian Berkson Scott Matas Wes Speake
Chuck Conder Lisa Middleton
Joseph DeConinck Linda Molina
Waymond Fermon Diane Morales
Kathleen Fitzpatrick V. Manuel Perez
Raymond Gregory Matt Rahn
Yxstain Gutierrez Dana Reed
Jan Harnik Karen Spiegel
Steven Hernandez Jeremy Smith
Jeff Hewitt Michael M. Vargas
Ted Hoffman Scott Vinton
Kevin Jeffries Chuck Washington
Linda Krupa Ted Weill
Alonso Ledezma Lloyd White
Clint Lorimore Bill Zimmerman
3. PLEDGE OF ALLEGIANCE
Commissioner Ted Hoffman led the Commission in a flag salute.
4. PUBLIC COMMENTS
There were no requests to speak from the public.
5. ADDITIONS / REVISIONS
There were no additions or revisions to the agenda.
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April 14, 2021
Page 2
6. CONSENT CALENDAR
M/S/C (Benoit/Weill) to approve the following Consent Calendar items.
Due to technical difficulties, there was no confirmation of Commissioners Joey
DeConinck’s and Chuck Conder’s vote.
6A. APPROVAL OF MINUTES – MARCH 10, 2021
6B. QUARTERLY FINANCIAL STATEMENTS
Receive and file the Quarterly Financial Statements for the six months ended
December 31, 2020.
6C. POLICY FOR IMPLEMENTATION OF SOLAR POWER SYSTEMS AT COMMISSION-
OWNED PROPERTIES
1) Adopt a policy regarding the selection and installation of solar power
systems at Commission-owned properties; and
2) Adopt Resolution No. 21-003, “Resolution of the Riverside County
Transportation Commission Regarding the Policy for Implementation of
Solar Power Systems at Commission-Owned Properties”.
6D. ACTIVE TRANSPORTATION PROGRAM CYCLE 5 – RIVERSIDE COUNTY PROJECT
RECOMMENDATIONS FOR METROPOLITAN PLANNING ORGANIZATION
REGIONAL PROGRAM
1) Approve the Riverside County Active Transportation Program (ATP)
projects for inclusion in the Metropolitan Planning Organization (MPO)
ATP Regional Program Cycle 5 consisting of the highest scoring projects in
the total amount of $11,305,000;
2) Authorize staff to adjust the ATP award request to include Riverside
County – Public Health’s Safe Routes for All – Hemet Project to maximize
available funds in Riverside County;
3) Submit the list of recommended and contingency projects to the Southern
California Association of Governments (SCAG) for inclusion in the MPO ATP
Regional Program and subsequent submittal to the California
Transportation Commission (CTC) for final approval in June 2021;
4) Authorize staff to request state-only ATP funds for all projects, which all
have cleared and completed state environmental clearance;
5) Submit the MPO ATP regional projects to SCAG for programming in the
Federal Transportation Improvement Program (FTIP);
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Riverside County Transportation Commission Meeting Minutes
April 14, 2021
Page 3
6) Direct staff to coordinate with the MPO ATP Regional Program project
sponsors regarding timely funding allocations, obligations, and project
delivery; and
7) Prioritize Coachella Valley Association of Governments (CVAG)’s Coachella
Valley Arts and Music Line project for any future supplemental ATP Cycle
5 funding.
6E. AMENDMENT TO CITY OF CORONA’S FISCAL YEAR 2020/21 SHORT RANGE
TRANSIT PLAN
1) Approve a $200,000 increase in the FY 2020/21 Local Transportation Fund
(LTF) funding allocation for the city of Corona (City); and
2) Amend the City’s Fiscal Year 2020/21 Short Range Transit Plan (SRTP) to
increase the LTF operating allocation in the amount of $200,000 for
operating expenses.
6F. AMENDMENT TO AGREEMENT WITH CITY OF LAKE ELSINORE FOR ENHANCED
LANDSCAPING AND AESTHETICS TO ADD GRINDING AND PAVING OF GRAPE
STREET FOR THE INTERSTATE 15/RAILROAD CANYON ROAD INTERCHANGE
IMPROVEMENTS PROJECT
1) Approve Agreement No. 19-31-031-01, Amendment No. 1 to Agreement
No. 19-31-031-00, with the city of Lake Elsinore (City) to add grinding and
paving for Grape Street for the Interstate 15/Railroad Canyon Road
Interchange Improvements Project (Project) for an additional City
contribution of $339,801, for a total City contribution not to exceed
$1,094,801; and
2) Authorize the Chair or Executive Director, pursuant to legal counsel
review, to execute the agreement on behalf of the Commission.
7. STATE AND FEDERAL LEGISLATIVE UPDATE
David Knudsen, Interim External Affairs Director, provided an update for the state and
federal legislative activities.
In response to Commissioner Hoffman’s question about voting on this item, Chair Harnik
replied if there is a reason to take the recommendations separately the Commission can
do that, or Commissioners can take the recommendations together as long as everyone
concurred.
At this time, Commissioner Gutierrez left the meeting.
M/S/C (Gregory/Perez) to:
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April 14, 2021
Page 4
1) Receive and file an update on state and federal legislation;
2) Adopt the following bill positions:
a) AB 1499 (Daly) – Support; and
b) SB 623 (Newman) – Support.
8. STATE ROUTE 60 TRUCK LANES PROJECT UPDATE
Cheryl Donahue, Public Affairs Manager, presented the State Route 60 Truck Lanes
Project update, highlighting the following:
• Project highlights and construction progress
• A drone video played of what the Project looks like now
• Wildlife crossings, project challenges/slope stability, traffic control, pothole
repair, contract change orders, public outreach, and stay connected
Commissioner Brian Berkson requested a copy of the drone video. He stated to the new
Commissioners that do not have the full history of the construction project and in
watching that video it did not show justice to the actual construction efforts.
Commissioner Berkson explained he drives through there a few times per month and he
has been watching the progress; it is a huge project with a massive amount of dirt being
moved. He noted one of the biggest issues RCTC had with this project was the westbound
SR-60 lane that was shut down for six months. Commissioner Berkson expressed RCTC
staff worked hard to make sure the dividers were in the median in case of emergencies,
when they had to move traffic one way or the other, and the California Highway Patrol
had to be out there all day for emergencies. Also, an access road was built for emergency
vehicles off to the shoulder and there were a lot of different things that went into this
that are unknown to most people. He expressed appreciation to staff for dealing with
this project in the way they have and getting it to where it is at, it is much better and the
curves will be wider. The truck lanes have always been a pinch point for that area of
Riverside County, and he expressed looking forward to the completion.
In response to Commissioner Jeff Hewitt’s question about the two potholes that just
showed up if those were in the existing or temporary asphalt, Bryce Johnston, Capital
Projects Manager, replied the pothole issues are mostly in the existing pavement that was
there when the project began. He explained the pothole that developed in the eastbound
this week was in a transition area where the traffic was heading eastbound, which was on
the westbound roadbed that was transitioning back to the original pavement. He
discussed the second issue with the potholing when they had to put traffic further to the
north to do temporary paving there was a lot of water run off coming off the slopes that
created some unstable subgrade. Mr. Johnston stated while there was some potholing on
temporary pavement, all their permanent pavement is in very good condition and there
was none of these issues.
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Commissioner Hewitt noted Captain Alvarez with CHP was transferred and he is in the
Governor’s office and acts as the liaison with the State Senate, so his skills are being used
quite well in the Capitol.
In response to Commissioner Kathleen Fitzpatrick when is the estimated date of
completion, Cheryl Donahue replied the summer of 2022.
In response to Commissioner Scott Vinton’s inquiry in terms of the wildlife crossings that
there is one crossing, but two structures because they are going over the east to west
direction, Bryce Johnston replied that is incorrect. There are two separate wildlife
crossings that expand the entire width of the corridor.
At this time, Commissioner Perez left the meeting.
Commissioner Steven Hernandez expressed appreciation for the progress that has been
going on from the residents in the Coachella Valley going into Riverside weekly. He stated
while the construction is being seen there was a lot of folks that were part of the effort
previously, especially former Supervisor Marion Ashley who did a lot to ensure the dollars
got there and even lit up the median strip after a couple of different car crashes and it is
great to be at this phase. He expressed appreciation to Anne Mayer and staff for their
efforts on this project.
Chair Harnik stated there have been important conversations about change orders and
watching that video reminds them when there are the surprises of potholes and boulders,
which is why those change orders occur and it is great that RCTC emphasizes to
Commissioners the information regarding the change orders and the things that causes
the change orders.
M/S/C to receive an oral report on the State Route 60 Truck Lanes project.
9. ITEM(S) PULLED FROM CONSENT CALENDAR FOR DISCUSSION
There were no items pulled from the Consent Calendar.
10. COMMISSIONERS/EXECUTIVE DIRECTOR’S REPORT
10A. Anne Mayer noted to Commissioner Hernandez about bringing up the work that
went into getting the SR-60 Truck Lanes Project ready, it reminded her about the
Annual Commission Workshop when Marlin Feenstra, Project Delivery Director,
and Syed Raza, Caltrans District 8, made a big presentation about why the SR-60
Project needed to be a joint priority, which was over 10 years ago. She expressed
to see the progress and to have it come to fruition is important.
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Anne Mayer stated the I-15 Express Lanes were opened the morning of April 10
and it was done as RCTC usually does - without a lot of fanfare. On April 10 as the
road had opened, she thought about it and how 20 years ago the Commissioners
developed Measure A with a lane in each direction on I-15. In 2006 it was clear
that was not going to be enough and RCTC was tasked to find something different.
She stated they came up with a strategy of express lanes from SR-60 to Lake
Elsinore and then the recession hit and in 2010 the Commission had to re-
collaborate and cut the project in half. Eleven years after that re-collaboration it
is open and she expressed it is exciting to look at the fact that despite financial ups
and downs this Commission has been able to keep projects going and they did
what they promised, which is as soon as the SR-91 was done, they rolled right into
I-15. I-15 opened last weekend, this weekend the 15/91 Express Lanes Connector
Project starts construction, once that one is done RCTC is going north on I-15 with
San Bernardino County Transportation Authority, the I-15 COP will be next, and
then they are working on the section in environmental phase down to Lake
Elsinore. Anne Mayer expressed gratitude to the Commission for their leadership
and consistent support. This Commission has invested over $2 billion in an express
lane network that can not only make a difference for commuters, but also for
those who post COVID they get people back to riding the CommuterLink buses so
they can provide people with options because traffic on the eastbound direction
is higher than pre-COVID volumes so there is much work to do still. She also
recognized and congratulated the RCTC team, consultants, and contractors that
delivered the I-15 Project as she is proud of the work that was done. She stated
not only are the I-15 Express Lanes open they also saved over $20 million in
contingency on this project. For the next month RCTC will monitor the corridor
closely looking at the ingress and egress areas, it will take the algorithm with the
dynamic pricing about a month or two to get enough data to start building its
dynamic pricing mechanisms. In the meantime, the toll rates are being monitored
daily and they will be adjusted as necessary.
At this time, Commissioner Perez rejoined the meeting.
11. CLOSED SESSION
11A. CONFERENCE WITH REAL PROPERTY NEGOTIATORS
Pursuant to Government Code Section 54956.8
Agency Negotiator: Executive Director or Designee
Item Property
Description
Property Owner Buyer(s)
1 439-070-018 RCTC Arnie Veldkamp
2 439-070-065 RCTC Morgan McComas
3 117-111-005 RCTC Julian Bloch
4 229-082-010 and -006 RCTC Kingsfield Development
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Riverside County Transportation Commission Meeting Minutes
April 14, 2021
Page 7
11B. CONFERENCE WITH LEGAL COUNSEL: EXISTING LITIGATION
Pursuant to Government Code Section 54956.9 (d)(1)
Case No(s). RIC1616789
There were no announcements from the closed session.
12. ADJOURNMENT
There being no further business for consideration by the Riverside County Transportation
Commission, Chair Harnik adjourned the meeting at 10:35 a.m. The next Commission
meeting is scheduled to be held at 9:30 a.m., Wednesday, May 12, 2021, via Zoom.
Respectfully submitted,
Lisa Mobley
Clerk of the Board
46
AGENDA ITEM 8B
Agenda Item 8B
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM:
Budget and Implementation Committee
Alicia Johnson, Senior Procurement Analyst
Jose Mendoza, Procurement Manager
THROUGH: Anne Mayer, Executive Director
SUBJECT: Single Signature Authority Report
BUDGET AND IMPLEMENTATION COMMITTEE AND STAFF RECOMMENDATION:
This item is for the Commission to receive and file the Single Signature Authority report for the
third quarter ended March 31, 2021.
BACKGROUND INFORMATION:
Certain contracts are executed under single signature authority as permitted in the Commission’s
Procurement Policy Manual adopted in March 2021. The Executive Director is authorized to sign
services contracts that are less than $250,000 individually and in an aggregate amount not to
exceed $2 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 third quarter ended
March 31, 2021, under the single signature authority granted to the Executive Director. The
unused capacity of single signature authority for services at March 31, 2021 is
$1,843,975.
Attachment: Single Signature Authority Report as of March 31, 2021
Approved by the Budget and Implementation Committee on April 26, 2021
In Favor: 11 Abstain: 0 No: 0
47
CONTRACT #
CONSULTANT DESCRIPTION OF SERVICES ORIGINAL CONTRACT
AMOUNT PAID AMOUNT REMAINING
CONTRACT AMOUNT
AMOUNT AVAILABLE July 1, 2020
$2,000,000.00
18-33-123-00 Los Angeles Engineering La Sierra Station Expansion Project 3,497.49 3,497.49 0.00
PO 2806 Dispensing Technology Corp.Bituminous Applicator for Interstate 15 Express Lanes 38,045.74 38,045.74 0.00
21-31-002-00 California Highway Patrol Construction Zone Enhancement Program (COZEEP) for Interstate 215
Pachappa Project 49,982.00 1,484.00 48,498.00
21-31-023-00 HGN Corona Partners Parking agreement for SR-91 Corridor Operations Project 13,500.00 4,500.00 9,000.00
21-19-041-00 Eadie + Payne Accounting assistance and documenting accounting policies 51,000.00 0.00 51,000.00
AMOUNT USED 156,025.23
156,025.23
$1,843,974.77
None N/A $- $- $-
Jose Mendoza Theresia Trevino
Prepared by Reviewed by
AMOUNT USED
SINGLE SIGNATURE AUTHORITY
AS OF March 31, 2021
Note: Shaded area represents new contracts listed in the third quarter.
AMOUNT REMAINING through March 31, 2021
Agreements that fall under Public Utilities Code 130323 (C)
V:\2021\05 May\B&I\6B.A1.AJ.SingleSignQ3
48
AGENDA ITEM 8C
Agenda Item 8C
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM: Budget and Implementation Committee
Theresia Trevino, Chief Financial Officer
THROUGH: Anne Mayer, Executive Director
SUBJECT: Agreements for Audit and Attestation Services
BUDGET AND IMPLEMENTATION COMMITTEE AND STAFF RECOMMENDATION:
This item is for the Commission to:
1) Award the following agreements to provide audit and attestation services for the Western
Riverside County Measure A recipients and Transportation Development Act (TDA)
claimants of the Commission and the member agencies of the Western Riverside County
Regional Conservation Authority (RCA) for a three-year term, with three one-year options
to extend the agreements in the total aggregate amount of $1,524,661, plus a
contingency amount of $75,339, for a total aggregate amount not to exceed $1,600,000:
a) Agreement No. 21-19-034-00 to BCA Watson Rice LLP;
b) Agreement No. 21-19-035-00 to Brown Armstrong Accountancy Corporation
(Brown Armstrong);
c) Agreement No. 21-19-036-00 to Conrad LLP; and
d) Agreement No. 21-19-037-00 to Eide Bailly LLP;
2) Award the following agreements to provide audit and attestation services for the Eastern
Riverside County Measure A Recipients and Transportation Development Act Claimants
of the Commission for a three-year term, with three one-year options to extend the
agreements in the total aggregate amount of $413,160, plus a contingency amount of
$19,840, for a total aggregate amount not to exceed $433,000:
a) Agreement No. 21-19-056-00 to Brown Armstrong; and
b) Agreement No. 21-19-057-00 to Conrad LLP;
3) Authorize the Chair or Executive Director, pursuant to legal counsel review, to finalize and
execute the agreements, including options years, on behalf of the Commission; and
4) Authorize the Executive Director or designee to approve contingency work up to the total
not to exceed amount as required for these audit and attestation services.
BACKGROUND INFORMATION:
The TDA requires annual financial and compliance audits of TDA claimants in the county receiving
allocations for bicycle and pedestrian projects and public transit, and the 2009 Measure A
requires audits of the city and county recipients of local streets and roads funds. The Commission
49
Agenda Item 8C
also obtains audits of Western County Measure A specialized transit recipients in order to
determine compliance with grant agreements. Beginning with FY 2006/07, the Commission
elected to develop specific agreed-upon procedures to be performed by the auditors in order to
more effectively evaluate whether the Measure A recipients complied with the local streets and
roads and specialized transit requirements. Such agreed-upon procedures have been periodically
revised in response to prior year findings, areas of concern, and changes in Measure A
requirements and related implementation guidance.
The Commission periodically procures multiple audit firms to perform the TDA financial and
compliance audits and the Measure A agreed-upon procedures attestation services for the TDA
claimants and Measure A recipients. This is a significant scope of work that exceeds 2,000 hours
annually, is performed at multiple locations, and results in numerous reports issued. TDA
requires reports by December 31, although a 90-day extension can be granted by the
Commission. There is no statutory Measure A reporting deadline; however, the Commission uses
the TDA deadline. In order to ensure timely completion of the required work, Commission staff
believes that the benefits of engaging multiple audit firms exceeds assigning all the work to a
single firm. Riverside Transit Agency and SunLine Transit Agency elected to procure their audits
and submit the final reports to the Commission and are not included in the scope of services for
such procurements.
In May 2016, the Commission approved the selection of BCA Watson Rice LLP and Macias Gini &
O’Connell LLP to perform audit services, including agreed-upon procedures, for the Measure A
recipients and TDA claimants in the Western County and Conrad LLP to perform similar services
in Eastern County (Coachella Valley and Palo Verde Valley) for an initial three-year term and two
additional one-year option periods. These three contracts terminate with the completion of the
FY 2019/20 services.
In January the Commission began to serve as the management agency for the RCA following
November 2020 approvals by the Commission and the RCA Board of Directors of the
implementation and management services agreement. Under this agreement, the RCA and the
Commission desired to seek efficiencies by consolidating professional services agreements as
much as possible. The RCA engaged Brown Armstrong to perform agreed-upon procedures
related to the collection and remittance of mitigation fees in accordance with each member
agency’s Multiple Species Habitat Conservation Plan (MSHCP) Fee ordinance. The member
agencies consist of the 18 Western Riverside County cities and the County of Riverside. One
option year remains under the RCA’s agreement with Brown Armstrong.
DISCUSSION:
In connection with the planning for the procurement of the Commission’s TDA audit and Measure
A attestation services, staff determined that the MSHCP attestation services should be
incorporated into the Commission’s procurement. Staff anticipates efficiencies for the
Commission and RCA related to the planning and oversight of the services as well as for the TDA
claimants, Measure A recipients, and MSHCP member agencies through assignment of services
50
Agenda Item 8C
that minimize disruptions to local jurisdictions and agencies. Due to the volume of work to be
performed and the number of reports to be issued, staff intends to assign the required services
among multiple firms to ensure the timely completion of the audits and attestation services.
Procurement Process
Staff determined the weighted factor method of source selection to be the most appropriate for
these procurements, as it allows the Commission to identify the most advantageous proposals
with price and other factors considered. Non-price factors include elements such as
qualifications of firm and personnel and understanding and approach for audit and attestation
services as set forth under the terms of Request for Proposals (RFP) No. 21-19-034-WC and RFP
No. 21-19-034-EC.
RFP No. 21-19-034-WC and RFP No. 21-19-034-EC for audit and attestation services were
released by staff on February 18, 2021. RFP No. 21-19-034-WC was for audit and attestation
services for the Western Riverside County Measure A recipients and TDA claimants of the
Commission and the member agencies of the RCA. RFP No. 21-19-034-EC was for audit and
attestation services for the Eastern Riverside County Measure A recipients and TDA claimants of
the Commission. Both RFPs were posted on the Commission’s PlanetBids website, which is
accessible through the Commission’s website. Utilizing PlanetBids, emails were sent to 335 firms
for each RFP, 47 of which are located in Riverside County. Staff responded to all questions
submitted by potential proposers for each RFP prior to the March 1 clarification deadline date.
Nine firms – BCA Watson Rice LLP (Torrance), Brown Armstrong (Bakersfield), Conrad LLP (Lake
Forest), Davis Farr LLP (Irvine), Eadie and Payne LLP (Riverside), Eide Bailly LLP (Riverside), Lance,
Soll & Lunghard LLP (Brea), Macias Gini & O’Connell LLP (Irvine), and Vasquez & Company LLP
(Glendale) – submitted responsive proposals prior to the 2:00 p.m. submittal deadline on March
18 for RFP No. 21-19-034-WC. Eight firms – BCA Watson Rice LLP (Torrance), Brown Armstrong
(Bakersfield), Conrad LLP (Lake Forest), Davis Farr LLP (Irvine), Eadie and Payne LLP (Riverside),
Lance, Soll & Lunghard LLP (Brea), Macias Gini & O’Connell LLP (Irvine), and Vasquez & Company
LLP (Glendale) – submitted responsive proposals prior to the 2:00 p.m. submittal deadline on
March 18 for RFP No. 21-19-034-EC.
Utilizing the evaluation criteria set forth in the RFPs, all firms were evaluated and scored by an
evaluation committee comprised of Commission staff. The total evaluation score rankings for
each RFP following the final evaluation are summarized below:
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Agenda Item 8C
RFP No. 21-19-034-WC
Audit Firm Total Evaluation Score Rank
Brown Armstrong 1
Eide Bailly 2
Conrad 3
BCA Watson Rice 4
Eadie and Payne 5
Vasquez & Company 6
Macias Gini O’Connell 7
Lance, Soll & Lunghard 8
Davis Farr 9
RFP No. 21-19-034-EC
Audit Firm Total Evaluation Score Rank
Conrad 1
Brown Armstrong 2
Vasquez & Company 3
BCA Watson Rice 4
Eadie and Payne 5
Macias Gini O’Connell 6
Davis Farr 7
Lance, Soll & Lunghard 8
Based on the evaluation committee’s assessment of the written proposals and pursuant to the
terms of the RFPs, the evaluation committee recommends contract awards to BCA Watson Rice
LLP, Brown Armstrong, Conrad LLP, and Eide Bailly LLP to perform audit and attestation services
for Western Riverside County for a three-year term, with three one-year options to extend the
agreements, as these firms earned the highest total evaluation scores under RFP
No. 21-19-034-WC. Additionally, the evaluation committee recommends contract awards to
Brown Armstrong and Conrad LLP to perform audit and attestation services for Eastern Riverside
County for a three-year term, with three one-year options to extend the agreements, as these
firms earned the highest total evaluation scores under RFP No. 21-19-034-EC.
Assignment of Services
Following the evaluation committee’s recommendations for award, staff assigned the required
services and determined the costs for such services based on the pricing submitted with each
proposal. The assignments by RFP and costs for the initial three-year term and three one-year
options to extend are summarized below:
52
Agenda Item 8C
RFP No.
21-19-034-WC
BCA Watson
Rice
Brown
Armstrong Conrad Eide Bailly
Banning X
Beaumont X
Calimesa X
Canyon Lake X
Corona X
Eastvale X
Hemet X
Jurupa Valley X
Lake Elsinore X
Menifee X
Moreno Valley X
Murrieta X
Norco X
Perris X
Riverside X
San Jacinto X
Temecula X
Wildomar X
County of Riverside X
Specialized Transit
recipients
(estimated 13-15)
X
Cost $373,847 $622,077 $103,760 $424,977
RFP No. 21-19-034-EC Brown Armstrong Conrad
Cathedral City X
Coachella X
Desert Hot Springs X
Indian Wells X
Indio X
La Quinta X
Palm Desert X
Palm Springs X
Rancho Mirage X
Blythe X
Palo Verde Valley Transit
Agency X
Cost $38,400 $374,760
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Agenda Item 8C
Staff provided each recommended firm with the proposed assignments and costs, as derived
from the respective firm’s written proposal submitted. Each firm accepted the assignments and
confirmed the costs.
Accordingly, staff recommends the award of the four agreements for audit and attestation
services for Western Riverside County for a three-year term, with three one-year options to
extend the agreements for a total aggregate amount not to exceed $1.6 million, including a
$75,339 contingency for additional audits or attestation services or for unforeseen additional
services. Staff also recommends the award of the two agreements for audit and attestation
services for Eastern Riverside County for a three-year term, with three one-year options to
extend the agreements for a total aggregate amount not to exceed $433,000, including a $19,840
contingency for additional audits or attestation services or for unforeseen additional services.
The total aggregate value for the six agreements is $2,033,000.
Cost Contingency Total Cost
RFP 21-19-034-WC $ 1,524,661 $ 75,339 $1,600,000
RFP 21-19-034-EC 413,160 19,840 433,000
Total $1,937,821 $ 95,179 $2,033,000
The Commission’s standard form professional services agreements will be entered into with each
firm subject to any changes approved by the Executive Director, pursuant to legal counsel review.
Staff also recommends authorization for the Chair or Executive Director to execute the
agreements, including option years, and for the Executive Director or designee to approve
contingency work as required for these audit services. Staff oversight of the contracts will be
conducted to maximize the effectiveness of the consultants and to minimize costs to the
Commission.
Financial Information
In Fiscal Year Budget: Yes
N/A Year: FY 2021/22
FY 2022/23+ Amount: $338,000
$1,695,000
Source of Funds: 2009 Measure A, Local Transportation
Funds, RCA reimbursements Budget Adjustment: No
N/A
GL/Project Accounting No.: 001001 65401 00000 0002 101 19 65401
r11001 65401 00000 0000 750 68 65401
Fiscal Procedures Approved: Date: 04/14/2021
Attachments:
1) Draft Agreement No. 21-19-034-00 to BCA Watson Rice LLP
2) Draft Agreement No. 21-19-035-00 to Brown Armstrong
3) Draft Agreement No. 21-19-036-00 to Conrad LLP
4) Draft Agreement No. 21-19-037-00 to Eide Bailly LLP
54
Agenda Item 8C
5) Draft Agreement No. 21-19-056-00 to Brown Armstrong
6) Draft Agreement No. 21-19-057-00 to Conrad LLP
Approved by the Budget and Implementation Committee on April 26, 2021
In Favor: 11 Abstain: 0 No: 0
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17336.00000\8752982.1
Agreement No. 21-19-034-00
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE WESTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND THE MEMBER AGENCIES
OF THE
WESTERN RIVERSIDE COUNTY
REGIONAL CONSERVATION AUTHORITY
WITH BCA WATSON RICE LLP
1. PARTIES AND DATE.
This Agreement is made and entered into this day of , 2021, by and
between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION ("the Co-
mmission") and BCA WATSON RICE LLP ("Consultant"), a Limited Liability Partnership.
2. RECITALS.
2.1 Consultant desires to perform and assume responsibility for the
provision of certain professional consulting services required by Commission on the terms
and conditions set forth in this Agreement. Consultant represents that it is a professional
consultant, experienced in providing audit services to public clients, is licensed in the
State of California, and is familiar with the plans of Commission.
2.2 Commission desires to engage Consultant to render certain audit
and attestation services for the Commission ("Project") as set forth herein.
3. TERMS.
3.1 General Scope of Services. Consultant promises and agrees to
furnish to Commission all labor materials, tools, equipment, services, and incidental and
customary work necessary to fully and adequately provide professional consulting
services and advice on various issues affecting the decisions of Commission regarding
the Project and on other programs and matters affecting Commission, hereinafter referred
to as "Services". The Services are more particularly described in Exhibit "A" attached
hereto and incorporated herein by reference. All Services shall be subject to, and
performed in accordance with, this Agreement, the exhibits attached hereto and
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incorporated herein by reference, and all applicable local, state, and federal laws, rules
and regulations.
3.2 Term. The term of this Agreement shall be from the date first
specified above to June 30, 2024, unless earlier terminated as provided herein. The
Commission, at its sole discretion, may extend this Agreement for three (3) additional
single year terms through June 30, 2027. Consultant shall complete the Services within
the term of this Agreement and shall meet any other established schedules and
deadlines.
3.3 Schedule of Services. Consultant shall perform the Services
expeditiously, within the term of this Agreement, and in accordance with the Audit
Schedule set forth in Exhibit "A" attached hereto and incorporated herein by reference.
Consultant represents that it has the professional and technical personnel required to
perform the Services in conformance with such conditions. In order to facilitate
Consultant's conformance with the Schedule, the Commission shall respond to
Consultant's submittals in a timely manner. Upon request of the Commission, Consultant
shall provide a more detailed schedule of anticipated performance to meet the Audit
Schedule.
3.4 Independent Contractor; Control and Payment of Subordinates. The
Services shall be performed by Consultant under its supervision. Consultant will
determine the means, method and details of performing the Services subject to the
requirements of this Agreement. Commission retains Consultant on an independent
contractor basis and Consultant is not an employee of Commission. Consultant retains
the right to perform similar or different services for others during the term of this
Agreement. Any additional personnel performing the Services under this Agreement on
behalf of Consultant shall not be employees of Commission and shall at all times be under
Consultant's exclusive direction and control. Consultant shall pay all wages, salaries, and
other amounts due such personnel in connection with their performance of Services under
this Agreement and as required by law. Consultant shall be responsible for all reports
and obligations respecting such additional personnel, including, but not limited to: social
security taxes, income tax withholding, unemployment insurance, and workers'
compensation insurance.
3.5 Conformance to Applicable Requirements. All work prepared by
Consultant shall be subject to the approval of Commission.
3.6 Substitution of Key Personnel. Consultant has represented to
Commission that certain key personnel will perform and coordinate the Services under
this Agreement. Should one or more of such personnel become unavailable, Consultant
may substitute other personnel of at least equal competence and experience upon written
approval of Commission. In the event that Commission and Consultant cannot agree as
to the substitution of key personnel, Commission shall be entitled to terminate this
Agreement for cause, pursuant to provisions of Section 3.16 of this Agreement. The key
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personnel for performance of this Agreement are as follows: Michael de Castro, Helen
Chu, Rustico Cabilin, Ihab Fakhreddine, Lisa Reason, Julie Ta, Brandon de Castro.
3.7 Commission’s Representative. Commission hereby designates the
Chief Financial Officer, or his or her designee, to act as its representative for the
performance of this Agreement ("Commission’s Representative"). Commission's
representative shall have the power to act on behalf of Commission for all purposes under
this Agreement. Consultant shall not accept direction from any person other than
Commission's Representative or his or her designee.
3.8 Consultant’s Representative. Consultant hereby designates Michael
de Castro, or his or her designee, to act as its representative for the performance of this
Agreement ("Consultant’s Representative"). Consultant’s Representative shall have full
authority to represent and act on behalf of the Consultant for all purposes under this
Agreement. The Consultant’s Representative shall supervise and direct the Services,
using his or her best skill and attention, and shall be responsible for all means, methods,
techniques, sequences and procedures and for the satisfactory coordination of all
portions of the Services under this Agreement.
3.9 Coordination of Services. Consultant agrees to work closely with
Commission staff in the performance of Services and shall be available to Commission's
staff, consultants and other staff at all reasonable times.
3.10 Standard of Care; Licenses. Consultant shall perform the Services
under this Agreement in a skillful and competent manner, consistent with the standard
generally recognized as being employed by professionals in the same discipline in the
State of California. Consultant represents and maintains that it is skilled in the
professional calling necessary to perform the Services. Consultant warrants that all
employees and subcontractors shall have sufficient skill and experience to perform the
Services assigned to them. Finally, Consultant represents that it, its employees and
subcontractors have all licenses, permits, qualifications and approvals of whatever nature
that are legally required to perform the Services and that such licenses and approvals
shall be maintained throughout the term of this Agreement. Consultant shall perform, at
its own cost and expense and without reimbursement from Commission, any Services
necessary to correct errors or omissions which are caused by the Consultant’s failure to
comply with the standard of care provided for herein, and shall be fully responsible to the
Commission for all damages and other liabilities provided for in the indemnification
provisions of this Agreement arising from the Consultant’s errors and omissions.
3.11 Laws and Regulations. Consultant shall keep itself fully informed of
and in compliance with all local, state and federal laws, rules and regulations in any
manner affecting the performance of the Project or the Services, including all Cal/OSHA
requirements, and shall give all notices required by law. Consultant shall be liable for all
violations of such laws and regulations in connection with Services. If the Consultant
performs any work knowing it to be contrary to such laws, rules and regulations and
without giving written notice to Commission, Consultant shall be solely responsible for all
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costs arising therefrom. Consultant shall defend, indemnify and hold Commission, its
officials, directors, officers, employees and agents free and harmless, pursuant to the
indemnification provisions of this Agreement, from any claim or liability arising out of any
failure or alleged failure to comply with such laws, rules or regulations.
3.12 Insurance.
3.12.1 Time for Compliance. Consultant shall not commence work
under this Agreement until it has provided evidence satisfactory to the Commission that
it has secured all insurance required under this section, in a form and with insurance
companies acceptable to the Commission. In addition, Consultant shall not allow any
subcontractor to commence work on any subcontract until it has secured all insurance
required under this section.
3.12.2 Minimum Requirements. Consultant shall, at its expense,
procure and maintain for the duration of the Agreement insurance against claims for
injuries to persons or damages to property which may arise from or in connection with the
performance of the Agreement by the Consultant, its agents, representatives, employees
or subcontractors. Consultant shall also require all of its subcontractors to procure and
maintain the same insurance for the duration of the Agreement. Such insurance shall
meet at least the following minimum levels of coverage:
(A) Minimum Scope of Insurance. Coverage shall be at
least as broad as the latest version of the following: (1) General Liability: Insurance
Services Office Commercial General Liability coverage (occurrence form CG 0001 or
exact equivalent); (2) Automobile Liability: Insurance Services Office Business Auto
Coverage (form CA 0001, code 1 (any auto) or exact equivalent); and (3) Workers’
Compensation and Employer’s Liability: Workers’ Compensation insurance as required
by the State of California and Employer’s Liability Insurance.
(B) Minimum Limits of Insurance. Consultant shall
maintain limits no less than: (1) General Liability: $2,000,000 per occurrence for bodily
injury, personal injury and property damage. If Commercial General Liability Insurance
or other form with general aggregate limit is used, either the general aggregate limit shall
apply separately to this Agreement/location or the general aggregate limit shall be twice
the required occurrence limit; (2) Automobile Liability: $1,000,000 per accident for bodily
injury and property damage; and (3) if Consultant has an employees, Workers’
Compensation and Employer’s Liability: Workers’ Compensation limits as required by the
Labor Code of the State of California. Employer’s Practices Liability limits of $1,000,000
per accident.
3.12.3 Professional Liability. Consultant shall procure and maintain,
and require its sub-consultants to procure and maintain, for a period of five (5) years
following completion of the Project, errors and omissions liability insurance appropriate to
their profession. Such insurance shall be in an amount not less than $1,000,000 per
claim. This insurance shall be endorsed to include contractual liability applicable to this
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Agreement and shall be written on a policy form coverage specifically designed to protect
against acts, errors or omissions of the Consultant. “Covered Professional Services” as
designated in the policy must specifically include work performed under this Agreement.
The policy must “pay on behalf of” the insured and must include a provision establishing
the insurer's duty to defend.
3.12.4 Insurance Endorsements. The insurance policies shall
contain the following provisions, or Consultant shall provide endorsements on forms
approved by the Commission to add the following provisions to the insurance policies:
(A) General Liability.
(i) Commercial General Liability Insurance must
include coverage for (1) bodily injury and property damage; (2) personal Injury/Advertising
injury; (3) premises/operations liability; (4) products/completed operations liability; (5)
aggregate limits that apply per project; (6) explosion, collapse and underground (UCX)
exclusion deleted; (7) contractual liability with respect to this Agreement; (8) broad form
property damage; and (9) independent consultants coverage.
(ii) The policy shall contain no endorsements or
provisions limiting coverage for (1) contractual liability; (2) cross liability exclusion for
claims or suits by one insured against another; or (3) contain any other exclusion contrary
to this Agreement.
(iii) The policy shall give the Commission, its
directors, officials, officers, employees, and agents insured status using ISO endorsement
forms 20 10 10 01 and 20 37 10 01, or endorsements providing the exact same coverage.
(iv) The additional insured coverage under the
policy shall be “primary and non-contributory” and will not seek contribution from the
Commission’s insurance or self-insurance and shall be at least as broad as CG 20 01 04
13, or endorsements providing the exact same coverage.
(B) Automobile Liability. The automobile liability policy
shall be endorsed to state that: (1) the Commission, its directors, officials, officers,
employees and agents shall be covered as additional insureds with respect to the
ownership, operation, maintenance, use, loading or unloading of any auto owned, leased,
hired or borrowed by the Consultant or for which the Consultant is responsible; and (2)
the insurance coverage shall be primary insurance as respects the Commission, its
directors, officials, officers, employees and agents, or if excess, shall stand in an
unbroken chain of coverage excess of the Consultant’s scheduled underlying coverage.
Any insurance or self-insurance maintained by the Commission, its directors, officials,
officers, employees and agents shall be excess of the Consultant’s insurance and shall
not be called upon to contribute with it in any way.
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(C) Workers’ Compensation and Employers Liability
Coverage.
(i) Consultant certifies that he/she is aware of the
provisions of Section 3700 of the California Labor Code which requires every employer
to be insured against liability for workers’ compensation or to undertake self-insurance in
accordance with the provisions of that code, and he/she will comply with such provisions
before commencing work under this Agreement.
(ii) The insurer shall agree to waive all rights of
subrogation against the Commission, its directors, officials, officers, employees and
agents for losses paid under the terms of the insurance policy which arise from work
performed by the Consultant.
(D) All Coverages.
(i) Defense costs shall be payable in addition to the
limits set forth hereunder.
(ii) Requirements of specific coverage or limits
contained in this section are not intended as a limitation on coverage, limits, or other
requirement, or a waiver of any coverage normally provided by any insurance. It shall be
a requirement under this Agreement that any available insurance proceeds broader than
or in excess of the specified minimum insurance coverage requirements and/or limits set
forth herein shall be available to the Commission, its directors, officials, officers,
employees and agents as additional insureds under said policies. Furthermore, the
requirements for coverage and limits shall be (1) the minimum coverage and limits
specified in this Agreement; or (2) the broader coverage and maximum limits of coverage
of any insurance policy or proceeds available to the named insured; whichever is greater.
(iii) The limits of insurance required in this
Agreement may be satisfied by a combination of primary and umbrella or excess
insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a
provision that such coverage shall also apply on a primary and non-contributory basis for
the benefit of the Commission (if agreed to in a written contract or agreement) before the
Commission’s own insurance or self-insurance shall be called upon to protect it as a
named insured. The umbrella/excess policy shall be provided on a “following form” basis
with coverage at least as broad as provided on the underlying policy(ies).
(iv) Consultant shall provide the Commission at
least thirty (30) days prior written notice of cancellation of any policy required by this
Agreement, except that the Consultant shall provide at least ten (10) days prior written
notice of cancellation of any such policy due to non-payment of premium. If any of the
required coverage is cancelled or expires during the term of this Agreement, the
Consultant shall deliver renewal certificate(s) including the General Liability Additional
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Insured Endorsement to the Commission at least ten (10) days prior to the effective date
of cancellation or expiration.
(v) The retroactive date (if any) of each policy is to
be no later than the effective date of this Agreement. Consultant shall maintain such
coverage continuously for a period of at least three years after the completion of the work
under this Agreement. Consultant shall purchase a one (1) year extended reporting
period A) if the retroactive date is advanced past the effective date of this Agreement; B)
if the policy is cancelled or not renewed; or C) if the policy is replaced by another claims-
made policy with a retroactive date subsequent to the effective date of this Agreement.
(vi) The foregoing requirements as to the types and
limits of insurance coverage to be maintained by Consultant, and any approval of said
insurance by the Commission, is not intended to and shall not in any manner limit or
qualify the liabilities and obligations otherwise assumed by the Consultant pursuant to
this Agreement, including but not limited to, the provisions concerning indemnification.
(vii) If at any time during the life of the Agreement,
any policy of insurance required under this Agreement does not comply with these
specifications or is canceled and not replaced, Commission has the right but not the duty
to obtain the insurance it deems necessary and any premium paid by Commission will be
promptly reimbursed by Consultant or Commission will withhold amounts sufficient to pay
premium from Consultant payments. In the alternative, Commission may cancel this
Agreement. The Commission may require the Consultant to provide complete copies of
all insurance policies in effect for the duration of the Project.
(viii) Neither the Commission nor any of its directors,
officials, officers, employees or agents shall be personally responsible for any liability
arising under or by virtue of this Agreement.
Each insurance policy required by this Agreement shall
be endorsed to state that:
3.12.5 Deductibles and Self-Insurance Retentions. Any deductibles
or self-insured retentions must be declared to and approved by the Commission. If the
Commission does not approve the deductibles or self-insured retentions as presented,
Consultant shall guarantee that, at the option of the Commission, either: (1) the insurer
shall reduce or eliminate such deductibles or self-insured retentions as respects the
Commission, its directors, officials, officers, employees and agents; or, (2) the Consultant
shall procure a bond guaranteeing payment of losses and related investigation costs,
claims and administrative and defense expenses.
3.12.6 Acceptability of Insurers. Insurance is to be placed with
insurers with a current A.M. Best’s rating no less than A:VIII, licensed to do business in
California, and satisfactory to the Commission.
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3.12.7 Verification of Coverage. Consultant shall furnish
Commission with original certificates of insurance and endorsements effecting coverage
required by this Agreement on forms satisfactory to the Commission. The certificates and
endorsements for each insurance policy shall be signed by a person authorized by that
insurer to bind coverage on its behalf. All certificates and endorsements must be received
and approved by the Commission before work commences. The Commission reserves
the right to require complete, certified copies of all required insurance policies, at any
time.
3.12.8 Subconsultant Insurance Requirements. Consultant shall not
allow any subcontractors or subconsultants to commence work on any subcontract until
they have provided evidence satisfactory to the Commission that they have secured all
insurance required under this section. Policies of commercial general liability insurance
provided by such subcontractors or subconsultants shall be endorsed to name the
Commission as an additional insured using ISO form CG 20 38 04 13 or an endorsement
providing the exact same coverage. If requested by Consultant, the Commission may
approve different scopes or minimum limits of insurance for particular subcontractors or
subconsultants.
3.13 Safety. Consultant shall execute and maintain its work so as to avoid
injury or damage to any person or property. In carrying out its Services, the Consultant
shall at all times be in compliance with all applicable local, state and federal laws, rules
and regulations, and shall exercise all necessary precautions for the safety of employees
appropriate to the nature of the work and the conditions under which the work is to be
performed. Safety precautions as applicable shall include, but shall not be limited to: (A)
adequate life protection and life saving equipment and procedures; (B) instructions in
accident prevention for all employees and subcontractors, such as safe walkways,
scaffolds, fall protection ladders, bridges, gang planks, confined space procedures,
trenching and shoring, equipment and other safety devices, equipment and wearing
apparel as are necessary or lawfully required to prevent accidents or injuries; and (C)
adequate facilities for the proper inspection and maintenance of all safety measures.
3.14 Fees and Payment.
3.14.1 Compensation. Consultant shall receive compensation,
including authorized reimbursements, for all Services rendered under this Agreement at
the rates set forth in Exhibit "B" attached hereto. The total compensation shall not exceed
Three Hundred Seventy-Three Thousand Eight Hundred Forty-Seven Dollars ($373,847)
without written approval of Commission's Executive Director (“Total Compensation”).
Extra Work may be authorized, as described below, and if authorized, will be
compensated at the rates and manner set forth in this Agreement.
3.14.2 Payment of Compensation. Consultant shall submit to
Commission a monthly statement which indicates work completed and hours of Services
rendered by Consultant. The statement shall describe the amount of Services and
supplies provided since the initial commencement date, or since the start of the
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subsequent billing periods, as appropriate, through the date of the statement.
Commission shall, within 45 days of receiving such statement, review the statement and
pay all approved charges thereon.
3.14.3 Reimbursement for Expenses. Consultant shall not be
reimbursed for any expenses unless authorized in writing by Commission.
3.14.4 Extra Work. At any time during the term of this Agreement,
Commission may request that Consultant perform Extra Work. As used herein, "Extra
Work" means any work which is determined by Commission to be necessary for the
proper completion of the Project, but which the parties did not reasonably anticipate would
be necessary at the execution of this Agreement. Consultant shall not perform, nor be
compensated for, Extra Work without written authorization from Commission's Executive
Director.
3.15 Accounting Records. Consultant shall maintain complete and
accurate records with respect to all costs and expenses incurred and fees charged under
this Agreement. All such records shall be clearly identifiable. Consultant shall allow a
representative of Commission during normal business hours to examine, audit, and make
transcripts or copies of such records and any other documents created pursuant to this
Agreement. Consultant shall allow inspection of all work, data, documents, proceedings,
and activities related to the Agreement for a period of three (3) years from the date of final
payment under this Agreement.
3.16 Termination of Agreement.
3.16.1 Grounds for Termination. Commission may, by written notice
to Consultant, terminate the whole or any part of this Agreement at any time and without
cause by giving written notice to Consultant of such termination, and specifying the
effective date thereof. Upon termination, Consultant shall be compensated only for those
services which have been fully and adequately rendered to Commission through the
effective date of the termination, and Consultant shall be entitled to no further
compensation. Consultant may not terminate this Agreement except for cause.
3.16.2 Effect of Termination. If this Agreement is terminated as
provided herein, Commission may require Consultant to provide all finished or unfinished
Documents and Data, as defined below, and other information of any kind prepared by
Consultant in connection with the performance of Services under this Agreement.
Consultant shall be required to provide such document and other information within fifteen
(15) days of the request.
3.16.3 Additional Services. In the event this Agreement is terminated
in whole or in part as provided herein, Commission may procure, upon such terms and in
such manner as it may determine appropriate, services similar to those terminated.
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3.17 Delivery of Notices. All notices permitted or required under this
Agreement shall be given to the respective parties at the following address, or at such
other address as the respective parties may provide in writing for this purpose:
CONSULTANT: COMMISSION:
BCA Watson Rice LLP Riverside County
2355 Crenshaw Blvd Transportation Commission
Suite 150 4080 Lemon Street, 3rd Floor
Torrance, CA 90501 Riverside, CA 92501
Attn: Michael de Castro Attn: Executive Director
Such notice shall be deemed made when personally delivered or when
mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid
and addressed to the party at its applicable address. Actual notice shall be deemed
adequate notice on the date actual notice occurred, regardless of the method of service.
3.18 Ownership of Materials/Confidentiality.
3.18.1 Documents & Data. This Agreement creates an exclusive and
perpetual license for Commission to copy, use, modify, reuse, or sub-license any and all
copyrights and designs embodied in plans, specifications, studies, drawings, estimates,
materials, data and other documents or works of authorship fixed in any tangible medium
of expression, including but not limited to, physical drawings or data magnetically or
otherwise recorded on computer diskettes, which are prepared or caused to be prepared
by Consultant under this Agreement (“Documents & Data”).
Consultant shall require all subcontractors to agree in writing that
Commission is granted an exclusive and perpetual license for any Documents & Data the
subcontractor prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal
right to grant the exclusive and perpetual license for all such Documents & Data.
Consultant makes no such representation and warranty in regard to Documents & Data
which were prepared by design professionals other than Consultant or provided to
Consultant by the Commission.
Commission shall not be limited in any way in its use of the
Documents & Data at any time, provided that any such use not within the purposes
intended by this Agreement shall be at Commission’s sole risk.
All programs, working papers, files and other materials of the
Consultant made pursuant to this Agreement shall remain the property of the Consultant.
The Commission will have access to this material at any time. All reports delivered by the
Consultant and its subcontractors pursuant to the Agreement shall become the property
of the Commission without restriction or limitation on their use and shall be made available
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upon request, to the Commission at any time. Original copies of the deliverable reports
shall be delivered to the Commission upon completion of the Services or termination of
the Services. The Consultant shall be permitted to retain copies of such items for the
furtherance of its technical proficiency; however, publication of this material is subject to
the written approval of the Commission.
3.18.2 Intellectual Property. In addition, Commission shall have and
retain all right, title and interest (including copyright, patent, trade secret and other
proprietary rights) in all plans, specifications, studies, drawings, estimates, materials,
data, computer programs or software and source code, enhancements, documents, and
any and all works of authorship fixed in any tangible medium or expression, including but
not limited to, physical drawings or other data magnetically or otherwise recorded on
computer media (“Intellectual Property”) prepared or developed by or on behalf of
Consultant under this Agreement as well as any other such Intellectual Property prepared
or developed by or on behalf of Consultant under this Agreement.
The Commission shall have and retain all right, title and interest in
Intellectual Property developed or modified under this Agreement whether or not paid for
wholly or in part by Commission, whether or not developed in conjunction with Consultant,
and whether or not developed by Consultant. Consultant will execute separate written
assignments of any and all rights to the above referenced Intellectual Property upon
request of Commission.
Consultant shall also be responsible to obtain in writing separate
written assignments from any subcontractors or agents of Consultant of any and all right
to the above referenced Intellectual Property. Should Consultant, either during or
following termination of this Agreement, desire to use any of the above-referenced
Intellectual Property, it shall first obtain the written approval of the Commission.
All materials and documents which were developed or prepared by
the Consultant for general use prior to the execution of this Agreement and which are not
the copyright of any other party or publicly available and any other computer applications,
shall continue to be the property of the Consultant. However, unless otherwise identified
and stated prior to execution of this Agreement, Consultant represents and warrants that
it has the right to grant the exclusive and perpetual license for all such Intellectual Property
as provided herein.
Commission further is granted by Consultant a non-exclusive and
perpetual license to copy, use, modify or sub-license any and all Intellectual Property
otherwise owned by Consultant which is the basis or foundation for any derivative,
collective, insurrectional, or supplemental work created under this Agreement.
3.18.3 Confidentiality. All ideas, memoranda, specifications, plans,
procedures, drawings, descriptions, computer program data, input record data, written
information, and other Documents and Data either created by or provided to Consultant
in connection with the performance of this Agreement shall be held confidential by
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Consultant. Such materials shall not, without the prior written consent of Commission, be
used by Consultant for any purposes other than the performance of the Services. Nor
shall such materials be disclosed to any person or entity not connected with the
performance of the Services or the Project. Nothing furnished to Consultant which is
otherwise known to Consultant or is generally known, or has become known, to the
related industry shall be deemed confidential. Consultant shall not use Commission's
name or insignia, photographs of the Project, or any publicity pertaining to the Services
or the Project in any magazine, trade paper, newspaper, television or radio production or
other similar medium without the prior written consent of Commission.
3.18.4 Infringement Indemnification. Consultant shall defend,
indemnify and hold the Commission, its directors, officials, officers, employees,
volunteers and agents free and harmless, pursuant to the indemnification provisions of
this Agreement, for any alleged infringement of any patent, copyright, trade secret, trade
name, trademark, or any other proprietary right of any person or entity in consequence of
the use on the Project by Commission of the Documents & Data, including any method,
process, product, or concept specified or depicted.
3.19 Cooperation; Further Acts. The Parties shall fully cooperate with one
another, and shall take any additional acts or sign any additional documents as may be
necessary, appropriate or convenient to attain the purposes of this Agreement.
3.20 Attorney's Fees. If either party commences an action against the
other party, either legal, administrative or otherwise, arising out of or in connection with
this Agreement, the prevailing party in such litigation shall be entitled to have and recover
from the losing party reasonable attorney's fees and costs of such actions.
3.21 Indemnification. Consultant shall defend, indemnify and hold the
Commission, its directors, officials, officers, agents, consultants, employees and
volunteers free and harmless from any and all claims, demands, causes of action, costs,
expenses, liabilities, losses, damages or injuries, in law or in equity, to property or
persons, including wrongful death, in any manner arising out of or incident to any alleged
negligent acts, omissions or willful misconduct of the Consultant, its officials, officers,
employees, agents, consultants, and contractors arising out of or in connection with the
performance of the Services, the Project or this Agreement, including without limitation,
the payment of all consequential damages, attorneys fees and other related costs and
expenses. Consultant shall defend, at Consultant’s own cost, expense and risk, any and
all such aforesaid suits, actions or other legal proceedings of every kind that may be
brought or instituted against the Commission, its directors, officials, officers, agents,
consultants, employees and volunteers. Consultant shall pay and satisfy any judgment,
award or decree that may be rendered against the Commission or its directors, officials,
officers, agents, consultants, employees and volunteers, in any such suit, action or other
legal proceeding. Consultant shall reimburse the Commission and its directors, officials,
officers, agents, consultants, employees and volunteers, for any and all legal expenses
and costs, including reasonable attorney’s fees, incurred by each of them in connection
therewith or in enforcing the indemnity herein provided. Consultant’s obligation to
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indemnity shall not be restricted to insurance proceeds, if any, received by the
Commission or its directors, officials, officers, agents, consultants, employees and
volunteers. This Section 3.21 shall survive any expiration or termination of this
Agreement.
3.22 Entire Agreement. This Agreement contains the entire Agreement
of the parties with respect to the subject matter hereof, and supersedes all prior
negotiations, understandings or agreements. This Agreement may only be
supplemented, amended, or modified by a writing signed by both parties.
3.23 Governing Law. This Agreement shall be governed by the laws of
the State of California. Venue shall be in Riverside County.
3.24 Time of Essence. Time is of the essence for each and every
provision of this Agreement.
3.25 Commission's Right to Employ Other Consultants. The Commission
reserves the right to employ other consultants in connection with this Project.
3.26 Successors and Assigns. This Agreement shall be binding on the
successors and assigns of the parties, and shall not be assigned by Consultant without
the prior written consent of Commission.
3.27 Prohibited Interests and Conflicts.
3.27.1 Solicitation. Consultant maintains and warrants that it has not
employed nor retained any company or person, other than a bona fide employee working
solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants
that it has not paid nor has it agreed to pay any company or person, other than a bona
fide employee working solely for Consultant, any fee, commission, percentage, brokerage
fee, gift or other consideration contingent upon or resulting from the award or making of
this Agreement. For breach or violation of this warranty, Commission shall have the right
to rescind this Agreement without liability.
3.27.2 Conflict of Interest. For the term of this Agreement, no
member, officer or employee of Commission, during the term of his or her service with
Commission, shall have any direct interest in this Agreement, or obtain any present or
anticipated material benefit arising therefrom.
3.27.3 Conflict of Employment. Employment by the Consultant of
personnel currently on the payroll of the Commission shall not be permitted in the
performance of this Agreement, even though such employment may occur outside of the
employee’s regular working hours or on weekends, holidays or vacation time. Further,
the employment by the Consultant of personnel who have been on the Commission
payroll within one year prior to the date of execution of this Agreement, where this
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employment is caused by and or dependent upon the Consultant securing this or related
Agreements with the Commission, is prohibited.
3.27.4 Employment Adverse to the Commission. Consultant shall
notify the Commission, and shall obtain the Commission’s written consent, prior to
accepting work to assist with or participate in a third-party lawsuit or other legal or
administrative proceeding against the Commission during the term of this Agreement.
3.28 Equal Opportunity Employment. Consultant represents that it is an
equal opportunity employer and it shall not discriminate against any employee or
applicant for employment because of race, religion, color, national origin, ancestry, sex
or age. Such non-discrimination shall include, but not be limited to, all activities related
to initial employment, upgrading, demotion, transfer, recruitment or recruitment
advertising, layoff or termination. Consultant shall also comply with all relevant provisions
of Commission's Disadvantaged Business Enterprise program, Affirmative Action Plan or
other related Commission programs or guidelines currently in effect or hereinafter
enacted.
3.29 Subcontracting. Consultant shall not subcontract any portion of the
work or Services required by this Agreement, except as expressly stated herein, without
prior written approval of the Commission. Subcontracts, if any, shall contain a provision
making them subject to all provisions stipulated in this Agreement.
3.30 Reserved.
3.31 Employment of Apprentices. This Agreement shall not prevent the
employment of properly indentured apprentices in accordance with the California Labor
Code, and no employer or labor union shall refuse to accept otherwise qualified
employees as indentured apprentices on the work performed hereunder solely on the
ground of race, creed, national origin, ancestry, color or sex. Every qualified apprentice
shall be paid the standard wage paid to apprentices under the regulations of the craft or
trade in which he or she is employed and shall be employed only in the craft or trade to
which he or she is registered.
3.32 No Waiver. Failure of Commission to insist on any one occasion
upon strict compliance with any of the terms, covenants or conditions hereof shall not be
deemed a waiver of such term, covenant or condition, nor shall any waiver or
relinquishment of any rights or powers hereunder at any one time or more times be
deemed a waiver or relinquishment of such other right or power at any other time or times.
3.33 Eight-Hour Law. Pursuant to the provisions of the California Labor
Code, eight hours of labor shall constitute a legal day's work, and the time of service of
any worker employed on the work shall be limited and restricted to eight hours during any
one calendar day, and forty hours in any one calendar week, except when payment for
overtime is made at not less than one and one-half the basic rate for all hours worked in
excess of eight hours per day ("Eight-Hour Law"), unless Consultant or the Services are
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not subject to the Eight-Hour Law. Consultant shall forfeit to Commission as a penalty,
$50.00 for each worker employed in the execution of this Agreement by him, or by any
sub-consultant under him, for each calendar day during which such workman is required
or permitted to work more than eight hours in any calendar day and forty hours in any one
calendar week without such compensation for overtime violation of the provisions of the
California Labor Code, unless Consultant or the Services are not subject to the Eight-
Hour Law.
3.34 Subpoenas or Court Orders. Should Consultant receive a subpoena
or court order related to this Agreement, the Services or the Project, Consultant shall
immediately provide written notice of the subpoena or court order to the Commission.
Consultant shall not respond to any such subpoena or court order until notice to the
Commission is provided as required herein, and shall cooperate with the Commission in
responding to the subpoena or court order.
3.35 Survival. All rights and obligations hereunder that by their nature are
to continue after any expiration or termination of this Agreement, including, but not limited
to, the indemnification and confidentiality obligations, and the obligations related to receipt
of subpoenas or court orders, shall survive any such expiration or termination.
3.36 No Third Party Beneficiaries. There are no intended third party
beneficiaries of any right or obligation assumed by the Parties.
3.37 Labor Certification. By its signature hereunder, Consultant certifies
that it is aware of the provisions of Section 3700 of the California Labor Code which
require every employer to be insured against liability for Workers’ Compensation or to
undertake self-insurance in accordance with the provisions of that Code, and agrees to
comply with such provisions before commencing the performance of the Services.
3.38 Counterparts. This Agreement may be signed in counterparts, each
of which shall constitute an original.
3.39 Incorporation of Recitals. The recitals set forth above are true and
correct and are incorporated into this Agreement as though fully set forth herein.
3.40 Invalidity; Severability. If any portion of this Agreement is declared
invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the
remaining provisions shall continue in full force and effect.
3.41 Conflicting Provisions. In the event that provisions of any attached
exhibits conflict in any way with the provisions set forth in this Agreement, the language,
terms and conditions contained in this Agreement shall control the actions and obligations
of the Parties and the interpretation of the Parties’ understanding concerning the
performance of the Services.
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3.42 Headings. Article and Section Headings, paragraph captions or
marginal headings contained in this Agreement are for convenience only and shall have
no effect in the construction or interpretation of any provision herein.
3.43 Assignment or Transfer. Consultant shall not assign, hypothecate,
or transfer, either directly or by operation of law, this Agreement or any interest herein,
without the prior written consent of the Commission. Any attempt to do so shall be null
and void, and any assignees, hypothecates or transferees shall acquire no right or interest
by reason of such attempted assignment, hypothecation or transfer.
3.44 Authority to Enter Agreement. Consultant has all requisite power and
authority to conduct its business and to execute, deliver, and perform the Agreement.
Each Party warrants that the individuals who have signed this Agreement have the legal
power, right, and authority to make this Agreement and bind each respective Party.
[SIGNATURES ON FOLLOWING PAGE]
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SIGNATURE PAGE
TO
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE WESTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND THE MEMBER AGENCIES
OF THE
WESTERN RIVERSIDE COUNTY
REGIONAL CONSERVATION AUTHORITY
WITH BCA WATSON RICE LLP
IN WITNESS WHEREOF, this Agreement was executed on the date first
written above.
RIVERSIDE COUNTY
TRANSPORTATION COMMISSION BCA WATSON RICE LLP
By: _________________________ By: ____________________________
Anne Mayer Signature
Executive Director
__________________________
Name
__________________________
Title
Approved as to Form: Attest:
By:____________________________ By: ________________________
Best Best & Krieger LLP Its: Secretary
General Counsel
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EXHIBIT "A"
STATEMENT OF SERVICES
[TO BE INSERTED BEHIND THIS PAGE]
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EXHIBIT A - 1
Statement of Services
A. General
The Riverside County Transportation Commission (RCTC), as the transportation planning agency
for Riverside County and the managing agency for the Western Riverside County Regional
Conservation Authority (RCA), is issuing this Request for Proposal in order to secure services
from a Consultant(s) of certified public accountants to perform for the fiscal years ending June
30, 2021, 2022, and 2023, with the option of performing such services for three (3) additional one-
year terms:
Financial and compliance audits of RCTC’s Transportation Development Act (TDA)
claimants for transit (including funding from Local Transportation Fund (LTF) Article 4,
State Transit Assistance (STA), State of Good Repair (SGR), Low Carbon Transit
Operations Program (LCTOP), and Proposition 1B);
Financial and compliance audits of RCTC’s TDA claimants for bicycle and pedestrian
projects (consisting of funding from LTF Article 3);
Agreed-upon procedures similar to those proposed in Appendix A, Section G, for RCTC’s
Measure A recipients of local streets and roads (LSR) funding;
Agreed-upon procedures similar to those proposed in Appendix A, Section H, for RCTC’s
Measure A recipients of specialized transit funding; and
Agreed upon procedures similar to those proposed in Appendix A, Section I, for RCA’s
Member Agencies related to the collection and remittance of mitigation fees in accordance
with each Member Agency’s Multiple Species Habitat Conservation Plan (MSHCP)
Ordinance (with amendments).
Measure A Agreed Upon Procedures
The Measure A Specialized Transit Agreed-Upon Procedures apply to Western County non-
profit and community organizations awarded funding for specialized transit services for a three-
year period through a competitive call for projects. The FY 2020/21 funding awarded at RCTC’s
April 11, 2018 meeting represents the final year of the FY 2018/19 – 2020/21 Call for Projects.
Staff expects that the awards for the FY 2021/22 – 2023/24 Call for Projects will be approved by
RCTC at the April 14, 2021 meeting, as noted in the FY 2021/22 – 2023/24 Measure A Specialized
Transit Call for Projects Guidelines presented at the January 13, 2021 RCTC meeting. FY
2024/25 – FY 2025/26 funding will be determined by the FY 2024/25 – 2026/27 Call for Projects
to be awarded in Spring 2024.
The Measure A LSR Agreed-Upon Procedures apply to all eligible cities in Riverside County
and the County of Riverside. Measure A LSR funding is allocated and disbursed monthly to the
cities and the County of Riverside, as specified in Measure A. RCTC does not currently anticipate
any incorporations or dis-incorporations of cities that would result in a change in Measure A LSR
recipients. Currently, all cities and the County of Riverside meet the eligibility requirements that
include:
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EXHIBIT A - 2
Participation in the Western County or Coachella Valley Transportation Uniform Mitigation
Fee (TUMF) Program, as applicable;
Participation in the RCA’s MSHCP, as applicable;
Annual submittal of a 5-Year Capital Improvement Plan (CIP) list of projects;
Annual Maintenance of Effort certification; and
Annual Project Status Report for the prior fiscal year CIP.
Transportation Development Act Audits
The TDA Transit audits will be performed for the municipal transit operators in the Western
County cities of Banning, Beaumont, Corona, and Riverside. TDA Transit operating and capital
allocations are approved annually by RCTC in June based on the submittal of each transit
operator’s Short-Range Transit Plan. The transit operators also may unexpended Proposition 1B
funding for capital/rehabilitation and/or security projects received through Caltrans and the
California Office of Emergency Services (CalOES), respectively.
The TDA Bicycle and Pedestrian audits apply to local jurisdictions awarded funding by RCTC
for bicycle and pedestrian projects through a biennial competitive call for projects. Local
jurisdictions generally have two years to complete projects, including those projects approved in
the FY 2019/20 Call for Projects at RCTC’s June 12, 2019 meeting. However, as per revised
guidelines approved by RCTC at its January 13, 2021 meeting effective with the FY 2021/22 Call
for Projects to be awarded at the June 9, 2021 RCTC meeting, local jurisdictions will now have
three years to complete projects. Claimants may request disbursement of their allocations by
RCTC on a reimbursement basis in accordance with RCTC’s policies. Accordingly, the TDA
Bicycle and Pedestrian audits are dependent on claims for expenditures of such funds.
MSHCP Agreed Upon Procedures
The MSHCP Agreed-Upon Procedures are required for local jurisdictions that are signatories to
the Joint Exercise of Powers Agreement forming the RCA. They include the 18 Western County
cities and the County of Riverside. The Member Agencies form the independent RCA Board of
Directors to acquire, administer, operate, and maintain land and facilities to establish habitat
reserves for the conservation and protection of species covered by the MSHCP and to implement
the MSHCP.
At its December 7, 2020 meeting, the RCA adopted the 2020 Nexus Study and increase in Local
Development Mitigation Fees (LDMF). The LDMF increase is effective in two phases. The first
phase, an increase of 50%, is effective July 1, 2021. The second phase, full implementation, is
effective January 1, 2022. Member Agencies must prepare an ordinance and resolution to be
considered and approved by the city council (Board of Supervisors in the case of the County of
Riverside) in time to implement the new fee by July 1, 2021. Final action of the city council/Board
of Supervisors must be no later than May 2, 2021 to ensure the new ordinance takes effect by
July 1, 2021 in accordance with California Government Code Section 66017. Per the
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Implementing Agreement with the cities and the County of Riverside signed, the cities and County
must adopt the ordinance, “in substantially the same form or at a minimum, containing the same
requirements as the model ordinance,” adopted by the RCA Board of Directors.
Anticipated Changes in Audit and Attestation Services
RCTC does not anticipate any change in the local jurisdictions subject to TDA Transit audit and
Measure A LSR attestation services; RCA does not anticipate any change in the local jurisdictions
subject to MSHCP attestation services. The agencies requiring Measure A Specialized Transit
and the local jurisdictions requiring TDA Bicycle and Pedestrian audits will be determined each
year based on actual disbursements.
The Chief Financial Officer is designated as the coordinator of the work and may appoint a
Finance Department staff to coordinate day-to-day oversight. The Chief Financial Officer will
serve as the liaison to the audit oversight committee designated by RCTC and the Executive
Committee designated by RCA.
The audits are to be performed by the Consultant(s) in accordance with generally accepted
auditing standards, including use of the most current version of each of the following standards
and guidelines:
American Institute of Certified Public Accountants audit and attestation standards;
General Accounting Office’s (GAO) Government Auditing Standards;
Measure A conformance requirements (Section I);
Transit requirements (Section J); and
MSHCP requirements (Section K).
B. Scope of Work to be Performed
The selected Consultant(s) will be required to perform the following tasks:
Audit of the transit and transportation financial statements of the jurisdictions receiving
TDA funds in accordance with auditing standards generally accepted in the United States
of America; the standards applicable to financial audits contained in Government Auditing
Standards, issued by the Comptroller General of the United States; the TDA as
summarized in the TDA Guidebook; and SGR, LCTOP, and Proposition 1B audit
guidelines specified by Caltrans and CalOES.
Performance of agreed-upon procedures similar to those listed in Section F solely to assist
RCTC in evaluating the applicable jurisdictions’ Measure A transportation funds and
degree of their compliance with RCTC’s requirements of the Measure A LSR program.
RCTC reserves the right to modify the agreed-upon procedures as deemed necessary to
fulfill its oversight responsibilities for the Measure A LSR program.
Performance of agreed-upon procedures similar to those listed in Section G solely to
assist RCTC in evaluating the applicable jurisdictions’/agencies’ Measure A specialized
transit funds and degree of their compliance with RCTC’s requirements of the Measure A
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specialized transit program. RCTC reserves the right to modify the agreed-upon
procedures as deemed necessary to fulfill its oversight responsibilities for the Measure A
Specialized Transit program.
Performance of agreed-upon procedures similar to those listed in Section H solely to assist
RCA in evaluating if fees are collected and remitted in accordance with each Member
Agency’s MSHCP Mitigation Fee Ordinance (with amendments). RCTC reserves the right
to modify the agreed-upon procedures as deemed necessary to fulfill its oversight
responsibilities for the MSHCP, including RCA changes to the LDMF affecting Member
Agency MSHCP Mitigation Fee Ordinances and adoption of a related resolution.
C. Deliverables
Following completion of the audits and agreed-upon procedures and a review of the draft reports
by RCTC, the Consultant(s) shall issue:
A report on the fair presentation of the financial statements for the TDA claimants in
conformity with generally accepted accounting principles and on compliance and internal
control.
A report on the agreed-upon procedures related to the Measure A recipients of LSR
funding.
A report on the agreed-upon procedures related to the Measure A recipients of specialized
transit funding.
A report on the agreed-upon procedures related to the MSHCP fee collection and
remittance.
Drafts of the reports will be provided to RCTC staff and the applicable TDA claimant, Measure A
recipient, or Member Agency. The Chief Financial Officer or designee shall review and approve
each report prior to issuance.
For each report issued to RCTC, the Consultant shall issue one PDF copy to RCTC and one PDF
to the applicable TDA claimant or Measure A recipient, as applicable.
For each report issued to RCA, the Consultant shall print three (3) copies and issue one PDF
copy to RCA.
Financial and Compliance Reports
The Consultant will submit a financial and compliance report for each TDA audit. The Consultant
will be responsible for the preparation, editing, and printing of all financial and compliance reports,
including the financial statements and notes to the financial statements. Although the Consultant
will prepare the financial statements, management of the TDA Claimant is responsible for the
financial statements.
Agreed-Upon Procedures
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The Consultant will submit a report for each Measure A recipient or Member Agency, as
applicable, listing the procedures performed, results of procedures performed, and findings, if any.
The Consultant will be responsible for preparation, editing, and printing of all agreed-upon
procedure reports.
D. Required Communications
Significant Deficiencies – In the required reports on compliance and internal controls, the
Consultant shall communicate any significant deficiencies found during the audit of the TDA
claimants. A significant deficiency shall be defined as a control deficiency, or combination of
control deficiencies, that adversely affects the entity’s ability to initiate, authorize, record, process,
or report financial data reliably in accordance with generally accepted accounting principles such
that there is more than a remote likelihood that a misstatement of the entity’s financial statements
that is more than inconsequential will not be prevented or detected by the entity’s internal control.
Significant deficiencies that are also material weaknesses shall be identified as such in the report.
Other control deficiencies discovered by the Consultant may be reported in a separate letter to
management, which shall be referred to in the reports on compliance and internal controls.
The report on compliance and internal controls shall include all material instances of
noncompliance. All nonmaterial instances of noncompliance may be reported in a separate
management letter, which shall be referred to in the report on compliance and internal controls.
Irregularities and illegal acts – The Consultant shall be required to make an immediate, written
report of all irregularities and illegal acts or indication of illegal acts of which they become aware
to the jurisdiction/agency and RCTC’s/RCA’s audit oversight committee, Executive Director, and
Chief Financial Officer.
Planning meetings – The Consultant shall meet with RCTC staff at least once a year prior to the
commencement of the audits and agreed-upon procedures.
E. Audit Schedule
The work to be performed at the jurisdictions and agencies shall be arranged by the Consultant
with the individual jurisdiction or agency after the conclusion of a planning meeting with RCTC
and RCTC’s issuance of audit notification letters to each jurisdiction and agency.
The RCTC work should be scheduled for no later than November 15 of each year. Barring
unforeseen circumstances, the Consultant must conduct the work activities and provide all
required reports and information to RCTC no later than December 31 of each year. The TDA
audits are required to be submitted to the State Controller by December 31 of each year; however,
an extension may be granted by RCTC for no more than 90 days. RCTC’s policy for Measure A
reports follows the TDA requirement; however, a formal extension is generally not issued.
RCA is required to annually certify to RCTC by June 30 that local jurisdictions participating in the
MSHCP comply with the MSHCP participation requirements to collect and remit fees in
accordance with each Member Agency’s MSHCP Ordinance (with amendments). Accordingly,
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the RCA requires all agreed-upon procedures reports to be issued by February 28 in the year
following the fiscal year for which the agreed-upon procedures are performed.
The Consultant shall keep RCTC apprised at least monthly on the status of the audits and any
issues which have been encountered. RCTC will provide assistance, to the extent necessary
and/or possible, to resolve such issues. If circumstances outside the control of the Consultant or
RCTC or the RCA arise and the deadline cannot be met, both parties agree to communicate the
circumstances and develop an action plan.
F. Measure A Proposed Local Streets and Roads Agreed-Upon Procedures (Proposed)
1. Review the 2009 Measure A (Ordinance 02-001) compliance requirements. Western
County jurisdictions are required to participate in the Transportation Uniform Mitigation
Fee (TUMF) program and in the Multi-Species Habitat Conservation Plan (MSHCP),
which are administered by the Western Riverside Council of Governments (WRCOG)
and the Western Riverside County Regional Conservation Authority (RCA),
respectively. Coachella Valley jurisdictions are required to participate in the TUMF
program administered by the Coachella Valley Association of Governments (CVAG).
Indicate participation in TUMF and/or MSHCP programs.
2. Obtain from RCTC the approved Five-Year Capital Improvement Plan (CIP) for the
fiscal year.
3. Obtain from the jurisdiction a detail general ledger and balance sheet for the fiscal
year.
a. Identify the amount of Measure A cash and investments recorded at the end of the
fiscal year. Compare amount to Measure A fund balance and provide an
explanation for any differences greater than 25% of fund balance.
b. Identify any amounts due from other funds.
c. Identify the components of ending fund balance for the Measure A activity (e.g.,
nonspendable, restricted, assigned, committed, unassigned) [and for County of
Riverside only by geographic area].
i. Identify the existence of any restatement of Measure A fund balance; inquire
of management as to the reason for any restatement and provide a summary
of the restatement items.
ii. Compare ending fund balance to total revenues for the current year and prior
two years. If ending fund balance is greater than sum of total revenues for the
three-year period, inquire of management as to the reason(s) for the
accumulation of fund balance (e.g., status of specific projects included in the
5-Year CIP).
4. Obtain an operating statement for the Measure A activity for the fiscal year, including
budget amounts; include the operating statement as an exhibit to the report.
a. Review the revenues in the operating statement.
i. Inquire of management as to what fund is used to record Measure A revenues
received from RCTC and identify what the total revenues were for the fiscal
year.
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ii. Obtain from RCTC a listing of Measure A payments to the jurisdiction.
1. Compare the Measure A sales tax revenues recorded by the jurisdiction to
the listing of payments made by RCTC. [Use gross amounts paid by RCTC]
iii. Obtain from the jurisdiction an interest allocation schedule for the fiscal year.
1. Identify the allocation amount of interest income to Measure A activity and
what the amount of interest income was for the fiscal year. If no interest
was allocated, inquire of management as to reason for not allocating
interest income.
b. Review the expenditures in the operating statement.
i. Inquire of management as to what fund is used to record Measure A
expenditures and what the total expenditures were for the fiscal year.
ii. Select expenditures for testing that comprise at least 20% of the total
expenditures.
1. For the expenditures selected for testing, compare the dollar amount listed
on the general ledger to the supporting documentation.
2. For the expenditures selected for testing, review the 5-Year CIP and note
if the project is included in the 5-Year CIP and is an allowable cost.
iii. Inquire of management as to the nature of any transfers in or out recorded in
the Measure A fund. For any transfers out, determine if nature of transfer out
was included in the 5-Year CIP.
iv. Inquire of management as to the amount of general or non-project-related
indirect costs, if any, included in expenditures. If indirect costs exceed 8% of
Measure A revenue, inquire of management as to the basis for indirect costs
charged to Measure A. If indirect costs are identified, determine if such costs
are included in the 5-Year CIP.
v. Inquire of management as to the amount of debt service expenditures recorded
in the Measure A fund and determine is such costs are included in the 5-Year
CIP.
5. Obtain from RCTC a listing of jurisdictions who participate in the Western County or
Coachella Valley TUMF programs.
a. If the jurisdiction is a participant in the TUMF program, select at least one
disbursement for validation as to the amount remitted to WRCOG or CVAG, as
applicable.
b. Indicate the total amount of TUMF fees collected and remitted during the fiscal
year.
6. Obtain from RCTC a listing of jurisdictions who participate in the Western County
MSHCP program.
a. If the jurisdiction is a participant in the MSHCP program, select at least one
disbursement for validation as to the amount remitted to RCA, as applicable.
b. Inquire of management as to the existence of any fees collected in prior years and
not remitted to RCA as of the end of the fiscal year.
c. Indicate the total amount of MSHCP fees collected and remitted during the fiscal
year.
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7. Obtain from RCTC the MOE base year requirement, including supporting detail of the
calculations for its city/County, and the carryover amount allowed as of the beginning
of the fiscal year.
a. Obtain from the city/County a calculation of its current year MOE amount in the
format similar to its base year calculation. Attach a copy of the calculation
worksheet provided by the city/County as an exhibit to the report.
b. Compare the current year MOE amounts from the General Fund to the general
ledger.
c. Review the General Fund general ledger to determine if there were any transfers
in to fund any MOE amounts.
d. Compare the amount of current year MOE expenditures to the MOE base
requirement and add any excess to, or subtract any deficiency from, the carryover
amount.
e. If the amount of discretionary funds spent is less than the MOE base requirement
(MOE deficiency), determine the amount of any prior year MOE carryover using
the information obtained from RCTC and reduce the MOE deficiency by any
available MOE carryover to determine an adjusted current year expenditure
amount.
G. Measure A Proposed Specialized Transit Agreed-Upon Procedures (Proposed)
1. Obtain specialized transit grant funding agreement from RCTC, including exhibit of
budget submitted with funding application, matching requirements, and any budget
modifications subsequently approved by RCTC.
a. Inquire of management as to the accounting and identification of Measure A
funded programs.
b. Inquire of management as to whether the accounting of Measure A funds received
by the Agency were accounted for separately or commingled with other programs
and/or funding sources.
2. Obtain monthly reporting package for third, sixth, ninth, and last months of the annual
reporting period and revenue and expense amounts for the fiscal year from the general
ledger.
a. Recalculate totals on reporting packages.
b. Inquire of management as to the accomplishment of the applicable program goals
and source of documentation for accomplishing program goals. Agree third, sixth,
and ninth month reports provided by RCTC to source documents from Agency as
to total passenger one-way trips made or number of people served.
c. Include a summary of revenues and expenses from the general ledger for the fiscal
year compared to budgeted amounts (present in format of monthly reporting
package) as an exhibit (Exhibit A).
d. For the exhibit summary of revenues and expenses, calculate variances of
budgeted expense amounts compared to actual amounts in terms of dollars and
percentages. For expense variances greater than 25%, inquire of management
as to the existence of approval from RCTC. Determine if budgeted amounts per
Exhibit A are consistent with the current Commission-approved budget.
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e. For the exhibit summary of revenues and expenses, calculate the variance of total
budgeted expenses compared to actual total expenses in terms of dollars and
percentage.
i. If the variance is greater than 20%, inquire of management why the actual total
expenses were less than the budgeted total expenses.
f. List the total revenues and expenses from the final fiscal year reporting package
(“Check Sum” tab) and calculate the difference between funding received and
expenses/capital expenditures incurred as per Exhibit A. For any variances, inquire
of management as to the nature of the changes in originally reported revenues
and/or expenses.
3. Determine if funding agreement includes requirement for matching contributions. If
agency was required to provide matching contributions, perform the following
procedures:
a. Review RCTC’s policy on qualifying in-kind matching contributions.
b. Inquire of management how matching requirements per the funding agreement
were satisfied (i.e., sources) and what the total dollar value was for cash match
and for in-kind matching contributions. Indicate if cash and in-kind matching
amounts were not met, met, or exceeded, as applicable.
i. If match was not met based on budget match requirement, compare actual
Measure A revenues to budgeted Measure A revenues. If full amount of
budgeted Measure A was not received, the minimum match requirement
should also be reduced by a proportionate amount in order to determine the
adjusted match requirement.
ii. If adjusted match requirement was not met, inquire of management as to
explanation for shortfall in meeting adjusted match requirement.
c. If source of match was in-kind contributions, inquire of management as to the
following:
i. If such contributions were made by a third party.
ii. If such third party contributions were related to property or services which
benefited the project or program and which were contributed by third parties
without charge to the grantee, or through a modified cost arrangement;
iii. If such contributions were necessary and reasonable for the efficient
accomplishment of program objectives; and
iv. If using volunteer time, a tracking method existed to identify when donated
services were provided.
d. For in-kind matching contributions presented on the third, sixth, and ninth month
reporting packages, compare such contribution amounts to supporting
documentation provided by the third party.
e. Inquire of management if any loans were obtained or lines of credit utilized to pay
Measure A program expenses.
i. If such indebtedness was incurred, inquire of management as to the amount
and if such amount is reflected in revenues as a cash match.
4. Obtain amount of Measure A funds disbursed to Agency from RCTC for specialized
transit grant purposes for the fiscal year.
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a. Agree amount from RCTC to amount recorded by the agency.
5. Obtain a summary of expenses (Personnel, Operating, Capital) by major line item
incurred by the Agency related to the specialized transit grant; include summary as an
exhibit (Exhibit A) to the report.
a. Inquire of management how Measure A expenses are recorded (i.e., direct costs,
allocations, or indirect costs).
b. Inquire of management as to the existence of any unreported expenses related to
the Measure A specialized transit program provided by the Agency. If amounts
are not reported, obtain a summary of such amounts and inquire of management
as to why such amounts are not reported.
c. Select one pay period from personnel expenses for testing.
d. Select operating expenses for testing that comprise at least 20% of the total
expenses.
e. Select all capital expenditures for testing.
f. For the expenses/capital expenditures selected for testing, compare the dollar
amount listed on the general ledger to the supporting documentation. Additionally,
for personnel expenses, agree hours charged to Measure A specialized transit
activities to approved timesheet or other documentation.
g. For the expenses/capital expenditures selected for testing, compare the type of
expense to the allowable costs included in the funding agreement.
h. Compare the summary of expenses/capital expenditures by major line item to the
budget included in the funding agreement and note any variances.
i. Inquire of management as to the amount of indirect or overhead costs, if any,
included in expenses and compare amount to the budget included in the funding
agreement.
6. Inquire of management as to the existence of any temporarily restricted net assets or
deferred revenues as of the end of the fiscal year related to the Measure A funded
program.
a. Obtain a copy of approval letter from RCTC, if applicable, for the carryover of such
balances.
b. If temporarily restricted net assets or deferred revenues exist as of the end of the
fiscal year, inquire of management as to source of funds responsible for generating
such balances.
7. Review the prior year’s report and note the existence of any temporarily restricted net
assets or deferred revenues as of the end of the prior fiscal year; inquire of
management if such amount was used to reduce the current fiscal year disbursements
of Measure A to the Agency.
8. Inquire of management as to the rating of the Agency’s insurer for commercial general
liability insurance, business automobile liability insurance, and worker’s compensation
insurance.
H. MSHCP Member Agency Agreed-Upon Procedures (Proposed, subject to
change due to requirement to adopt new ordinance and resolution)
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1. Obtain any updates to the Member Agency’s ordinance for collection of the MSHCP
fees.
2. Upon obtaining the updates, determine if the ordinance is in accordance with the
MSHCP Implementing Agreement and Joint Powers Agreement.
3. Determine if fees on the building permits are collected in accordance with the Member
Agency ordinance.
4. Obtain the schedule of fees collected on MSHCP building permits for the year ended
June 30, 202X.
5. Obtain a listing of building permits issued during the year ended June 30, 202X.
Identify the new construction and commercial/industrial permits. Select for testing
10% of new construction and commercial/industrial building permits, selecting no less
than 25 permits or 100% of permits if total permits for new construction and
commercial/industrial is less than 25.
6. Recalculate the fees collected by the Member Agency on building permits to determine
if they are correct and if the correct amounts have been remitted to the RCA. If fees
are incorrect, determine the fees that should have been collected and remitted.
7. Determine if fees collected on building permits were remitted to the RCA within 90
days of the earlier of the date they were collected or should have been collected.
8. Determine additional amounts, if any, which should be returned to the Member Agency
for building permits.
9. If amounts are due to the RCA on building permits, calculate interest owed, based on
the RCA’s Resolution No. 07-04 adopted on September 10, 2007, using the interest
rate paid by Riverside County (County) Treasury on amounts held by the County.
10. Obtain a list of all construction (civic and infrastructure) contracts awarded by the
Member Agency during the fiscal year. Select a sample of 10% of the contracts for
testing, selecting no less than three contracts, or 100% of contracts if the total number
of contracts is less than three.
11. Compute the amount of MSHCP fees on the civic and infrastructure contracts that
should have been remitted.
12. Determine if the MSHCP fees on the civic and infrastructure contracts were remitted
to the RCA within 90 days of contract award.
13. Determine additional amounts on civic and infrastructure contracts, if any, which
should be remitted to the RCA or returned to the Member Agency.
14. If additional amounts are due to the RCA on civic and infrastructure contracts,
calculate interest owed, using the interest rate paid County Treasury on amounts held
by the County.
I. Measure A Recipient Conformance Requirements
1. Allowable Costs. Measure A funds may only be used for transportation purposes
including the administration of Division 25 including legal actions related thereto; the
construction, capital acquisition, maintenance, and operation of streets, roads,
highways including state highways and public transit systems; and for related
purposes. These purposes include expenditures for the planning, environmental
reviews, engineering and design costs, and related right-of-way acquisition.
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a. Eligible local street and road projects costs include any engineering, capital, or
maintenance cost. Decisions on projects are to be made by local jurisdictions
subject to Capital Improvement Program requirements.
i. Annual budget reflecting the local government or agency’s anticipated receipts
and expenditures should be prepared and submitted to RCTC upon approval
by the governing board. The data contained in the capital improvement plans
submitted to RCTC should be included in the recipient’s budgets. These
budgets allow for proper evaluation by RCTC of the recipient’s activities on an
annual basis. (Policy adopted May 8, 1991)
b. Eligible transit programs include special discount fares for seniors and
handicapped people, commuter bus services, funding for computer assisted
rideshare programs, and “seed” programs to encourage the creation of vanpools.
Additionally, funds will be used to provide further reductions for the truly needy and
to expand existing services and implement new services. Bus capital replacement
and additional bus service may also be an eligible program within the Coachella
Valley, subject to a determination of funding by the Coachella Valley Association
of Governments (CVAG).
2. Maintenance of Effort (MOE). Additional funds provided under Measure A are
intended to supplement existing local revenues being used for transportation
purposes. Government agencies shall maintain their existing commitment of local
funds for street highway and public transit purposes pursuant to Measure A.
a. The local cities and the County shall annually submit to RCTC a list of the proposed
uses for these funds and a certification that the MOE requirement is being met. If
in any fiscal year, the maintenance of effort requirement is not met, the agency
shall not be eligible for any Measure A funds in the following fiscal year. Such
funds shall be distributed to the remaining local governments using the formula for
the area.
i. Agencies may use any local discretionary funds expended for local streets and
roads purposes during previous fiscal years which were in excess of their
maintenance of effort requirements to meet their MOE requirements for the
fiscal year. (Measure A Maintenance of Effort Guidelines)
b. RCTC shall assure the cities’ and County compliance with MOE funding
requirements before allocating funds for local streets and roads.
c. RCTC shall not allocate funds to an individual city or the County for local streets
and roads use within the Western County and Coachella Valley areas unless
WRCOG or CVAG indicates participation of agency in the Transportation Uniform
Mitigation Fee program necessary for implementation of the planned regional
arterial system.
3. Allocation of Funds to Geographic Areas. Funds for transportation purposes shall
be allocated to the Western County, Coachella Valley, and Palo Verde Valley areas
proportionate to the Measure A funds generated within these areas.
4. Allocation of Funds within Geographic Areas. RCTC shall return 2009 Measure A
funds to the geographic areas as follows (Applicable to RCTC):
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a. Western County. To be distributed for the following programs: $370 million
(approx. 11% to new corridors; $1,020 million (approx. 30%) to highways; $390
million (approx. 12%) to public transit; $300 million (approx. 9%) to regional
arterials; $970 million (approx. 29%) to local streets and roads; $270 million
(approx. 8%) to bond financing; and $40 million (approx. 1%) to economic
development.
i. Local streets and roads funding are to be distributed by a formula based on
75% on proportionate population and 25% on 2009 Measure A revenues
generated within each jurisdiction, if they participate in the Transportation
Uniform Mitigation Fee program and Multi-Species Habitat Conservation Plan.
If local agencies choose not to participate in the TUMF and MSHCP programs,
the funds they would otherwise receive for local streets and roads will be added
to the Measure A funds for the Regional Arterial System administered by
RCTC.
b. Coachella Valley. To be distributed for the following programs: 50% to highways
and regional arterial projects; 35% to local streets and roads; and 15% to
specialized public transit.
i. Local streets and roads funds will be provided to Coachella Valley cities and
the County if they participate in the Transportation Uniform Mitigation Fee
program. If local agencies choose not to participate in the TUMF program, the
funds they would otherwise receive for local streets and roads will be added to
the Measure A funds for the Regional Arterial System administered by CVAG.
ii. Local streets and roads funds are to be distributed by a formula based on 50%
on proportionate dwelling units and 50% on 2009 Measure A revenues
generated within each jurisdiction, as interpreted in Ordinance and direction
provided by CVAG.
c. Palo Verde Valley. To be distributed 100% to local streets and roads.
i. Local streets and roads funds are to be distributed by a formula based on 75%
on proportionate population and 25% on sales tax revenues generated in each
jurisdiction.
5. Accounting Records. Measure A recipients are required to maintain accurate,
complete, and separate accounting records for all sources of the funds they receive.
Small not-for-profit agencies are encouraged but not required to maintain separate
accounting records as long as Measure A receipts, related revenues, and
expenditures can be readily identified. If RCTC’s independent auditors are unable to
readily identify which funds are being used for expenditures, then the agency will be
required to maintain separate accounting records and cash accounts if they are to
continue receiving Measure A allocations. Any agency which maintains poor
accounting records will receive funding allocations on a reimbursement basis only.
(Policy adopted May 12, 1993)
6. Interfund Borrowing. Interfund borrowing from Measure A funding sources to
another local jurisdiction fund is strictly prohibited. Cities and agencies must maintain
sufficient cash balances so as not to impair their Measure A funds. Evidence of
interfund borrowing or impaired cash balances will result in the city or agency receiving
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funds from RCTC on a reimbursement basis only after any existing city or agency
reserves of prior Commission funds have been fully depleted. (Policy adopted May
12, 1993)
7. Interest Income Allocations. Interest on Measure A funds shall accrue separately
for all of RCTC’s programs as defined in the text of Measure A. This interest allocation
policy is applicable to the entire County, and such allocations shall be made monthly.
Interest earned on unexpended Measure A monies should be recorded in the Measure
A fund established by a local government or other agency receiving local streets and
roads or specialized transit monies. As these funds are restricted, the related interest
earned should be restricted as required by governmental regulations and other
transportation funding including the Transportation Act. (Policy adopted May 8, 1991
and May 12, 1993)
8. Accumulated Deficits. Accumulated funding source deficits are the responsibility of
the local jurisdiction. RCTC will consider allocating additional funds for such deficits
when justifiable on a case-by-case basis. (Policy adopted May 12, 1993)
9. Budget Variances. Significant budget variances should be avoided. All local
jurisdictions are required to compare the budget to actual results and make mid-year
revisions as needed. (Policy adopted May 12, 1993)
10. Unexpended Monies. Whenever the annual fiscal audit or the proposed update of
the Five Year Capital Improvement Program of a local agency shows a Measure A
Local Streets and Road Program carryover balance in excess of three (3) times the
annual allocation to an agency, Commission staff will:
a. Meet with the local agency to have them explain the reason for the carryover and
explore alternatives for moving projects faster, and
b. Present a report of their findings to RCTC’s Budget and Finance Committee to
determine if any further action should be considered and proposed to the full
Commission.
(Policy included in December 13, 1995 revisions to the RCTC Program and Funding
Guide)
J. Transit Compliance Requirements
The auditors should review the TDA regulations for Local Transportation Fund and State
Transit Assistance funding. California Code Section 6664 discusses the fiscal and
compliance audits of all claimants, Section 6666 provides the compliance audit tasks for
non-transit claimants, and Section 6667 provides the compliance audit tasks for transit
claimants. The TDA Statutes and California Code of Regulation Guidebook is available at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/f0009844-tda-07-2018-a11y.pdf.
California Department of Transportation program guidelines for State of Good Repair
funds received through RCTC are located at:
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EXHIBIT A - 15
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/sgr/202008-sgr-final-guidelines-a11y.pdf
Proposition 1B accountability requirements for Public Transportation Modernization,
Improvement and Service Enhancement Account (PTMISEA) funds received through
Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/ptmisea/201910-ptmisea-guidelines-a11y.pdf
Proposition 1B guidelines for Transit System Safety, Security, and Disaster Response
Account (TSSSDRA) funds received through CalOES are located at:
https://www.caloes.ca.gov/GrantsManagementSite/Documents/FY 2016-17 HR
Guidance with Allocations.pdf#search=TSSSDRA guidelines
LCTOP program guidelines for funds received through Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/lctop/201909-lctop-fy19-20-guidelines-a11y.pdf
K. MSCHP Compliance Requirements
The auditors should review the MSHCP Member Agency requirements in various implementation
documents which are available at:
MSHCP Implementation Agreement Ordinance (for current procedures, see model
ordinance beginning on page 347 of link)
https://www.wrc-rca.org/Permit_Docs/MSHCP/MSHCP-Volume3.pdf
MSHCP Implementation Manual (effective for FY 2021/22 agreed-upon procedures)
https://www.wrc-
rca.org//Permit_Docs/MSHCP/MSHCP%20Mitigation%20Fee%20Implementation%20M
anual%20Final.pdf
End of Statement of Services
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EXHIBIT "B"
COMPENSATION
[TO BE INSERTED BEHIND THIS PAGE]
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(Amounts subject to rounding
differences)
FIRM PROJECT TASKS/ROLE COST
BCA Watson Rice LLP2 Audit and Attestation Services 373,847$
-
373,847$
TASK NUMBER TASK DESCRIPTION COST
TDA Article 3/Bicycle and Pedestrian2 Audit Services -$
TDA Article 4/Transit Audit Services -
Measure A Local Streets and Roads Agreed-Upon Procedures Attestation Services 51,967
Measure A Specialized Transit2 Agreed-Upon Procedures Attestation Services 263,880
MSHCP Member Agencies Agreed-Upon Procedures Attestation Services 58,000
373,847
-
373,847$
FISCAL YEAR PROJECT COST
FY 2020/212 Audit and Attestation Services 63,595$
FY 2021/222 Audit and Attestation Services 59,220
FY 2022/232 Audit and Attestation Services 60,635
FY 2023/24 (Option Year 1)2 Audit and Attestation Services 62,050
FY 2024/25 (Option Year 2)2 Audit and Attestation Services 63,465
FY 2025/26 (Option Year 3)2 Audit and Attestation Services 64,881
373,847
373,847$ TOTAL COSTS
1 Commission authorization pertains to total contract award amount. Compensation adjustments between consultants may occur;
however, the maximum total compensation authorized may not be exceeded.
2 TDA Article 3/Bicycle and Pedestrian audits and Measure A Specialized Transit agreed-upon procedures will be determined annually
based on TDA claimants and Measure A disbursements; accordingly, amounts are estimated. This estimate assumes zero (0) annual
TDA Article 3/Bicycle and Pedestrian audits and sixteen (16) Measure A Specialized Transit attestation services for FY 2020/21 and
fourteen (14) thereafter.
SUBTOTAL
OTHER DIRECT COSTS
TOTAL COSTS
SUBTOTAL
EXHIBIT "B"
COMPENSATION SUMMARY1
Prime Consultant:
OTHER DIRECT COSTS
TOTAL COSTS
EXHIBIT B-1
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Agreement No. 21-19-035-00
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE WESTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND THE MEMBER AGENCIES
OF THE
WESTERN RIVERSIDE COUNTY
REGIONAL CONSERVATION AUTHORITY
WITH BROWN ARMSTRONG ACCOUNTANCY CORPORATION
1. PARTIES AND DATE.
This Agreement is made and entered into this day of , 2021, by and
between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION ("the Co-
mmission") and BROWN ARMSTRONG ACCOUTANCY CORPORATION
("Consultant"), a CORPORATION.
2. RECITALS.
2.1 Consultant desires to perform and assume responsibility for the
provision of certain professional consulting services required by Commission on the terms
and conditions set forth in this Agreement. Consultant represents that it is a professional
consultant, experienced in providing audit services to public clients, is licensed in the
State of California, and is familiar with the plans of Commission.
2.2 Commission desires to engage Consultant to render certain audit
and attestation services for the Commission ("Project") as set forth herein.
3. TERMS.
3.1 General Scope of Services. Consultant promises and agrees to
furnish to Commission all labor materials, tools, equipment, services, and incidental and
customary work necessary to fully and adequately provide professional consulting
services and advice on various issues affecting the decisions of Commission regarding
the Project and on other programs and matters affecting Commission, hereinafter referred
to as "Services". The Services are more particularly described in Exhibit "A" attached
hereto and incorporated herein by reference. All Services shall be subject to, and
performed in accordance with, this Agreement, the exhibits attached hereto and
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incorporated herein by reference, and all applicable local, state, and federal laws, rules
and regulations.
3.2 Term. The term of this Agreement shall be from the date first
specified above to June 30, 2024, unless earlier terminated as provided herein. The
Commission, at its sole discretion, may extend this Agreement for three (3) additional
single year terms through June 30, 2027. Consultant shall complete the Services within
the term of this Agreement and shall meet any other established schedules and
deadlines.
3.3 Schedule of Services. Consultant shall perform the Services
expeditiously, within the term of this Agreement, and in accordance with the Audit
Schedule set forth in Exhibit "A" attached hereto and incorporated herein by reference.
Consultant represents that it has the professional and technical personnel required to
perform the Services in conformance with such conditions. In order to facilitate
Consultant's conformance with the Schedule, the Commission shall respond to
Consultant's submittals in a timely manner. Upon request of the Commission, Consultant
shall provide a more detailed schedule of anticipated performance to meet the Audit
Schedule.
3.4 Independent Contractor; Control and Payment of Subordinates. The
Services shall be performed by Consultant under its supervision. Consultant will
determine the means, method and details of performing the Services subject to the
requirements of this Agreement. Commission retains Consultant on an independent
contractor basis and Consultant is not an employee of Commission. Consultant retains
the right to perform similar or different services for others during the term of this
Agreement. Any additional personnel performing the Services under this Agreement on
behalf of Consultant shall not be employees of Commission and shall at all times be under
Consultant's exclusive direction and control. Consultant shall pay all wages, salaries, and
other amounts due such personnel in connection with their performance of Services under
this Agreement and as required by law. Consultant shall be responsible for all reports
and obligations respecting such additional personnel, including, but not limited to: social
security taxes, income tax withholding, unemployment insurance, and workers'
compensation insurance.
3.5 Conformance to Applicable Requirements. All work prepared by
Consultant shall be subject to the approval of Commission.
3.6 Substitution of Key Personnel. Consultant has represented to
Commission that certain key personnel will perform and coordinate the Services under
this Agreement. Should one or more of such personnel become unavailable, Consultant
may substitute other personnel of at least equal competence and experience upon written
approval of Commission. In the event that Commission and Consultant cannot agree as
to the substitution of key personnel, Commission shall be entitled to terminate this
Agreement for cause, pursuant to provisions of Section 3.16 of this Agreement. The key
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personnel for performance of this Agreement are as follows: Eric H. Xin, Thomas M.
Young, Melissa L. Cabezzas, Ken Gill, Alex Medina, and Lorena Matias.
3.7 Commission’s Representative. Commission hereby designates the
Chief Financial Officer, or his or her designee, to act as its representative for the
performance of this Agreement ("Commission’s Representative"). Commission's
representative shall have the power to act on behalf of Commission for all purposes under
this Agreement. Consultant shall not accept direction from any person other than
Commission's Representative or his or her designee.
3.8 Consultant’s Representative. Consultant hereby designates Eric H.
Xin, or his or her designee, to act as its representative for the performance of this
Agreement ("Consultant’s Representative"). Consultant’s Representative shall have full
authority to represent and act on behalf of the Consultant for all purposes under this
Agreement. The Consultant’s Representative shall supervise and direct the Services,
using his or her best skill and attention, and shall be responsible for all means, methods,
techniques, sequences and procedures and for the satisfactory coordination of all
portions of the Services under this Agreement.
3.9 Coordination of Services. Consultant agrees to work closely with
Commission staff in the performance of Services and shall be available to Commission's
staff, consultants and other staff at all reasonable times.
3.10 Standard of Care; Licenses. Consultant shall perform the Services
under this Agreement in a skillful and competent manner, consistent with the standard
generally recognized as being employed by professionals in the same discipline in the
State of California. Consultant represents and maintains that it is skilled in the
professional calling necessary to perform the Services. Consultant warrants that all
employees and subcontractors shall have sufficient skill and experience to perform the
Services assigned to them. Finally, Consultant represents that it, its employees and
subcontractors have all licenses, permits, qualifications and approvals of whatever nature
that are legally required to perform the Services and that such licenses and approvals
shall be maintained throughout the term of this Agreement. Consultant shall perform, at
its own cost and expense and without reimbursement from Commission, any Services
necessary to correct errors or omissions which are caused by the Consultant’s failure to
comply with the standard of care provided for herein, and shall be fully responsible to the
Commission for all damages and other liabilities provided for in the indemnification
provisions of this Agreement arising from the Consultant’s errors and omissions.
3.11 Laws and Regulations. Consultant shall keep itself fully informed of
and in compliance with all local, state and federal laws, rules and regulations in any
manner affecting the performance of the Project or the Services, including all Cal/OSHA
requirements, and shall give all notices required by law. Consultant shall be liable for all
violations of such laws and regulations in connection with Services. If the Consultant
performs any work knowing it to be contrary to such laws, rules and regulations and
without giving written notice to Commission, Consultant shall be solely responsible for all
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costs arising therefrom. Consultant shall defend, indemnify and hold Commission, its
officials, directors, officers, employees and agents free and harmless, pursuant to the
indemnification provisions of this Agreement, from any claim or liability arising out of any
failure or alleged failure to comply with such laws, rules or regulations.
3.12 Insurance.
3.12.1 Time for Compliance. Consultant shall not commence work
under this Agreement until it has provided evidence satisfactory to the Commission that
it has secured all insurance required under this section, in a form and with insurance
companies acceptable to the Commission. In addition, Consultant shall not allow any
subcontractor to commence work on any subcontract until it has secured all insurance
required under this section.
3.12.2 Minimum Requirements. Consultant shall, at its expense,
procure and maintain for the duration of the Agreement insurance against claims for
injuries to persons or damages to property which may arise from or in connection with the
performance of the Agreement by the Consultant, its agents, representatives, employees
or subcontractors. Consultant shall also require all of its subcontractors to procure and
maintain the same insurance for the duration of the Agreement. Such insurance shall
meet at least the following minimum levels of coverage:
(A) Minimum Scope of Insurance. Coverage shall be at
least as broad as the latest version of the following: (1) General Liability: Insurance
Services Office Commercial General Liability coverage (occurrence form CG 0001 or
exact equivalent); (2) Automobile Liability: Insurance Services Office Business Auto
Coverage (form CA 0001, code 1 (any auto) or exact equivalent); and (3) Workers’
Compensation and Employer’s Liability: Workers’ Compensation insurance as required
by the State of California and Employer’s Liability Insurance.
(B) Minimum Limits of Insurance. Consultant shall
maintain limits no less than: (1) General Liability: $2,000,000 per occurrence for bodily
injury, personal injury and property damage. If Commercial General Liability Insurance
or other form with general aggregate limit is used, either the general aggregate limit shall
apply separately to this Agreement/location or the general aggregate limit shall be twice
the required occurrence limit; (2) Automobile Liability: $1,000,000 per accident for bodily
injury and property damage; and (3) if Consultant has an employees, Workers’
Compensation and Employer’s Liability: Workers’ Compensation limits as required by the
Labor Code of the State of California. Employer’s Practices Liability limits of $1,000,000
per accident.
3.12.3 Professional Liability. Consultant shall procure and maintain,
and require its sub-consultants to procure and maintain, for a period of five (5) years
following completion of the Project, errors and omissions liability insurance appropriate to
their profession. Such insurance shall be in an amount not less than $1,000,000 per
claim. This insurance shall be endorsed to include contractual liability applicable to this
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Agreement and shall be written on a policy form coverage specifically designed to protect
against acts, errors or omissions of the Consultant. “Covered Professional Services” as
designated in the policy must specifically include work performed under this Agreement.
The policy must “pay on behalf of” the insured and must include a provision establishing
the insurer's duty to defend.
3.12.4 Insurance Endorsements. The insurance policies shall
contain the following provisions, or Consultant shall provide endorsements on forms
approved by the Commission to add the following provisions to the insurance policies:
(A) General Liability.
(i) Commercial General Liability Insurance must
include coverage for (1) bodily injury and property damage; (2) personal Injury/Advertising
injury; (3) premises/operations liability; (4) products/completed operations liability; (5)
aggregate limits that apply per project; (6) explosion, collapse and underground (UCX)
exclusion deleted; (7) contractual liability with respect to this Agreement; (8) broad form
property damage; and (9) independent consultants coverage.
(ii) The policy shall contain no endorsements or
provisions limiting coverage for (1) contractual liability; (2) cross liability exclusion for
claims or suits by one insured against another; or (3) contain any other exclusion contrary
to this Agreement.
(iii) The policy shall give the Commission, its
directors, officials, officers, employees, and agents insured status using ISO endorsement
forms 20 10 10 01 and 20 37 10 01, or endorsements providing the exact same coverage.
(iv) The additional insured coverage under the
policy shall be “primary and non-contributory” and will not seek contribution from the
Commission’s insurance or self-insurance and shall be at least as broad as CG 20 01 04
13, or endorsements providing the exact same coverage.
(B) Automobile Liability. The automobile liability policy
shall be endorsed to state that: (1) the Commission, its directors, officials, officers,
employees and agents shall be covered as additional insureds with respect to the
ownership, operation, maintenance, use, loading or unloading of any auto owned, leased,
hired or borrowed by the Consultant or for which the Consultant is responsible; and (2)
the insurance coverage shall be primary insurance as respects the Commission, its
directors, officials, officers, employees and agents, or if excess, shall stand in an
unbroken chain of coverage excess of the Consultant’s scheduled underlying coverage.
Any insurance or self-insurance maintained by the Commission, its directors, officials,
officers, employees and agents shall be excess of the Consultant’s insurance and shall
not be called upon to contribute with it in any way.
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(C) Workers’ Compensation and Employers Liability
Coverage.
(i) Consultant certifies that he/she is aware of the
provisions of Section 3700 of the California Labor Code which requires every employer
to be insured against liability for workers’ compensation or to undertake self-insurance in
accordance with the provisions of that code, and he/she will comply with such provisions
before commencing work under this Agreement.
(ii) The insurer shall agree to waive all rights of
subrogation against the Commission, its directors, officials, officers, employees and
agents for losses paid under the terms of the insurance policy which arise from work
performed by the Consultant.
(D) All Coverages.
(i) Defense costs shall be payable in addition to the
limits set forth hereunder.
(ii) Requirements of specific coverage or limits
contained in this section are not intended as a limitation on coverage, limits, or other
requirement, or a waiver of any coverage normally provided by any insurance. It shall be
a requirement under this Agreement that any available insurance proceeds broader than
or in excess of the specified minimum insurance coverage requirements and/or limits set
forth herein shall be available to the Commission, its directors, officials, officers,
employees and agents as additional insureds under said policies. Furthermore, the
requirements for coverage and limits shall be (1) the minimum coverage and limits
specified in this Agreement; or (2) the broader coverage and maximum limits of coverage
of any insurance policy or proceeds available to the named insured; whichever is greater.
(iii) The limits of insurance required in this
Agreement may be satisfied by a combination of primary and umbrella or excess
insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a
provision that such coverage shall also apply on a primary and non-contributory basis for
the benefit of the Commission (if agreed to in a written contract or agreement) before the
Commission’s own insurance or self-insurance shall be called upon to protect it as a
named insured. The umbrella/excess policy shall be provided on a “following form” basis
with coverage at least as broad as provided on the underlying policy(ies).
(iv) Consultant shall provide the Commission at
least thirty (30) days prior written notice of cancellation of any policy required by this
Agreement, except that the Consultant shall provide at least ten (10) days prior written
notice of cancellation of any such policy due to non-payment of premium. If any of the
required coverage is cancelled or expires during the term of this Agreement, the
Consultant shall deliver renewal certificate(s) including the General Liability Additional
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Insured Endorsement to the Commission at least ten (10) days prior to the effective date
of cancellation or expiration.
(v) The retroactive date (if any) of each policy is to
be no later than the effective date of this Agreement. Consultant shall maintain such
coverage continuously for a period of at least three years after the completion of the work
under this Agreement. Consultant shall purchase a one (1) year extended reporting
period A) if the retroactive date is advanced past the effective date of this Agreement; B)
if the policy is cancelled or not renewed; or C) if the policy is replaced by another claims-
made policy with a retroactive date subsequent to the effective date of this Agreement.
(vi) The foregoing requirements as to the types and
limits of insurance coverage to be maintained by Consultant, and any approval of said
insurance by the Commission, is not intended to and shall not in any manner limit or
qualify the liabilities and obligations otherwise assumed by the Consultant pursuant to
this Agreement, including but not limited to, the provisions concerning indemnification.
(vii) If at any time during the life of the Agreement,
any policy of insurance required under this Agreement does not comply with these
specifications or is canceled and not replaced, Commission has the right but not the duty
to obtain the insurance it deems necessary and any premium paid by Commission will be
promptly reimbursed by Consultant or Commission will withhold amounts sufficient to pay
premium from Consultant payments. In the alternative, Commission may cancel this
Agreement. The Commission may require the Consultant to provide complete copies of
all insurance policies in effect for the duration of the Project.
(viii) Neither the Commission nor any of its directors,
officials, officers, employees or agents shall be personally responsible for any liability
arising under or by virtue of this Agreement.
Each insurance policy required by this Agreement shall
be endorsed to state that:
3.12.5 Deductibles and Self-Insurance Retentions. Any deductibles
or self-insured retentions must be declared to and approved by the Commission. If the
Commission does not approve the deductibles or self-insured retentions as presented,
Consultant shall guarantee that, at the option of the Commission, either: (1) the insurer
shall reduce or eliminate such deductibles or self-insured retentions as respects the
Commission, its directors, officials, officers, employees and agents; or, (2) the Consultant
shall procure a bond guaranteeing payment of losses and related investigation costs,
claims and administrative and defense expenses.
3.12.6 Acceptability of Insurers. Insurance is to be placed with
insurers with a current A.M. Best’s rating no less than A:VIII, licensed to do business in
California, and satisfactory to the Commission.
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3.12.7 Verification of Coverage. Consultant shall furnish
Commission with original certificates of insurance and endorsements effecting coverage
required by this Agreement on forms satisfactory to the Commission. The certificates and
endorsements for each insurance policy shall be signed by a person authorized by that
insurer to bind coverage on its behalf. All certificates and endorsements must be received
and approved by the Commission before work commences. The Commission reserves
the right to require complete, certified copies of all required insurance policies, at any
time.
3.12.8 Subconsultant Insurance Requirements. Consultant shall not
allow any subcontractors or subconsultants to commence work on any subcontract until
they have provided evidence satisfactory to the Commission that they have secured all
insurance required under this section. Policies of commercial general liability insurance
provided by such subcontractors or subconsultants shall be endorsed to name the
Commission as an additional insured using ISO form CG 20 38 04 13 or an endorsement
providing the exact same coverage. If requested by Consultant, the Commission may
approve different scopes or minimum limits of insurance for particular subcontractors or
subconsultants.
3.13 Safety. Consultant shall execute and maintain its work so as to avoid
injury or damage to any person or property. In carrying out its Services, the Consultant
shall at all times be in compliance with all applicable local, state and federal laws, rules
and regulations, and shall exercise all necessary precautions for the safety of employees
appropriate to the nature of the work and the conditions under which the work is to be
performed. Safety precautions as applicable shall include, but shall not be limited to: (A)
adequate life protection and life saving equipment and procedures; (B) instructions in
accident prevention for all employees and subcontractors, such as safe walkways,
scaffolds, fall protection ladders, bridges, gang planks, confined space procedures,
trenching and shoring, equipment and other safety devices, equipment and wearing
apparel as are necessary or lawfully required to prevent accidents or injuries; and (C)
adequate facilities for the proper inspection and maintenance of all safety measures.
3.14 Fees and Payment.
3.14.1 Compensation. Consultant shall receive compensation,
including authorized reimbursements, for all Services rendered under this Agreement at
the rates set forth in Exhibit "B" attached hereto. The total compensation shall not exceed
Six Hundred Twenty-Two Thousand Seventy-Seven Dollars ($622,077) without written
approval of Commission's Executive Director (“Total Compensation”). Extra Work may
be authorized, as described below, and if authorized, will be compensated at the rates
and manner set forth in this Agreement.
3.14.2 Payment of Compensation. Consultant shall submit to
Commission a monthly statement which indicates work completed and hours of Services
rendered by Consultant. The statement shall describe the amount of Services and
supplies provided since the initial commencement date, or since the start of the
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subsequent billing periods, as appropriate, through the date of the statement.
Commission shall, within 45 days of receiving such statement, review the statement and
pay all approved charges thereon.
3.14.3 Reimbursement for Expenses. Consultant shall not be
reimbursed for any expenses unless authorized in writing by Commission.
3.14.4 Extra Work. At any time during the term of this Agreement,
Commission may request that Consultant perform Extra Work. As used herein, "Extra
Work" means any work which is determined by Commission to be necessary for the
proper completion of the Project, but which the parties did not reasonably anticipate would
be necessary at the execution of this Agreement. Consultant shall not perform, nor be
compensated for, Extra Work without written authorization from Commission's Executive
Director.
3.15 Accounting Records. Consultant shall maintain complete and
accurate records with respect to all costs and expenses incurred and fees charged under
this Agreement. All such records shall be clearly identifiable. Consultant shall allow a
representative of Commission during normal business hours to examine, audit, and make
transcripts or copies of such records and any other documents created pursuant to this
Agreement. Consultant shall allow inspection of all work, data, documents, proceedings,
and activities related to the Agreement for a period of three (3) years from the date of final
payment under this Agreement.
3.16 Termination of Agreement.
3.16.1 Grounds for Termination. Commission may, by written notice
to Consultant, terminate the whole or any part of this Agreement at any time and without
cause by giving written notice to Consultant of such termination, and specifying the
effective date thereof. Upon termination, Consultant shall be compensated only for those
services which have been fully and adequately rendered to Commission through the
effective date of the termination, and Consultant shall be entitled to no further
compensation. Consultant may not terminate this Agreement except for cause.
3.16.2 Effect of Termination. If this Agreement is terminated as
provided herein, Commission may require Consultant to provide all finished or unfinished
Documents and Data, as defined below, and other information of any kind prepared by
Consultant in connection with the performance of Services under this Agreement.
Consultant shall be required to provide such document and other information within fifteen
(15) days of the request.
3.16.3 Additional Services. In the event this Agreement is terminated
in whole or in part as provided herein, Commission may procure, upon such terms and in
such manner as it may determine appropriate, services similar to those terminated.
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3.17 Delivery of Notices. All notices permitted or required under this
Agreement shall be given to the respective parties at the following address, or at such
other address as the respective parties may provide in writing for this purpose:
CONSULTANT: COMMISSION:
Brown Armstrong Accountancy Corp. Riverside County
4200 Truxtun Avenue Transportation Commission
Suite 300 4080 Lemon Street, 3rd Floor
Bakersfield, CA 93309 Riverside, CA 92501
Attn: Eric H. Xin Attn: Executive Director
Such notice shall be deemed made when personally delivered or when
mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid
and addressed to the party at its applicable address. Actual notice shall be deemed
adequate notice on the date actual notice occurred, regardless of the method of service.
3.18 Ownership of Materials/Confidentiality.
3.18.1 Documents & Data. This Agreement creates an exclusive and
perpetual license for Commission to copy, use, modify, reuse, or sub-license any and all
copyrights and designs embodied in plans, specifications, studies, drawings, estimates,
materials, data and other documents or works of authorship fixed in any tangible medium
of expression, including but not limited to, physical drawings or data magnetically or
otherwise recorded on computer diskettes, which are prepared or caused to be prepared
by Consultant under this Agreement (“Documents & Data”).
Consultant shall require all subcontractors to agree in writing that
Commission is granted an exclusive and perpetual license for any Documents & Data the
subcontractor prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal
right to grant the exclusive and perpetual license for all such Documents & Data.
Consultant makes no such representation and warranty in regard to Documents & Data
which were prepared by design professionals other than Consultant or provided to
Consultant by the Commission.
Commission shall not be limited in any way in its use of the
Documents & Data at any time, provided that any such use not within the purposes
intended by this Agreement shall be at Commission’s sole risk.
All programs, working papers, files and other materials of the
Consultant made pursuant to this Agreement shall remain the property of the Consultant.
The Commission will have access to this material at any time. All reports delivered by the
Consultant and its subcontractors pursuant to the Agreement shall become the property
of the Commission without restriction or limitation on their use and shall be made available
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upon request, to the Commission at any time. Original copies of the deliverable reports
shall be delivered to the Commission upon completion of the Services or termination of
the Services. The Consultant shall be permitted to retain copies of such items for the
furtherance of its technical proficiency; however, publication of this material is subject to
the written approval of the Commission.
3.18.2 Intellectual Property. In addition, Commission shall have and
retain all right, title and interest (including copyright, patent, trade secret and other
proprietary rights) in all plans, specifications, studies, drawings, estimates, materials,
data, computer programs or software and source code, enhancements, documents, and
any and all works of authorship fixed in any tangible medium or expression, including but
not limited to, physical drawings or other data magnetically or otherwise recorded on
computer media (“Intellectual Property”) prepared or developed by or on behalf of
Consultant under this Agreement as well as any other such Intellectual Property prepared
or developed by or on behalf of Consultant under this Agreement.
The Commission shall have and retain all right, title and interest in
Intellectual Property developed or modified under this Agreement whether or not paid for
wholly or in part by Commission, whether or not developed in conjunction with Consultant,
and whether or not developed by Consultant. Consultant will execute separate written
assignments of any and all rights to the above referenced Intellectual Property upon
request of Commission.
Consultant shall also be responsible to obtain in writing separate
written assignments from any subcontractors or agents of Consultant of any and all right
to the above referenced Intellectual Property. Should Consultant, either during or
following termination of this Agreement, desire to use any of the above-referenced
Intellectual Property, it shall first obtain the written approval of the Commission.
All materials and documents which were developed or prepared by
the Consultant for general use prior to the execution of this Agreement and which are not
the copyright of any other party or publicly available and any other computer applications,
shall continue to be the property of the Consultant. However, unless otherwise identified
and stated prior to execution of this Agreement, Consultant represents and warrants that
it has the right to grant the exclusive and perpetual license for all such Intellectual Property
as provided herein.
Commission further is granted by Consultant a non-exclusive and
perpetual license to copy, use, modify or sub-license any and all Intellectual Property
otherwise owned by Consultant which is the basis or foundation for any derivative,
collective, insurrectional, or supplemental work created under this Agreement.
3.18.3 Confidentiality. All ideas, memoranda, specifications, plans,
procedures, drawings, descriptions, computer program data, input record data, written
information, and other Documents and Data either created by or provided to Consultant
in connection with the performance of this Agreement shall be held confidential by
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Consultant. Such materials shall not, without the prior written consent of Commission, be
used by Consultant for any purposes other than the performance of the Services. Nor
shall such materials be disclosed to any person or entity not connected with the
performance of the Services or the Project. Nothing furnished to Consultant which is
otherwise known to Consultant or is generally known, or has become known, to the
related industry shall be deemed confidential. Consultant shall not use Commission's
name or insignia, photographs of the Project, or any publicity pertaining to the Services
or the Project in any magazine, trade paper, newspaper, television or radio production or
other similar medium without the prior written consent of Commission.
3.18.4 Infringement Indemnification. Consultant shall defend,
indemnify and hold the Commission, its directors, officials, officers, employees,
volunteers and agents free and harmless, pursuant to the indemnification provisions of
this Agreement, for any alleged infringement of any patent, copyright, trade secret, trade
name, trademark, or any other proprietary right of any person or entity in consequence of
the use on the Project by Commission of the Documents & Data, including any method,
process, product, or concept specified or depicted.
3.19 Cooperation; Further Acts. The Parties shall fully cooperate with one
another, and shall take any additional acts or sign any additional documents as may be
necessary, appropriate or convenient to attain the purposes of this Agreement.
3.20 Attorney's Fees. If either party commences an action against the
other party, either legal, administrative or otherwise, arising out of or in connection with
this Agreement, the prevailing party in such litigation shall be entitled to have and recover
from the losing party reasonable attorney's fees and costs of such actions.
3.21 Indemnification. Consultant shall defend, indemnify and hold the
Commission, its directors, officials, officers, agents, consultants, employees and
volunteers free and harmless from any and all claims, demands, causes of action, costs,
expenses, liabilities, losses, damages or injuries, in law or in equity, to property or
persons, including wrongful death, in any manner arising out of or incident to any alleged
negligent acts, omissions or willful misconduct of the Consultant, its officials, officers,
employees, agents, consultants, and contractors arising out of or in connection with the
performance of the Services, the Project or this Agreement, including without limitation,
the payment of all consequential damages, attorneys fees and other related costs and
expenses. Consultant shall defend, at Consultant’s own cost, expense and risk, any and
all such aforesaid suits, actions or other legal proceedings of every kind that may be
brought or instituted against the Commission, its directors, officials, officers, agents,
consultants, employees and volunteers. Consultant shall pay and satisfy any judgment,
award or decree that may be rendered against the Commission or its directors, officials,
officers, agents, consultants, employees and volunteers, in any such suit, action or other
legal proceeding. Consultant shall reimburse the Commission and its directors, officials,
officers, agents, consultants, employees and volunteers, for any and all legal expenses
and costs, including reasonable attorney’s fees, incurred by each of them in connection
therewith or in enforcing the indemnity herein provided. Consultant’s obligation to
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indemnity shall not be restricted to insurance proceeds, if any, received by the
Commission or its directors, officials, officers, agents, consultants, employees and
volunteers. This Section 3.21 shall survive any expiration or termination of this
Agreement.
3.22 Entire Agreement. This Agreement contains the entire Agreement
of the parties with respect to the subject matter hereof, and supersedes all prior
negotiations, understandings or agreements. This Agreement may only be
supplemented, amended, or modified by a writing signed by both parties.
3.23 Governing Law. This Agreement shall be governed by the laws of
the State of California. Venue shall be in Riverside County.
3.24 Time of Essence. Time is of the essence for each and every
provision of this Agreement.
3.25 Commission's Right to Employ Other Consultants. The Commission
reserves the right to employ other consultants in connection with this Project.
3.26 Successors and Assigns. This Agreement shall be binding on the
successors and assigns of the parties, and shall not be assigned by Consultant without
the prior written consent of Commission.
3.27 Prohibited Interests and Conflicts.
3.27.1 Solicitation. Consultant maintains and warrants that it has not
employed nor retained any company or person, other than a bona fide employee working
solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants
that it has not paid nor has it agreed to pay any company or person, other than a bona
fide employee working solely for Consultant, any fee, commission, percentage, brokerage
fee, gift or other consideration contingent upon or resulting from the award or making of
this Agreement. For breach or violation of this warranty, Commission shall have the right
to rescind this Agreement without liability.
3.27.2 Conflict of Interest. For the term of this Agreement, no
member, officer or employee of Commission, during the term of his or her service with
Commission, shall have any direct interest in this Agreement, or obtain any present or
anticipated material benefit arising therefrom.
3.27.3 Conflict of Employment. Employment by the Consultant of
personnel currently on the payroll of the Commission shall not be permitted in the
performance of this Agreement, even though such employment may occur outside of the
employee’s regular working hours or on weekends, holidays or vacation time. Further,
the employment by the Consultant of personnel who have been on the Commission
payroll within one year prior to the date of execution of this Agreement, where this
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employment is caused by and or dependent upon the Consultant securing this or related
Agreements with the Commission, is prohibited.
3.27.4 Employment Adverse to the Commission. Consultant shall
notify the Commission, and shall obtain the Commission’s written consent, prior to
accepting work to assist with or participate in a third-party lawsuit or other legal or
administrative proceeding against the Commission during the term of this Agreement.
3.28 Equal Opportunity Employment. Consultant represents that it is an
equal opportunity employer and it shall not discriminate against any employee or
applicant for employment because of race, religion, color, national origin, ancestry, sex
or age. Such non-discrimination shall include, but not be limited to, all activities related
to initial employment, upgrading, demotion, transfer, recruitment or recruitment
advertising, layoff or termination. Consultant shall also comply with all relevant provisions
of Commission's Disadvantaged Business Enterprise program, Affirmative Action Plan or
other related Commission programs or guidelines currently in effect or hereinafter
enacted.
3.29 Subcontracting. Consultant shall not subcontract any portion of the
work or Services required by this Agreement, except as expressly stated herein, without
prior written approval of the Commission. Subcontracts, if any, shall contain a provision
making them subject to all provisions stipulated in this Agreement.
3.30 Reserved.
3.31 Employment of Apprentices. This Agreement shall not prevent the
employment of properly indentured apprentices in accordance with the California Labor
Code, and no employer or labor union shall refuse to accept otherwise qualified
employees as indentured apprentices on the work performed hereunder solely on the
ground of race, creed, national origin, ancestry, color or sex. Every qualified apprentice
shall be paid the standard wage paid to apprentices under the regulations of the craft or
trade in which he or she is employed and shall be employed only in the craft or trade to
which he or she is registered.
3.32 No Waiver. Failure of Commission to insist on any one occasion
upon strict compliance with any of the terms, covenants or conditions hereof shall not be
deemed a waiver of such term, covenant or condition, nor shall any waiver or
relinquishment of any rights or powers hereunder at any one time or more times be
deemed a waiver or relinquishment of such other right or power at any other time or times.
3.33 Eight-Hour Law. Pursuant to the provisions of the California Labor
Code, eight hours of labor shall constitute a legal day's work, and the time of service of
any worker employed on the work shall be limited and restricted to eight hours during any
one calendar day, and forty hours in any one calendar week, except when payment for
overtime is made at not less than one and one-half the basic rate for all hours worked in
excess of eight hours per day ("Eight-Hour Law"), unless Consultant or the Services are
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not subject to the Eight-Hour Law. Consultant shall forfeit to Commission as a penalty,
$50.00 for each worker employed in the execution of this Agreement by him, or by any
sub-consultant under him, for each calendar day during which such workman is required
or permitted to work more than eight hours in any calendar day and forty hours in any one
calendar week without such compensation for overtime violation of the provisions of the
California Labor Code, unless Consultant or the Services are not subject to the Eight-
Hour Law.
3.34 Subpoenas or Court Orders. Should Consultant receive a subpoena
or court order related to this Agreement, the Services or the Project, Consultant shall
immediately provide written notice of the subpoena or court order to the Commission.
Consultant shall not respond to any such subpoena or court order until notice to the
Commission is provided as required herein, and shall cooperate with the Commission in
responding to the subpoena or court order.
3.35 Survival. All rights and obligations hereunder that by their nature are
to continue after any expiration or termination of this Agreement, including, but not limited
to, the indemnification and confidentiality obligations, and the obligations related to receipt
of subpoenas or court orders, shall survive any such expiration or termination.
3.36 No Third Party Beneficiaries. There are no intended third party
beneficiaries of any right or obligation assumed by the Parties.
3.37 Labor Certification. By its signature hereunder, Consultant certifies
that it is aware of the provisions of Section 3700 of the California Labor Code which
require every employer to be insured against liability for Workers’ Compensation or to
undertake self-insurance in accordance with the provisions of that Code, and agrees to
comply with such provisions before commencing the performance of the Services.
3.38 Counterparts. This Agreement may be signed in counterparts, each
of which shall constitute an original.
3.39 Incorporation of Recitals. The recitals set forth above are true and
correct and are incorporated into this Agreement as though fully set forth herein.
3.40 Invalidity; Severability. If any portion of this Agreement is declared
invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the
remaining provisions shall continue in full force and effect.
3.41 Conflicting Provisions. In the event that provisions of any attached
exhibits conflict in any way with the provisions set forth in this Agreement, the language,
terms and conditions contained in this Agreement shall control the actions and obligations
of the Parties and the interpretation of the Parties’ understanding concerning the
performance of the Services.
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3.42 Headings. Article and Section Headings, paragraph captions or
marginal headings contained in this Agreement are for convenience only and shall have
no effect in the construction or interpretation of any provision herein.
3.43 Assignment or Transfer. Consultant shall not assign, hypothecate,
or transfer, either directly or by operation of law, this Agreement or any interest herein,
without the prior written consent of the Commission. Any attempt to do so shall be null
and void, and any assignees, hypothecates or transferees shall acquire no right or interest
by reason of such attempted assignment, hypothecation or transfer.
3.44 Authority to Enter Agreement. Consultant has all requisite power and
authority to conduct its business and to execute, deliver, and perform the Agreement.
Each Party warrants that the individuals who have signed this Agreement have the legal
power, right, and authority to make this Agreement and bind each respective Party.
[SIGNATURES ON FOLLOWING PAGE]
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SIGNATURE PAGE
TO
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE WESTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND THE MEMBER AGENCIES
OF THE
WESTERN RIVERSIDE COUNTY
REGIONAL CONSERVATION AUTHORITY
WITH BROWN ARMSTRONG ACCOUNTANCY CORPORATION
IN WITNESS WHEREOF, this Agreement was executed on the date first
written above.
RIVERSIDE COUNTY BROWN ARMSTRONG
TRANSPORTATION COMMISSION ACCOUNTANCY CORPORATION
By: _________________________ By: ____________________________
Anne Mayer Signature
Executive Director
__________________________
Name
__________________________
Title
Approved as to Form: Attest:
By:____________________________ By: ________________________
Best Best & Krieger LLP Its: Secretary
General Counsel
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EXHIBIT "A"
STATEMENT OF SERVICES
[TO BE INSERTED BEHIND THIS PAGE]
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EXHIBIT A - 1
Statement of Services
A. General
The Riverside County Transportation Commission (RCTC), as the transportation planning agency
for Riverside County and the managing agency for the Western Riverside County Regional
Conservation Authority (RCA), is issuing this Request for Proposal in order to secure services
from a Consultant(s) of certified public accountants to perform for the fiscal years ending June
30, 2021, 2022, and 2023, with the option of performing such services for three (3) additional one-
year terms:
Financial and compliance audits of RCTC’s Transportation Development Act (TDA)
claimants for transit (including funding from Local Transportation Fund (LTF) Article 4,
State Transit Assistance (STA), State of Good Repair (SGR), Low Carbon Transit
Operations Program (LCTOP), and Proposition 1B);
Financial and compliance audits of RCTC’s TDA claimants for bicycle and pedestrian
projects (consisting of funding from LTF Article 3);
Agreed-upon procedures similar to those proposed in Appendix A, Section G, for RCTC’s
Measure A recipients of local streets and roads (LSR) funding;
Agreed-upon procedures similar to those proposed in Appendix A, Section H, for RCTC’s
Measure A recipients of specialized transit funding; and
Agreed upon procedures similar to those proposed in Appendix A, Section I, for RCA’s
Member Agencies related to the collection and remittance of mitigation fees in accordance
with each Member Agency’s Multiple Species Habitat Conservation Plan (MSHCP)
Ordinance (with amendments).
Measure A Agreed Upon Procedures
The Measure A Specialized Transit Agreed-Upon Procedures apply to Western County non-
profit and community organizations awarded funding for specialized transit services for a three-
year period through a competitive call for projects. The FY 2020/21 funding awarded at RCTC’s
April 11, 2018 meeting represents the final year of the FY 2018/19 – 2020/21 Call for Projects.
Staff expects that the awards for the FY 2021/22 – 2023/24 Call for Projects will be approved by
RCTC at the April 14, 2021 meeting, as noted in the FY 2021/22 – 2023/24 Measure A Specialized
Transit Call for Projects Guidelines presented at the January 13, 2021 RCTC meeting. FY
2024/25 – FY 2025/26 funding will be determined by the FY 2024/25 – 2026/27 Call for Projects
to be awarded in Spring 2024.
The Measure A LSR Agreed-Upon Procedures apply to all eligible cities in Riverside County
and the County of Riverside. Measure A LSR funding is allocated and disbursed monthly to the
cities and the County of Riverside, as specified in Measure A. RCTC does not currently anticipate
any incorporations or dis-incorporations of cities that would result in a change in Measure A LSR
recipients. Currently, all cities and the County of Riverside meet the eligibility requirements that
include:
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Participation in the Western County or Coachella Valley Transportation Uniform Mitigation
Fee (TUMF) Program, as applicable;
Participation in the RCA’s MSHCP, as applicable;
Annual submittal of a 5-Year Capital Improvement Plan (CIP) list of projects;
Annual Maintenance of Effort certification; and
Annual Project Status Report for the prior fiscal year CIP.
Transportation Development Act Audits
The TDA Transit audits will be performed for the municipal transit operators in the Western
County cities of Banning, Beaumont, Corona, and Riverside. TDA Transit operating and capital
allocations are approved annually by RCTC in June based on the submittal of each transit
operator’s Short-Range Transit Plan. The transit operators also may unexpended Proposition 1B
funding for capital/rehabilitation and/or security projects received through Caltrans and the
California Office of Emergency Services (CalOES), respectively.
The TDA Bicycle and Pedestrian audits apply to local jurisdictions awarded funding by RCTC
for bicycle and pedestrian projects through a biennial competitive call for projects. Local
jurisdictions generally have two years to complete projects, including those projects approved in
the FY 2019/20 Call for Projects at RCTC’s June 12, 2019 meeting. However, as per revised
guidelines approved by RCTC at its January 13, 2021 meeting effective with the FY 2021/22 Call
for Projects to be awarded at the June 9, 2021 RCTC meeting, local jurisdictions will now have
three years to complete projects. Claimants may request disbursement of their allocations by
RCTC on a reimbursement basis in accordance with RCTC’s policies. Accordingly, the TDA
Bicycle and Pedestrian audits are dependent on claims for expenditures of such funds.
MSHCP Agreed Upon Procedures
The MSHCP Agreed-Upon Procedures are required for local jurisdictions that are signatories to
the Joint Exercise of Powers Agreement forming the RCA. They include the 18 Western County
cities and the County of Riverside. The Member Agencies form the independent RCA Board of
Directors to acquire, administer, operate, and maintain land and facilities to establish habitat
reserves for the conservation and protection of species covered by the MSHCP and to implement
the MSHCP.
At its December 7, 2020 meeting, the RCA adopted the 2020 Nexus Study and increase in Local
Development Mitigation Fees (LDMF). The LDMF increase is effective in two phases. The first
phase, an increase of 50%, is effective July 1, 2021. The second phase, full implementation, is
effective January 1, 2022. Member Agencies must prepare an ordinance and resolution to be
considered and approved by the city council (Board of Supervisors in the case of the County of
Riverside) in time to implement the new fee by July 1, 2021. Final action of the city council/Board
of Supervisors must be no later than May 2, 2021 to ensure the new ordinance takes effect by
July 1, 2021 in accordance with California Government Code Section 66017. Per the
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Implementing Agreement with the cities and the County of Riverside signed, the cities and County
must adopt the ordinance, “in substantially the same form or at a minimum, containing the same
requirements as the model ordinance,” adopted by the RCA Board of Directors.
Anticipated Changes in Audit and Attestation Services
RCTC does not anticipate any change in the local jurisdictions subject to TDA Transit audit and
Measure A LSR attestation services; RCA does not anticipate any change in the local jurisdictions
subject to MSHCP attestation services. The agencies requiring Measure A Specialized Transit
and the local jurisdictions requiring TDA Bicycle and Pedestrian audits will be determined each
year based on actual disbursements.
The Chief Financial Officer is designated as the coordinator of the work and may appoint a
Finance Department staff to coordinate day-to-day oversight. The Chief Financial Officer will
serve as the liaison to the audit oversight committee designated by RCTC and the Executive
Committee designated by RCA.
The audits are to be performed by the Consultant(s) in accordance with generally accepted
auditing standards, including use of the most current version of each of the following standards
and guidelines:
American Institute of Certified Public Accountants audit and attestation standards;
General Accounting Office’s (GAO) Government Auditing Standards;
Measure A conformance requirements (Section I);
Transit requirements (Section J); and
MSHCP requirements (Section K).
B. Scope of Work to be Performed
The selected Consultant(s) will be required to perform the following tasks:
Audit of the transit and transportation financial statements of the jurisdictions receiving
TDA funds in accordance with auditing standards generally accepted in the United States
of America; the standards applicable to financial audits contained in Government Auditing
Standards, issued by the Comptroller General of the United States; the TDA as
summarized in the TDA Guidebook; and SGR, LCTOP, and Proposition 1B audit
guidelines specified by Caltrans and CalOES.
Performance of agreed-upon procedures similar to those listed in Section F solely to assist
RCTC in evaluating the applicable jurisdictions’ Measure A transportation funds and
degree of their compliance with RCTC’s requirements of the Measure A LSR program.
RCTC reserves the right to modify the agreed-upon procedures as deemed necessary to
fulfill its oversight responsibilities for the Measure A LSR program.
Performance of agreed-upon procedures similar to those listed in Section G solely to
assist RCTC in evaluating the applicable jurisdictions’/agencies’ Measure A specialized
transit funds and degree of their compliance with RCTC’s requirements of the Measure A
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specialized transit program. RCTC reserves the right to modify the agreed-upon
procedures as deemed necessary to fulfill its oversight responsibilities for the Measure A
Specialized Transit program.
Performance of agreed-upon procedures similar to those listed in Section H solely to assist
RCA in evaluating if fees are collected and remitted in accordance with each Member
Agency’s MSHCP Mitigation Fee Ordinance (with amendments). RCTC reserves the right
to modify the agreed-upon procedures as deemed necessary to fulfill its oversight
responsibilities for the MSHCP, including RCA changes to the LDMF affecting Member
Agency MSHCP Mitigation Fee Ordinances and adoption of a related resolution.
C. Deliverables
Following completion of the audits and agreed-upon procedures and a review of the draft reports
by RCTC, the Consultant(s) shall issue:
A report on the fair presentation of the financial statements for the TDA claimants in
conformity with generally accepted accounting principles and on compliance and internal
control.
A report on the agreed-upon procedures related to the Measure A recipients of LSR
funding.
A report on the agreed-upon procedures related to the Measure A recipients of specialized
transit funding.
A report on the agreed-upon procedures related to the MSHCP fee collection and
remittance.
Drafts of the reports will be provided to RCTC staff and the applicable TDA claimant, Measure A
recipient, or Member Agency. The Chief Financial Officer or designee shall review and approve
each report prior to issuance.
For each report issued to RCTC, the Consultant shall issue one PDF copy to RCTC and one PDF
to the applicable TDA claimant or Measure A recipient, as applicable.
For each report issued to RCA, the Consultant shall print three (3) copies and issue one PDF
copy to RCA.
Financial and Compliance Reports
The Consultant will submit a financial and compliance report for each TDA audit. The Consultant
will be responsible for the preparation, editing, and printing of all financial and compliance reports,
including the financial statements and notes to the financial statements. Although the Consultant
will prepare the financial statements, management of the TDA Claimant is responsible for the
financial statements.
Agreed-Upon Procedures
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The Consultant will submit a report for each Measure A recipient or Member Agency, as
applicable, listing the procedures performed, results of procedures performed, and findings, if any.
The Consultant will be responsible for preparation, editing, and printing of all agreed-upon
procedure reports.
D. Required Communications
Significant Deficiencies – In the required reports on compliance and internal controls, the
Consultant shall communicate any significant deficiencies found during the audit of the TDA
claimants. A significant deficiency shall be defined as a control deficiency, or combination of
control deficiencies, that adversely affects the entity’s ability to initiate, authorize, record, process,
or report financial data reliably in accordance with generally accepted accounting principles such
that there is more than a remote likelihood that a misstatement of the entity’s financial statements
that is more than inconsequential will not be prevented or detected by the entity’s internal control.
Significant deficiencies that are also material weaknesses shall be identified as such in the report.
Other control deficiencies discovered by the Consultant may be reported in a separate letter to
management, which shall be referred to in the reports on compliance and internal controls.
The report on compliance and internal controls shall include all material instances of
noncompliance. All nonmaterial instances of noncompliance may be reported in a separate
management letter, which shall be referred to in the report on compliance and internal controls.
Irregularities and illegal acts – The Consultant shall be required to make an immediate, written
report of all irregularities and illegal acts or indication of illegal acts of which they become aware
to the jurisdiction/agency and RCTC’s/RCA’s audit oversight committee, Executive Director, and
Chief Financial Officer.
Planning meetings – The Consultant shall meet with RCTC staff at least once a year prior to the
commencement of the audits and agreed-upon procedures.
E. Audit Schedule
The work to be performed at the jurisdictions and agencies shall be arranged by the Consultant
with the individual jurisdiction or agency after the conclusion of a planning meeting with RCTC
and RCTC’s issuance of audit notification letters to each jurisdiction and agency.
The RCTC work should be scheduled for no later than November 15 of each year. Barring
unforeseen circumstances, the Consultant must conduct the work activities and provide all
required reports and information to RCTC no later than December 31 of each year. The TDA
audits are required to be submitted to the State Controller by December 31 of each year; however,
an extension may be granted by RCTC for no more than 90 days. RCTC’s policy for Measure A
reports follows the TDA requirement; however, a formal extension is generally not issued.
RCA is required to annually certify to RCTC by June 30 that local jurisdictions participating in the
MSHCP comply with the MSHCP participation requirements to collect and remit fees in
accordance with each Member Agency’s MSHCP Ordinance (with amendments). Accordingly,
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the RCA requires all agreed-upon procedures reports to be issued by February 28 in the year
following the fiscal year for which the agreed-upon procedures are performed.
The Consultant shall keep RCTC apprised at least monthly on the status of the audits and any
issues which have been encountered. RCTC will provide assistance, to the extent necessary
and/or possible, to resolve such issues. If circumstances outside the control of the Consultant or
RCTC or the RCA arise and the deadline cannot be met, both parties agree to communicate the
circumstances and develop an action plan.
F. Measure A Proposed Local Streets and Roads Agreed-Upon Procedures (Proposed)
1. Review the 2009 Measure A (Ordinance 02-001) compliance requirements. Western
County jurisdictions are required to participate in the Transportation Uniform Mitigation
Fee (TUMF) program and in the Multi-Species Habitat Conservation Plan (MSHCP),
which are administered by the Western Riverside Council of Governments (WRCOG)
and the Western Riverside County Regional Conservation Authority (RCA),
respectively. Coachella Valley jurisdictions are required to participate in the TUMF
program administered by the Coachella Valley Association of Governments (CVAG).
Indicate participation in TUMF and/or MSHCP programs.
2. Obtain from RCTC the approved Five-Year Capital Improvement Plan (CIP) for the
fiscal year.
3. Obtain from the jurisdiction a detail general ledger and balance sheet for the fiscal
year.
a. Identify the amount of Measure A cash and investments recorded at the end of the
fiscal year. Compare amount to Measure A fund balance and provide an
explanation for any differences greater than 25% of fund balance.
b. Identify any amounts due from other funds.
c. Identify the components of ending fund balance for the Measure A activity (e.g.,
nonspendable, restricted, assigned, committed, unassigned) [and for County of
Riverside only by geographic area].
i. Identify the existence of any restatement of Measure A fund balance; inquire
of management as to the reason for any restatement and provide a summary
of the restatement items.
ii. Compare ending fund balance to total revenues for the current year and prior
two years. If ending fund balance is greater than sum of total revenues for the
three-year period, inquire of management as to the reason(s) for the
accumulation of fund balance (e.g., status of specific projects included in the
5-Year CIP).
4. Obtain an operating statement for the Measure A activity for the fiscal year, including
budget amounts; include the operating statement as an exhibit to the report.
a. Review the revenues in the operating statement.
i. Inquire of management as to what fund is used to record Measure A revenues
received from RCTC and identify what the total revenues were for the fiscal
year.
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ii. Obtain from RCTC a listing of Measure A payments to the jurisdiction.
1. Compare the Measure A sales tax revenues recorded by the jurisdiction to
the listing of payments made by RCTC. [Use gross amounts paid by RCTC]
iii. Obtain from the jurisdiction an interest allocation schedule for the fiscal year.
1. Identify the allocation amount of interest income to Measure A activity and
what the amount of interest income was for the fiscal year. If no interest
was allocated, inquire of management as to reason for not allocating
interest income.
b. Review the expenditures in the operating statement.
i. Inquire of management as to what fund is used to record Measure A
expenditures and what the total expenditures were for the fiscal year.
ii. Select expenditures for testing that comprise at least 20% of the total
expenditures.
1. For the expenditures selected for testing, compare the dollar amount listed
on the general ledger to the supporting documentation.
2. For the expenditures selected for testing, review the 5-Year CIP and note
if the project is included in the 5-Year CIP and is an allowable cost.
iii. Inquire of management as to the nature of any transfers in or out recorded in
the Measure A fund. For any transfers out, determine if nature of transfer out
was included in the 5-Year CIP.
iv. Inquire of management as to the amount of general or non-project-related
indirect costs, if any, included in expenditures. If indirect costs exceed 8% of
Measure A revenue, inquire of management as to the basis for indirect costs
charged to Measure A. If indirect costs are identified, determine if such costs
are included in the 5-Year CIP.
v. Inquire of management as to the amount of debt service expenditures recorded
in the Measure A fund and determine is such costs are included in the 5-Year
CIP.
5. Obtain from RCTC a listing of jurisdictions who participate in the Western County or
Coachella Valley TUMF programs.
a. If the jurisdiction is a participant in the TUMF program, select at least one
disbursement for validation as to the amount remitted to WRCOG or CVAG, as
applicable.
b. Indicate the total amount of TUMF fees collected and remitted during the fiscal
year.
6. Obtain from RCTC a listing of jurisdictions who participate in the Western County
MSHCP program.
a. If the jurisdiction is a participant in the MSHCP program, select at least one
disbursement for validation as to the amount remitted to RCA, as applicable.
b. Inquire of management as to the existence of any fees collected in prior years and
not remitted to RCA as of the end of the fiscal year.
c. Indicate the total amount of MSHCP fees collected and remitted during the fiscal
year.
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7. Obtain from RCTC the MOE base year requirement, including supporting detail of the
calculations for its city/County, and the carryover amount allowed as of the beginning
of the fiscal year.
a. Obtain from the city/County a calculation of its current year MOE amount in the
format similar to its base year calculation. Attach a copy of the calculation
worksheet provided by the city/County as an exhibit to the report.
b. Compare the current year MOE amounts from the General Fund to the general
ledger.
c. Review the General Fund general ledger to determine if there were any transfers
in to fund any MOE amounts.
d. Compare the amount of current year MOE expenditures to the MOE base
requirement and add any excess to, or subtract any deficiency from, the carryover
amount.
e. If the amount of discretionary funds spent is less than the MOE base requirement
(MOE deficiency), determine the amount of any prior year MOE carryover using
the information obtained from RCTC and reduce the MOE deficiency by any
available MOE carryover to determine an adjusted current year expenditure
amount.
G. Measure A Proposed Specialized Transit Agreed-Upon Procedures (Proposed)
1. Obtain specialized transit grant funding agreement from RCTC, including exhibit of
budget submitted with funding application, matching requirements, and any budget
modifications subsequently approved by RCTC.
a. Inquire of management as to the accounting and identification of Measure A
funded programs.
b. Inquire of management as to whether the accounting of Measure A funds received
by the Agency were accounted for separately or commingled with other programs
and/or funding sources.
2. Obtain monthly reporting package for third, sixth, ninth, and last months of the annual
reporting period and revenue and expense amounts for the fiscal year from the general
ledger.
a. Recalculate totals on reporting packages.
b. Inquire of management as to the accomplishment of the applicable program goals
and source of documentation for accomplishing program goals. Agree third, sixth,
and ninth month reports provided by RCTC to source documents from Agency as
to total passenger one-way trips made or number of people served.
c. Include a summary of revenues and expenses from the general ledger for the fiscal
year compared to budgeted amounts (present in format of monthly reporting
package) as an exhibit (Exhibit A).
d. For the exhibit summary of revenues and expenses, calculate variances of
budgeted expense amounts compared to actual amounts in terms of dollars and
percentages. For expense variances greater than 25%, inquire of management
as to the existence of approval from RCTC. Determine if budgeted amounts per
Exhibit A are consistent with the current Commission-approved budget.
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e. For the exhibit summary of revenues and expenses, calculate the variance of total
budgeted expenses compared to actual total expenses in terms of dollars and
percentage.
i. If the variance is greater than 20%, inquire of management why the actual total
expenses were less than the budgeted total expenses.
f. List the total revenues and expenses from the final fiscal year reporting package
(“Check Sum” tab) and calculate the difference between funding received and
expenses/capital expenditures incurred as per Exhibit A. For any variances, inquire
of management as to the nature of the changes in originally reported revenues
and/or expenses.
3. Determine if funding agreement includes requirement for matching contributions. If
agency was required to provide matching contributions, perform the following
procedures:
a. Review RCTC’s policy on qualifying in-kind matching contributions.
b. Inquire of management how matching requirements per the funding agreement
were satisfied (i.e., sources) and what the total dollar value was for cash match
and for in-kind matching contributions. Indicate if cash and in-kind matching
amounts were not met, met, or exceeded, as applicable.
i. If match was not met based on budget match requirement, compare actual
Measure A revenues to budgeted Measure A revenues. If full amount of
budgeted Measure A was not received, the minimum match requirement
should also be reduced by a proportionate amount in order to determine the
adjusted match requirement.
ii. If adjusted match requirement was not met, inquire of management as to
explanation for shortfall in meeting adjusted match requirement.
c. If source of match was in-kind contributions, inquire of management as to the
following:
i. If such contributions were made by a third party.
ii. If such third party contributions were related to property or services which
benefited the project or program and which were contributed by third parties
without charge to the grantee, or through a modified cost arrangement;
iii. If such contributions were necessary and reasonable for the efficient
accomplishment of program objectives; and
iv. If using volunteer time, a tracking method existed to identify when donated
services were provided.
d. For in-kind matching contributions presented on the third, sixth, and ninth month
reporting packages, compare such contribution amounts to supporting
documentation provided by the third party.
e. Inquire of management if any loans were obtained or lines of credit utilized to pay
Measure A program expenses.
i. If such indebtedness was incurred, inquire of management as to the amount
and if such amount is reflected in revenues as a cash match.
4. Obtain amount of Measure A funds disbursed to Agency from RCTC for specialized
transit grant purposes for the fiscal year.
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a. Agree amount from RCTC to amount recorded by the agency.
5. Obtain a summary of expenses (Personnel, Operating, Capital) by major line item
incurred by the Agency related to the specialized transit grant; include summary as an
exhibit (Exhibit A) to the report.
a. Inquire of management how Measure A expenses are recorded (i.e., direct costs,
allocations, or indirect costs).
b. Inquire of management as to the existence of any unreported expenses related to
the Measure A specialized transit program provided by the Agency. If amounts
are not reported, obtain a summary of such amounts and inquire of management
as to why such amounts are not reported.
c. Select one pay period from personnel expenses for testing.
d. Select operating expenses for testing that comprise at least 20% of the total
expenses.
e. Select all capital expenditures for testing.
f. For the expenses/capital expenditures selected for testing, compare the dollar
amount listed on the general ledger to the supporting documentation. Additionally,
for personnel expenses, agree hours charged to Measure A specialized transit
activities to approved timesheet or other documentation.
g. For the expenses/capital expenditures selected for testing, compare the type of
expense to the allowable costs included in the funding agreement.
h. Compare the summary of expenses/capital expenditures by major line item to the
budget included in the funding agreement and note any variances.
i. Inquire of management as to the amount of indirect or overhead costs, if any,
included in expenses and compare amount to the budget included in the funding
agreement.
6. Inquire of management as to the existence of any temporarily restricted net assets or
deferred revenues as of the end of the fiscal year related to the Measure A funded
program.
a. Obtain a copy of approval letter from RCTC, if applicable, for the carryover of such
balances.
b. If temporarily restricted net assets or deferred revenues exist as of the end of the
fiscal year, inquire of management as to source of funds responsible for generating
such balances.
7. Review the prior year’s report and note the existence of any temporarily restricted net
assets or deferred revenues as of the end of the prior fiscal year; inquire of
management if such amount was used to reduce the current fiscal year disbursements
of Measure A to the Agency.
8. Inquire of management as to the rating of the Agency’s insurer for commercial general
liability insurance, business automobile liability insurance, and worker’s compensation
insurance.
H. MSHCP Member Agency Agreed-Upon Procedures (Proposed, subject to
change due to requirement to adopt new ordinance and resolution)
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1. Obtain any updates to the Member Agency’s ordinance for collection of the MSHCP
fees.
2. Upon obtaining the updates, determine if the ordinance is in accordance with the
MSHCP Implementing Agreement and Joint Powers Agreement.
3. Determine if fees on the building permits are collected in accordance with the Member
Agency ordinance.
4. Obtain the schedule of fees collected on MSHCP building permits for the year ended
June 30, 202X.
5. Obtain a listing of building permits issued during the year ended June 30, 202X.
Identify the new construction and commercial/industrial permits. Select for testing
10% of new construction and commercial/industrial building permits, selecting no less
than 25 permits or 100% of permits if total permits for new construction and
commercial/industrial is less than 25.
6. Recalculate the fees collected by the Member Agency on building permits to determine
if they are correct and if the correct amounts have been remitted to the RCA. If fees
are incorrect, determine the fees that should have been collected and remitted.
7. Determine if fees collected on building permits were remitted to the RCA within 90
days of the earlier of the date they were collected or should have been collected.
8. Determine additional amounts, if any, which should be returned to the Member Agency
for building permits.
9. If amounts are due to the RCA on building permits, calculate interest owed, based on
the RCA’s Resolution No. 07-04 adopted on September 10, 2007, using the interest
rate paid by Riverside County (County) Treasury on amounts held by the County.
10. Obtain a list of all construction (civic and infrastructure) contracts awarded by the
Member Agency during the fiscal year. Select a sample of 10% of the contracts for
testing, selecting no less than three contracts, or 100% of contracts if the total number
of contracts is less than three.
11. Compute the amount of MSHCP fees on the civic and infrastructure contracts that
should have been remitted.
12. Determine if the MSHCP fees on the civic and infrastructure contracts were remitted
to the RCA within 90 days of contract award.
13. Determine additional amounts on civic and infrastructure contracts, if any, which
should be remitted to the RCA or returned to the Member Agency.
14. If additional amounts are due to the RCA on civic and infrastructure contracts,
calculate interest owed, using the interest rate paid County Treasury on amounts held
by the County.
I. Measure A Recipient Conformance Requirements
1. Allowable Costs. Measure A funds may only be used for transportation purposes
including the administration of Division 25 including legal actions related thereto; the
construction, capital acquisition, maintenance, and operation of streets, roads,
highways including state highways and public transit systems; and for related
purposes. These purposes include expenditures for the planning, environmental
reviews, engineering and design costs, and related right-of-way acquisition.
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a. Eligible local street and road projects costs include any engineering, capital, or
maintenance cost. Decisions on projects are to be made by local jurisdictions
subject to Capital Improvement Program requirements.
i. Annual budget reflecting the local government or agency’s anticipated receipts
and expenditures should be prepared and submitted to RCTC upon approval
by the governing board. The data contained in the capital improvement plans
submitted to RCTC should be included in the recipient’s budgets. These
budgets allow for proper evaluation by RCTC of the recipient’s activities on an
annual basis. (Policy adopted May 8, 1991)
b. Eligible transit programs include special discount fares for seniors and
handicapped people, commuter bus services, funding for computer assisted
rideshare programs, and “seed” programs to encourage the creation of vanpools.
Additionally, funds will be used to provide further reductions for the truly needy and
to expand existing services and implement new services. Bus capital replacement
and additional bus service may also be an eligible program within the Coachella
Valley, subject to a determination of funding by the Coachella Valley Association
of Governments (CVAG).
2. Maintenance of Effort (MOE). Additional funds provided under Measure A are
intended to supplement existing local revenues being used for transportation
purposes. Government agencies shall maintain their existing commitment of local
funds for street highway and public transit purposes pursuant to Measure A.
a. The local cities and the County shall annually submit to RCTC a list of the proposed
uses for these funds and a certification that the MOE requirement is being met. If
in any fiscal year, the maintenance of effort requirement is not met, the agency
shall not be eligible for any Measure A funds in the following fiscal year. Such
funds shall be distributed to the remaining local governments using the formula for
the area.
i. Agencies may use any local discretionary funds expended for local streets and
roads purposes during previous fiscal years which were in excess of their
maintenance of effort requirements to meet their MOE requirements for the
fiscal year. (Measure A Maintenance of Effort Guidelines)
b. RCTC shall assure the cities’ and County compliance with MOE funding
requirements before allocating funds for local streets and roads.
c. RCTC shall not allocate funds to an individual city or the County for local streets
and roads use within the Western County and Coachella Valley areas unless
WRCOG or CVAG indicates participation of agency in the Transportation Uniform
Mitigation Fee program necessary for implementation of the planned regional
arterial system.
3. Allocation of Funds to Geographic Areas. Funds for transportation purposes shall
be allocated to the Western County, Coachella Valley, and Palo Verde Valley areas
proportionate to the Measure A funds generated within these areas.
4. Allocation of Funds within Geographic Areas. RCTC shall return 2009 Measure A
funds to the geographic areas as follows (Applicable to RCTC):
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a. Western County. To be distributed for the following programs: $370 million
(approx. 11% to new corridors; $1,020 million (approx. 30%) to highways; $390
million (approx. 12%) to public transit; $300 million (approx. 9%) to regional
arterials; $970 million (approx. 29%) to local streets and roads; $270 million
(approx. 8%) to bond financing; and $40 million (approx. 1%) to economic
development.
i. Local streets and roads funding are to be distributed by a formula based on
75% on proportionate population and 25% on 2009 Measure A revenues
generated within each jurisdiction, if they participate in the Transportation
Uniform Mitigation Fee program and Multi-Species Habitat Conservation Plan.
If local agencies choose not to participate in the TUMF and MSHCP programs,
the funds they would otherwise receive for local streets and roads will be added
to the Measure A funds for the Regional Arterial System administered by
RCTC.
b. Coachella Valley. To be distributed for the following programs: 50% to highways
and regional arterial projects; 35% to local streets and roads; and 15% to
specialized public transit.
i. Local streets and roads funds will be provided to Coachella Valley cities and
the County if they participate in the Transportation Uniform Mitigation Fee
program. If local agencies choose not to participate in the TUMF program, the
funds they would otherwise receive for local streets and roads will be added to
the Measure A funds for the Regional Arterial System administered by CVAG.
ii. Local streets and roads funds are to be distributed by a formula based on 50%
on proportionate dwelling units and 50% on 2009 Measure A revenues
generated within each jurisdiction, as interpreted in Ordinance and direction
provided by CVAG.
c. Palo Verde Valley. To be distributed 100% to local streets and roads.
i. Local streets and roads funds are to be distributed by a formula based on 75%
on proportionate population and 25% on sales tax revenues generated in each
jurisdiction.
5. Accounting Records. Measure A recipients are required to maintain accurate,
complete, and separate accounting records for all sources of the funds they receive.
Small not-for-profit agencies are encouraged but not required to maintain separate
accounting records as long as Measure A receipts, related revenues, and
expenditures can be readily identified. If RCTC’s independent auditors are unable to
readily identify which funds are being used for expenditures, then the agency will be
required to maintain separate accounting records and cash accounts if they are to
continue receiving Measure A allocations. Any agency which maintains poor
accounting records will receive funding allocations on a reimbursement basis only.
(Policy adopted May 12, 1993)
6. Interfund Borrowing. Interfund borrowing from Measure A funding sources to
another local jurisdiction fund is strictly prohibited. Cities and agencies must maintain
sufficient cash balances so as not to impair their Measure A funds. Evidence of
interfund borrowing or impaired cash balances will result in the city or agency receiving
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funds from RCTC on a reimbursement basis only after any existing city or agency
reserves of prior Commission funds have been fully depleted. (Policy adopted May
12, 1993)
7. Interest Income Allocations. Interest on Measure A funds shall accrue separately
for all of RCTC’s programs as defined in the text of Measure A. This interest allocation
policy is applicable to the entire County, and such allocations shall be made monthly.
Interest earned on unexpended Measure A monies should be recorded in the Measure
A fund established by a local government or other agency receiving local streets and
roads or specialized transit monies. As these funds are restricted, the related interest
earned should be restricted as required by governmental regulations and other
transportation funding including the Transportation Act. (Policy adopted May 8, 1991
and May 12, 1993)
8. Accumulated Deficits. Accumulated funding source deficits are the responsibility of
the local jurisdiction. RCTC will consider allocating additional funds for such deficits
when justifiable on a case-by-case basis. (Policy adopted May 12, 1993)
9. Budget Variances. Significant budget variances should be avoided. All local
jurisdictions are required to compare the budget to actual results and make mid-year
revisions as needed. (Policy adopted May 12, 1993)
10. Unexpended Monies. Whenever the annual fiscal audit or the proposed update of
the Five Year Capital Improvement Program of a local agency shows a Measure A
Local Streets and Road Program carryover balance in excess of three (3) times the
annual allocation to an agency, Commission staff will:
a. Meet with the local agency to have them explain the reason for the carryover and
explore alternatives for moving projects faster, and
b. Present a report of their findings to RCTC’s Budget and Finance Committee to
determine if any further action should be considered and proposed to the full
Commission.
(Policy included in December 13, 1995 revisions to the RCTC Program and Funding
Guide)
J. Transit Compliance Requirements
The auditors should review the TDA regulations for Local Transportation Fund and State
Transit Assistance funding. California Code Section 6664 discusses the fiscal and
compliance audits of all claimants, Section 6666 provides the compliance audit tasks for
non-transit claimants, and Section 6667 provides the compliance audit tasks for transit
claimants. The TDA Statutes and California Code of Regulation Guidebook is available at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/f0009844-tda-07-2018-a11y.pdf.
California Department of Transportation program guidelines for State of Good Repair
funds received through RCTC are located at:
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https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/sgr/202008-sgr-final-guidelines-a11y.pdf
Proposition 1B accountability requirements for Public Transportation Modernization,
Improvement and Service Enhancement Account (PTMISEA) funds received through
Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/ptmisea/201910-ptmisea-guidelines-a11y.pdf
Proposition 1B guidelines for Transit System Safety, Security, and Disaster Response
Account (TSSSDRA) funds received through CalOES are located at:
https://www.caloes.ca.gov/GrantsManagementSite/Documents/FY 2016-17 HR
Guidance with Allocations.pdf#search=TSSSDRA guidelines
LCTOP program guidelines for funds received through Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/lctop/201909-lctop-fy19-20-guidelines-a11y.pdf
K. MSCHP Compliance Requirements
The auditors should review the MSHCP Member Agency requirements in various implementation
documents which are available at:
MSHCP Implementation Agreement Ordinance (for current procedures, see model
ordinance beginning on page 347 of link)
https://www.wrc-rca.org/Permit_Docs/MSHCP/MSHCP-Volume3.pdf
MSHCP Implementation Manual (effective for FY 2021/22 agreed-upon procedures)
https://www.wrc-
rca.org//Permit_Docs/MSHCP/MSHCP%20Mitigation%20Fee%20Implementation%20M
anual%20Final.pdf
End of Statement of Services
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EXHIBIT "B"
COMPENSATION
[TO BE INSERTED BEHIND THIS PAGE]
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(Amounts subject to rounding
differences)
FIRM PROJECT TASKS/ROLE COST
Brown Armstrong Accountancy Corporation2 Audit and Attestation Services 622,077$
-
622,077$
TASK NUMBER TASK DESCRIPTION COST
TDA Article 3/Bicycle and Pedestrian2 Audit Services 172,800$
TDA Article 4/Transit Audit Services -
Measure A Local Streets and Roads Agreed-Upon Procedures Attestation Services 194,443
Measure A Specialized Transit2 Agreed-Upon Procedures Attestation Services -
MSHCP Member Agencies Agreed-Upon Procedures Attestation Services 254,833
622,077
-$
622,077$
FISCAL YEAR PROJECT COST
FY 2020/212 Audit and Attestation Services 103,679$
FY 2021/222 Audit and Attestation Services 103,679
FY 2022/232 Audit and Attestation Services 103,679
FY 2023/24 (Option Year 1)2 Audit and Attestation Services 103,679
FY 2024/25 (Option Year 2)2 Audit and Attestation Services 103,679
FY 2025/26 (Option Year 3)2 Audit and Attestation Services 103,679
622,077
622,077$ TOTAL COSTS
1 Commission authorization pertains to total contract award amount. Compensation adjustments between consultants may occur;
however, the maximum total compensation authorized may not be exceeded.
2 TDA Article 3/Bicycle and Pedestrian audits and Measure A Specialized Transit agreed-upon procedures will be determined annually
based on TDA claimants and Measure A disbursements; accordingly, amounts are estimated. This estimate assumes eight (8) annual
TDA Article 3/Bicycle and Pedestrian audits and zero (0) Measure A Specialized Transit attestation services.
SUBTOTAL
OTHER DIRECT COSTS
TOTAL COSTS
SUBTOTAL
EXHIBIT "B"
COMPENSATION SUMMARY1
Prime Consultant:
OTHER DIRECT COSTS
TOTAL COSTS
EXHIBIT B-1
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17336.00000\8752982.1
Agreement No. 21-19-036-00
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE WESTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND THE MEMBER AGENCIES
OF THE
WESTERN RIVERSIDE COUNTY
REGIONAL CONSERVATION AUTHORITY
WITH CONRAD LLP
1. PARTIES AND DATE.
This Agreement is made and entered into this day of , 2021, by and
between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION ("the Co-
mmission") and CONRAD LLP ("Consultant"), a Limited Liability Partnership.
2. RECITALS.
2.1 Consultant desires to perform and assume responsibility for the
provision of certain professional consulting services required by Commission on the terms
and conditions set forth in this Agreement. Consultant represents that it is a professional
consultant, experienced in providing audit services to public clients, is licensed in the
State of California, and is familiar with the plans of Commission.
2.2 Commission desires to engage Consultant to render certain audit
and attestation services for the Commission ("Project") as set forth herein.
3. TERMS.
3.1 General Scope of Services. Consultant promises and agrees to
furnish to Commission all labor materials, tools, equipment, services, and incidental and
customary work necessary to fully and adequately provide professional consulting
services and advice on various issues affecting the decisions of Commission regarding
the Project and on other programs and matters affecting Commission, hereinafter referred
to as "Services". The Services are more particularly described in Exhibit "A" attached
hereto and incorporated herein by reference. All Services shall be subject to, and
performed in accordance with, this Agreement, the exhibits attached hereto and
1
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incorporated herein by reference, and all applicable local, state, and federal laws, rules
and regulations.
3.2 Term. The term of this Agreement shall be from the date first
specified above to June 30, 2024, unless earlier terminated as provided herein. The
Commission, at its sole discretion, may extend this Agreement for three (3) additional
single year terms through June 30, 2027. Consultant shall complete the Services within
the term of this Agreement and shall meet any other established schedules and
deadlines.
3.3 Schedule of Services. Consultant shall perform the Services
expeditiously, within the term of this Agreement, and in accordance with the Audit
Schedule set forth in Exhibit "A" attached hereto and incorporated herein by reference.
Consultant represents that it has the professional and technical personnel required to
perform the Services in conformance with such conditions. In order to facilitate
Consultant's conformance with the Schedule, the Commission shall respond to
Consultant's submittals in a timely manner. Upon request of the Commission, Consultant
shall provide a more detailed schedule of anticipated performance to meet the Audit
Schedule.
3.4 Independent Contractor; Control and Payment of Subordinates. The
Services shall be performed by Consultant under its supervision. Consultant will
determine the means, method and details of performing the Services subject to the
requirements of this Agreement. Commission retains Consultant on an independent
contractor basis and Consultant is not an employee of Commission. Consultant retains
the right to perform similar or different services for others during the term of this
Agreement. Any additional personnel performing the Services under this Agreement on
behalf of Consultant shall not be employees of Commission and shall at all times be under
Consultant's exclusive direction and control. Consultant shall pay all wages, salaries, and
other amounts due such personnel in connection with their performance of Services under
this Agreement and as required by law. Consultant shall be responsible for all reports
and obligations respecting such additional personnel, including, but not limited to: social
security taxes, income tax withholding, unemployment insurance, and workers'
compensation insurance.
3.5 Conformance to Applicable Requirements. All work prepared by
Consultant shall be subject to the approval of Commission.
3.6 Substitution of Key Personnel. Consultant has represented to
Commission that certain key personnel will perform and coordinate the Services under
this Agreement. Should one or more of such personnel become unavailable, Consultant
may substitute other personnel of at least equal competence and experience upon written
approval of Commission. In the event that Commission and Consultant cannot agree as
to the substitution of key personnel, Commission shall be entitled to terminate this
Agreement for cause, pursuant to provisions of Section 3.16 of this Agreement. The key
2
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personnel for performance of this Agreement are as follows: Andrea Jayasekara, Sam
Parera, Mariana Beuchat, Cameron Gelinas, and Sage Mohan.
3.7 Commission’s Representative. Commission hereby designates the
Chief Financial Officer, or his or her designee, to act as its representative for the
performance of this Agreement ("Commission’s Representative"). Commission's
representative shall have the power to act on behalf of Commission for all purposes under
this Agreement. Consultant shall not accept direction from any person other than
Commission's Representative or his or her designee.
3.8 Consultant’s Representative. Consultant hereby designates Andrea
Jayasekara, or his or her designee, to act as its representative for the performance of this
Agreement ("Consultant’s Representative"). Consultant’s Representative shall have full
authority to represent and act on behalf of the Consultant for all purposes under this
Agreement. The Consultant’s Representative shall supervise and direct the Services,
using his or her best skill and attention, and shall be responsible for all means, methods,
techniques, sequences and procedures and for the satisfactory coordination of all
portions of the Services under this Agreement.
3.9 Coordination of Services. Consultant agrees to work closely with
Commission staff in the performance of Services and shall be available to Commission's
staff, consultants and other staff at all reasonable times.
3.10 Standard of Care; Licenses. Consultant shall perform the Services
under this Agreement in a skillful and competent manner, consistent with the standard
generally recognized as being employed by professionals in the same discipline in the
State of California. Consultant represents and maintains that it is skilled in the
professional calling necessary to perform the Services. Consultant warrants that all
employees and subcontractors shall have sufficient skill and experience to perform the
Services assigned to them. Finally, Consultant represents that it, its employees and
subcontractors have all licenses, permits, qualifications and approvals of whatever nature
that are legally required to perform the Services and that such licenses and approvals
shall be maintained throughout the term of this Agreement. Consultant shall perform, at
its own cost and expense and without reimbursement from Commission, any Services
necessary to correct errors or omissions which are caused by the Consultant’s failure to
comply with the standard of care provided for herein, and shall be fully responsible to the
Commission for all damages and other liabilities provided for in the indemnification
provisions of this Agreement arising from the Consultant’s errors and omissions.
3.11 Laws and Regulations. Consultant shall keep itself fully informed of
and in compliance with all local, state and federal laws, rules and regulations in any
manner affecting the performance of the Project or the Services, including all Cal/OSHA
requirements, and shall give all notices required by law. Consultant shall be liable for all
violations of such laws and regulations in connection with Services. If the Consultant
performs any work knowing it to be contrary to such laws, rules and regulations and
without giving written notice to Commission, Consultant shall be solely responsible for all
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costs arising therefrom. Consultant shall defend, indemnify and hold Commission, its
officials, directors, officers, employees and agents free and harmless, pursuant to the
indemnification provisions of this Agreement, from any claim or liability arising out of any
failure or alleged failure to comply with such laws, rules or regulations.
3.12 Insurance.
3.12.1 Time for Compliance. Consultant shall not commence work
under this Agreement until it has provided evidence satisfactory to the Commission that
it has secured all insurance required under this section, in a form and with insurance
companies acceptable to the Commission. In addition, Consultant shall not allow any
subcontractor to commence work on any subcontract until it has secured all insurance
required under this section.
3.12.2 Minimum Requirements. Consultant shall, at its expense,
procure and maintain for the duration of the Agreement insurance against claims for
injuries to persons or damages to property which may arise from or in connection with the
performance of the Agreement by the Consultant, its agents, representatives, employees
or subcontractors. Consultant shall also require all of its subcontractors to procure and
maintain the same insurance for the duration of the Agreement. Such insurance shall
meet at least the following minimum levels of coverage:
(A) Minimum Scope of Insurance. Coverage shall be at
least as broad as the latest version of the following: (1) General Liability: Insurance
Services Office Commercial General Liability coverage (occurrence form CG 0001 or
exact equivalent); (2) Automobile Liability: Insurance Services Office Business Auto
Coverage (form CA 0001, code 1 (any auto) or exact equivalent); and (3) Workers’
Compensation and Employer’s Liability: Workers’ Compensation insurance as required
by the State of California and Employer’s Liability Insurance.
(B) Minimum Limits of Insurance. Consultant shall
maintain limits no less than: (1) General Liability: $2,000,000 per occurrence for bodily
injury, personal injury and property damage. If Commercial General Liability Insurance
or other form with general aggregate limit is used, either the general aggregate limit shall
apply separately to this Agreement/location or the general aggregate limit shall be twice
the required occurrence limit; (2) Automobile Liability: $1,000,000 per accident for bodily
injury and property damage; and (3) if Consultant has an employees, Workers’
Compensation and Employer’s Liability: Workers’ Compensation limits as required by the
Labor Code of the State of California. Employer’s Practices Liability limits of $1,000,000
per accident.
3.12.3 Professional Liability. Consultant shall procure and maintain,
and require its sub-consultants to procure and maintain, for a period of five (5) years
following completion of the Project, errors and omissions liability insurance appropriate to
their profession. Such insurance shall be in an amount not less than $1,000,000 per
claim. This insurance shall be endorsed to include contractual liability applicable to this
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Agreement and shall be written on a policy form coverage specifically designed to protect
against acts, errors or omissions of the Consultant. “Covered Professional Services” as
designated in the policy must specifically include work performed under this Agreement.
The policy must “pay on behalf of” the insured and must include a provision establishing
the insurer's duty to defend.
3.12.4 Insurance Endorsements. The insurance policies shall
contain the following provisions, or Consultant shall provide endorsements on forms
approved by the Commission to add the following provisions to the insurance policies:
(A) General Liability.
(i) Commercial General Liability Insurance must
include coverage for (1) bodily injury and property damage; (2) personal Injury/Advertising
injury; (3) premises/operations liability; (4) products/completed operations liability; (5)
aggregate limits that apply per project; (6) explosion, collapse and underground (UCX)
exclusion deleted; (7) contractual liability with respect to this Agreement; (8) broad form
property damage; and (9) independent consultants coverage.
(ii) The policy shall contain no endorsements or
provisions limiting coverage for (1) contractual liability; (2) cross liability exclusion for
claims or suits by one insured against another; or (3) contain any other exclusion contrary
to this Agreement.
(iii) The policy shall give the Commission, its
directors, officials, officers, employees, and agents insured status using ISO endorsement
forms 20 10 10 01 and 20 37 10 01, or endorsements providing the exact same coverage.
(iv) The additional insured coverage under the
policy shall be “primary and non-contributory” and will not seek contribution from the
Commission’s insurance or self-insurance and shall be at least as broad as CG 20 01 04
13, or endorsements providing the exact same coverage.
(B) Automobile Liability. The automobile liability policy
shall be endorsed to state that: (1) the Commission, its directors, officials, officers,
employees and agents shall be covered as additional insureds with respect to the
ownership, operation, maintenance, use, loading or unloading of any auto owned, leased,
hired or borrowed by the Consultant or for which the Consultant is responsible; and (2)
the insurance coverage shall be primary insurance as respects the Commission, its
directors, officials, officers, employees and agents, or if excess, shall stand in an
unbroken chain of coverage excess of the Consultant’s scheduled underlying coverage.
Any insurance or self-insurance maintained by the Commission, its directors, officials,
officers, employees and agents shall be excess of the Consultant’s insurance and shall
not be called upon to contribute with it in any way.
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(C) Workers’ Compensation and Employers Liability
Coverage.
(i) Consultant certifies that he/she is aware of the
provisions of Section 3700 of the California Labor Code which requires every employer
to be insured against liability for workers’ compensation or to undertake self-insurance in
accordance with the provisions of that code, and he/she will comply with such provisions
before commencing work under this Agreement.
(ii) The insurer shall agree to waive all rights of
subrogation against the Commission, its directors, officials, officers, employees and
agents for losses paid under the terms of the insurance policy which arise from work
performed by the Consultant.
(D) All Coverages.
(i) Defense costs shall be payable in addition to the
limits set forth hereunder.
(ii) Requirements of specific coverage or limits
contained in this section are not intended as a limitation on coverage, limits, or other
requirement, or a waiver of any coverage normally provided by any insurance. It shall be
a requirement under this Agreement that any available insurance proceeds broader than
or in excess of the specified minimum insurance coverage requirements and/or limits set
forth herein shall be available to the Commission, its directors, officials, officers,
employees and agents as additional insureds under said policies. Furthermore, the
requirements for coverage and limits shall be (1) the minimum coverage and limits
specified in this Agreement; or (2) the broader coverage and maximum limits of coverage
of any insurance policy or proceeds available to the named insured; whichever is greater.
(iii) The limits of insurance required in this
Agreement may be satisfied by a combination of primary and umbrella or excess
insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a
provision that such coverage shall also apply on a primary and non-contributory basis for
the benefit of the Commission (if agreed to in a written contract or agreement) before the
Commission’s own insurance or self-insurance shall be called upon to protect it as a
named insured. The umbrella/excess policy shall be provided on a “following form” basis
with coverage at least as broad as provided on the underlying policy(ies).
(iv) Consultant shall provide the Commission at
least thirty (30) days prior written notice of cancellation of any policy required by this
Agreement, except that the Consultant shall provide at least ten (10) days prior written
notice of cancellation of any such policy due to non-payment of premium. If any of the
required coverage is cancelled or expires during the term of this Agreement, the
Consultant shall deliver renewal certificate(s) including the General Liability Additional
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Insured Endorsement to the Commission at least ten (10) days prior to the effective date
of cancellation or expiration.
(v) The retroactive date (if any) of each policy is to
be no later than the effective date of this Agreement. Consultant shall maintain such
coverage continuously for a period of at least three years after the completion of the work
under this Agreement. Consultant shall purchase a one (1) year extended reporting
period A) if the retroactive date is advanced past the effective date of this Agreement; B)
if the policy is cancelled or not renewed; or C) if the policy is replaced by another claims-
made policy with a retroactive date subsequent to the effective date of this Agreement.
(vi) The foregoing requirements as to the types and
limits of insurance coverage to be maintained by Consultant, and any approval of said
insurance by the Commission, is not intended to and shall not in any manner limit or
qualify the liabilities and obligations otherwise assumed by the Consultant pursuant to
this Agreement, including but not limited to, the provisions concerning indemnification.
(vii) If at any time during the life of the Agreement,
any policy of insurance required under this Agreement does not comply with these
specifications or is canceled and not replaced, Commission has the right but not the duty
to obtain the insurance it deems necessary and any premium paid by Commission will be
promptly reimbursed by Consultant or Commission will withhold amounts sufficient to pay
premium from Consultant payments. In the alternative, Commission may cancel this
Agreement. The Commission may require the Consultant to provide complete copies of
all insurance policies in effect for the duration of the Project.
(viii) Neither the Commission nor any of its directors,
officials, officers, employees or agents shall be personally responsible for any liability
arising under or by virtue of this Agreement.
Each insurance policy required by this Agreement shall
be endorsed to state that:
3.12.5 Deductibles and Self-Insurance Retentions. Any deductibles
or self-insured retentions must be declared to and approved by the Commission. If the
Commission does not approve the deductibles or self-insured retentions as presented,
Consultant shall guarantee that, at the option of the Commission, either: (1) the insurer
shall reduce or eliminate such deductibles or self-insured retentions as respects the
Commission, its directors, officials, officers, employees and agents; or, (2) the Consultant
shall procure a bond guaranteeing payment of losses and related investigation costs,
claims and administrative and defense expenses.
3.12.6 Acceptability of Insurers. Insurance is to be placed with
insurers with a current A.M. Best’s rating no less than A:VIII, licensed to do business in
California, and satisfactory to the Commission.
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3.12.7 Verification of Coverage. Consultant shall furnish
Commission with original certificates of insurance and endorsements effecting coverage
required by this Agreement on forms satisfactory to the Commission. The certificates and
endorsements for each insurance policy shall be signed by a person authorized by that
insurer to bind coverage on its behalf. All certificates and endorsements must be received
and approved by the Commission before work commences. The Commission reserves
the right to require complete, certified copies of all required insurance policies, at any
time.
3.12.8 Subconsultant Insurance Requirements. Consultant shall not
allow any subcontractors or subconsultants to commence work on any subcontract until
they have provided evidence satisfactory to the Commission that they have secured all
insurance required under this section. Policies of commercial general liability insurance
provided by such subcontractors or subconsultants shall be endorsed to name the
Commission as an additional insured using ISO form CG 20 38 04 13 or an endorsement
providing the exact same coverage. If requested by Consultant, the Commission may
approve different scopes or minimum limits of insurance for particular subcontractors or
subconsultants.
3.13 Safety. Consultant shall execute and maintain its work so as to avoid
injury or damage to any person or property. In carrying out its Services, the Consultant
shall at all times be in compliance with all applicable local, state and federal laws, rules
and regulations, and shall exercise all necessary precautions for the safety of employees
appropriate to the nature of the work and the conditions under which the work is to be
performed. Safety precautions as applicable shall include, but shall not be limited to: (A)
adequate life protection and life saving equipment and procedures; (B) instructions in
accident prevention for all employees and subcontractors, such as safe walkways,
scaffolds, fall protection ladders, bridges, gang planks, confined space procedures,
trenching and shoring, equipment and other safety devices, equipment and wearing
apparel as are necessary or lawfully required to prevent accidents or injuries; and (C)
adequate facilities for the proper inspection and maintenance of all safety measures.
3.14 Fees and Payment.
3.14.1 Compensation. Consultant shall receive compensation,
including authorized reimbursements, for all Services rendered under this Agreement at
the rates set forth in Exhibit "B" attached hereto. The total compensation shall not exceed
One Hundred Three Thousand Seven Hundred Sixty Dollars ($103,760) without written
approval of Commission's Executive Director (“Total Compensation”). Extra Work may
be authorized, as described below, and if authorized, will be compensated at the rates
and manner set forth in this Agreement.
3.14.2 Payment of Compensation. Consultant shall submit to
Commission a monthly statement which indicates work completed and hours of Services
rendered by Consultant. The statement shall describe the amount of Services and
supplies provided since the initial commencement date, or since the start of the
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subsequent billing periods, as appropriate, through the date of the statement.
Commission shall, within 45 days of receiving such statement, review the statement and
pay all approved charges thereon.
3.14.3 Reimbursement for Expenses. Consultant shall not be
reimbursed for any expenses unless authorized in writing by Commission.
3.14.4 Extra Work. At any time during the term of this Agreement,
Commission may request that Consultant perform Extra Work. As used herein, "Extra
Work" means any work which is determined by Commission to be necessary for the
proper completion of the Project, but which the parties did not reasonably anticipate would
be necessary at the execution of this Agreement. Consultant shall not perform, nor be
compensated for, Extra Work without written authorization from Commission's Executive
Director.
3.15 Accounting Records. Consultant shall maintain complete and
accurate records with respect to all costs and expenses incurred and fees charged under
this Agreement. All such records shall be clearly identifiable. Consultant shall allow a
representative of Commission during normal business hours to examine, audit, and make
transcripts or copies of such records and any other documents created pursuant to this
Agreement. Consultant shall allow inspection of all work, data, documents, proceedings,
and activities related to the Agreement for a period of three (3) years from the date of final
payment under this Agreement.
3.16 Termination of Agreement.
3.16.1 Grounds for Termination. Commission may, by written notice
to Consultant, terminate the whole or any part of this Agreement at any time and without
cause by giving written notice to Consultant of such termination, and specifying the
effective date thereof. Upon termination, Consultant shall be compensated only for those
services which have been fully and adequately rendered to Commission through the
effective date of the termination, and Consultant shall be entitled to no further
compensation. Consultant may not terminate this Agreement except for cause.
3.16.2 Effect of Termination. If this Agreement is terminated as
provided herein, Commission may require Consultant to provide all finished or unfinished
Documents and Data, as defined below, and other information of any kind prepared by
Consultant in connection with the performance of Services under this Agreement.
Consultant shall be required to provide such document and other information within fifteen
(15) days of the request.
3.16.3 Additional Services. In the event this Agreement is terminated
in whole or in part as provided herein, Commission may procure, upon such terms and in
such manner as it may determine appropriate, services similar to those terminated.
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3.17 Delivery of Notices. All notices permitted or required under this
Agreement shall be given to the respective parties at the following address, or at such
other address as the respective parties may provide in writing for this purpose:
CONSULTANT: COMMISSION:
Conrad LLP Riverside County
23161 Lake Center Dr. Transportation Commission
Suite 200 4080 Lemon Street, 3rd Floor
Lake Forest, CA 92630 Riverside, CA 92501
Attn: Andrea Jayasekara Attn: Executive Director
Such notice shall be deemed made when personally delivered or when
mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid
and addressed to the party at its applicable address. Actual notice shall be deemed
adequate notice on the date actual notice occurred, regardless of the method of service.
3.18 Ownership of Materials/Confidentiality.
3.18.1 Documents & Data. This Agreement creates an exclusive and
perpetual license for Commission to copy, use, modify, reuse, or sub-license any and all
copyrights and designs embodied in plans, specifications, studies, drawings, estimates,
materials, data and other documents or works of authorship fixed in any tangible medium
of expression, including but not limited to, physical drawings or data magnetically or
otherwise recorded on computer diskettes, which are prepared or caused to be prepared
by Consultant under this Agreement (“Documents & Data”).
Consultant shall require all subcontractors to agree in writing that
Commission is granted an exclusive and perpetual license for any Documents & Data the
subcontractor prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal
right to grant the exclusive and perpetual license for all such Documents & Data.
Consultant makes no such representation and warranty in regard to Documents & Data
which were prepared by design professionals other than Consultant or provided to
Consultant by the Commission.
Commission shall not be limited in any way in its use of the
Documents & Data at any time, provided that any such use not within the purposes
intended by this Agreement shall be at Commission’s sole risk.
All programs, working papers, files and other materials of the
Consultant made pursuant to this Agreement shall remain the property of the Consultant.
The Commission will have access to this material at any time. All reports delivered by the
Consultant and its subcontractors pursuant to the Agreement shall become the property
of the Commission without restriction or limitation on their use and shall be made available
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upon request, to the Commission at any time. Original copies of the deliverable reports
shall be delivered to the Commission upon completion of the Services or termination of
the Services. The Consultant shall be permitted to retain copies of such items for the
furtherance of its technical proficiency; however, publication of this material is subject to
the written approval of the Commission.
3.18.2 Intellectual Property. In addition, Commission shall have and
retain all right, title and interest (including copyright, patent, trade secret and other
proprietary rights) in all plans, specifications, studies, drawings, estimates, materials,
data, computer programs or software and source code, enhancements, documents, and
any and all works of authorship fixed in any tangible medium or expression, including but
not limited to, physical drawings or other data magnetically or otherwise recorded on
computer media (“Intellectual Property”) prepared or developed by or on behalf of
Consultant under this Agreement as well as any other such Intellectual Property prepared
or developed by or on behalf of Consultant under this Agreement.
The Commission shall have and retain all right, title and interest in
Intellectual Property developed or modified under this Agreement whether or not paid for
wholly or in part by Commission, whether or not developed in conjunction with Consultant,
and whether or not developed by Consultant. Consultant will execute separate written
assignments of any and all rights to the above referenced Intellectual Property upon
request of Commission.
Consultant shall also be responsible to obtain in writing separate
written assignments from any subcontractors or agents of Consultant of any and all right
to the above referenced Intellectual Property. Should Consultant, either during or
following termination of this Agreement, desire to use any of the above-referenced
Intellectual Property, it shall first obtain the written approval of the Commission.
All materials and documents which were developed or prepared by
the Consultant for general use prior to the execution of this Agreement and which are not
the copyright of any other party or publicly available and any other computer applications,
shall continue to be the property of the Consultant. However, unless otherwise identified
and stated prior to execution of this Agreement, Consultant represents and warrants that
it has the right to grant the exclusive and perpetual license for all such Intellectual Property
as provided herein.
Commission further is granted by Consultant a non-exclusive and
perpetual license to copy, use, modify or sub-license any and all Intellectual Property
otherwise owned by Consultant which is the basis or foundation for any derivative,
collective, insurrectional, or supplemental work created under this Agreement.
3.18.3 Confidentiality. All ideas, memoranda, specifications, plans,
procedures, drawings, descriptions, computer program data, input record data, written
information, and other Documents and Data either created by or provided to Consultant
in connection with the performance of this Agreement shall be held confidential by
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Consultant. Such materials shall not, without the prior written consent of Commission, be
used by Consultant for any purposes other than the performance of the Services. Nor
shall such materials be disclosed to any person or entity not connected with the
performance of the Services or the Project. Nothing furnished to Consultant which is
otherwise known to Consultant or is generally known, or has become known, to the
related industry shall be deemed confidential. Consultant shall not use Commission's
name or insignia, photographs of the Project, or any publicity pertaining to the Services
or the Project in any magazine, trade paper, newspaper, television or radio production or
other similar medium without the prior written consent of Commission.
3.18.4 Infringement Indemnification. Consultant shall defend,
indemnify and hold the Commission, its directors, officials, officers, employees,
volunteers and agents free and harmless, pursuant to the indemnification provisions of
this Agreement, for any alleged infringement of any patent, copyright, trade secret, trade
name, trademark, or any other proprietary right of any person or entity in consequence of
the use on the Project by Commission of the Documents & Data, including any method,
process, product, or concept specified or depicted.
3.19 Cooperation; Further Acts. The Parties shall fully cooperate with one
another, and shall take any additional acts or sign any additional documents as may be
necessary, appropriate or convenient to attain the purposes of this Agreement.
3.20 Attorney's Fees. If either party commences an action against the
other party, either legal, administrative or otherwise, arising out of or in connection with
this Agreement, the prevailing party in such litigation shall be entitled to have and recover
from the losing party reasonable attorney's fees and costs of such actions.
3.21 Indemnification. Consultant shall defend, indemnify and hold the
Commission, its directors, officials, officers, agents, consultants, employees and
volunteers free and harmless from any and all claims, demands, causes of action, costs,
expenses, liabilities, losses, damages or injuries, in law or in equity, to property or
persons, including wrongful death, in any manner arising out of or incident to any alleged
negligent acts, omissions or willful misconduct of the Consultant, its officials, officers,
employees, agents, consultants, and contractors arising out of or in connection with the
performance of the Services, the Project or this Agreement, including without limitation,
the payment of all consequential damages, attorneys fees and other related costs and
expenses. Consultant shall defend, at Consultant’s own cost, expense and risk, any and
all such aforesaid suits, actions or other legal proceedings of every kind that may be
brought or instituted against the Commission, its directors, officials, officers, agents,
consultants, employees and volunteers. Consultant shall pay and satisfy any judgment,
award or decree that may be rendered against the Commission or its directors, officials,
officers, agents, consultants, employees and volunteers, in any such suit, action or other
legal proceeding. Consultant shall reimburse the Commission and its directors, officials,
officers, agents, consultants, employees and volunteers, for any and all legal expenses
and costs, including reasonable attorney’s fees, incurred by each of them in connection
therewith or in enforcing the indemnity herein provided. Consultant’s obligation to
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indemnity shall not be restricted to insurance proceeds, if any, received by the
Commission or its directors, officials, officers, agents, consultants, employees and
volunteers. This Section 3.21 shall survive any expiration or termination of this
Agreement.
3.22 Entire Agreement. This Agreement contains the entire Agreement
of the parties with respect to the subject matter hereof, and supersedes all prior
negotiations, understandings or agreements. This Agreement may only be
supplemented, amended, or modified by a writing signed by both parties.
3.23 Governing Law. This Agreement shall be governed by the laws of
the State of California. Venue shall be in Riverside County.
3.24 Time of Essence. Time is of the essence for each and every
provision of this Agreement.
3.25 Commission's Right to Employ Other Consultants. The Commission
reserves the right to employ other consultants in connection with this Project.
3.26 Successors and Assigns. This Agreement shall be binding on the
successors and assigns of the parties, and shall not be assigned by Consultant without
the prior written consent of Commission.
3.27 Prohibited Interests and Conflicts.
3.27.1 Solicitation. Consultant maintains and warrants that it has not
employed nor retained any company or person, other than a bona fide employee working
solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants
that it has not paid nor has it agreed to pay any company or person, other than a bona
fide employee working solely for Consultant, any fee, commission, percentage, brokerage
fee, gift or other consideration contingent upon or resulting from the award or making of
this Agreement. For breach or violation of this warranty, Commission shall have the right
to rescind this Agreement without liability.
3.27.2 Conflict of Interest. For the term of this Agreement, no
member, officer or employee of Commission, during the term of his or her service with
Commission, shall have any direct interest in this Agreement, or obtain any present or
anticipated material benefit arising therefrom.
3.27.3 Conflict of Employment. Employment by the Consultant of
personnel currently on the payroll of the Commission shall not be permitted in the
performance of this Agreement, even though such employment may occur outside of the
employee’s regular working hours or on weekends, holidays or vacation time. Further,
the employment by the Consultant of personnel who have been on the Commission
payroll within one year prior to the date of execution of this Agreement, where this
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employment is caused by and or dependent upon the Consultant securing this or related
Agreements with the Commission, is prohibited.
3.27.4 Employment Adverse to the Commission. Consultant shall
notify the Commission, and shall obtain the Commission’s written consent, prior to
accepting work to assist with or participate in a third-party lawsuit or other legal or
administrative proceeding against the Commission during the term of this Agreement.
3.28 Equal Opportunity Employment. Consultant represents that it is an
equal opportunity employer and it shall not discriminate against any employee or
applicant for employment because of race, religion, color, national origin, ancestry, sex
or age. Such non-discrimination shall include, but not be limited to, all activities related
to initial employment, upgrading, demotion, transfer, recruitment or recruitment
advertising, layoff or termination. Consultant shall also comply with all relevant provisions
of Commission's Disadvantaged Business Enterprise program, Affirmative Action Plan or
other related Commission programs or guidelines currently in effect or hereinafter
enacted.
3.29 Subcontracting. Consultant shall not subcontract any portion of the
work or Services required by this Agreement, except as expressly stated herein, without
prior written approval of the Commission. Subcontracts, if any, shall contain a provision
making them subject to all provisions stipulated in this Agreement.
3.30 Reserved.
3.31 Employment of Apprentices. This Agreement shall not prevent the
employment of properly indentured apprentices in accordance with the California Labor
Code, and no employer or labor union shall refuse to accept otherwise qualified
employees as indentured apprentices on the work performed hereunder solely on the
ground of race, creed, national origin, ancestry, color or sex. Every qualified apprentice
shall be paid the standard wage paid to apprentices under the regulations of the craft or
trade in which he or she is employed and shall be employed only in the craft or trade to
which he or she is registered.
3.32 No Waiver. Failure of Commission to insist on any one occasion
upon strict compliance with any of the terms, covenants or conditions hereof shall not be
deemed a waiver of such term, covenant or condition, nor shall any waiver or
relinquishment of any rights or powers hereunder at any one time or more times be
deemed a waiver or relinquishment of such other right or power at any other time or times.
3.33 Eight-Hour Law. Pursuant to the provisions of the California Labor
Code, eight hours of labor shall constitute a legal day's work, and the time of service of
any worker employed on the work shall be limited and restricted to eight hours during any
one calendar day, and forty hours in any one calendar week, except when payment for
overtime is made at not less than one and one-half the basic rate for all hours worked in
excess of eight hours per day ("Eight-Hour Law"), unless Consultant or the Services are
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not subject to the Eight-Hour Law. Consultant shall forfeit to Commission as a penalty,
$50.00 for each worker employed in the execution of this Agreement by him, or by any
sub-consultant under him, for each calendar day during which such workman is required
or permitted to work more than eight hours in any calendar day and forty hours in any one
calendar week without such compensation for overtime violation of the provisions of the
California Labor Code, unless Consultant or the Services are not subject to the Eight-
Hour Law.
3.34 Subpoenas or Court Orders. Should Consultant receive a subpoena
or court order related to this Agreement, the Services or the Project, Consultant shall
immediately provide written notice of the subpoena or court order to the Commission.
Consultant shall not respond to any such subpoena or court order until notice to the
Commission is provided as required herein, and shall cooperate with the Commission in
responding to the subpoena or court order.
3.35 Survival. All rights and obligations hereunder that by their nature are
to continue after any expiration or termination of this Agreement, including, but not limited
to, the indemnification and confidentiality obligations, and the obligations related to receipt
of subpoenas or court orders, shall survive any such expiration or termination.
3.36 No Third Party Beneficiaries. There are no intended third party
beneficiaries of any right or obligation assumed by the Parties.
3.37 Labor Certification. By its signature hereunder, Consultant certifies
that it is aware of the provisions of Section 3700 of the California Labor Code which
require every employer to be insured against liability for Workers’ Compensation or to
undertake self-insurance in accordance with the provisions of that Code, and agrees to
comply with such provisions before commencing the performance of the Services.
3.38 Counterparts. This Agreement may be signed in counterparts, each
of which shall constitute an original.
3.39 Incorporation of Recitals. The recitals set forth above are true and
correct and are incorporated into this Agreement as though fully set forth herein.
3.40 Invalidity; Severability. If any portion of this Agreement is declared
invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the
remaining provisions shall continue in full force and effect.
3.41 Conflicting Provisions. In the event that provisions of any attached
exhibits conflict in any way with the provisions set forth in this Agreement, the language,
terms and conditions contained in this Agreement shall control the actions and obligations
of the Parties and the interpretation of the Parties’ understanding concerning the
performance of the Services.
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3.42 Headings. Article and Section Headings, paragraph captions or
marginal headings contained in this Agreement are for convenience only and shall have
no effect in the construction or interpretation of any provision herein.
3.43 Assignment or Transfer. Consultant shall not assign, hypothecate,
or transfer, either directly or by operation of law, this Agreement or any interest herein,
without the prior written consent of the Commission. Any attempt to do so shall be null
and void, and any assignees, hypothecates or transferees shall acquire no right or interest
by reason of such attempted assignment, hypothecation or transfer.
3.44 Authority to Enter Agreement. Consultant has all requisite power and
authority to conduct its business and to execute, deliver, and perform the Agreement.
Each Party warrants that the individuals who have signed this Agreement have the legal
power, right, and authority to make this Agreement and bind each respective Party.
[SIGNATURES ON FOLLOWING PAGE]
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SIGNATURE PAGE
TO
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE WESTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND THE MEMBER AGENCIES
OF THE
WESTERN RIVERSIDE COUNTY
REGIONAL CONSERVATION AUTHORITY
WITH CONRAD LLP
IN WITNESS WHEREOF, this Agreement was executed on the date first
written above.
RIVERSIDE COUNTY
TRANSPORTATION COMMISSION CONRAD LLP
By: _________________________ By: ____________________________
Anne Mayer Signature
Executive Director
__________________________
Name
__________________________
Title
Approved as to Form: Attest:
By:____________________________ By: ________________________
Best Best & Krieger LLP Its: Secretary
General Counsel
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EXHIBIT "A"
STATEMENT OF SERVICES
[TO BE INSERTED BEHIND THIS PAGE]
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Statement of Services
A. General
The Riverside County Transportation Commission (RCTC), as the transportation planning agency
for Riverside County and the managing agency for the Western Riverside County Regional
Conservation Authority (RCA), is issuing this Request for Proposal in order to secure services
from a Consultant(s) of certified public accountants to perform for the fiscal years ending June
30, 2021, 2022, and 2023, with the option of performing such services for three (3) additional one-
year terms:
Financial and compliance audits of RCTC’s Transportation Development Act (TDA)
claimants for transit (including funding from Local Transportation Fund (LTF) Article 4,
State Transit Assistance (STA), State of Good Repair (SGR), Low Carbon Transit
Operations Program (LCTOP), and Proposition 1B);
Financial and compliance audits of RCTC’s TDA claimants for bicycle and pedestrian
projects (consisting of funding from LTF Article 3);
Agreed-upon procedures similar to those proposed in Appendix A, Section G, for RCTC’s
Measure A recipients of local streets and roads (LSR) funding;
Agreed-upon procedures similar to those proposed in Appendix A, Section H, for RCTC’s
Measure A recipients of specialized transit funding; and
Agreed upon procedures similar to those proposed in Appendix A, Section I, for RCA’s
Member Agencies related to the collection and remittance of mitigation fees in accordance
with each Member Agency’s Multiple Species Habitat Conservation Plan (MSHCP)
Ordinance (with amendments).
Measure A Agreed Upon Procedures
The Measure A Specialized Transit Agreed-Upon Procedures apply to Western County non-
profit and community organizations awarded funding for specialized transit services for a three-
year period through a competitive call for projects. The FY 2020/21 funding awarded at RCTC’s
April 11, 2018 meeting represents the final year of the FY 2018/19 – 2020/21 Call for Projects.
Staff expects that the awards for the FY 2021/22 – 2023/24 Call for Projects will be approved by
RCTC at the April 14, 2021 meeting, as noted in the FY 2021/22 – 2023/24 Measure A Specialized
Transit Call for Projects Guidelines presented at the January 13, 2021 RCTC meeting. FY
2024/25 – FY 2025/26 funding will be determined by the FY 2024/25 – 2026/27 Call for Projects
to be awarded in Spring 2024.
The Measure A LSR Agreed-Upon Procedures apply to all eligible cities in Riverside County
and the County of Riverside. Measure A LSR funding is allocated and disbursed monthly to the
cities and the County of Riverside, as specified in Measure A. RCTC does not currently anticipate
any incorporations or dis-incorporations of cities that would result in a change in Measure A LSR
recipients. Currently, all cities and the County of Riverside meet the eligibility requirements that
include:
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Participation in the Western County or Coachella Valley Transportation Uniform Mitigation
Fee (TUMF) Program, as applicable;
Participation in the RCA’s MSHCP, as applicable;
Annual submittal of a 5-Year Capital Improvement Plan (CIP) list of projects;
Annual Maintenance of Effort certification; and
Annual Project Status Report for the prior fiscal year CIP.
Transportation Development Act Audits
The TDA Transit audits will be performed for the municipal transit operators in the Western
County cities of Banning, Beaumont, Corona, and Riverside. TDA Transit operating and capital
allocations are approved annually by RCTC in June based on the submittal of each transit
operator’s Short-Range Transit Plan. The transit operators also may unexpended Proposition 1B
funding for capital/rehabilitation and/or security projects received through Caltrans and the
California Office of Emergency Services (CalOES), respectively.
The TDA Bicycle and Pedestrian audits apply to local jurisdictions awarded funding by RCTC
for bicycle and pedestrian projects through a biennial competitive call for projects. Local
jurisdictions generally have two years to complete projects, including those projects approved in
the FY 2019/20 Call for Projects at RCTC’s June 12, 2019 meeting. However, as per revised
guidelines approved by RCTC at its January 13, 2021 meeting effective with the FY 2021/22 Call
for Projects to be awarded at the June 9, 2021 RCTC meeting, local jurisdictions will now have
three years to complete projects. Claimants may request disbursement of their allocations by
RCTC on a reimbursement basis in accordance with RCTC’s policies. Accordingly, the TDA
Bicycle and Pedestrian audits are dependent on claims for expenditures of such funds.
MSHCP Agreed Upon Procedures
The MSHCP Agreed-Upon Procedures are required for local jurisdictions that are signatories to
the Joint Exercise of Powers Agreement forming the RCA. They include the 18 Western County
cities and the County of Riverside. The Member Agencies form the independent RCA Board of
Directors to acquire, administer, operate, and maintain land and facilities to establish habitat
reserves for the conservation and protection of species covered by the MSHCP and to implement
the MSHCP.
At its December 7, 2020 meeting, the RCA adopted the 2020 Nexus Study and increase in Local
Development Mitigation Fees (LDMF). The LDMF increase is effective in two phases. The first
phase, an increase of 50%, is effective July 1, 2021. The second phase, full implementation, is
effective January 1, 2022. Member Agencies must prepare an ordinance and resolution to be
considered and approved by the city council (Board of Supervisors in the case of the County of
Riverside) in time to implement the new fee by July 1, 2021. Final action of the city council/Board
of Supervisors must be no later than May 2, 2021 to ensure the new ordinance takes effect by
July 1, 2021 in accordance with California Government Code Section 66017. Per the
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Implementing Agreement with the cities and the County of Riverside signed, the cities and County
must adopt the ordinance, “in substantially the same form or at a minimum, containing the same
requirements as the model ordinance,” adopted by the RCA Board of Directors.
Anticipated Changes in Audit and Attestation Services
RCTC does not anticipate any change in the local jurisdictions subject to TDA Transit audit and
Measure A LSR attestation services; RCA does not anticipate any change in the local jurisdictions
subject to MSHCP attestation services. The agencies requiring Measure A Specialized Transit
and the local jurisdictions requiring TDA Bicycle and Pedestrian audits will be determined each
year based on actual disbursements.
The Chief Financial Officer is designated as the coordinator of the work and may appoint a
Finance Department staff to coordinate day-to-day oversight. The Chief Financial Officer will
serve as the liaison to the audit oversight committee designated by RCTC and the Executive
Committee designated by RCA.
The audits are to be performed by the Consultant(s) in accordance with generally accepted
auditing standards, including use of the most current version of each of the following standards
and guidelines:
American Institute of Certified Public Accountants audit and attestation standards;
General Accounting Office’s (GAO) Government Auditing Standards;
Measure A conformance requirements (Section I);
Transit requirements (Section J); and
MSHCP requirements (Section K).
B. Scope of Work to be Performed
The selected Consultant(s) will be required to perform the following tasks:
Audit of the transit and transportation financial statements of the jurisdictions receiving
TDA funds in accordance with auditing standards generally accepted in the United States
of America; the standards applicable to financial audits contained in Government Auditing
Standards, issued by the Comptroller General of the United States; the TDA as
summarized in the TDA Guidebook; and SGR, LCTOP, and Proposition 1B audit
guidelines specified by Caltrans and CalOES.
Performance of agreed-upon procedures similar to those listed in Section F solely to assist
RCTC in evaluating the applicable jurisdictions’ Measure A transportation funds and
degree of their compliance with RCTC’s requirements of the Measure A LSR program.
RCTC reserves the right to modify the agreed-upon procedures as deemed necessary to
fulfill its oversight responsibilities for the Measure A LSR program.
Performance of agreed-upon procedures similar to those listed in Section G solely to
assist RCTC in evaluating the applicable jurisdictions’/agencies’ Measure A specialized
transit funds and degree of their compliance with RCTC’s requirements of the Measure A
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specialized transit program. RCTC reserves the right to modify the agreed-upon
procedures as deemed necessary to fulfill its oversight responsibilities for the Measure A
Specialized Transit program.
Performance of agreed-upon procedures similar to those listed in Section H solely to assist
RCA in evaluating if fees are collected and remitted in accordance with each Member
Agency’s MSHCP Mitigation Fee Ordinance (with amendments). RCTC reserves the right
to modify the agreed-upon procedures as deemed necessary to fulfill its oversight
responsibilities for the MSHCP, including RCA changes to the LDMF affecting Member
Agency MSHCP Mitigation Fee Ordinances and adoption of a related resolution.
C. Deliverables
Following completion of the audits and agreed-upon procedures and a review of the draft reports
by RCTC, the Consultant(s) shall issue:
A report on the fair presentation of the financial statements for the TDA claimants in
conformity with generally accepted accounting principles and on compliance and internal
control.
A report on the agreed-upon procedures related to the Measure A recipients of LSR
funding.
A report on the agreed-upon procedures related to the Measure A recipients of specialized
transit funding.
A report on the agreed-upon procedures related to the MSHCP fee collection and
remittance.
Drafts of the reports will be provided to RCTC staff and the applicable TDA claimant, Measure A
recipient, or Member Agency. The Chief Financial Officer or designee shall review and approve
each report prior to issuance.
For each report issued to RCTC, the Consultant shall issue one PDF copy to RCTC and one PDF
to the applicable TDA claimant or Measure A recipient, as applicable.
For each report issued to RCA, the Consultant shall print three (3) copies and issue one PDF
copy to RCA.
Financial and Compliance Reports
The Consultant will submit a financial and compliance report for each TDA audit. The Consultant
will be responsible for the preparation, editing, and printing of all financial and compliance reports,
including the financial statements and notes to the financial statements. Although the Consultant
will prepare the financial statements, management of the TDA Claimant is responsible for the
financial statements.
Agreed-Upon Procedures
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The Consultant will submit a report for each Measure A recipient or Member Agency, as
applicable, listing the procedures performed, results of procedures performed, and findings, if any.
The Consultant will be responsible for preparation, editing, and printing of all agreed-upon
procedure reports.
D. Required Communications
Significant Deficiencies – In the required reports on compliance and internal controls, the
Consultant shall communicate any significant deficiencies found during the audit of the TDA
claimants. A significant deficiency shall be defined as a control deficiency, or combination of
control deficiencies, that adversely affects the entity’s ability to initiate, authorize, record, process,
or report financial data reliably in accordance with generally accepted accounting principles such
that there is more than a remote likelihood that a misstatement of the entity’s financial statements
that is more than inconsequential will not be prevented or detected by the entity’s internal control.
Significant deficiencies that are also material weaknesses shall be identified as such in the report.
Other control deficiencies discovered by the Consultant may be reported in a separate letter to
management, which shall be referred to in the reports on compliance and internal controls.
The report on compliance and internal controls shall include all material instances of
noncompliance. All nonmaterial instances of noncompliance may be reported in a separate
management letter, which shall be referred to in the report on compliance and internal controls.
Irregularities and illegal acts – The Consultant shall be required to make an immediate, written
report of all irregularities and illegal acts or indication of illegal acts of which they become aware
to the jurisdiction/agency and RCTC’s/RCA’s audit oversight committee, Executive Director, and
Chief Financial Officer.
Planning meetings – The Consultant shall meet with RCTC staff at least once a year prior to the
commencement of the audits and agreed-upon procedures.
E. Audit Schedule
The work to be performed at the jurisdictions and agencies shall be arranged by the Consultant
with the individual jurisdiction or agency after the conclusion of a planning meeting with RCTC
and RCTC’s issuance of audit notification letters to each jurisdiction and agency.
The RCTC work should be scheduled for no later than November 15 of each year. Barring
unforeseen circumstances, the Consultant must conduct the work activities and provide all
required reports and information to RCTC no later than December 31 of each year. The TDA
audits are required to be submitted to the State Controller by December 31 of each year; however,
an extension may be granted by RCTC for no more than 90 days. RCTC’s policy for Measure A
reports follows the TDA requirement; however, a formal extension is generally not issued.
RCA is required to annually certify to RCTC by June 30 that local jurisdictions participating in the
MSHCP comply with the MSHCP participation requirements to collect and remit fees in
accordance with each Member Agency’s MSHCP Ordinance (with amendments). Accordingly,
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the RCA requires all agreed-upon procedures reports to be issued by February 28 in the year
following the fiscal year for which the agreed-upon procedures are performed.
The Consultant shall keep RCTC apprised at least monthly on the status of the audits and any
issues which have been encountered. RCTC will provide assistance, to the extent necessary
and/or possible, to resolve such issues. If circumstances outside the control of the Consultant or
RCTC or the RCA arise and the deadline cannot be met, both parties agree to communicate the
circumstances and develop an action plan.
F. Measure A Proposed Local Streets and Roads Agreed-Upon Procedures (Proposed)
1. Review the 2009 Measure A (Ordinance 02-001) compliance requirements. Western
County jurisdictions are required to participate in the Transportation Uniform Mitigation
Fee (TUMF) program and in the Multi-Species Habitat Conservation Plan (MSHCP),
which are administered by the Western Riverside Council of Governments (WRCOG)
and the Western Riverside County Regional Conservation Authority (RCA),
respectively. Coachella Valley jurisdictions are required to participate in the TUMF
program administered by the Coachella Valley Association of Governments (CVAG).
Indicate participation in TUMF and/or MSHCP programs.
2. Obtain from RCTC the approved Five-Year Capital Improvement Plan (CIP) for the
fiscal year.
3. Obtain from the jurisdiction a detail general ledger and balance sheet for the fiscal
year.
a. Identify the amount of Measure A cash and investments recorded at the end of the
fiscal year. Compare amount to Measure A fund balance and provide an
explanation for any differences greater than 25% of fund balance.
b. Identify any amounts due from other funds.
c. Identify the components of ending fund balance for the Measure A activity (e.g.,
nonspendable, restricted, assigned, committed, unassigned) [and for County of
Riverside only by geographic area].
i. Identify the existence of any restatement of Measure A fund balance; inquire
of management as to the reason for any restatement and provide a summary
of the restatement items.
ii. Compare ending fund balance to total revenues for the current year and prior
two years. If ending fund balance is greater than sum of total revenues for the
three-year period, inquire of management as to the reason(s) for the
accumulation of fund balance (e.g., status of specific projects included in the
5-Year CIP).
4. Obtain an operating statement for the Measure A activity for the fiscal year, including
budget amounts; include the operating statement as an exhibit to the report.
a. Review the revenues in the operating statement.
i. Inquire of management as to what fund is used to record Measure A revenues
received from RCTC and identify what the total revenues were for the fiscal
year.
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ii. Obtain from RCTC a listing of Measure A payments to the jurisdiction.
1. Compare the Measure A sales tax revenues recorded by the jurisdiction to
the listing of payments made by RCTC. [Use gross amounts paid by RCTC]
iii. Obtain from the jurisdiction an interest allocation schedule for the fiscal year.
1. Identify the allocation amount of interest income to Measure A activity and
what the amount of interest income was for the fiscal year. If no interest
was allocated, inquire of management as to reason for not allocating
interest income.
b. Review the expenditures in the operating statement.
i. Inquire of management as to what fund is used to record Measure A
expenditures and what the total expenditures were for the fiscal year.
ii. Select expenditures for testing that comprise at least 20% of the total
expenditures.
1. For the expenditures selected for testing, compare the dollar amount listed
on the general ledger to the supporting documentation.
2. For the expenditures selected for testing, review the 5-Year CIP and note
if the project is included in the 5-Year CIP and is an allowable cost.
iii. Inquire of management as to the nature of any transfers in or out recorded in
the Measure A fund. For any transfers out, determine if nature of transfer out
was included in the 5-Year CIP.
iv. Inquire of management as to the amount of general or non-project-related
indirect costs, if any, included in expenditures. If indirect costs exceed 8% of
Measure A revenue, inquire of management as to the basis for indirect costs
charged to Measure A. If indirect costs are identified, determine if such costs
are included in the 5-Year CIP.
v. Inquire of management as to the amount of debt service expenditures recorded
in the Measure A fund and determine is such costs are included in the 5-Year
CIP.
5. Obtain from RCTC a listing of jurisdictions who participate in the Western County or
Coachella Valley TUMF programs.
a. If the jurisdiction is a participant in the TUMF program, select at least one
disbursement for validation as to the amount remitted to WRCOG or CVAG, as
applicable.
b. Indicate the total amount of TUMF fees collected and remitted during the fiscal
year.
6. Obtain from RCTC a listing of jurisdictions who participate in the Western County
MSHCP program.
a. If the jurisdiction is a participant in the MSHCP program, select at least one
disbursement for validation as to the amount remitted to RCA, as applicable.
b. Inquire of management as to the existence of any fees collected in prior years and
not remitted to RCA as of the end of the fiscal year.
c. Indicate the total amount of MSHCP fees collected and remitted during the fiscal
year.
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7. Obtain from RCTC the MOE base year requirement, including supporting detail of the
calculations for its city/County, and the carryover amount allowed as of the beginning
of the fiscal year.
a. Obtain from the city/County a calculation of its current year MOE amount in the
format similar to its base year calculation. Attach a copy of the calculation
worksheet provided by the city/County as an exhibit to the report.
b. Compare the current year MOE amounts from the General Fund to the general
ledger.
c. Review the General Fund general ledger to determine if there were any transfers
in to fund any MOE amounts.
d. Compare the amount of current year MOE expenditures to the MOE base
requirement and add any excess to, or subtract any deficiency from, the carryover
amount.
e. If the amount of discretionary funds spent is less than the MOE base requirement
(MOE deficiency), determine the amount of any prior year MOE carryover using
the information obtained from RCTC and reduce the MOE deficiency by any
available MOE carryover to determine an adjusted current year expenditure
amount.
G. Measure A Proposed Specialized Transit Agreed-Upon Procedures (Proposed)
1. Obtain specialized transit grant funding agreement from RCTC, including exhibit of
budget submitted with funding application, matching requirements, and any budget
modifications subsequently approved by RCTC.
a. Inquire of management as to the accounting and identification of Measure A
funded programs.
b. Inquire of management as to whether the accounting of Measure A funds received
by the Agency were accounted for separately or commingled with other programs
and/or funding sources.
2. Obtain monthly reporting package for third, sixth, ninth, and last months of the annual
reporting period and revenue and expense amounts for the fiscal year from the general
ledger.
a. Recalculate totals on reporting packages.
b. Inquire of management as to the accomplishment of the applicable program goals
and source of documentation for accomplishing program goals. Agree third, sixth,
and ninth month reports provided by RCTC to source documents from Agency as
to total passenger one-way trips made or number of people served.
c. Include a summary of revenues and expenses from the general ledger for the fiscal
year compared to budgeted amounts (present in format of monthly reporting
package) as an exhibit (Exhibit A).
d. For the exhibit summary of revenues and expenses, calculate variances of
budgeted expense amounts compared to actual amounts in terms of dollars and
percentages. For expense variances greater than 25%, inquire of management
as to the existence of approval from RCTC. Determine if budgeted amounts per
Exhibit A are consistent with the current Commission-approved budget.
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e. For the exhibit summary of revenues and expenses, calculate the variance of total
budgeted expenses compared to actual total expenses in terms of dollars and
percentage.
i. If the variance is greater than 20%, inquire of management why the actual total
expenses were less than the budgeted total expenses.
f. List the total revenues and expenses from the final fiscal year reporting package
(“Check Sum” tab) and calculate the difference between funding received and
expenses/capital expenditures incurred as per Exhibit A. For any variances, inquire
of management as to the nature of the changes in originally reported revenues
and/or expenses.
3. Determine if funding agreement includes requirement for matching contributions. If
agency was required to provide matching contributions, perform the following
procedures:
a. Review RCTC’s policy on qualifying in-kind matching contributions.
b. Inquire of management how matching requirements per the funding agreement
were satisfied (i.e., sources) and what the total dollar value was for cash match
and for in-kind matching contributions. Indicate if cash and in-kind matching
amounts were not met, met, or exceeded, as applicable.
i. If match was not met based on budget match requirement, compare actual
Measure A revenues to budgeted Measure A revenues. If full amount of
budgeted Measure A was not received, the minimum match requirement
should also be reduced by a proportionate amount in order to determine the
adjusted match requirement.
ii. If adjusted match requirement was not met, inquire of management as to
explanation for shortfall in meeting adjusted match requirement.
c. If source of match was in-kind contributions, inquire of management as to the
following:
i. If such contributions were made by a third party.
ii. If such third party contributions were related to property or services which
benefited the project or program and which were contributed by third parties
without charge to the grantee, or through a modified cost arrangement;
iii. If such contributions were necessary and reasonable for the efficient
accomplishment of program objectives; and
iv. If using volunteer time, a tracking method existed to identify when donated
services were provided.
d. For in-kind matching contributions presented on the third, sixth, and ninth month
reporting packages, compare such contribution amounts to supporting
documentation provided by the third party.
e. Inquire of management if any loans were obtained or lines of credit utilized to pay
Measure A program expenses.
i. If such indebtedness was incurred, inquire of management as to the amount
and if such amount is reflected in revenues as a cash match.
4. Obtain amount of Measure A funds disbursed to Agency from RCTC for specialized
transit grant purposes for the fiscal year.
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a. Agree amount from RCTC to amount recorded by the agency.
5. Obtain a summary of expenses (Personnel, Operating, Capital) by major line item
incurred by the Agency related to the specialized transit grant; include summary as an
exhibit (Exhibit A) to the report.
a. Inquire of management how Measure A expenses are recorded (i.e., direct costs,
allocations, or indirect costs).
b. Inquire of management as to the existence of any unreported expenses related to
the Measure A specialized transit program provided by the Agency. If amounts
are not reported, obtain a summary of such amounts and inquire of management
as to why such amounts are not reported.
c. Select one pay period from personnel expenses for testing.
d. Select operating expenses for testing that comprise at least 20% of the total
expenses.
e. Select all capital expenditures for testing.
f. For the expenses/capital expenditures selected for testing, compare the dollar
amount listed on the general ledger to the supporting documentation. Additionally,
for personnel expenses, agree hours charged to Measure A specialized transit
activities to approved timesheet or other documentation.
g. For the expenses/capital expenditures selected for testing, compare the type of
expense to the allowable costs included in the funding agreement.
h. Compare the summary of expenses/capital expenditures by major line item to the
budget included in the funding agreement and note any variances.
i. Inquire of management as to the amount of indirect or overhead costs, if any,
included in expenses and compare amount to the budget included in the funding
agreement.
6. Inquire of management as to the existence of any temporarily restricted net assets or
deferred revenues as of the end of the fiscal year related to the Measure A funded
program.
a. Obtain a copy of approval letter from RCTC, if applicable, for the carryover of such
balances.
b. If temporarily restricted net assets or deferred revenues exist as of the end of the
fiscal year, inquire of management as to source of funds responsible for generating
such balances.
7. Review the prior year’s report and note the existence of any temporarily restricted net
assets or deferred revenues as of the end of the prior fiscal year; inquire of
management if such amount was used to reduce the current fiscal year disbursements
of Measure A to the Agency.
8. Inquire of management as to the rating of the Agency’s insurer for commercial general
liability insurance, business automobile liability insurance, and worker’s compensation
insurance.
H. MSHCP Member Agency Agreed-Upon Procedures (Proposed, subject to
change due to requirement to adopt new ordinance and resolution)
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1. Obtain any updates to the Member Agency’s ordinance for collection of the MSHCP
fees.
2. Upon obtaining the updates, determine if the ordinance is in accordance with the
MSHCP Implementing Agreement and Joint Powers Agreement.
3. Determine if fees on the building permits are collected in accordance with the Member
Agency ordinance.
4. Obtain the schedule of fees collected on MSHCP building permits for the year ended
June 30, 202X.
5. Obtain a listing of building permits issued during the year ended June 30, 202X.
Identify the new construction and commercial/industrial permits. Select for testing
10% of new construction and commercial/industrial building permits, selecting no less
than 25 permits or 100% of permits if total permits for new construction and
commercial/industrial is less than 25.
6. Recalculate the fees collected by the Member Agency on building permits to determine
if they are correct and if the correct amounts have been remitted to the RCA. If fees
are incorrect, determine the fees that should have been collected and remitted.
7. Determine if fees collected on building permits were remitted to the RCA within 90
days of the earlier of the date they were collected or should have been collected.
8. Determine additional amounts, if any, which should be returned to the Member Agency
for building permits.
9. If amounts are due to the RCA on building permits, calculate interest owed, based on
the RCA’s Resolution No. 07-04 adopted on September 10, 2007, using the interest
rate paid by Riverside County (County) Treasury on amounts held by the County.
10. Obtain a list of all construction (civic and infrastructure) contracts awarded by the
Member Agency during the fiscal year. Select a sample of 10% of the contracts for
testing, selecting no less than three contracts, or 100% of contracts if the total number
of contracts is less than three.
11. Compute the amount of MSHCP fees on the civic and infrastructure contracts that
should have been remitted.
12. Determine if the MSHCP fees on the civic and infrastructure contracts were remitted
to the RCA within 90 days of contract award.
13. Determine additional amounts on civic and infrastructure contracts, if any, which
should be remitted to the RCA or returned to the Member Agency.
14. If additional amounts are due to the RCA on civic and infrastructure contracts,
calculate interest owed, using the interest rate paid County Treasury on amounts held
by the County.
I. Measure A Recipient Conformance Requirements
1. Allowable Costs. Measure A funds may only be used for transportation purposes
including the administration of Division 25 including legal actions related thereto; the
construction, capital acquisition, maintenance, and operation of streets, roads,
highways including state highways and public transit systems; and for related
purposes. These purposes include expenditures for the planning, environmental
reviews, engineering and design costs, and related right-of-way acquisition.
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a. Eligible local street and road projects costs include any engineering, capital, or
maintenance cost. Decisions on projects are to be made by local jurisdictions
subject to Capital Improvement Program requirements.
i. Annual budget reflecting the local government or agency’s anticipated receipts
and expenditures should be prepared and submitted to RCTC upon approval
by the governing board. The data contained in the capital improvement plans
submitted to RCTC should be included in the recipient’s budgets. These
budgets allow for proper evaluation by RCTC of the recipient’s activities on an
annual basis. (Policy adopted May 8, 1991)
b. Eligible transit programs include special discount fares for seniors and
handicapped people, commuter bus services, funding for computer assisted
rideshare programs, and “seed” programs to encourage the creation of vanpools.
Additionally, funds will be used to provide further reductions for the truly needy and
to expand existing services and implement new services. Bus capital replacement
and additional bus service may also be an eligible program within the Coachella
Valley, subject to a determination of funding by the Coachella Valley Association
of Governments (CVAG).
2. Maintenance of Effort (MOE). Additional funds provided under Measure A are
intended to supplement existing local revenues being used for transportation
purposes. Government agencies shall maintain their existing commitment of local
funds for street highway and public transit purposes pursuant to Measure A.
a. The local cities and the County shall annually submit to RCTC a list of the proposed
uses for these funds and a certification that the MOE requirement is being met. If
in any fiscal year, the maintenance of effort requirement is not met, the agency
shall not be eligible for any Measure A funds in the following fiscal year. Such
funds shall be distributed to the remaining local governments using the formula for
the area.
i. Agencies may use any local discretionary funds expended for local streets and
roads purposes during previous fiscal years which were in excess of their
maintenance of effort requirements to meet their MOE requirements for the
fiscal year. (Measure A Maintenance of Effort Guidelines)
b. RCTC shall assure the cities’ and County compliance with MOE funding
requirements before allocating funds for local streets and roads.
c. RCTC shall not allocate funds to an individual city or the County for local streets
and roads use within the Western County and Coachella Valley areas unless
WRCOG or CVAG indicates participation of agency in the Transportation Uniform
Mitigation Fee program necessary for implementation of the planned regional
arterial system.
3. Allocation of Funds to Geographic Areas. Funds for transportation purposes shall
be allocated to the Western County, Coachella Valley, and Palo Verde Valley areas
proportionate to the Measure A funds generated within these areas.
4. Allocation of Funds within Geographic Areas. RCTC shall return 2009 Measure A
funds to the geographic areas as follows (Applicable to RCTC):
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a. Western County. To be distributed for the following programs: $370 million
(approx. 11% to new corridors; $1,020 million (approx. 30%) to highways; $390
million (approx. 12%) to public transit; $300 million (approx. 9%) to regional
arterials; $970 million (approx. 29%) to local streets and roads; $270 million
(approx. 8%) to bond financing; and $40 million (approx. 1%) to economic
development.
i. Local streets and roads funding are to be distributed by a formula based on
75% on proportionate population and 25% on 2009 Measure A revenues
generated within each jurisdiction, if they participate in the Transportation
Uniform Mitigation Fee program and Multi-Species Habitat Conservation Plan.
If local agencies choose not to participate in the TUMF and MSHCP programs,
the funds they would otherwise receive for local streets and roads will be added
to the Measure A funds for the Regional Arterial System administered by
RCTC.
b. Coachella Valley. To be distributed for the following programs: 50% to highways
and regional arterial projects; 35% to local streets and roads; and 15% to
specialized public transit.
i. Local streets and roads funds will be provided to Coachella Valley cities and
the County if they participate in the Transportation Uniform Mitigation Fee
program. If local agencies choose not to participate in the TUMF program, the
funds they would otherwise receive for local streets and roads will be added to
the Measure A funds for the Regional Arterial System administered by CVAG.
ii. Local streets and roads funds are to be distributed by a formula based on 50%
on proportionate dwelling units and 50% on 2009 Measure A revenues
generated within each jurisdiction, as interpreted in Ordinance and direction
provided by CVAG.
c. Palo Verde Valley. To be distributed 100% to local streets and roads.
i. Local streets and roads funds are to be distributed by a formula based on 75%
on proportionate population and 25% on sales tax revenues generated in each
jurisdiction.
5. Accounting Records. Measure A recipients are required to maintain accurate,
complete, and separate accounting records for all sources of the funds they receive.
Small not-for-profit agencies are encouraged but not required to maintain separate
accounting records as long as Measure A receipts, related revenues, and
expenditures can be readily identified. If RCTC’s independent auditors are unable to
readily identify which funds are being used for expenditures, then the agency will be
required to maintain separate accounting records and cash accounts if they are to
continue receiving Measure A allocations. Any agency which maintains poor
accounting records will receive funding allocations on a reimbursement basis only.
(Policy adopted May 12, 1993)
6. Interfund Borrowing. Interfund borrowing from Measure A funding sources to
another local jurisdiction fund is strictly prohibited. Cities and agencies must maintain
sufficient cash balances so as not to impair their Measure A funds. Evidence of
interfund borrowing or impaired cash balances will result in the city or agency receiving
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funds from RCTC on a reimbursement basis only after any existing city or agency
reserves of prior Commission funds have been fully depleted. (Policy adopted May
12, 1993)
7. Interest Income Allocations. Interest on Measure A funds shall accrue separately
for all of RCTC’s programs as defined in the text of Measure A. This interest allocation
policy is applicable to the entire County, and such allocations shall be made monthly.
Interest earned on unexpended Measure A monies should be recorded in the Measure
A fund established by a local government or other agency receiving local streets and
roads or specialized transit monies. As these funds are restricted, the related interest
earned should be restricted as required by governmental regulations and other
transportation funding including the Transportation Act. (Policy adopted May 8, 1991
and May 12, 1993)
8. Accumulated Deficits. Accumulated funding source deficits are the responsibility of
the local jurisdiction. RCTC will consider allocating additional funds for such deficits
when justifiable on a case-by-case basis. (Policy adopted May 12, 1993)
9. Budget Variances. Significant budget variances should be avoided. All local
jurisdictions are required to compare the budget to actual results and make mid-year
revisions as needed. (Policy adopted May 12, 1993)
10. Unexpended Monies. Whenever the annual fiscal audit or the proposed update of
the Five Year Capital Improvement Program of a local agency shows a Measure A
Local Streets and Road Program carryover balance in excess of three (3) times the
annual allocation to an agency, Commission staff will:
a. Meet with the local agency to have them explain the reason for the carryover and
explore alternatives for moving projects faster, and
b. Present a report of their findings to RCTC’s Budget and Finance Committee to
determine if any further action should be considered and proposed to the full
Commission.
(Policy included in December 13, 1995 revisions to the RCTC Program and Funding
Guide)
J. Transit Compliance Requirements
The auditors should review the TDA regulations for Local Transportation Fund and State
Transit Assistance funding. California Code Section 6664 discusses the fiscal and
compliance audits of all claimants, Section 6666 provides the compliance audit tasks for
non-transit claimants, and Section 6667 provides the compliance audit tasks for transit
claimants. The TDA Statutes and California Code of Regulation Guidebook is available at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/f0009844-tda-07-2018-a11y.pdf.
California Department of Transportation program guidelines for State of Good Repair
funds received through RCTC are located at:
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https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/sgr/202008-sgr-final-guidelines-a11y.pdf
Proposition 1B accountability requirements for Public Transportation Modernization,
Improvement and Service Enhancement Account (PTMISEA) funds received through
Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/ptmisea/201910-ptmisea-guidelines-a11y.pdf
Proposition 1B guidelines for Transit System Safety, Security, and Disaster Response
Account (TSSSDRA) funds received through CalOES are located at:
https://www.caloes.ca.gov/GrantsManagementSite/Documents/FY 2016-17 HR
Guidance with Allocations.pdf#search=TSSSDRA guidelines
LCTOP program guidelines for funds received through Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/lctop/201909-lctop-fy19-20-guidelines-a11y.pdf
K. MSCHP Compliance Requirements
The auditors should review the MSHCP Member Agency requirements in various implementation
documents which are available at:
MSHCP Implementation Agreement Ordinance (for current procedures, see model
ordinance beginning on page 347 of link)
https://www.wrc-rca.org/Permit_Docs/MSHCP/MSHCP-Volume3.pdf
MSHCP Implementation Manual (effective for FY 2021/22 agreed-upon procedures)
https://www.wrc-
rca.org//Permit_Docs/MSHCP/MSHCP%20Mitigation%20Fee%20Implementation%20M
anual%20Final.pdf
End of Statement of Services
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EXHIBIT "B"
COMPENSATION
[TO BE INSERTED BEHIND THIS PAGE]
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(Amounts subject to rounding
differences)
FIRM PROJECT TASKS/ROLE COST
Conrad LLP2 Audit and Attestation Services 103,760$
-
103,760$
TASK NUMBER TASK DESCRIPTION COST
TDA Article 3/Bicycle and Pedestrian2 Audit Services -$
TDA Article 4/Transit Audit Services -
Measure A Local Streets and Roads Agreed-Upon Procedures Attestation Services 45,100
Measure A Specialized Transit2 Agreed-Upon Procedures Attestation Services -
MSHCP Member Agencies Agreed-Upon Procedures Attestation Services 58,660
103,760
-
103,760$
FISCAL YEAR PROJECT COST
FY 2020/212 Audit and Attestation Services 17,238$
FY 2021/222 Audit and Attestation Services 17,260
FY 2022/232 Audit and Attestation Services 17,282
FY 2023/24 (Option Year 1)2 Audit and Attestation Services 17,304
FY 2024/25 (Option Year 2)2 Audit and Attestation Services 17,327
FY 2025/26 (Option Year 3)2 Audit and Attestation Services 17,349
103,760
103,760$ TOTAL COSTS
1 Commission authorization pertains to total contract award amount. Compensation adjustments between consultants may occur;
however, the maximum total compensation authorized may not be exceeded.
2 TDA Article 3/Bicycle and Pedestrian audits and Measure A Specialized Transit agreed-upon procedures will be determined annually
based on TDA claimants and Measure A disbursements; accordingly, amounts are estimated. This estimate assumes zero (0) annual
TDA Article 3/Bicycle and Pedestrian audits and zero (0) Measure A Specialized Transit attestation services.
SUBTOTAL
OTHER DIRECT COSTS
TOTAL COSTS
SUBTOTAL
EXHIBIT "B"
COMPENSATION SUMMARY1
Prime Consultant:
OTHER DIRECT COSTS
TOTAL COSTS
EXHIBIT B-1
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Agreement No. 21-19-037-00
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE WESTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND THE MEMBER AGENCIES
OF THE
WESTERN RIVERSIDE COUNTY
REGIONAL CONSERVATION AUTHORITY
WITH EIDE BAILLY LLP
1. PARTIES AND DATE.
This Agreement is made and entered into this day of , 2021, by and
between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION ("the Co-
mmission") and EIDE BAILLY LLP ("Consultant"), a Limited Liability Partnership.
2. RECITALS.
2.1 Consultant desires to perform and assume responsibility for the
provision of certain professional consulting services required by Commission on the terms
and conditions set forth in this Agreement. Consultant represents that it is a professional
consultant, experienced in providing audit services to public clients, is licensed in the
State of California, and is familiar with the plans of Commission.
2.2 Commission desires to engage Consultant to render certain audit
and attestation services for the Commission ("Project") as set forth herein.
3. TERMS.
3.1 General Scope of Services. Consultant promises and agrees to
furnish to Commission all labor materials, tools, equipment, services, and incidental and
customary work necessary to fully and adequately provide professional consulting
services and advice on various issues affecting the decisions of Commission regarding
the Project and on other programs and matters affecting Commission, hereinafter referred
to as "Services". The Services are more particularly described in Exhibit "A" attached
hereto and incorporated herein by reference. All Services shall be subject to, and
performed in accordance with, this Agreement, the exhibits attached hereto and
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incorporated herein by reference, and all applicable local, state, and federal laws, rules
and regulations.
3.2 Term. The term of this Agreement shall be from the date first
specified above to June 30, 2024, unless earlier terminated as provided herein. The
Commission, at its sole discretion, may extend this Agreement for three (3) additional
single year terms through June 30, 2027. Consultant shall complete the Services within
the term of this Agreement and shall meet any other established schedules and
deadlines.
3.3 Schedule of Services. Consultant shall perform the Services
expeditiously, within the term of this Agreement, and in accordance with the Audit
Schedule set forth in Exhibit "A" attached hereto and incorporated herein by reference.
Consultant represents that it has the professional and technical personnel required to
perform the Services in conformance with such conditions. In order to facilitate
Consultant's conformance with the Schedule, the Commission shall respond to
Consultant's submittals in a timely manner. Upon request of the Commission, Consultant
shall provide a more detailed schedule of anticipated performance to meet the Audit
Schedule.
3.4 Independent Contractor; Control and Payment of Subordinates. The
Services shall be performed by Consultant under its supervision. Consultant will
determine the means, method and details of performing the Services subject to the
requirements of this Agreement. Commission retains Consultant on an independent
contractor basis and Consultant is not an employee of Commission. Consultant retains
the right to perform similar or different services for others during the term of this
Agreement. Any additional personnel performing the Services under this Agreement on
behalf of Consultant shall not be employees of Commission and shall at all times be under
Consultant's exclusive direction and control. Consultant shall pay all wages, salaries, and
other amounts due such personnel in connection with their performance of Services under
this Agreement and as required by law. Consultant shall be responsible for all reports
and obligations respecting such additional personnel, including, but not limited to: social
security taxes, income tax withholding, unemployment insurance, and workers'
compensation insurance.
3.5 Conformance to Applicable Requirements. All work prepared by
Consultant shall be subject to the approval of Commission.
3.6 Substitution of Key Personnel. Consultant has represented to
Commission that certain key personnel will perform and coordinate the Services under
this Agreement. Should one or more of such personnel become unavailable, Consultant
may substitute other personnel of at least equal competence and experience upon written
approval of Commission. In the event that Commission and Consultant cannot agree as
to the substitution of key personnel, Commission shall be entitled to terminate this
Agreement for cause, pursuant to provisions of Section 3.16 of this Agreement. The key
personnel for performance of this Agreement are as follows: Roger Alfaro, Phillip White,
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Kinnaly Soukhaseum, Jessica Andersen, Erika Partida, Lauryn Stapleton, David
Preciado, Joan Park, and Jesse Pattison.
3.7 Commission’s Representative. Commission hereby designates the
Chief Financial Officer, or his or her designee, to act as its representative for the
performance of this Agreement ("Commission’s Representative"). Commission's
representative shall have the power to act on behalf of Commission for all purposes under
this Agreement. Consultant shall not accept direction from any person other than
Commission's Representative or his or her designee.
3.8 Consultant’s Representative. Consultant hereby designates Roger
Alfaro, or his or her designee, to act as its representative for the performance of this
Agreement ("Consultant’s Representative"). Consultant’s Representative shall have full
authority to represent and act on behalf of the Consultant for all purposes under this
Agreement. The Consultant’s Representative shall supervise and direct the Services,
using his or her best skill and attention, and shall be responsible for all means, methods,
techniques, sequences and procedures and for the satisfactory coordination of all
portions of the Services under this Agreement.
3.9 Coordination of Services. Consultant agrees to work closely with
Commission staff in the performance of Services and shall be available to Commission's
staff, consultants and other staff at all reasonable times.
3.10 Standard of Care; Licenses. Consultant shall perform the Services
under this Agreement in a skillful and competent manner, consistent with the standard
generally recognized as being employed by professionals in the same discipline in the
State of California. Consultant represents and maintains that it is skilled in the
professional calling necessary to perform the Services. Consultant warrants that all
employees and subcontractors shall have sufficient skill and experience to perform the
Services assigned to them. Finally, Consultant represents that it, its employees and
subcontractors have all licenses, permits, qualifications and approvals of whatever nature
that are legally required to perform the Services and that such licenses and approvals
shall be maintained throughout the term of this Agreement. Consultant shall perform, at
its own cost and expense and without reimbursement from Commission, any Services
necessary to correct errors or omissions which are caused by the Consultant’s failure to
comply with the standard of care provided for herein, and shall be fully responsible to the
Commission for all damages and other liabilities provided for in the indemnification
provisions of this Agreement arising from the Consultant’s errors and omissions.
3.11 Laws and Regulations. Consultant shall keep itself fully informed of
and in compliance with all local, state and federal laws, rules and regulations in any
manner affecting the performance of the Project or the Services, including all Cal/OSHA
requirements, and shall give all notices required by law. Consultant shall be liable for all
violations of such laws and regulations in connection with Services. If the Consultant
performs any work knowing it to be contrary to such laws, rules and regulations and
without giving written notice to Commission, Consultant shall be solely responsible for all
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costs arising therefrom. Consultant shall defend, indemnify and hold Commission, its
officials, directors, officers, employees and agents free and harmless, pursuant to the
indemnification provisions of this Agreement, from any claim or liability arising out of any
failure or alleged failure to comply with such laws, rules or regulations.
3.12 Insurance.
3.12.1 Time for Compliance. Consultant shall not commence work
under this Agreement until it has provided evidence satisfactory to the Commission that
it has secured all insurance required under this section, in a form and with insurance
companies acceptable to the Commission. In addition, Consultant shall not allow any
subcontractor to commence work on any subcontract until it has secured all insurance
required under this section.
3.12.2 Minimum Requirements. Consultant shall, at its expense,
procure and maintain for the duration of the Agreement insurance against claims for
injuries to persons or damages to property which may arise from or in connection with the
performance of the Agreement by the Consultant, its agents, representatives, employees
or subcontractors. Consultant shall also require all of its subcontractors to procure and
maintain the same insurance for the duration of the Agreement. Such insurance shall
meet at least the following minimum levels of coverage:
(A) Minimum Scope of Insurance. Coverage shall be at
least as broad as the latest version of the following: (1) General Liability: Insurance
Services Office Commercial General Liability coverage (occurrence form CG 0001 or
exact equivalent); (2) Automobile Liability: Insurance Services Office Business Auto
Coverage (form CA 0001, code 1 (any auto) or exact equivalent); and (3) Workers’
Compensation and Employer’s Liability: Workers’ Compensation insurance as required
by the State of California and Employer’s Liability Insurance.
(B) Minimum Limits of Insurance. Consultant shall
maintain limits no less than: (1) General Liability: $2,000,000 per occurrence for bodily
injury, personal injury and property damage. If Commercial General Liability Insurance
or other form with general aggregate limit is used, either the general aggregate limit shall
apply separately to this Agreement/location or the general aggregate limit shall be twice
the required occurrence limit; (2) Automobile Liability: $1,000,000 per accident for bodily
injury and property damage; and (3) if Consultant has an employees, Workers’
Compensation and Employer’s Liability: Workers’ Compensation limits as required by the
Labor Code of the State of California. Employer’s Practices Liability limits of $1,000,000
per accident.
3.12.3 Professional Liability. Consultant shall procure and maintain,
and require its sub-consultants to procure and maintain, for a period of five (5) years
following completion of the Project, errors and omissions liability insurance appropriate to
their profession. Such insurance shall be in an amount not less than $1,000,000 per
claim. This insurance shall be endorsed to include contractual liability applicable to this
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Agreement and shall be written on a policy form coverage specifically designed to protect
against acts, errors or omissions of the Consultant. “Covered Professional Services” as
designated in the policy must specifically include work performed under this Agreement.
The policy must “pay on behalf of” the insured and must include a provision establishing
the insurer's duty to defend.
3.12.4 Insurance Endorsements. The insurance policies shall
contain the following provisions, or Consultant shall provide endorsements on forms
approved by the Commission to add the following provisions to the insurance policies:
(A) General Liability.
(i) Commercial General Liability Insurance must
include coverage for (1) bodily injury and property damage; (2) personal Injury/Advertising
injury; (3) premises/operations liability; (4) products/completed operations liability; (5)
aggregate limits that apply per project; (6) explosion, collapse and underground (UCX)
exclusion deleted; (7) contractual liability with respect to this Agreement; (8) broad form
property damage; and (9) independent consultants coverage.
(ii) The policy shall contain no endorsements or
provisions limiting coverage for (1) contractual liability; (2) cross liability exclusion for
claims or suits by one insured against another; or (3) contain any other exclusion contrary
to this Agreement.
(iii) The policy shall give the Commission, its
directors, officials, officers, employees, and agents insured status using ISO endorsement
forms 20 10 10 01 and 20 37 10 01, or endorsements providing the exact same coverage.
(iv) The additional insured coverage under the
policy shall be “primary and non-contributory” and will not seek contribution from the
Commission’s insurance or self-insurance and shall be at least as broad as CG 20 01 04
13, or endorsements providing the exact same coverage.
(B) Automobile Liability. The automobile liability policy
shall be endorsed to state that: (1) the Commission, its directors, officials, officers,
employees and agents shall be covered as additional insureds with respect to the
ownership, operation, maintenance, use, loading or unloading of any auto owned, leased,
hired or borrowed by the Consultant or for which the Consultant is responsible; and (2)
the insurance coverage shall be primary insurance as respects the Commission, its
directors, officials, officers, employees and agents, or if excess, shall stand in an
unbroken chain of coverage excess of the Consultant’s scheduled underlying coverage.
Any insurance or self-insurance maintained by the Commission, its directors, officials,
officers, employees and agents shall be excess of the Consultant’s insurance and shall
not be called upon to contribute with it in any way.
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(C) Workers’ Compensation and Employers Liability
Coverage.
(i) Consultant certifies that he/she is aware of the
provisions of Section 3700 of the California Labor Code which requires every employer
to be insured against liability for workers’ compensation or to undertake self-insurance in
accordance with the provisions of that code, and he/she will comply with such provisions
before commencing work under this Agreement.
(ii) The insurer shall agree to waive all rights of
subrogation against the Commission, its directors, officials, officers, employees and
agents for losses paid under the terms of the insurance policy which arise from work
performed by the Consultant.
(D) All Coverages.
(i) Defense costs shall be payable in addition to the
limits set forth hereunder.
(ii) Requirements of specific coverage or limits
contained in this section are not intended as a limitation on coverage, limits, or other
requirement, or a waiver of any coverage normally provided by any insurance. It shall be
a requirement under this Agreement that any available insurance proceeds broader than
or in excess of the specified minimum insurance coverage requirements and/or limits set
forth herein shall be available to the Commission, its directors, officials, officers,
employees and agents as additional insureds under said policies. Furthermore, the
requirements for coverage and limits shall be (1) the minimum coverage and limits
specified in this Agreement; or (2) the broader coverage and maximum limits of coverage
of any insurance policy or proceeds available to the named insured; whichever is greater.
(iii) The limits of insurance required in this
Agreement may be satisfied by a combination of primary and umbrella or excess
insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a
provision that such coverage shall also apply on a primary and non-contributory basis for
the benefit of the Commission (if agreed to in a written contract or agreement) before the
Commission’s own insurance or self-insurance shall be called upon to protect it as a
named insured. The umbrella/excess policy shall be provided on a “following form” basis
with coverage at least as broad as provided on the underlying policy(ies).
(iv) Consultant shall provide the Commission at
least thirty (30) days prior written notice of cancellation of any policy required by this
Agreement, except that the Consultant shall provide at least ten (10) days prior written
notice of cancellation of any such policy due to non-payment of premium. If any of the
required coverage is cancelled or expires during the term of this Agreement, the
Consultant shall deliver renewal certificate(s) including the General Liability Additional
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Insured Endorsement to the Commission at least ten (10) days prior to the effective date
of cancellation or expiration.
(v) The retroactive date (if any) of each policy is to
be no later than the effective date of this Agreement. Consultant shall maintain such
coverage continuously for a period of at least three years after the completion of the work
under this Agreement. Consultant shall purchase a one (1) year extended reporting
period A) if the retroactive date is advanced past the effective date of this Agreement; B)
if the policy is cancelled or not renewed; or C) if the policy is replaced by another claims-
made policy with a retroactive date subsequent to the effective date of this Agreement.
(vi) The foregoing requirements as to the types and
limits of insurance coverage to be maintained by Consultant, and any approval of said
insurance by the Commission, is not intended to and shall not in any manner limit or
qualify the liabilities and obligations otherwise assumed by the Consultant pursuant to
this Agreement, including but not limited to, the provisions concerning indemnification.
(vii) If at any time during the life of the Agreement,
any policy of insurance required under this Agreement does not comply with these
specifications or is canceled and not replaced, Commission has the right but not the duty
to obtain the insurance it deems necessary and any premium paid by Commission will be
promptly reimbursed by Consultant or Commission will withhold amounts sufficient to pay
premium from Consultant payments. In the alternative, Commission may cancel this
Agreement. The Commission may require the Consultant to provide complete copies of
all insurance policies in effect for the duration of the Project.
(viii) Neither the Commission nor any of its directors,
officials, officers, employees or agents shall be personally responsible for any liability
arising under or by virtue of this Agreement.
Each insurance policy required by this Agreement shall
be endorsed to state that:
3.12.5 Deductibles and Self-Insurance Retentions. Any deductibles
or self-insured retentions must be declared to and approved by the Commission. If the
Commission does not approve the deductibles or self-insured retentions as presented,
Consultant shall guarantee that, at the option of the Commission, either: (1) the insurer
shall reduce or eliminate such deductibles or self-insured retentions as respects the
Commission, its directors, officials, officers, employees and agents; or, (2) the Consultant
shall procure a bond guaranteeing payment of losses and related investigation costs,
claims and administrative and defense expenses.
3.12.6 Acceptability of Insurers. Insurance is to be placed with
insurers with a current A.M. Best’s rating no less than A:VIII, licensed to do business in
California, and satisfactory to the Commission.
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3.12.7 Verification of Coverage. Consultant shall furnish
Commission with original certificates of insurance and endorsements effecting coverage
required by this Agreement on forms satisfactory to the Commission. The certificates and
endorsements for each insurance policy shall be signed by a person authorized by that
insurer to bind coverage on its behalf. All certificates and endorsements must be received
and approved by the Commission before work commences. The Commission reserves
the right to require complete, certified copies of all required insurance policies, at any
time.
3.12.8 Subconsultant Insurance Requirements. Consultant shall not
allow any subcontractors or subconsultants to commence work on any subcontract until
they have provided evidence satisfactory to the Commission that they have secured all
insurance required under this section. Policies of commercial general liability insurance
provided by such subcontractors or subconsultants shall be endorsed to name the
Commission as an additional insured using ISO form CG 20 38 04 13 or an endorsement
providing the exact same coverage. If requested by Consultant, the Commission may
approve different scopes or minimum limits of insurance for particular subcontractors or
subconsultants.
3.13 Safety. Consultant shall execute and maintain its work so as to avoid
injury or damage to any person or property. In carrying out its Services, the Consultant
shall at all times be in compliance with all applicable local, state and federal laws, rules
and regulations, and shall exercise all necessary precautions for the safety of employees
appropriate to the nature of the work and the conditions under which the work is to be
performed. Safety precautions as applicable shall include, but shall not be limited to: (A)
adequate life protection and life saving equipment and procedures; (B) instructions in
accident prevention for all employees and subcontractors, such as safe walkways,
scaffolds, fall protection ladders, bridges, gang planks, confined space procedures,
trenching and shoring, equipment and other safety devices, equipment and wearing
apparel as are necessary or lawfully required to prevent accidents or injuries; and (C)
adequate facilities for the proper inspection and maintenance of all safety measures.
3.14 Fees and Payment.
3.14.1 Compensation. Consultant shall receive compensation,
including authorized reimbursements, for all Services rendered under this Agreement at
the rates set forth in Exhibit "B" attached hereto. The total compensation shall not exceed
Four Hundred Twenty-Four Thousand Nine Hundred Seventy-Seven Dollars ($424,977)
without written approval of Commission's Executive Director (“Total Compensation”).
Extra Work may be authorized, as described below, and if authorized, will be
compensated at the rates and manner set forth in this Agreement.
3.14.2 Payment of Compensation. Consultant shall submit to
Commission a monthly statement which indicates work completed and hours of Services
rendered by Consultant. The statement shall describe the amount of Services and
supplies provided since the initial commencement date, or since the start of the
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subsequent billing periods, as appropriate, through the date of the statement.
Commission shall, within 45 days of receiving such statement, review the statement and
pay all approved charges thereon.
3.14.3 Reimbursement for Expenses. Consultant shall not be
reimbursed for any expenses unless authorized in writing by Commission.
3.14.4 Extra Work. At any time during the term of this Agreement,
Commission may request that Consultant perform Extra Work. As used herein, "Extra
Work" means any work which is determined by Commission to be necessary for the
proper completion of the Project, but which the parties did not reasonably anticipate would
be necessary at the execution of this Agreement. Consultant shall not perform, nor be
compensated for, Extra Work without written authorization from Commission's Executive
Director.
3.15 Accounting Records. Consultant shall maintain complete and
accurate records with respect to all costs and expenses incurred and fees charged under
this Agreement. All such records shall be clearly identifiable. Consultant shall allow a
representative of Commission during normal business hours to examine, audit, and make
transcripts or copies of such records and any other documents created pursuant to this
Agreement. Consultant shall allow inspection of all work, data, documents, proceedings,
and activities related to the Agreement for a period of three (3) years from the date of final
payment under this Agreement.
3.16 Termination of Agreement.
3.16.1 Grounds for Termination. Commission may, by written notice
to Consultant, terminate the whole or any part of this Agreement at any time and without
cause by giving written notice to Consultant of such termination, and specifying the
effective date thereof. Upon termination, Consultant shall be compensated only for those
services which have been fully and adequately rendered to Commission through the
effective date of the termination, and Consultant shall be entitled to no further
compensation. Consultant may not terminate this Agreement except for cause.
3.16.2 Effect of Termination. If this Agreement is terminated as
provided herein, Commission may require Consultant to provide all finished or unfinished
Documents and Data, as defined below, and other information of any kind prepared by
Consultant in connection with the performance of Services under this Agreement.
Consultant shall be required to provide such document and other information within fifteen
(15) days of the request.
3.16.3 Additional Services. In the event this Agreement is terminated
in whole or in part as provided herein, Commission may procure, upon such terms and in
such manner as it may determine appropriate, services similar to those terminated.
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3.17 Delivery of Notices. All notices permitted or required under this
Agreement shall be given to the respective parties at the following address, or at such
other address as the respective parties may provide in writing for this purpose:
CONSULTANT: COMMISSION:
Eide Bailly LLP Riverside County
19340 Jesse Ln. Transportation Commission
Suite 260 4080 Lemon Street, 3rd Floor
Riverside, CA 92508 Riverside, CA 92501
Attn: Roger Alfaro Attn: Executive Director
Such notice shall be deemed made when personally delivered or when
mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid
and addressed to the party at its applicable address. Actual notice shall be deemed
adequate notice on the date actual notice occurred, regardless of the method of service.
3.18 Ownership of Materials/Confidentiality.
3.18.1 Documents & Data. This Agreement creates an exclusive and
perpetual license for Commission to copy, use, modify, reuse, or sub-license any and all
copyrights and designs embodied in plans, specifications, studies, drawings, estimates,
materials, data and other documents or works of authorship fixed in any tangible medium
of expression, including but not limited to, physical drawings or data magnetically or
otherwise recorded on computer diskettes, which are prepared or caused to be prepared
by Consultant under this Agreement (“Documents & Data”).
Consultant shall require all subcontractors to agree in writing that
Commission is granted an exclusive and perpetual license for any Documents & Data the
subcontractor prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal
right to grant the exclusive and perpetual license for all such Documents & Data.
Consultant makes no such representation and warranty in regard to Documents & Data
which were prepared by design professionals other than Consultant or provided to
Consultant by the Commission.
Commission shall not be limited in any way in its use of the
Documents & Data at any time, provided that any such use not within the purposes
intended by this Agreement shall be at Commission’s sole risk.
All programs, working papers, files and other materials of the
Consultant made pursuant to this Agreement shall remain the property of the Consultant.
The Commission will have access to this material at any time. All reports delivered by the
Consultant and its subcontractors pursuant to the Agreement shall become the property
of the Commission without restriction or limitation on their use and shall be made available
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upon request, to the Commission at any time. Original copies of the deliverable reports
shall be delivered to the Commission upon completion of the Services or termination of
the Services. The Consultant shall be permitted to retain copies of such items for the
furtherance of its technical proficiency; however, publication of this material is subject to
the written approval of the Commission.
3.18.2 Intellectual Property. In addition, Commission shall have and
retain all right, title and interest (including copyright, patent, trade secret and other
proprietary rights) in all plans, specifications, studies, drawings, estimates, materials,
data, computer programs or software and source code, enhancements, documents, and
any and all works of authorship fixed in any tangible medium or expression, including but
not limited to, physical drawings or other data magnetically or otherwise recorded on
computer media (“Intellectual Property”) prepared or developed by or on behalf of
Consultant under this Agreement as well as any other such Intellectual Property prepared
or developed by or on behalf of Consultant under this Agreement.
The Commission shall have and retain all right, title and interest in
Intellectual Property developed or modified under this Agreement whether or not paid for
wholly or in part by Commission, whether or not developed in conjunction with Consultant,
and whether or not developed by Consultant. Consultant will execute separate written
assignments of any and all rights to the above referenced Intellectual Property upon
request of Commission.
Consultant shall also be responsible to obtain in writing separate
written assignments from any subcontractors or agents of Consultant of any and all right
to the above referenced Intellectual Property. Should Consultant, either during or
following termination of this Agreement, desire to use any of the above-referenced
Intellectual Property, it shall first obtain the written approval of the Commission.
All materials and documents which were developed or prepared by
the Consultant for general use prior to the execution of this Agreement and which are not
the copyright of any other party or publicly available and any other computer applications,
shall continue to be the property of the Consultant. However, unless otherwise identified
and stated prior to execution of this Agreement, Consultant represents and warrants that
it has the right to grant the exclusive and perpetual license for all such Intellectual Property
as provided herein.
Commission further is granted by Consultant a non-exclusive and
perpetual license to copy, use, modify or sub-license any and all Intellectual Property
otherwise owned by Consultant which is the basis or foundation for any derivative,
collective, insurrectional, or supplemental work created under this Agreement.
3.18.3 Confidentiality. All ideas, memoranda, specifications, plans,
procedures, drawings, descriptions, computer program data, input record data, written
information, and other Documents and Data either created by or provided to Consultant
in connection with the performance of this Agreement shall be held confidential by
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Consultant. Such materials shall not, without the prior written consent of Commission, be
used by Consultant for any purposes other than the performance of the Services. Nor
shall such materials be disclosed to any person or entity not connected with the
performance of the Services or the Project. Nothing furnished to Consultant which is
otherwise known to Consultant or is generally known, or has become known, to the
related industry shall be deemed confidential. Consultant shall not use Commission's
name or insignia, photographs of the Project, or any publicity pertaining to the Services
or the Project in any magazine, trade paper, newspaper, television or radio production or
other similar medium without the prior written consent of Commission.
3.18.4 Infringement Indemnification. Consultant shall defend,
indemnify and hold the Commission, its directors, officials, officers, employees,
volunteers and agents free and harmless, pursuant to the indemnification provisions of
this Agreement, for any alleged infringement of any patent, copyright, trade secret, trade
name, trademark, or any other proprietary right of any person or entity in consequence of
the use on the Project by Commission of the Documents & Data, including any method,
process, product, or concept specified or depicted.
3.19 Cooperation; Further Acts. The Parties shall fully cooperate with one
another, and shall take any additional acts or sign any additional documents as may be
necessary, appropriate or convenient to attain the purposes of this Agreement.
3.20 Attorney's Fees. If either party commences an action against the
other party, either legal, administrative or otherwise, arising out of or in connection with
this Agreement, the prevailing party in such litigation shall be entitled to have and recover
from the losing party reasonable attorney's fees and costs of such actions.
3.21 Indemnification. Consultant shall defend, indemnify and hold the
Commission, its directors, officials, officers, agents, consultants, employees and
volunteers free and harmless from any and all claims, demands, causes of action, costs,
expenses, liabilities, losses, damages or injuries, in law or in equity, to property or
persons, including wrongful death, in any manner arising out of or incident to any alleged
negligent acts, omissions or willful misconduct of the Consultant, its officials, officers,
employees, agents, consultants, and contractors arising out of or in connection with the
performance of the Services, the Project or this Agreement, including without limitation,
the payment of all consequential damages, attorneys fees and other related costs and
expenses. Consultant shall defend, at Consultant’s own cost, expense and risk, any and
all such aforesaid suits, actions or other legal proceedings of every kind that may be
brought or instituted against the Commission, its directors, officials, officers, agents,
consultants, employees and volunteers. Consultant shall pay and satisfy any judgment,
award or decree that may be rendered against the Commission or its directors, officials,
officers, agents, consultants, employees and volunteers, in any such suit, action or other
legal proceeding. Consultant shall reimburse the Commission and its directors, officials,
officers, agents, consultants, employees and volunteers, for any and all legal expenses
and costs, including reasonable attorney’s fees, incurred by each of them in connection
therewith or in enforcing the indemnity herein provided. Consultant’s obligation to
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indemnity shall not be restricted to insurance proceeds, if any, received by the
Commission or its directors, officials, officers, agents, consultants, employees and
volunteers. This Section 3.21 shall survive any expiration or termination of this
Agreement.
3.22 Entire Agreement. This Agreement contains the entire Agreement
of the parties with respect to the subject matter hereof, and supersedes all prior
negotiations, understandings or agreements. This Agreement may only be
supplemented, amended, or modified by a writing signed by both parties.
3.23 Governing Law. This Agreement shall be governed by the laws of
the State of California. Venue shall be in Riverside County.
3.24 Time of Essence. Time is of the essence for each and every
provision of this Agreement.
3.25 Commission's Right to Employ Other Consultants. The Commission
reserves the right to employ other consultants in connection with this Project.
3.26 Successors and Assigns. This Agreement shall be binding on the
successors and assigns of the parties, and shall not be assigned by Consultant without
the prior written consent of Commission.
3.27 Prohibited Interests and Conflicts.
3.27.1 Solicitation. Consultant maintains and warrants that it has not
employed nor retained any company or person, other than a bona fide employee working
solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants
that it has not paid nor has it agreed to pay any company or person, other than a bona
fide employee working solely for Consultant, any fee, commission, percentage, brokerage
fee, gift or other consideration contingent upon or resulting from the award or making of
this Agreement. For breach or violation of this warranty, Commission shall have the right
to rescind this Agreement without liability.
3.27.2 Conflict of Interest. For the term of this Agreement, no
member, officer or employee of Commission, during the term of his or her service with
Commission, shall have any direct interest in this Agreement, or obtain any present or
anticipated material benefit arising therefrom.
3.27.3 Conflict of Employment. Employment by the Consultant of
personnel currently on the payroll of the Commission shall not be permitted in the
performance of this Agreement, even though such employment may occur outside of the
employee’s regular working hours or on weekends, holidays or vacation time. Further,
the employment by the Consultant of personnel who have been on the Commission
payroll within one year prior to the date of execution of this Agreement, where this
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employment is caused by and or dependent upon the Consultant securing this or related
Agreements with the Commission, is prohibited.
3.27.4 Employment Adverse to the Commission. Consultant shall
notify the Commission, and shall obtain the Commission’s written consent, prior to
accepting work to assist with or participate in a third-party lawsuit or other legal or
administrative proceeding against the Commission during the term of this Agreement.
3.28 Equal Opportunity Employment. Consultant represents that it is an
equal opportunity employer and it shall not discriminate against any employee or
applicant for employment because of race, religion, color, national origin, ancestry, sex
or age. Such non-discrimination shall include, but not be limited to, all activities related
to initial employment, upgrading, demotion, transfer, recruitment or recruitment
advertising, layoff or termination. Consultant shall also comply with all relevant provisions
of Commission's Disadvantaged Business Enterprise program, Affirmative Action Plan or
other related Commission programs or guidelines currently in effect or hereinafter
enacted.
3.29 Subcontracting. Consultant shall not subcontract any portion of the
work or Services required by this Agreement, except as expressly stated herein, without
prior written approval of the Commission. Subcontracts, if any, shall contain a provision
making them subject to all provisions stipulated in this Agreement.
3.30 Reserved.
3.31 Employment of Apprentices. This Agreement shall not prevent the
employment of properly indentured apprentices in accordance with the California Labor
Code, and no employer or labor union shall refuse to accept otherwise qualified
employees as indentured apprentices on the work performed hereunder solely on the
ground of race, creed, national origin, ancestry, color or sex. Every qualified apprentice
shall be paid the standard wage paid to apprentices under the regulations of the craft or
trade in which he or she is employed and shall be employed only in the craft or trade to
which he or she is registered.
3.32 No Waiver. Failure of Commission to insist on any one occasion
upon strict compliance with any of the terms, covenants or conditions hereof shall not be
deemed a waiver of such term, covenant or condition, nor shall any waiver or
relinquishment of any rights or powers hereunder at any one time or more times be
deemed a waiver or relinquishment of such other right or power at any other time or times.
3.33 Eight-Hour Law. Pursuant to the provisions of the California Labor
Code, eight hours of labor shall constitute a legal day's work, and the time of service of
any worker employed on the work shall be limited and restricted to eight hours during any
one calendar day, and forty hours in any one calendar week, except when payment for
overtime is made at not less than one and one-half the basic rate for all hours worked in
excess of eight hours per day ("Eight-Hour Law"), unless Consultant or the Services are
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not subject to the Eight-Hour Law. Consultant shall forfeit to Commission as a penalty,
$50.00 for each worker employed in the execution of this Agreement by him, or by any
sub-consultant under him, for each calendar day during which such workman is required
or permitted to work more than eight hours in any calendar day and forty hours in any one
calendar week without such compensation for overtime violation of the provisions of the
California Labor Code, unless Consultant or the Services are not subject to the Eight-
Hour Law.
3.34 Subpoenas or Court Orders. Should Consultant receive a subpoena
or court order related to this Agreement, the Services or the Project, Consultant shall
immediately provide written notice of the subpoena or court order to the Commission.
Consultant shall not respond to any such subpoena or court order until notice to the
Commission is provided as required herein, and shall cooperate with the Commission in
responding to the subpoena or court order.
3.35 Survival. All rights and obligations hereunder that by their nature are
to continue after any expiration or termination of this Agreement, including, but not limited
to, the indemnification and confidentiality obligations, and the obligations related to receipt
of subpoenas or court orders, shall survive any such expiration or termination.
3.36 No Third Party Beneficiaries. There are no intended third party
beneficiaries of any right or obligation assumed by the Parties.
3.37 Labor Certification. By its signature hereunder, Consultant certifies
that it is aware of the provisions of Section 3700 of the California Labor Code which
require every employer to be insured against liability for Workers’ Compensation or to
undertake self-insurance in accordance with the provisions of that Code, and agrees to
comply with such provisions before commencing the performance of the Services.
3.38 Counterparts. This Agreement may be signed in counterparts, each
of which shall constitute an original.
3.39 Incorporation of Recitals. The recitals set forth above are true and
correct and are incorporated into this Agreement as though fully set forth herein.
3.40 Invalidity; Severability. If any portion of this Agreement is declared
invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the
remaining provisions shall continue in full force and effect.
3.41 Conflicting Provisions. In the event that provisions of any attached
exhibits conflict in any way with the provisions set forth in this Agreement, the language,
terms and conditions contained in this Agreement shall control the actions and obligations
of the Parties and the interpretation of the Parties’ understanding concerning the
performance of the Services.
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3.42 Headings. Article and Section Headings, paragraph captions or
marginal headings contained in this Agreement are for convenience only and shall have
no effect in the construction or interpretation of any provision herein.
3.43 Assignment or Transfer. Consultant shall not assign, hypothecate,
or transfer, either directly or by operation of law, this Agreement or any interest herein,
without the prior written consent of the Commission. Any attempt to do so shall be null
and void, and any assignees, hypothecates or transferees shall acquire no right or interest
by reason of such attempted assignment, hypothecation or transfer.
3.44 Authority to Enter Agreement. Consultant has all requisite power and
authority to conduct its business and to execute, deliver, and perform the Agreement.
Each Party warrants that the individuals who have signed this Agreement have the legal
power, right, and authority to make this Agreement and bind each respective Party.
[SIGNATURES ON FOLLOWING PAGE]
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SIGNATURE PAGE
TO
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE WESTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND THE MEMBER AGENCIES
OF THE
WESTERN RIVERSIDE COUNTY
REGIONAL CONSERVATION AUTHORITY
WITH EIDE BAILLY LLP
IN WITNESS WHEREOF, this Agreement was executed on the date first
written above.
RIVERSIDE COUNTY
TRANSPORTATION COMMISSION EIDE BAILLY LLP
By: _________________________ By: ____________________________
Anne Mayer Signature
Executive Director
__________________________
Name
__________________________
Title
Approved as to Form: Attest:
By:____________________________ By: ________________________
Best Best & Krieger LLP Its: Secretary
General Counsel
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EXHIBIT "A"
STATEMENT OF SERVICES
[TO BE INSERTED BEHIND THIS PAGE]
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EXHIBIT A - 1
Statement of Services
A. General
The Riverside County Transportation Commission (RCTC), as the transportation planning agency
for Riverside County and the managing agency for the Western Riverside County Regional
Conservation Authority (RCA), is issuing this Request for Proposal in order to secure services
from a Consultant(s) of certified public accountants to perform for the fiscal years ending June
30, 2021, 2022, and 2023, with the option of performing such services for three (3) additional one-
year terms:
Financial and compliance audits of RCTC’s Transportation Development Act (TDA)
claimants for transit (including funding from Local Transportation Fund (LTF) Article 4,
State Transit Assistance (STA), State of Good Repair (SGR), Low Carbon Transit
Operations Program (LCTOP), and Proposition 1B);
Financial and compliance audits of RCTC’s TDA claimants for bicycle and pedestrian
projects (consisting of funding from LTF Article 3);
Agreed-upon procedures similar to those proposed in Appendix A, Section G, for RCTC’s
Measure A recipients of local streets and roads (LSR) funding;
Agreed-upon procedures similar to those proposed in Appendix A, Section H, for RCTC’s
Measure A recipients of specialized transit funding; and
Agreed upon procedures similar to those proposed in Appendix A, Section I, for RCA’s
Member Agencies related to the collection and remittance of mitigation fees in accordance
with each Member Agency’s Multiple Species Habitat Conservation Plan (MSHCP)
Ordinance (with amendments).
Measure A Agreed Upon Procedures
The Measure A Specialized Transit Agreed-Upon Procedures apply to Western County non-
profit and community organizations awarded funding for specialized transit services for a three-
year period through a competitive call for projects. The FY 2020/21 funding awarded at RCTC’s
April 11, 2018 meeting represents the final year of the FY 2018/19 – 2020/21 Call for Projects.
Staff expects that the awards for the FY 2021/22 – 2023/24 Call for Projects will be approved by
RCTC at the April 14, 2021 meeting, as noted in the FY 2021/22 – 2023/24 Measure A Specialized
Transit Call for Projects Guidelines presented at the January 13, 2021 RCTC meeting. FY
2024/25 – FY 2025/26 funding will be determined by the FY 2024/25 – 2026/27 Call for Projects
to be awarded in Spring 2024.
The Measure A LSR Agreed-Upon Procedures apply to all eligible cities in Riverside County
and the County of Riverside. Measure A LSR funding is allocated and disbursed monthly to the
cities and the County of Riverside, as specified in Measure A. RCTC does not currently anticipate
any incorporations or dis-incorporations of cities that would result in a change in Measure A LSR
recipients. Currently, all cities and the County of Riverside meet the eligibility requirements that
include:
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Participation in the Western County or Coachella Valley Transportation Uniform Mitigation
Fee (TUMF) Program, as applicable;
Participation in the RCA’s MSHCP, as applicable;
Annual submittal of a 5-Year Capital Improvement Plan (CIP) list of projects;
Annual Maintenance of Effort certification; and
Annual Project Status Report for the prior fiscal year CIP.
Transportation Development Act Audits
The TDA Transit audits will be performed for the municipal transit operators in the Western
County cities of Banning, Beaumont, Corona, and Riverside. TDA Transit operating and capital
allocations are approved annually by RCTC in June based on the submittal of each transit
operator’s Short-Range Transit Plan. The transit operators also may unexpended Proposition 1B
funding for capital/rehabilitation and/or security projects received through Caltrans and the
California Office of Emergency Services (CalOES), respectively.
The TDA Bicycle and Pedestrian audits apply to local jurisdictions awarded funding by RCTC
for bicycle and pedestrian projects through a biennial competitive call for projects. Local
jurisdictions generally have two years to complete projects, including those projects approved in
the FY 2019/20 Call for Projects at RCTC’s June 12, 2019 meeting. However, as per revised
guidelines approved by RCTC at its January 13, 2021 meeting effective with the FY 2021/22 Call
for Projects to be awarded at the June 9, 2021 RCTC meeting, local jurisdictions will now have
three years to complete projects. Claimants may request disbursement of their allocations by
RCTC on a reimbursement basis in accordance with RCTC’s policies. Accordingly, the TDA
Bicycle and Pedestrian audits are dependent on claims for expenditures of such funds.
MSHCP Agreed Upon Procedures
The MSHCP Agreed-Upon Procedures are required for local jurisdictions that are signatories to
the Joint Exercise of Powers Agreement forming the RCA. They include the 18 Western County
cities and the County of Riverside. The Member Agencies form the independent RCA Board of
Directors to acquire, administer, operate, and maintain land and facilities to establish habitat
reserves for the conservation and protection of species covered by the MSHCP and to implement
the MSHCP.
At its December 7, 2020 meeting, the RCA adopted the 2020 Nexus Study and increase in Local
Development Mitigation Fees (LDMF). The LDMF increase is effective in two phases. The first
phase, an increase of 50%, is effective July 1, 2021. The second phase, full implementation, is
effective January 1, 2022. Member Agencies must prepare an ordinance and resolution to be
considered and approved by the city council (Board of Supervisors in the case of the County of
Riverside) in time to implement the new fee by July 1, 2021. Final action of the city council/Board
of Supervisors must be no later than May 2, 2021 to ensure the new ordinance takes effect by
July 1, 2021 in accordance with California Government Code Section 66017. Per the
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Implementing Agreement with the cities and the County of Riverside signed, the cities and County
must adopt the ordinance, “in substantially the same form or at a minimum, containing the same
requirements as the model ordinance,” adopted by the RCA Board of Directors.
Anticipated Changes in Audit and Attestation Services
RCTC does not anticipate any change in the local jurisdictions subject to TDA Transit audit and
Measure A LSR attestation services; RCA does not anticipate any change in the local jurisdictions
subject to MSHCP attestation services. The agencies requiring Measure A Specialized Transit
and the local jurisdictions requiring TDA Bicycle and Pedestrian audits will be determined each
year based on actual disbursements.
The Chief Financial Officer is designated as the coordinator of the work and may appoint a
Finance Department staff to coordinate day-to-day oversight. The Chief Financial Officer will
serve as the liaison to the audit oversight committee designated by RCTC and the Executive
Committee designated by RCA.
The audits are to be performed by the Consultant(s) in accordance with generally accepted
auditing standards, including use of the most current version of each of the following standards
and guidelines:
American Institute of Certified Public Accountants audit and attestation standards;
General Accounting Office’s (GAO) Government Auditing Standards;
Measure A conformance requirements (Section I);
Transit requirements (Section J); and
MSHCP requirements (Section K).
B. Scope of Work to be Performed
The selected Consultant(s) will be required to perform the following tasks:
Audit of the transit and transportation financial statements of the jurisdictions receiving
TDA funds in accordance with auditing standards generally accepted in the United States
of America; the standards applicable to financial audits contained in Government Auditing
Standards, issued by the Comptroller General of the United States; the TDA as
summarized in the TDA Guidebook; and SGR, LCTOP, and Proposition 1B audit
guidelines specified by Caltrans and CalOES.
Performance of agreed-upon procedures similar to those listed in Section F solely to assist
RCTC in evaluating the applicable jurisdictions’ Measure A transportation funds and
degree of their compliance with RCTC’s requirements of the Measure A LSR program.
RCTC reserves the right to modify the agreed-upon procedures as deemed necessary to
fulfill its oversight responsibilities for the Measure A LSR program.
Performance of agreed-upon procedures similar to those listed in Section G solely to
assist RCTC in evaluating the applicable jurisdictions’/agencies’ Measure A specialized
transit funds and degree of their compliance with RCTC’s requirements of the Measure A
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specialized transit program. RCTC reserves the right to modify the agreed-upon
procedures as deemed necessary to fulfill its oversight responsibilities for the Measure A
Specialized Transit program.
Performance of agreed-upon procedures similar to those listed in Section H solely to assist
RCA in evaluating if fees are collected and remitted in accordance with each Member
Agency’s MSHCP Mitigation Fee Ordinance (with amendments). RCTC reserves the right
to modify the agreed-upon procedures as deemed necessary to fulfill its oversight
responsibilities for the MSHCP, including RCA changes to the LDMF affecting Member
Agency MSHCP Mitigation Fee Ordinances and adoption of a related resolution.
C. Deliverables
Following completion of the audits and agreed-upon procedures and a review of the draft reports
by RCTC, the Consultant(s) shall issue:
A report on the fair presentation of the financial statements for the TDA claimants in
conformity with generally accepted accounting principles and on compliance and internal
control.
A report on the agreed-upon procedures related to the Measure A recipients of LSR
funding.
A report on the agreed-upon procedures related to the Measure A recipients of specialized
transit funding.
A report on the agreed-upon procedures related to the MSHCP fee collection and
remittance.
Drafts of the reports will be provided to RCTC staff and the applicable TDA claimant, Measure A
recipient, or Member Agency. The Chief Financial Officer or designee shall review and approve
each report prior to issuance.
For each report issued to RCTC, the Consultant shall issue one PDF copy to RCTC and one PDF
to the applicable TDA claimant or Measure A recipient, as applicable.
For each report issued to RCA, the Consultant shall print three (3) copies and issue one PDF
copy to RCA.
Financial and Compliance Reports
The Consultant will submit a financial and compliance report for each TDA audit. The Consultant
will be responsible for the preparation, editing, and printing of all financial and compliance reports,
including the financial statements and notes to the financial statements. Although the Consultant
will prepare the financial statements, management of the TDA Claimant is responsible for the
financial statements.
Agreed-Upon Procedures
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The Consultant will submit a report for each Measure A recipient or Member Agency, as
applicable, listing the procedures performed, results of procedures performed, and findings, if any.
The Consultant will be responsible for preparation, editing, and printing of all agreed-upon
procedure reports.
D. Required Communications
Significant Deficiencies – In the required reports on compliance and internal controls, the
Consultant shall communicate any significant deficiencies found during the audit of the TDA
claimants. A significant deficiency shall be defined as a control deficiency, or combination of
control deficiencies, that adversely affects the entity’s ability to initiate, authorize, record, process,
or report financial data reliably in accordance with generally accepted accounting principles such
that there is more than a remote likelihood that a misstatement of the entity’s financial statements
that is more than inconsequential will not be prevented or detected by the entity’s internal control.
Significant deficiencies that are also material weaknesses shall be identified as such in the report.
Other control deficiencies discovered by the Consultant may be reported in a separate letter to
management, which shall be referred to in the reports on compliance and internal controls.
The report on compliance and internal controls shall include all material instances of
noncompliance. All nonmaterial instances of noncompliance may be reported in a separate
management letter, which shall be referred to in the report on compliance and internal controls.
Irregularities and illegal acts – The Consultant shall be required to make an immediate, written
report of all irregularities and illegal acts or indication of illegal acts of which they become aware
to the jurisdiction/agency and RCTC’s/RCA’s audit oversight committee, Executive Director, and
Chief Financial Officer.
Planning meetings – The Consultant shall meet with RCTC staff at least once a year prior to the
commencement of the audits and agreed-upon procedures.
E. Audit Schedule
The work to be performed at the jurisdictions and agencies shall be arranged by the Consultant
with the individual jurisdiction or agency after the conclusion of a planning meeting with RCTC
and RCTC’s issuance of audit notification letters to each jurisdiction and agency.
The RCTC work should be scheduled for no later than November 15 of each year. Barring
unforeseen circumstances, the Consultant must conduct the work activities and provide all
required reports and information to RCTC no later than December 31 of each year. The TDA
audits are required to be submitted to the State Controller by December 31 of each year; however,
an extension may be granted by RCTC for no more than 90 days. RCTC’s policy for Measure A
reports follows the TDA requirement; however, a formal extension is generally not issued.
RCA is required to annually certify to RCTC by June 30 that local jurisdictions participating in the
MSHCP comply with the MSHCP participation requirements to collect and remit fees in
accordance with each Member Agency’s MSHCP Ordinance (with amendments). Accordingly,
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the RCA requires all agreed-upon procedures reports to be issued by February 28 in the year
following the fiscal year for which the agreed-upon procedures are performed.
The Consultant shall keep RCTC apprised at least monthly on the status of the audits and any
issues which have been encountered. RCTC will provide assistance, to the extent necessary
and/or possible, to resolve such issues. If circumstances outside the control of the Consultant or
RCTC or the RCA arise and the deadline cannot be met, both parties agree to communicate the
circumstances and develop an action plan.
F. Measure A Proposed Local Streets and Roads Agreed-Upon Procedures (Proposed)
1. Review the 2009 Measure A (Ordinance 02-001) compliance requirements. Western
County jurisdictions are required to participate in the Transportation Uniform Mitigation
Fee (TUMF) program and in the Multi-Species Habitat Conservation Plan (MSHCP),
which are administered by the Western Riverside Council of Governments (WRCOG)
and the Western Riverside County Regional Conservation Authority (RCA),
respectively. Coachella Valley jurisdictions are required to participate in the TUMF
program administered by the Coachella Valley Association of Governments (CVAG).
Indicate participation in TUMF and/or MSHCP programs.
2. Obtain from RCTC the approved Five-Year Capital Improvement Plan (CIP) for the
fiscal year.
3. Obtain from the jurisdiction a detail general ledger and balance sheet for the fiscal
year.
a. Identify the amount of Measure A cash and investments recorded at the end of the
fiscal year. Compare amount to Measure A fund balance and provide an
explanation for any differences greater than 25% of fund balance.
b. Identify any amounts due from other funds.
c. Identify the components of ending fund balance for the Measure A activity (e.g.,
nonspendable, restricted, assigned, committed, unassigned) [and for County of
Riverside only by geographic area].
i. Identify the existence of any restatement of Measure A fund balance; inquire
of management as to the reason for any restatement and provide a summary
of the restatement items.
ii. Compare ending fund balance to total revenues for the current year and prior
two years. If ending fund balance is greater than sum of total revenues for the
three-year period, inquire of management as to the reason(s) for the
accumulation of fund balance (e.g., status of specific projects included in the
5-Year CIP).
4. Obtain an operating statement for the Measure A activity for the fiscal year, including
budget amounts; include the operating statement as an exhibit to the report.
a. Review the revenues in the operating statement.
i. Inquire of management as to what fund is used to record Measure A revenues
received from RCTC and identify what the total revenues were for the fiscal
year.
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ii. Obtain from RCTC a listing of Measure A payments to the jurisdiction.
1. Compare the Measure A sales tax revenues recorded by the jurisdiction to
the listing of payments made by RCTC. [Use gross amounts paid by RCTC]
iii. Obtain from the jurisdiction an interest allocation schedule for the fiscal year.
1. Identify the allocation amount of interest income to Measure A activity and
what the amount of interest income was for the fiscal year. If no interest
was allocated, inquire of management as to reason for not allocating
interest income.
b. Review the expenditures in the operating statement.
i. Inquire of management as to what fund is used to record Measure A
expenditures and what the total expenditures were for the fiscal year.
ii. Select expenditures for testing that comprise at least 20% of the total
expenditures.
1. For the expenditures selected for testing, compare the dollar amount listed
on the general ledger to the supporting documentation.
2. For the expenditures selected for testing, review the 5-Year CIP and note
if the project is included in the 5-Year CIP and is an allowable cost.
iii. Inquire of management as to the nature of any transfers in or out recorded in
the Measure A fund. For any transfers out, determine if nature of transfer out
was included in the 5-Year CIP.
iv. Inquire of management as to the amount of general or non-project-related
indirect costs, if any, included in expenditures. If indirect costs exceed 8% of
Measure A revenue, inquire of management as to the basis for indirect costs
charged to Measure A. If indirect costs are identified, determine if such costs
are included in the 5-Year CIP.
v. Inquire of management as to the amount of debt service expenditures recorded
in the Measure A fund and determine is such costs are included in the 5-Year
CIP.
5. Obtain from RCTC a listing of jurisdictions who participate in the Western County or
Coachella Valley TUMF programs.
a. If the jurisdiction is a participant in the TUMF program, select at least one
disbursement for validation as to the amount remitted to WRCOG or CVAG, as
applicable.
b. Indicate the total amount of TUMF fees collected and remitted during the fiscal
year.
6. Obtain from RCTC a listing of jurisdictions who participate in the Western County
MSHCP program.
a. If the jurisdiction is a participant in the MSHCP program, select at least one
disbursement for validation as to the amount remitted to RCA, as applicable.
b. Inquire of management as to the existence of any fees collected in prior years and
not remitted to RCA as of the end of the fiscal year.
c. Indicate the total amount of MSHCP fees collected and remitted during the fiscal
year.
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7. Obtain from RCTC the MOE base year requirement, including supporting detail of the
calculations for its city/County, and the carryover amount allowed as of the beginning
of the fiscal year.
a. Obtain from the city/County a calculation of its current year MOE amount in the
format similar to its base year calculation. Attach a copy of the calculation
worksheet provided by the city/County as an exhibit to the report.
b. Compare the current year MOE amounts from the General Fund to the general
ledger.
c. Review the General Fund general ledger to determine if there were any transfers
in to fund any MOE amounts.
d. Compare the amount of current year MOE expenditures to the MOE base
requirement and add any excess to, or subtract any deficiency from, the carryover
amount.
e. If the amount of discretionary funds spent is less than the MOE base requirement
(MOE deficiency), determine the amount of any prior year MOE carryover using
the information obtained from RCTC and reduce the MOE deficiency by any
available MOE carryover to determine an adjusted current year expenditure
amount.
G. Measure A Proposed Specialized Transit Agreed-Upon Procedures (Proposed)
1. Obtain specialized transit grant funding agreement from RCTC, including exhibit of
budget submitted with funding application, matching requirements, and any budget
modifications subsequently approved by RCTC.
a. Inquire of management as to the accounting and identification of Measure A
funded programs.
b. Inquire of management as to whether the accounting of Measure A funds received
by the Agency were accounted for separately or commingled with other programs
and/or funding sources.
2. Obtain monthly reporting package for third, sixth, ninth, and last months of the annual
reporting period and revenue and expense amounts for the fiscal year from the general
ledger.
a. Recalculate totals on reporting packages.
b. Inquire of management as to the accomplishment of the applicable program goals
and source of documentation for accomplishing program goals. Agree third, sixth,
and ninth month reports provided by RCTC to source documents from Agency as
to total passenger one-way trips made or number of people served.
c. Include a summary of revenues and expenses from the general ledger for the fiscal
year compared to budgeted amounts (present in format of monthly reporting
package) as an exhibit (Exhibit A).
d. For the exhibit summary of revenues and expenses, calculate variances of
budgeted expense amounts compared to actual amounts in terms of dollars and
percentages. For expense variances greater than 25%, inquire of management
as to the existence of approval from RCTC. Determine if budgeted amounts per
Exhibit A are consistent with the current Commission-approved budget.
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e. For the exhibit summary of revenues and expenses, calculate the variance of total
budgeted expenses compared to actual total expenses in terms of dollars and
percentage.
i. If the variance is greater than 20%, inquire of management why the actual total
expenses were less than the budgeted total expenses.
f. List the total revenues and expenses from the final fiscal year reporting package
(“Check Sum” tab) and calculate the difference between funding received and
expenses/capital expenditures incurred as per Exhibit A. For any variances, inquire
of management as to the nature of the changes in originally reported revenues
and/or expenses.
3. Determine if funding agreement includes requirement for matching contributions. If
agency was required to provide matching contributions, perform the following
procedures:
a. Review RCTC’s policy on qualifying in-kind matching contributions.
b. Inquire of management how matching requirements per the funding agreement
were satisfied (i.e., sources) and what the total dollar value was for cash match
and for in-kind matching contributions. Indicate if cash and in-kind matching
amounts were not met, met, or exceeded, as applicable.
i. If match was not met based on budget match requirement, compare actual
Measure A revenues to budgeted Measure A revenues. If full amount of
budgeted Measure A was not received, the minimum match requirement
should also be reduced by a proportionate amount in order to determine the
adjusted match requirement.
ii. If adjusted match requirement was not met, inquire of management as to
explanation for shortfall in meeting adjusted match requirement.
c. If source of match was in-kind contributions, inquire of management as to the
following:
i. If such contributions were made by a third party.
ii. If such third party contributions were related to property or services which
benefited the project or program and which were contributed by third parties
without charge to the grantee, or through a modified cost arrangement;
iii. If such contributions were necessary and reasonable for the efficient
accomplishment of program objectives; and
iv. If using volunteer time, a tracking method existed to identify when donated
services were provided.
d. For in-kind matching contributions presented on the third, sixth, and ninth month
reporting packages, compare such contribution amounts to supporting
documentation provided by the third party.
e. Inquire of management if any loans were obtained or lines of credit utilized to pay
Measure A program expenses.
i. If such indebtedness was incurred, inquire of management as to the amount
and if such amount is reflected in revenues as a cash match.
4. Obtain amount of Measure A funds disbursed to Agency from RCTC for specialized
transit grant purposes for the fiscal year.
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a. Agree amount from RCTC to amount recorded by the agency.
5. Obtain a summary of expenses (Personnel, Operating, Capital) by major line item
incurred by the Agency related to the specialized transit grant; include summary as an
exhibit (Exhibit A) to the report.
a. Inquire of management how Measure A expenses are recorded (i.e., direct costs,
allocations, or indirect costs).
b. Inquire of management as to the existence of any unreported expenses related to
the Measure A specialized transit program provided by the Agency. If amounts
are not reported, obtain a summary of such amounts and inquire of management
as to why such amounts are not reported.
c. Select one pay period from personnel expenses for testing.
d. Select operating expenses for testing that comprise at least 20% of the total
expenses.
e. Select all capital expenditures for testing.
f. For the expenses/capital expenditures selected for testing, compare the dollar
amount listed on the general ledger to the supporting documentation. Additionally,
for personnel expenses, agree hours charged to Measure A specialized transit
activities to approved timesheet or other documentation.
g. For the expenses/capital expenditures selected for testing, compare the type of
expense to the allowable costs included in the funding agreement.
h. Compare the summary of expenses/capital expenditures by major line item to the
budget included in the funding agreement and note any variances.
i. Inquire of management as to the amount of indirect or overhead costs, if any,
included in expenses and compare amount to the budget included in the funding
agreement.
6. Inquire of management as to the existence of any temporarily restricted net assets or
deferred revenues as of the end of the fiscal year related to the Measure A funded
program.
a. Obtain a copy of approval letter from RCTC, if applicable, for the carryover of such
balances.
b. If temporarily restricted net assets or deferred revenues exist as of the end of the
fiscal year, inquire of management as to source of funds responsible for generating
such balances.
7. Review the prior year’s report and note the existence of any temporarily restricted net
assets or deferred revenues as of the end of the prior fiscal year; inquire of
management if such amount was used to reduce the current fiscal year disbursements
of Measure A to the Agency.
8. Inquire of management as to the rating of the Agency’s insurer for commercial general
liability insurance, business automobile liability insurance, and worker’s compensation
insurance.
H. MSHCP Member Agency Agreed-Upon Procedures (Proposed, subject to
change due to requirement to adopt new ordinance and resolution)
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1. Obtain any updates to the Member Agency’s ordinance for collection of the MSHCP
fees.
2. Upon obtaining the updates, determine if the ordinance is in accordance with the
MSHCP Implementing Agreement and Joint Powers Agreement.
3. Determine if fees on the building permits are collected in accordance with the Member
Agency ordinance.
4. Obtain the schedule of fees collected on MSHCP building permits for the year ended
June 30, 202X.
5. Obtain a listing of building permits issued during the year ended June 30, 202X.
Identify the new construction and commercial/industrial permits. Select for testing
10% of new construction and commercial/industrial building permits, selecting no less
than 25 permits or 100% of permits if total permits for new construction and
commercial/industrial is less than 25.
6. Recalculate the fees collected by the Member Agency on building permits to determine
if they are correct and if the correct amounts have been remitted to the RCA. If fees
are incorrect, determine the fees that should have been collected and remitted.
7. Determine if fees collected on building permits were remitted to the RCA within 90
days of the earlier of the date they were collected or should have been collected.
8. Determine additional amounts, if any, which should be returned to the Member Agency
for building permits.
9. If amounts are due to the RCA on building permits, calculate interest owed, based on
the RCA’s Resolution No. 07-04 adopted on September 10, 2007, using the interest
rate paid by Riverside County (County) Treasury on amounts held by the County.
10. Obtain a list of all construction (civic and infrastructure) contracts awarded by the
Member Agency during the fiscal year. Select a sample of 10% of the contracts for
testing, selecting no less than three contracts, or 100% of contracts if the total number
of contracts is less than three.
11. Compute the amount of MSHCP fees on the civic and infrastructure contracts that
should have been remitted.
12. Determine if the MSHCP fees on the civic and infrastructure contracts were remitted
to the RCA within 90 days of contract award.
13. Determine additional amounts on civic and infrastructure contracts, if any, which
should be remitted to the RCA or returned to the Member Agency.
14. If additional amounts are due to the RCA on civic and infrastructure contracts,
calculate interest owed, using the interest rate paid County Treasury on amounts held
by the County.
I. Measure A Recipient Conformance Requirements
1. Allowable Costs. Measure A funds may only be used for transportation purposes
including the administration of Division 25 including legal actions related thereto; the
construction, capital acquisition, maintenance, and operation of streets, roads,
highways including state highways and public transit systems; and for related
purposes. These purposes include expenditures for the planning, environmental
reviews, engineering and design costs, and related right-of-way acquisition.
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a. Eligible local street and road projects costs include any engineering, capital, or
maintenance cost. Decisions on projects are to be made by local jurisdictions
subject to Capital Improvement Program requirements.
i. Annual budget reflecting the local government or agency’s anticipated receipts
and expenditures should be prepared and submitted to RCTC upon approval
by the governing board. The data contained in the capital improvement plans
submitted to RCTC should be included in the recipient’s budgets. These
budgets allow for proper evaluation by RCTC of the recipient’s activities on an
annual basis. (Policy adopted May 8, 1991)
b. Eligible transit programs include special discount fares for seniors and
handicapped people, commuter bus services, funding for computer assisted
rideshare programs, and “seed” programs to encourage the creation of vanpools.
Additionally, funds will be used to provide further reductions for the truly needy and
to expand existing services and implement new services. Bus capital replacement
and additional bus service may also be an eligible program within the Coachella
Valley, subject to a determination of funding by the Coachella Valley Association
of Governments (CVAG).
2. Maintenance of Effort (MOE). Additional funds provided under Measure A are
intended to supplement existing local revenues being used for transportation
purposes. Government agencies shall maintain their existing commitment of local
funds for street highway and public transit purposes pursuant to Measure A.
a. The local cities and the County shall annually submit to RCTC a list of the proposed
uses for these funds and a certification that the MOE requirement is being met. If
in any fiscal year, the maintenance of effort requirement is not met, the agency
shall not be eligible for any Measure A funds in the following fiscal year. Such
funds shall be distributed to the remaining local governments using the formula for
the area.
i. Agencies may use any local discretionary funds expended for local streets and
roads purposes during previous fiscal years which were in excess of their
maintenance of effort requirements to meet their MOE requirements for the
fiscal year. (Measure A Maintenance of Effort Guidelines)
b. RCTC shall assure the cities’ and County compliance with MOE funding
requirements before allocating funds for local streets and roads.
c. RCTC shall not allocate funds to an individual city or the County for local streets
and roads use within the Western County and Coachella Valley areas unless
WRCOG or CVAG indicates participation of agency in the Transportation Uniform
Mitigation Fee program necessary for implementation of the planned regional
arterial system.
3. Allocation of Funds to Geographic Areas. Funds for transportation purposes shall
be allocated to the Western County, Coachella Valley, and Palo Verde Valley areas
proportionate to the Measure A funds generated within these areas.
4. Allocation of Funds within Geographic Areas. RCTC shall return 2009 Measure A
funds to the geographic areas as follows (Applicable to RCTC):
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a. Western County. To be distributed for the following programs: $370 million
(approx. 11% to new corridors; $1,020 million (approx. 30%) to highways; $390
million (approx. 12%) to public transit; $300 million (approx. 9%) to regional
arterials; $970 million (approx. 29%) to local streets and roads; $270 million
(approx. 8%) to bond financing; and $40 million (approx. 1%) to economic
development.
i. Local streets and roads funding are to be distributed by a formula based on
75% on proportionate population and 25% on 2009 Measure A revenues
generated within each jurisdiction, if they participate in the Transportation
Uniform Mitigation Fee program and Multi-Species Habitat Conservation Plan.
If local agencies choose not to participate in the TUMF and MSHCP programs,
the funds they would otherwise receive for local streets and roads will be added
to the Measure A funds for the Regional Arterial System administered by
RCTC.
b. Coachella Valley. To be distributed for the following programs: 50% to highways
and regional arterial projects; 35% to local streets and roads; and 15% to
specialized public transit.
i. Local streets and roads funds will be provided to Coachella Valley cities and
the County if they participate in the Transportation Uniform Mitigation Fee
program. If local agencies choose not to participate in the TUMF program, the
funds they would otherwise receive for local streets and roads will be added to
the Measure A funds for the Regional Arterial System administered by CVAG.
ii. Local streets and roads funds are to be distributed by a formula based on 50%
on proportionate dwelling units and 50% on 2009 Measure A revenues
generated within each jurisdiction, as interpreted in Ordinance and direction
provided by CVAG.
c. Palo Verde Valley. To be distributed 100% to local streets and roads.
i. Local streets and roads funds are to be distributed by a formula based on 75%
on proportionate population and 25% on sales tax revenues generated in each
jurisdiction.
5. Accounting Records. Measure A recipients are required to maintain accurate,
complete, and separate accounting records for all sources of the funds they receive.
Small not-for-profit agencies are encouraged but not required to maintain separate
accounting records as long as Measure A receipts, related revenues, and
expenditures can be readily identified. If RCTC’s independent auditors are unable to
readily identify which funds are being used for expenditures, then the agency will be
required to maintain separate accounting records and cash accounts if they are to
continue receiving Measure A allocations. Any agency which maintains poor
accounting records will receive funding allocations on a reimbursement basis only.
(Policy adopted May 12, 1993)
6. Interfund Borrowing. Interfund borrowing from Measure A funding sources to
another local jurisdiction fund is strictly prohibited. Cities and agencies must maintain
sufficient cash balances so as not to impair their Measure A funds. Evidence of
interfund borrowing or impaired cash balances will result in the city or agency receiving
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funds from RCTC on a reimbursement basis only after any existing city or agency
reserves of prior Commission funds have been fully depleted. (Policy adopted May
12, 1993)
7. Interest Income Allocations. Interest on Measure A funds shall accrue separately
for all of RCTC’s programs as defined in the text of Measure A. This interest allocation
policy is applicable to the entire County, and such allocations shall be made monthly.
Interest earned on unexpended Measure A monies should be recorded in the Measure
A fund established by a local government or other agency receiving local streets and
roads or specialized transit monies. As these funds are restricted, the related interest
earned should be restricted as required by governmental regulations and other
transportation funding including the Transportation Act. (Policy adopted May 8, 1991
and May 12, 1993)
8. Accumulated Deficits. Accumulated funding source deficits are the responsibility of
the local jurisdiction. RCTC will consider allocating additional funds for such deficits
when justifiable on a case-by-case basis. (Policy adopted May 12, 1993)
9. Budget Variances. Significant budget variances should be avoided. All local
jurisdictions are required to compare the budget to actual results and make mid-year
revisions as needed. (Policy adopted May 12, 1993)
10. Unexpended Monies. Whenever the annual fiscal audit or the proposed update of
the Five Year Capital Improvement Program of a local agency shows a Measure A
Local Streets and Road Program carryover balance in excess of three (3) times the
annual allocation to an agency, Commission staff will:
a. Meet with the local agency to have them explain the reason for the carryover and
explore alternatives for moving projects faster, and
b. Present a report of their findings to RCTC’s Budget and Finance Committee to
determine if any further action should be considered and proposed to the full
Commission.
(Policy included in December 13, 1995 revisions to the RCTC Program and Funding
Guide)
J. Transit Compliance Requirements
The auditors should review the TDA regulations for Local Transportation Fund and State
Transit Assistance funding. California Code Section 6664 discusses the fiscal and
compliance audits of all claimants, Section 6666 provides the compliance audit tasks for
non-transit claimants, and Section 6667 provides the compliance audit tasks for transit
claimants. The TDA Statutes and California Code of Regulation Guidebook is available at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/f0009844-tda-07-2018-a11y.pdf.
California Department of Transportation program guidelines for State of Good Repair
funds received through RCTC are located at:
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https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/sgr/202008-sgr-final-guidelines-a11y.pdf
Proposition 1B accountability requirements for Public Transportation Modernization,
Improvement and Service Enhancement Account (PTMISEA) funds received through
Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/ptmisea/201910-ptmisea-guidelines-a11y.pdf
Proposition 1B guidelines for Transit System Safety, Security, and Disaster Response
Account (TSSSDRA) funds received through CalOES are located at:
https://www.caloes.ca.gov/GrantsManagementSite/Documents/FY 2016-17 HR
Guidance with Allocations.pdf#search=TSSSDRA guidelines
LCTOP program guidelines for funds received through Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/lctop/201909-lctop-fy19-20-guidelines-a11y.pdf
K. MSCHP Compliance Requirements
The auditors should review the MSHCP Member Agency requirements in various implementation
documents which are available at:
MSHCP Implementation Agreement Ordinance (for current procedures, see model
ordinance beginning on page 347 of link)
https://www.wrc-rca.org/Permit_Docs/MSHCP/MSHCP-Volume3.pdf
MSHCP Implementation Manual (effective for FY 2021/22 agreed-upon procedures)
https://www.wrc-
rca.org//Permit_Docs/MSHCP/MSHCP%20Mitigation%20Fee%20Implementation%20M
anual%20Final.pdf
End of Statement of Services
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17336.00000\8752982.1
EXHIBIT "B"
COMPENSATION
[TO BE INSERTED BEHIND THIS PAGE]
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(Amounts subject to rounding
differences)
FIRM PROJECT TASKS/ROLE COST
Eide Bailly2 Audit and Attestation Services 424,977$
-
424,977$
TASK NUMBER TASK DESCRIPTION COST
TDA Article 3/Bicycle and Pedestrian2 Audit Services 23,330$
TDA Article 4/Transit Audit Services 131,790
Measure A Local Streets and Roads Agreed-Upon Procedures Attestation Services 152,634
Measure A Specialized Transit2 Agreed-Upon Procedures Attestation Services -
MSHCP Member Agencies Agreed-Upon Procedures Attestation Services 117,222
424,977
-
424,977$
FISCAL YEAR PROJECT COST
FY 2020/212 Audit and Attestation Services 69,107$
FY 2021/222 Audit and Attestation Services 69,107
FY 2022/232 Audit and Attestation Services 69,107
FY 2023/24 (Option Year 1)2 Audit and Attestation Services 70,912
FY 2024/25 (Option Year 2)2 Audit and Attestation Services 72,556
FY 2025/26 (Option Year 3)2 Audit and Attestation Services 74,189
424,977
424,977$ TOTAL COSTS
1 Commission authorization pertains to total contract award amount. Compensation adjustments between consultants may occur;
however, the maximum total compensation authorized may not be exceeded.
2 TDA Article 3/Bicycle and Pedestrian audits and Measure A Specialized Transit agreed-upon procedures will be determined annually
based on TDA claimants and Measure A disbursements; accordingly, amounts are estimated. This estimate assumes four (4) annual
TDA Article 3/Bicycle and Pedestrian audits and zero (0) Measure A Specialized Transit attestation services.
SUBTOTAL
OTHER DIRECT COSTS
TOTAL COSTS
SUBTOTAL
EXHIBIT "B"
COMPENSATION SUMMARY1
Prime Consultant:
OTHER DIRECT COSTS
TOTAL COSTS
EXHIBIT B-1
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Agreement No. 21-19-056-00
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE EASTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
WITH BROWN ARMSTRONG ACCOUNTANCY CORPORATION
1. PARTIES AND DATE.
This Agreement is made and entered into this day of , 2021, by and
between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION ("the Co-
mmission") and BROWN ARMSTRONG ACCOUNTANCY CORPORATION
("Consultant"), a CORPORATION.
2. RECITALS.
2.1 Consultant desires to perform and assume responsibility for the
provision of certain professional consulting services required by Commission on the terms
and conditions set forth in this Agreement. Consultant represents that it is a professional
consultant, experienced in providing audit services to public clients, is licensed in the
State of California, and is familiar with the plans of Commission.
2.2 Commission desires to engage Consultant to render certain audit
and attestation services for the Commission ("Project") as set forth herein.
3. TERMS.
3.1 General Scope of Services. Consultant promises and agrees to
furnish to Commission all labor materials, tools, equipment, services, and incidental and
customary work necessary to fully and adequately provide professional consulting
services and advice on various issues affecting the decisions of Commission regarding
the Project and on other programs and matters affecting Commission, hereinafter referred
to as "Services". The Services are more particularly described in Exhibit "A" attached
hereto and incorporated herein by reference. All Services shall be subject to, and
performed in accordance with, this Agreement, the exhibits attached hereto and
incorporated herein by reference, and all applicable local, state, and federal laws, rules
and regulations.
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3.2 Term. The term of this Agreement shall be from the date first
specified above to June 30, 2024, unless earlier terminated as provided herein. The
Commission, at its sole discretion, may extend this Agreement for three (3) additional
single year terms through June 30, 2027. Consultant shall complete the Services within
the term of this Agreement and shall meet any other established schedules and
deadlines.
3.3 Schedule of Services. Consultant shall perform the Services
expeditiously, within the term of this Agreement, and in accordance with the Audit
Schedule set forth in Exhibit "A" attached hereto and incorporated herein by reference.
Consultant represents that it has the professional and technical personnel required to
perform the Services in conformance with such conditions. In order to facilitate
Consultant's conformance with the Schedule, the Commission shall respond to
Consultant's submittals in a timely manner. Upon request of the Commission, Consultant
shall provide a more detailed schedule of anticipated performance to meet the Audit
Schedule.
3.4 Independent Contractor; Control and Payment of Subordinates. The
Services shall be performed by Consultant under its supervision. Consultant will
determine the means, method and details of performing the Services subject to the
requirements of this Agreement. Commission retains Consultant on an independent
contractor basis and Consultant is not an employee of Commission. Consultant retains
the right to perform similar or different services for others during the term of this
Agreement. Any additional personnel performing the Services under this Agreement on
behalf of Consultant shall not be employees of Commission and shall at all times be under
Consultant's exclusive direction and control. Consultant shall pay all wages, salaries, and
other amounts due such personnel in connection with their performance of Services under
this Agreement and as required by law. Consultant shall be responsible for all reports
and obligations respecting such additional personnel, including, but not limited to: social
security taxes, income tax withholding, unemployment insurance, and workers'
compensation insurance.
3.5 Conformance to Applicable Requirements. All work prepared by
Consultant shall be subject to the approval of Commission.
3.6 Substitution of Key Personnel. Consultant has represented to
Commission that certain key personnel will perform and coordinate the Services under
this Agreement. Should one or more of such personnel become unavailable, Consultant
may substitute other personnel of at least equal competence and experience upon written
approval of Commission. In the event that Commission and Consultant cannot agree as
to the substitution of key personnel, Commission shall be entitled to terminate this
Agreement for cause, pursuant to provisions of Section 3.16 of this Agreement. The key
personnel for performance of this Agreement are as follows: Eric H. Xin, Thomas M.
Young, Melissa L. Cabezzas, Ken Gill, Alex Medina, and Lorena Matias.
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3.7 Commission’s Representative. Commission hereby designates the
Chief Financial Officer, or his or her designee, to act as its representative for the
performance of this Agreement ("Commission’s Representative"). Commission's
representative shall have the power to act on behalf of Commission for all purposes under
this Agreement. Consultant shall not accept direction from any person other than
Commission's Representative or his or her designee.
3.8 Consultant’s Representative. Consultant hereby designates Eric H.
Xin, or his or her designee, to act as its representative for the performance of this
Agreement ("Consultant’s Representative"). Consultant’s Representative shall have full
authority to represent and act on behalf of the Consultant for all purposes under this
Agreement. The Consultant’s Representative shall supervise and direct the Services,
using his or her best skill and attention, and shall be responsible for all means, methods,
techniques, sequences and procedures and for the satisfactory coordination of all
portions of the Services under this Agreement.
3.9 Coordination of Services. Consultant agrees to work closely with
Commission staff in the performance of Services and shall be available to Commission's
staff, consultants and other staff at all reasonable times.
3.10 Standard of Care; Licenses. Consultant shall perform the Services
under this Agreement in a skillful and competent manner, consistent with the standard
generally recognized as being employed by professionals in the same discipline in the
State of California. Consultant represents and maintains that it is skilled in the
professional calling necessary to perform the Services. Consultant warrants that all
employees and subcontractors shall have sufficient skill and experience to perform the
Services assigned to them. Finally, Consultant represents that it, its employees and
subcontractors have all licenses, permits, qualifications and approvals of whatever nature
that are legally required to perform the Services and that such licenses and approvals
shall be maintained throughout the term of this Agreement. Consultant shall perform, at
its own cost and expense and without reimbursement from Commission, any Services
necessary to correct errors or omissions which are caused by the Consultant’s failure to
comply with the standard of care provided for herein, and shall be fully responsible to the
Commission for all damages and other liabilities provided for in the indemnification
provisions of this Agreement arising from the Consultant’s errors and omissions.
3.11 Laws and Regulations. Consultant shall keep itself fully informed of
and in compliance with all local, state and federal laws, rules and regulations in any
manner affecting the performance of the Project or the Services, including all Cal/OSHA
requirements, and shall give all notices required by law. Consultant shall be liable for all
violations of such laws and regulations in connection with Services. If the Consultant
performs any work knowing it to be contrary to such laws, rules and regulations and
without giving written notice to Commission, Consultant shall be solely responsible for all
costs arising therefrom. Consultant shall defend, indemnify and hold Commission, its
officials, directors, officers, employees and agents free and harmless, pursuant to the
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indemnification provisions of this Agreement, from any claim or liability arising out of any
failure or alleged failure to comply with such laws, rules or regulations.
3.12 Insurance.
3.12.1 Time for Compliance. Consultant shall not commence work
under this Agreement until it has provided evidence satisfactory to the Commission that
it has secured all insurance required under this section, in a form and with insurance
companies acceptable to the Commission. In addition, Consultant shall not allow any
subcontractor to commence work on any subcontract until it has secured all insurance
required under this section.
3.12.2 Minimum Requirements. Consultant shall, at its expense,
procure and maintain for the duration of the Agreement insurance against claims for
injuries to persons or damages to property which may arise from or in connection with the
performance of the Agreement by the Consultant, its agents, representatives, employees
or subcontractors. Consultant shall also require all of its subcontractors to procure and
maintain the same insurance for the duration of the Agreement. Such insurance shall
meet at least the following minimum levels of coverage:
(A) Minimum Scope of Insurance. Coverage shall be at
least as broad as the latest version of the following: (1) General Liability: Insurance
Services Office Commercial General Liability coverage (occurrence form CG 0001 or
exact equivalent); (2) Automobile Liability: Insurance Services Office Business Auto
Coverage (form CA 0001, code 1 (any auto) or exact equivalent); and (3) Workers’
Compensation and Employer’s Liability: Workers’ Compensation insurance as required
by the State of California and Employer’s Liability Insurance.
(B) Minimum Limits of Insurance. Consultant shall
maintain limits no less than: (1) General Liability: $2,000,000 per occurrence for bodily
injury, personal injury and property damage. If Commercial General Liability Insurance
or other form with general aggregate limit is used, either the general aggregate limit shall
apply separately to this Agreement/location or the general aggregate limit shall be twice
the required occurrence limit; (2) Automobile Liability: $1,000,000 per accident for bodily
injury and property damage; and (3) if Consultant has an employees, Workers’
Compensation and Employer’s Liability: Workers’ Compensation limits as required by the
Labor Code of the State of California. Employer’s Practices Liability limits of $1,000,000
per accident.
3.12.3 Professional Liability. Consultant shall procure and maintain,
and require its sub-consultants to procure and maintain, for a period of five (5) years
following completion of the Project, errors and omissions liability insurance appropriate to
their profession. Such insurance shall be in an amount not less than $1,000,000 per
claim. This insurance shall be endorsed to include contractual liability applicable to this
Agreement and shall be written on a policy form coverage specifically designed to protect
against acts, errors or omissions of the Consultant. “Covered Professional Services” as
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designated in the policy must specifically include work performed under this Agreement.
The policy must “pay on behalf of” the insured and must include a provision establishing
the insurer's duty to defend.
3.12.4 Insurance Endorsements. The insurance policies shall
contain the following provisions, or Consultant shall provide endorsements on forms
approved by the Commission to add the following provisions to the insurance policies:
(A) General Liability.
(i) Commercial General Liability Insurance must
include coverage for (1) bodily injury and property damage; (2) personal Injury/Advertising
injury; (3) premises/operations liability; (4) products/completed operations liability; (5)
aggregate limits that apply per project; (6) explosion, collapse and underground (UCX)
exclusion deleted; (7) contractual liability with respect to this Agreement; (8) broad form
property damage; and (9) independent consultants coverage.
(ii) The policy shall contain no endorsements or
provisions limiting coverage for (1) contractual liability; (2) cross liability exclusion for
claims or suits by one insured against another; or (3) contain any other exclusion contrary
to this Agreement.
(iii) The policy shall give the Commission, its
directors, officials, officers, employees, and agents insured status using ISO endorsement
forms 20 10 10 01 and 20 37 10 01, or endorsements providing the exact same coverage.
(iv) The additional insured coverage under the
policy shall be “primary and non-contributory” and will not seek contribution from the
Commission’s insurance or self-insurance and shall be at least as broad as CG 20 01 04
13, or endorsements providing the exact same coverage.
(B) Automobile Liability. The automobile liability policy
shall be endorsed to state that: (1) the Commission, its directors, officials, officers,
employees and agents shall be covered as additional insureds with respect to the
ownership, operation, maintenance, use, loading or unloading of any auto owned, leased,
hired or borrowed by the Consultant or for which the Consultant is responsible; and (2)
the insurance coverage shall be primary insurance as respects the Commission, its
directors, officials, officers, employees and agents, or if excess, shall stand in an
unbroken chain of coverage excess of the Consultant’s scheduled underlying coverage.
Any insurance or self-insurance maintained by the Commission, its directors, officials,
officers, employees and agents shall be excess of the Consultant’s insurance and shall
not be called upon to contribute with it in any way.
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(C) Workers’ Compensation and Employers Liability
Coverage.
(i) Consultant certifies that he/she is aware of the
provisions of Section 3700 of the California Labor Code which requires every employer
to be insured against liability for workers’ compensation or to undertake self-insurance in
accordance with the provisions of that code, and he/she will comply with such provisions
before commencing work under this Agreement.
(ii) The insurer shall agree to waive all rights of
subrogation against the Commission, its directors, officials, officers, employees and
agents for losses paid under the terms of the insurance policy which arise from work
performed by the Consultant.
(D) All Coverages.
(i) Defense costs shall be payable in addition to the
limits set forth hereunder.
(ii) Requirements of specific coverage or limits
contained in this section are not intended as a limitation on coverage, limits, or other
requirement, or a waiver of any coverage normally provided by any insurance. It shall be
a requirement under this Agreement that any available insurance proceeds broader than
or in excess of the specified minimum insurance coverage requirements and/or limits set
forth herein shall be available to the Commission, its directors, officials, officers,
employees and agents as additional insureds under said policies. Furthermore, the
requirements for coverage and limits shall be (1) the minimum coverage and limits
specified in this Agreement; or (2) the broader coverage and maximum limits of coverage
of any insurance policy or proceeds available to the named insured; whichever is greater.
(iii) The limits of insurance required in this
Agreement may be satisfied by a combination of primary and umbrella or excess
insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a
provision that such coverage shall also apply on a primary and non-contributory basis for
the benefit of the Commission (if agreed to in a written contract or agreement) before the
Commission’s own insurance or self-insurance shall be called upon to protect it as a
named insured. The umbrella/excess policy shall be provided on a “following form” basis
with coverage at least as broad as provided on the underlying policy(ies).
(iv) Consultant shall provide the Commission at
least thirty (30) days prior written notice of cancellation of any policy required by this
Agreement, except that the Consultant shall provide at least ten (10) days prior written
notice of cancellation of any such policy due to non-payment of premium. If any of the
required coverage is cancelled or expires during the term of this Agreement, the
Consultant shall deliver renewal certificate(s) including the General Liability Additional
Insured Endorsement to the Commission at least ten (10) days prior to the effective date
of cancellation or expiration.
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(v) The retroactive date (if any) of each policy is to
be no later than the effective date of this Agreement. Consultant shall maintain such
coverage continuously for a period of at least three years after the completion of the work
under this Agreement. Consultant shall purchase a one (1) year extended reporting
period A) if the retroactive date is advanced past the effective date of this Agreement; B)
if the policy is cancelled or not renewed; or C) if the policy is replaced by another claims-
made policy with a retroactive date subsequent to the effective date of this Agreement.
(vi) The foregoing requirements as to the types and
limits of insurance coverage to be maintained by Consultant, and any approval of said
insurance by the Commission, is not intended to and shall not in any manner limit or
qualify the liabilities and obligations otherwise assumed by the Consultant pursuant to
this Agreement, including but not limited to, the provisions concerning indemnification.
(vii) If at any time during the life of the Agreement,
any policy of insurance required under this Agreement does not comply with these
specifications or is canceled and not replaced, Commission has the right but not the duty
to obtain the insurance it deems necessary and any premium paid by Commission will be
promptly reimbursed by Consultant or Commission will withhold amounts sufficient to pay
premium from Consultant payments. In the alternative, Commission may cancel this
Agreement. The Commission may require the Consultant to provide complete copies of
all insurance policies in effect for the duration of the Project.
(viii) Neither the Commission nor any of its directors,
officials, officers, employees or agents shall be personally responsible for any liability
arising under or by virtue of this Agreement.
Each insurance policy required by this Agreement shall
be endorsed to state that:
3.12.5 Deductibles and Self-Insurance Retentions. Any deductibles
or self-insured retentions must be declared to and approved by the Commission. If the
Commission does not approve the deductibles or self-insured retentions as presented,
Consultant shall guarantee that, at the option of the Commission, either: (1) the insurer
shall reduce or eliminate such deductibles or self-insured retentions as respects the
Commission, its directors, officials, officers, employees and agents; or, (2) the Consultant
shall procure a bond guaranteeing payment of losses and related investigation costs,
claims and administrative and defense expenses.
3.12.6 Acceptability of Insurers. Insurance is to be placed with
insurers with a current A.M. Best’s rating no less than A:VIII, licensed to do business in
California, and satisfactory to the Commission.
3.12.7 Verification of Coverage. Consultant shall furnish
Commission with original certificates of insurance and endorsements effecting coverage
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required by this Agreement on forms satisfactory to the Commission. The certificates and
endorsements for each insurance policy shall be signed by a person authorized by that
insurer to bind coverage on its behalf. All certificates and endorsements must be received
and approved by the Commission before work commences. The Commission reserves
the right to require complete, certified copies of all required insurance policies, at any
time.
3.12.8 Subconsultant Insurance Requirements. Consultant shall not
allow any subcontractors or subconsultants to commence work on any subcontract until
they have provided evidence satisfactory to the Commission that they have secured all
insurance required under this section. Policies of commercial general liability insurance
provided by such subcontractors or subconsultants shall be endorsed to name the
Commission as an additional insured using ISO form CG 20 38 04 13 or an endorsement
providing the exact same coverage. If requested by Consultant, the Commission may
approve different scopes or minimum limits of insurance for particular subcontractors or
subconsultants.
3.13 Safety. Consultant shall execute and maintain its work so as to avoid
injury or damage to any person or property. In carrying out its Services, the Consultant
shall at all times be in compliance with all applicable local, state and federal laws, rules
and regulations, and shall exercise all necessary precautions for the safety of employees
appropriate to the nature of the work and the conditions under which the work is to be
performed. Safety precautions as applicable shall include, but shall not be limited to: (A)
adequate life protection and life saving equipment and procedures; (B) instructions in
accident prevention for all employees and subcontractors, such as safe walkways,
scaffolds, fall protection ladders, bridges, gang planks, confined space procedures,
trenching and shoring, equipment and other safety devices, equipment and wearing
apparel as are necessary or lawfully required to prevent accidents or injuries; and (C)
adequate facilities for the proper inspection and maintenance of all safety measures.
3.14 Fees and Payment.
3.14.1 Compensation. Consultant shall receive compensation,
including authorized reimbursements, for all Services rendered under this Agreement at
the rates set forth in Exhibit "B" attached hereto. The total compensation shall not exceed
Thirty-Eight Thousand Four Hundred Dollars ($38,400) without written approval of
Commission's Executive Director (“Total Compensation”). Extra Work may be
authorized, as described below, and if authorized, will be compensated at the rates and
manner set forth in this Agreement.
3.14.2 Payment of Compensation. Consultant shall submit to
Commission a monthly statement which indicates work completed and hours of Services
rendered by Consultant. The statement shall describe the amount of Services and
supplies provided since the initial commencement date, or since the start of the
subsequent billing periods, as appropriate, through the date of the statement.
Commission shall, within 45 days of receiving such statement, review the statement and
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pay all approved charges thereon.
3.14.3 Reimbursement for Expenses. Consultant shall not be
reimbursed for any expenses unless authorized in writing by Commission.
3.14.4 Extra Work. At any time during the term of this Agreement,
Commission may request that Consultant perform Extra Work. As used herein, "Extra
Work" means any work which is determined by Commission to be necessary for the
proper completion of the Project, but which the parties did not reasonably anticipate would
be necessary at the execution of this Agreement. Consultant shall not perform, nor be
compensated for, Extra Work without written authorization from Commission's Executive
Director.
3.15 Accounting Records. Consultant shall maintain complete and
accurate records with respect to all costs and expenses incurred and fees charged under
this Agreement. All such records shall be clearly identifiable. Consultant shall allow a
representative of Commission during normal business hours to examine, audit, and make
transcripts or copies of such records and any other documents created pursuant to this
Agreement. Consultant shall allow inspection of all work, data, documents, proceedings,
and activities related to the Agreement for a period of three (3) years from the date of final
payment under this Agreement.
3.16 Termination of Agreement.
3.16.1 Grounds for Termination. Commission may, by written notice
to Consultant, terminate the whole or any part of this Agreement at any time and without
cause by giving written notice to Consultant of such termination, and specifying the
effective date thereof. Upon termination, Consultant shall be compensated only for those
services which have been fully and adequately rendered to Commission through the
effective date of the termination, and Consultant shall be entitled to no further
compensation. Consultant may not terminate this Agreement except for cause.
3.16.2 Effect of Termination. If this Agreement is terminated as
provided herein, Commission may require Consultant to provide all finished or unfinished
Documents and Data, as defined below, and other information of any kind prepared by
Consultant in connection with the performance of Services under this Agreement.
Consultant shall be required to provide such document and other information within fifteen
(15) days of the request.
3.16.3 Additional Services. In the event this Agreement is terminated
in whole or in part as provided herein, Commission may procure, upon such terms and in
such manner as it may determine appropriate, services similar to those terminated.
3.17 Delivery of Notices. All notices permitted or required under this
Agreement shall be given to the respective parties at the following address, or at such
other address as the respective parties may provide in writing for this purpose:
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CONSULTANT: COMMISSION:
Brown Armstrong Accountancy Corp. Riverside County
4200 Truxtun Avenue Transportation Commission
Suite 300 4080 Lemon Street, 3rd Floor
Bakersfield, CA 93309 Riverside, CA 92501
Attn: Eric H. Xin Attn: Executive Director
Such notice shall be deemed made when personally delivered or when
mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid
and addressed to the party at its applicable address. Actual notice shall be deemed
adequate notice on the date actual notice occurred, regardless of the method of service.
3.18 Ownership of Materials/Confidentiality.
3.18.1 Documents & Data. This Agreement creates an exclusive and
perpetual license for Commission to copy, use, modify, reuse, or sub-license any and all
copyrights and designs embodied in plans, specifications, studies, drawings, estimates,
materials, data and other documents or works of authorship fixed in any tangible medium
of expression, including but not limited to, physical drawings or data magnetically or
otherwise recorded on computer diskettes, which are prepared or caused to be prepared
by Consultant under this Agreement (“Documents & Data”).
Consultant shall require all subcontractors to agree in writing that
Commission is granted an exclusive and perpetual license for any Documents & Data the
subcontractor prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal
right to grant the exclusive and perpetual license for all such Documents & Data.
Consultant makes no such representation and warranty in regard to Documents & Data
which were prepared by design professionals other than Consultant or provided to
Consultant by the Commission.
Commission shall not be limited in any way in its use of the
Documents & Data at any time, provided that any such use not within the purposes
intended by this Agreement shall be at Commission’s sole risk.
All programs, working papers, files and other materials of the
Consultant made pursuant to this Agreement shall remain the property of the Consultant.
The Commission will have access to this material at any time. All reports delivered by the
Consultant and its subcontractors pursuant to the Agreement shall become the property
of the Commission without restriction or limitation on their use and shall be made available
upon request, to the Commission at any time. Original copies of the deliverable reports
shall be delivered to the Commission upon completion of the Services or termination of
the Services. The Consultant shall be permitted to retain copies of such items for the
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furtherance of its technical proficiency; however, publication of this material is subject to
the written approval of the Commission.
3.18.2 Intellectual Property. In addition, Commission shall have and
retain all right, title and interest (including copyright, patent, trade secret and other
proprietary rights) in all plans, specifications, studies, drawings, estimates, materials,
data, computer programs or software and source code, enhancements, documents, and
any and all works of authorship fixed in any tangible medium or expression, including but
not limited to, physical drawings or other data magnetically or otherwise recorded on
computer media (“Intellectual Property”) prepared or developed by or on behalf of
Consultant under this Agreement as well as any other such Intellectual Property prepared
or developed by or on behalf of Consultant under this Agreement.
The Commission shall have and retain all right, title and interest in
Intellectual Property developed or modified under this Agreement whether or not paid for
wholly or in part by Commission, whether or not developed in conjunction with Consultant,
and whether or not developed by Consultant. Consultant will execute separate written
assignments of any and all rights to the above referenced Intellectual Property upon
request of Commission.
Consultant shall also be responsible to obtain in writing separate
written assignments from any subcontractors or agents of Consultant of any and all right
to the above referenced Intellectual Property. Should Consultant, either during or
following termination of this Agreement, desire to use any of the above-referenced
Intellectual Property, it shall first obtain the written approval of the Commission.
All materials and documents which were developed or prepared by
the Consultant for general use prior to the execution of this Agreement and which are not
the copyright of any other party or publicly available and any other computer applications,
shall continue to be the property of the Consultant. However, unless otherwise identified
and stated prior to execution of this Agreement, Consultant represents and warrants that
it has the right to grant the exclusive and perpetual license for all such Intellectual Property
as provided herein.
Commission further is granted by Consultant a non-exclusive and
perpetual license to copy, use, modify or sub-license any and all Intellectual Property
otherwise owned by Consultant which is the basis or foundation for any derivative,
collective, insurrectional, or supplemental work created under this Agreement.
3.18.3 Confidentiality. All ideas, memoranda, specifications, plans,
procedures, drawings, descriptions, computer program data, input record data, written
information, and other Documents and Data either created by or provided to Consultant
in connection with the performance of this Agreement shall be held confidential by
Consultant. Such materials shall not, without the prior written consent of Commission, be
used by Consultant for any purposes other than the performance of the Services. Nor
shall such materials be disclosed to any person or entity not connected with the
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performance of the Services or the Project. Nothing furnished to Consultant which is
otherwise known to Consultant or is generally known, or has become known, to the
related industry shall be deemed confidential. Consultant shall not use Commission's
name or insignia, photographs of the Project, or any publicity pertaining to the Services
or the Project in any magazine, trade paper, newspaper, television or radio production or
other similar medium without the prior written consent of Commission.
3.18.4 Infringement Indemnification. Consultant shall defend,
indemnify and hold the Commission, its directors, officials, officers, employees,
volunteers and agents free and harmless, pursuant to the indemnification provisions of
this Agreement, for any alleged infringement of any patent, copyright, trade secret, trade
name, trademark, or any other proprietary right of any person or entity in consequence of
the use on the Project by Commission of the Documents & Data, including any method,
process, product, or concept specified or depicted.
3.19 Cooperation; Further Acts. The Parties shall fully cooperate with one
another, and shall take any additional acts or sign any additional documents as may be
necessary, appropriate or convenient to attain the purposes of this Agreement.
3.20 Attorney's Fees. If either party commences an action against the
other party, either legal, administrative or otherwise, arising out of or in connection with
this Agreement, the prevailing party in such litigation shall be entitled to have and recover
from the losing party reasonable attorney's fees and costs of such actions.
3.21 Indemnification. Consultant shall defend, indemnify and hold the
Commission, its directors, officials, officers, agents, consultants, employees and
volunteers free and harmless from any and all claims, demands, causes of action, costs,
expenses, liabilities, losses, damages or injuries, in law or in equity, to property or
persons, including wrongful death, in any manner arising out of or incident to any alleged
negligent acts, omissions or willful misconduct of the Consultant, its officials, officers,
employees, agents, consultants, and contractors arising out of or in connection with the
performance of the Services, the Project or this Agreement, including without limitation,
the payment of all consequential damages, attorneys fees and other related costs and
expenses. Consultant shall defend, at Consultant’s own cost, expense and risk, any and
all such aforesaid suits, actions or other legal proceedings of every kind that may be
brought or instituted against the Commission, its directors, officials, officers, agents,
consultants, employees and volunteers. Consultant shall pay and satisfy any judgment,
award or decree that may be rendered against the Commission or its directors, officials,
officers, agents, consultants, employees and volunteers, in any such suit, action or other
legal proceeding. Consultant shall reimburse the Commission and its directors, officials,
officers, agents, consultants, employees and volunteers, for any and all legal expenses
and costs, including reasonable attorney’s fees, incurred by each of them in connection
therewith or in enforcing the indemnity herein provided. Consultant’s obligation to
indemnity shall not be restricted to insurance proceeds, if any, received by the
Commission or its directors, officials, officers, agents, consultants, employees and
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volunteers. This Section 3.21 shall survive any expiration or termination of this
Agreement.
3.22 Entire Agreement. This Agreement contains the entire Agreement
of the parties with respect to the subject matter hereof, and supersedes all prior
negotiations, understandings or agreements. This Agreement may only be
supplemented, amended, or modified by a writing signed by both parties.
3.23 Governing Law. This Agreement shall be governed by the laws of
the State of California. Venue shall be in Riverside County.
3.24 Time of Essence. Time is of the essence for each and every
provision of this Agreement.
3.25 Commission's Right to Employ Other Consultants. The Commission
reserves the right to employ other consultants in connection with this Project.
3.26 Successors and Assigns. This Agreement shall be binding on the
successors and assigns of the parties, and shall not be assigned by Consultant without
the prior written consent of Commission.
3.27 Prohibited Interests and Conflicts.
3.27.1 Solicitation. Consultant maintains and warrants that it has not
employed nor retained any company or person, other than a bona fide employee working
solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants
that it has not paid nor has it agreed to pay any company or person, other than a bona
fide employee working solely for Consultant, any fee, commission, percentage, brokerage
fee, gift or other consideration contingent upon or resulting from the award or making of
this Agreement. For breach or violation of this warranty, Commission shall have the right
to rescind this Agreement without liability.
3.27.2 Conflict of Interest. For the term of this Agreement, no
member, officer or employee of Commission, during the term of his or her service with
Commission, shall have any direct interest in this Agreement, or obtain any present or
anticipated material benefit arising therefrom.
3.27.3 Conflict of Employment. Employment by the Consultant of
personnel currently on the payroll of the Commission shall not be permitted in the
performance of this Agreement, even though such employment may occur outside of the
employee’s regular working hours or on weekends, holidays or vacation time. Further,
the employment by the Consultant of personnel who have been on the Commission
payroll within one year prior to the date of execution of this Agreement, where this
employment is caused by and or dependent upon the Consultant securing this or related
Agreements with the Commission, is prohibited.
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3.27.4 Employment Adverse to the Commission. Consultant shall
notify the Commission, and shall obtain the Commission’s written consent, prior to
accepting work to assist with or participate in a third-party lawsuit or other legal or
administrative proceeding against the Commission during the term of this Agreement.
3.28 Equal Opportunity Employment. Consultant represents that it is an
equal opportunity employer and it shall not discriminate against any employee or
applicant for employment because of race, religion, color, national origin, ancestry, sex
or age. Such non-discrimination shall include, but not be limited to, all activities related
to initial employment, upgrading, demotion, transfer, recruitment or recruitment
advertising, layoff or termination. Consultant shall also comply with all relevant provisions
of Commission's Disadvantaged Business Enterprise program, Affirmative Action Plan or
other related Commission programs or guidelines currently in effect or hereinafter
enacted.
3.29 Subcontracting. Consultant shall not subcontract any portion of the
work or Services required by this Agreement, except as expressly stated herein, without
prior written approval of the Commission. Subcontracts, if any, shall contain a provision
making them subject to all provisions stipulated in this Agreement.
3.30 Reserved.
3.31 Employment of Apprentices. This Agreement shall not prevent the
employment of properly indentured apprentices in accordance with the California Labor
Code, and no employer or labor union shall refuse to accept otherwise qualified
employees as indentured apprentices on the work performed hereunder solely on the
ground of race, creed, national origin, ancestry, color or sex. Every qualified apprentice
shall be paid the standard wage paid to apprentices under the regulations of the craft or
trade in which he or she is employed and shall be employed only in the craft or trade to
which he or she is registered.
3.32 No Waiver. Failure of Commission to insist on any one occasion
upon strict compliance with any of the terms, covenants or conditions hereof shall not be
deemed a waiver of such term, covenant or condition, nor shall any waiver or
relinquishment of any rights or powers hereunder at any one time or more times be
deemed a waiver or relinquishment of such other right or power at any other time or times.
3.33 Eight-Hour Law. Pursuant to the provisions of the California Labor
Code, eight hours of labor shall constitute a legal day's work, and the time of service of
any worker employed on the work shall be limited and restricted to eight hours during any
one calendar day, and forty hours in any one calendar week, except when payment for
overtime is made at not less than one and one-half the basic rate for all hours worked in
excess of eight hours per day ("Eight-Hour Law"), unless Consultant or the Services are
not subject to the Eight-Hour Law. Consultant shall forfeit to Commission as a penalty,
$50.00 for each worker employed in the execution of this Agreement by him, or by any
sub-consultant under him, for each calendar day during which such workman is required
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or permitted to work more than eight hours in any calendar day and forty hours in any one
calendar week without such compensation for overtime violation of the provisions of the
California Labor Code, unless Consultant or the Services are not subject to the Eight-
Hour Law.
3.34 Subpoenas or Court Orders. Should Consultant receive a subpoena
or court order related to this Agreement, the Services or the Project, Consultant shall
immediately provide written notice of the subpoena or court order to the Commission.
Consultant shall not respond to any such subpoena or court order until notice to the
Commission is provided as required herein, and shall cooperate with the Commission in
responding to the subpoena or court order.
3.35 Survival. All rights and obligations hereunder that by their nature are
to continue after any expiration or termination of this Agreement, including, but not limited
to, the indemnification and confidentiality obligations, and the obligations related to receipt
of subpoenas or court orders, shall survive any such expiration or termination.
3.36 No Third Party Beneficiaries. There are no intended third party
beneficiaries of any right or obligation assumed by the Parties.
3.37 Labor Certification. By its signature hereunder, Consultant certifies
that it is aware of the provisions of Section 3700 of the California Labor Code which
require every employer to be insured against liability for Workers’ Compensation or to
undertake self-insurance in accordance with the provisions of that Code, and agrees to
comply with such provisions before commencing the performance of the Services.
3.38 Counterparts. This Agreement may be signed in counterparts, each
of which shall constitute an original.
3.39 Incorporation of Recitals. The recitals set forth above are true and
correct and are incorporated into this Agreement as though fully set forth herein.
3.40 Invalidity; Severability. If any portion of this Agreement is declared
invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the
remaining provisions shall continue in full force and effect.
3.41 Conflicting Provisions. In the event that provisions of any attached
exhibits conflict in any way with the provisions set forth in this Agreement, the language,
terms and conditions contained in this Agreement shall control the actions and obligations
of the Parties and the interpretation of the Parties’ understanding concerning the
performance of the Services.
3.42 Headings. Article and Section Headings, paragraph captions or
marginal headings contained in this Agreement are for convenience only and shall have
no effect in the construction or interpretation of any provision herein.
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3.43 Assignment or Transfer. Consultant shall not assign, hypothecate,
or transfer, either directly or by operation of law, this Agreement or any interest herein,
without the prior written consent of the Commission. Any attempt to do so shall be null
and void, and any assignees, hypothecates or transferees shall acquire no right or interest
by reason of such attempted assignment, hypothecation or transfer.
3.44 Authority to Enter Agreement. Consultant has all requisite power and
authority to conduct its business and to execute, deliver, and perform the Agreement.
Each Party warrants that the individuals who have signed this Agreement have the legal
power, right, and authority to make this Agreement and bind each respective Party.
[SIGNATURES ON FOLLOWING PAGE]
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SIGNATURE PAGE
TO
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE EASTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
WITH BROWN ARMSTRONG ACCOUNTANCY CORPORATION
IN WITNESS WHEREOF, this Agreement was executed on the date first
written above.
RIVERSIDE COUNTY BROWN ARMSTRONG
TRANSPORTATION COMMISSION ACCOUNTANCY CORPORATION
By: _________________________ By: ____________________________
Anne Mayer Signature
Executive Director
__________________________
Name
__________________________
Title
Approved as to Form: Attest:
By:____________________________ By: ________________________
Best Best & Krieger LLP Its: Secretary
General Counsel
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EXHIBIT "A"
SCOPE OF SERVICES
[TO BE INSERTED BEHIND THIS PAGE]
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Statement of Services
A. General
The Riverside County Transportation Commission (RCTC), as the transportation planning agency
for Riverside County, is issuing this Request for Proposal in order to secure services from a
Consultant of certified public accountants to perform for the fiscal years ending June 30, 2021,
2022, and 2023, with the option of performing such services for three (3) additional one-year
terms:
Financial and compliance audits of RCTC’s Transportation Development Act (TDA)
claimants for transit (including funding from Local Transportation Fund (LTF) Article 4,
State Transit Assistance (STA), State of Good Repair (SGR), Low Carbon Transit
Operations Program (LCTOP), and Proposition 1B);
Financial and compliance audits of RCTC’s TDA claimants for bicycle and pedestrian
projects (consisting of funding from LTF Article 3); and
Agreed-upon procedures similar to those proposed in Appendix A, Section G, for RCTC’s
Measure A recipients of local streets and roads (LSR) funding.
Measure A Agreed Upon Procedures
The Measure A LSR Agreed-Upon Procedures apply to all eligible cities in Riverside County.
Measure A LSR funding is allocated and disbursed monthly to the cities, as specified in Measure
A. RCTC does not currently anticipate any incorporations or dis-incorporations of cities that would
result in a change in Measure A LSR recipients. Currently, all cities meet the eligibility
requirements that include:
Participation in the Coachella Valley Transportation Uniform Mitigation Fee (TUMF)
Program, as applicable;
Annual submittal of a 5-Year Capital Improvement Plan (CIP) list of projects;
Annual Maintenance of Effort certification; and
Annual Project Status Report for the prior fiscal year CIP.
Transportation Development Act Audits
The TDA Transit audits will be performed for the Palo Verde Valley Transit Agency. TDA Transit
operating and capital allocations are approved annually by RCTC in June based on the submittal
of each transit operator’s Short-Range Transit Plan. The transit operators also may unexpended
Proposition 1B funding for capital/rehabilitation and/or security projects received through Caltrans
and the California Office of Emergency Services (CalOES), respectively.
The TDA Bicycle and Pedestrian audits apply to local jurisdictions awarded funding by RCTC
for bicycle and pedestrian projects through a biennial competitive call for projects. Local
jurisdictions generally have two years to complete projects, including those projects approved in
the FY 2019/20 Call for Projects at RCTC’s June 12, 2019 meeting. However, as per revised
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guidelines approved by RCTC at its January 13, 2021 meeting effective with the FY 2021/22 Call
for Projects to be awarded at the June 9, 2021 RCTC meeting, local jurisdictions will now have
three years to complete projects. Claimants may request disbursement of their allocations by
RCTC on a reimbursement basis in accordance with RCTC’s policies. Accordingly, the TDA
Bicycle and Pedestrian audits are dependent on claims for expenditures of such funds.
Anticipated Changes in Audit and Attestation Services
RCTC does not anticipate any change in the local jurisdictions subject to TDA Transit audit and
Measure A LSR attestation services. The local jurisdictions requiring TDA Bicycle and Pedestrian
audits will be determined each year based on actual disbursements.
The Chief Financial Officer is designated as the coordinator of the work and may appoint a
Finance Department staff to coordinate day-to-day oversight. The Chief Financial Officer will
serve as the liaison to the audit oversight committee designated by RCTC.
The audits are to be performed by the Consultant(s) in accordance with generally accepted
auditing standards, including use of the most current version of each of the following standards
and guidelines:
American Institute of Certified Public Accountants audit and attestation standards;
General Accounting Office’s (GAO) Government Auditing Standards;
Measure A conformance requirements (Section G); and
Transit requirements (Section H.
B. Scope of Work to be Performed
The selected Consultant(s) will be required to perform the following tasks:
Audit of the transit and transportation financial statements of the jurisdictions receiving
TDA funds in accordance with auditing standards generally accepted in the United States
of America; the standards applicable to financial audits contained in Government Auditing
Standards, issued by the Comptroller General of the United States; the TDA as
summarized in the TDA Guidebook; and SGR, LCTOP, and Proposition 1B audit
guidelines specified by Caltrans and CalOES.
Performance of agreed-upon procedures similar to those listed in Section F solely to assist
RCTC in evaluating the applicable jurisdictions’ Measure A transportation funds and
degree of their compliance with RCTC’s requirements of the Measure A LSR program.
RCTC reserves the right to modify the agreed-upon procedures as deemed necessary to
fulfill its oversight responsibilities for the Measure A LSR program.
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C. Deliverables
Following completion of the audits and agreed-upon procedures and a review of the draft reports
by RCTC, the Consultant(s) shall issue:
A report on the fair presentation of the financial statements for the TDA claimants in
conformity with generally accepted accounting principles and on compliance and internal
control.
A report on the agreed-upon procedures related to the Measure A recipients of LSR
funding.
Drafts of the reports will be provided to RCTC staff and the applicable TDA claimant or Measure
A recipient. The Chief Financial Officer or designee shall review and approve each report prior
to issuance.
For each report issued to RCTC, the Consultant shall issue one PDF copy to RCTC and one PDF
to the applicable TDA claimant or Measure A recipient, as applicable.
Financial and Compliance Reports
The Consultant will submit a financial and compliance report for each TDA audit. The Consultant
will be responsible for the preparation, editing, and printing of all financial and compliance reports,
including the financial statements and notes to the financial statements. Although the Consultant
will prepare the financial statements, management of the TDA Claimant is responsible for the
financial statements.
Agreed-Upon Procedures
The Consultant will submit a report for each Measure A recipient, as applicable, listing the
procedures performed, results of procedures performed, and findings, if any. The Consultant will
be responsible for preparation, editing, and printing of all agreed-upon procedure reports.
D. Required Communications
Significant Deficiencies – In the required reports on compliance and internal controls, the
Consultant shall communicate any significant deficiencies found during the audit of the TDA
claimants. A significant deficiency shall be defined as a control deficiency, or combination of
control deficiencies, that adversely affects the entity’s ability to initiate, authorize, record, process,
or report financial data reliably in accordance with generally accepted accounting principles such
that there is more than a remote likelihood that a misstatement of the entity’s financial statements
that is more than inconsequential will not be prevented or detected by the entity’s internal control.
Significant deficiencies that are also material weaknesses shall be identified as such in the report.
Other control deficiencies discovered by the Consultant may be reported in a separate letter to
management, which shall be referred to in the reports on compliance and internal controls.
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The report on compliance and internal controls shall include all material instances of
noncompliance. All nonmaterial instances of noncompliance may be reported in a separate
management letter, which shall be referred to in the report on compliance and internal controls.
Irregularities and illegal acts – The Consultant shall be required to make an immediate, written
report of all irregularities and illegal acts or indication of illegal acts of which they become aware
to the jurisdiction/agency and RCTC’s audit oversight committee, Executive Director, and Chief
Financial Officer.
Planning meetings – The Consultant shall meet with RCTC staff at least once a year prior to the
commencement of the audits and agreed-upon procedures.
E. Audit Schedule
The work to be performed at the jurisdictions and agencies shall be arranged by the Consultant
with the individual jurisdiction or agency after the conclusion of a planning meeting with RCTC
and RCTC’s issuance of audit notification letters to each jurisdiction and agency.
The work should be scheduled for no later than November 15 of each year. Barring unforeseen
circumstances, the Consultant must conduct the work activities and provide all required reports
and information to RCTC no later than December 31 of each year. The TDA audits are required
to be submitted to the State Controller by December 31 of each year; however, an extension may
be granted by RCTC for no more than 90 days. RCTC’s policy for Measure A reports follows the
TDA requirement; however, a formal extension is generally not issued.
The Consultant shall keep RCTC apprised at least monthly on the status of the audits and any
issues which have been encountered. RCTC will provide assistance, to the extent necessary
and/or possible, to resolve such issues. If circumstances outside the control of the Consultant or
RCTC arise and the deadline cannot be met, both parties agree to communicate the
circumstances and develop an action plan.
F. Measure A Proposed Local Streets and Roads Agreed-Upon Procedures (Proposed)
1. Review the 2009 Measure A (Ordinance 02-001) compliance requirements. Western
County jurisdictions are required to participate in the Transportation Uniform Mitigation
Fee (TUMF) program and in the Multi-Species Habitat Conservation Plan (MSHCP),
which are administered by the Western Riverside Council of Governments (WRCOG)
and the Western Riverside County Regional Conservation Authority (RCA),
respectively. Coachella Valley jurisdictions are required to participate in the TUMF
program administered by the Coachella Valley Association of Governments (CVAG).
Indicate participation in TUMF and/or MSHCP programs.
2. Obtain from RCTC the approved Five-Year Capital Improvement Plan (CIP) for the
fiscal year.
3. Obtain from the jurisdiction a detail general ledger and balance sheet for the fiscal
year.
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a. Identify the amount of Measure A cash and investments recorded at the end of the
fiscal year. Compare amount to Measure A fund balance and provide an
explanation for any differences greater than 25% of fund balance.
b. Identify any amounts due from other funds.
c. Identify the components of ending fund balance for the Measure A activity (e.g.,
nonspendable, restricted, assigned, committed, unassigned) [and for County of
Riverside only by geographic area].
i. Identify the existence of any restatement of Measure A fund balance; inquire
of management as to the reason for any restatement and provide a summary
of the restatement items.
ii. Compare ending fund balance to total revenues for the current year and prior
two years. If ending fund balance is greater than sum of total revenues for the
three-year period, inquire of management as to the reason(s) for the
accumulation of fund balance (e.g., status of specific projects included in the
5-Year CIP).
4. Obtain an operating statement for the Measure A activity for the fiscal year, including
budget amounts; include the operating statement as an exhibit to the report.
a. Review the revenues in the operating statement.
i. Inquire of management as to what fund is used to record Measure A revenues
received from RCTC and identify what the total revenues were for the fiscal
year.
ii. Obtain from RCTC a listing of Measure A payments to the jurisdiction.
1. Compare the Measure A sales tax revenues recorded by the jurisdiction to
the listing of payments made by RCTC. [Use gross amounts paid by RCTC]
iii. Obtain from the jurisdiction an interest allocation schedule for the fiscal year.
1. Identify the allocation amount of interest income to Measure A activity and
what the amount of interest income was for the fiscal year. If no interest
was allocated, inquire of management as to reason for not allocating
interest income.
b. Review the expenditures in the operating statement.
i. Inquire of management as to what fund is used to record Measure A
expenditures and what the total expenditures were for the fiscal year.
ii. Select expenditures for testing that comprise at least 20% of the total
expenditures.
1. For the expenditures selected for testing, compare the dollar amount listed
on the general ledger to the supporting documentation.
2. For the expenditures selected for testing, review the 5-Year CIP and note
if the project is included in the 5-Year CIP and is an allowable cost.
iii. Inquire of management as to the nature of any transfers in or out recorded in
the Measure A fund. For any transfers out, determine if nature of transfer out
was included in the 5-Year CIP.
iv. Inquire of management as to the amount of general or non-project-related
indirect costs, if any, included in expenditures. If indirect costs exceed 8% of
Measure A revenue, inquire of management as to the basis for indirect costs
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charged to Measure A. If indirect costs are identified, determine if such costs
are included in the 5-Year CIP.
v. Inquire of management as to the amount of debt service expenditures recorded
in the Measure A fund and determine is such costs are included in the 5-Year
CIP.
5. Obtain from RCTC a listing of jurisdictions who participate in the Western County or
Coachella Valley TUMF programs.
a. If the jurisdiction is a participant in the TUMF program, select at least one
disbursement for validation as to the amount remitted to WRCOG or CVAG, as
applicable.
b. Indicate the total amount of TUMF fees collected and remitted during the fiscal
year.
6. Obtain from RCTC a listing of jurisdictions who participate in the Western County
MSHCP program.
a. If the jurisdiction is a participant in the MSHCP program, select at least one
disbursement for validation as to the amount remitted to RCA, as applicable.
b. Inquire of management as to the existence of any fees collected in prior years and
not remitted to RCA as of the end of the fiscal year.
c. Indicate the total amount of MSHCP fees collected and remitted during the fiscal
year.
7. Obtain from RCTC the MOE base year requirement, including supporting detail of the
calculations for its city/County, and the carryover amount allowed as of the beginning
of the fiscal year.
a. Obtain from the city/County a calculation of its current year MOE amount in the
format similar to its base year calculation. Attach a copy of the calculation
worksheet provided by the city/County as an exhibit to the report.
b. Compare the current year MOE amounts from the General Fund to the general
ledger.
c. Review the General Fund general ledger to determine if there were any transfers
in to fund any MOE amounts.
d. Compare the amount of current year MOE expenditures to the MOE base
requirement and add any excess to, or subtract any deficiency from, the carryover
amount.
e. If the amount of discretionary funds spent is less than the MOE base requirement
(MOE deficiency), determine the amount of any prior year MOE carryover using
the information obtained from RCTC and reduce the MOE deficiency by any
available MOE carryover to determine an adjusted current year expenditure
amount.
G. Measure A Recipient Conformance Requirements
1. Allowable Costs. Measure A funds may only be used for transportation purposes
including the administration of Division 25 including legal actions related thereto; the
construction, capital acquisition, maintenance, and operation of streets, roads,
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highways including state highways and public transit systems; and for related
purposes. These purposes include expenditures for the planning, environmental
reviews, engineering and design costs, and related right-of-way acquisition.
a. Eligible local street and road projects costs include any engineering, capital, or
maintenance cost. Decisions on projects are to be made by local jurisdictions
subject to Capital Improvement Program requirements.
i. Annual budget reflecting the local government or agency’s anticipated receipts
and expenditures should be prepared and submitted to RCTC upon approval
by the governing board. The data contained in the capital improvement plans
submitted to RCTC should be included in the recipient’s budgets. These
budgets allow for proper evaluation by RCTC of the recipient’s activities on an
annual basis. (Policy adopted May 8, 1991)
b. Eligible transit programs include special discount fares for seniors and
handicapped people, commuter bus services, funding for computer assisted
rideshare programs, and “seed” programs to encourage the creation of vanpools.
Additionally, funds will be used to provide further reductions for the truly needy and
to expand existing services and implement new services. Bus capital replacement
and additional bus service may also be an eligible program within the Coachella
Valley, subject to a determination of funding by the Coachella Valley Association
of Governments (CVAG).
2. Maintenance of Effort (MOE). Additional funds provided under Measure A are
intended to supplement existing local revenues being used for transportation
purposes. Government agencies shall maintain their existing commitment of local
funds for street highway and public transit purposes pursuant to Measure A.
a. The local cities and the County shall annually submit to RCTC a list of the proposed
uses for these funds and a certification that the MOE requirement is being met. If
in any fiscal year, the maintenance of effort requirement is not met, the agency
shall not be eligible for any Measure A funds in the following fiscal year. Such
funds shall be distributed to the remaining local governments using the formula for
the area.
i. Agencies may use any local discretionary funds expended for local streets and
roads purposes during previous fiscal years which were in excess of their
maintenance of effort requirements to meet their MOE requirements for the
fiscal year. (Measure A Maintenance of Effort Guidelines)
b. RCTC shall assure the cities’ and County compliance with MOE funding
requirements before allocating funds for local streets and roads.
c. RCTC shall not allocate funds to an individual city or the County for local streets
and roads use within the Western County and Coachella Valley areas unless
WRCOG or CVAG indicates participation of agency in the Transportation Uniform
Mitigation Fee program necessary for implementation of the planned regional
arterial system.
3. Allocation of Funds to Geographic Areas. Funds for transportation purposes shall
be allocated to the Western County, Coachella Valley, and Palo Verde Valley areas
proportionate to the Measure A funds generated within these areas.
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4. Allocation of Funds within Geographic Areas. RCTC shall return 2009 Measure A
funds to the geographic areas as follows (Applicable to RCTC):
a. Western County. To be distributed for the following programs: $370 million
(approx. 11% to new corridors; $1,020 million (approx. 30%) to highways; $390
million (approx. 12%) to public transit; $300 million (approx. 9%) to regional
arterials; $970 million (approx. 29%) to local streets and roads; $270 million
(approx. 8%) to bond financing; and $40 million (approx. 1%) to economic
development.
i. Local streets and roads funding are to be distributed by a formula based on
75% on proportionate population and 25% on 2009 Measure A revenues
generated within each jurisdiction, if they participate in the Transportation
Uniform Mitigation Fee program and Multi-Species Habitat Conservation Plan.
If local agencies choose not to participate in the TUMF and MSHCP programs,
the funds they would otherwise receive for local streets and roads will be added
to the Measure A funds for the Regional Arterial System administered by
RCTC.
b. Coachella Valley. To be distributed for the following programs: 50% to highways
and regional arterial projects; 35% to local streets and roads; and 15% to
specialized public transit.
i. Local streets and roads funds will be provided to Coachella Valley cities and
the County if they participate in the Transportation Uniform Mitigation Fee
program. If local agencies choose not to participate in the TUMF program, the
funds they would otherwise receive for local streets and roads will be added to
the Measure A funds for the Regional Arterial System administered by CVAG.
ii. Local streets and roads funds are to be distributed by a formula based on 50%
on proportionate dwelling units and 50% on 2009 Measure A revenues
generated within each jurisdiction, as interpreted in Ordinance and direction
provided by CVAG.
c. Palo Verde Valley. To be distributed 100% to local streets and roads.
i. Local streets and roads funds are to be distributed by a formula based on 75%
on proportionate population and 25% on sales tax revenues generated in each
jurisdiction.
5. Accounting Records. Measure A recipients are required to maintain accurate,
complete, and separate accounting records for all sources of the funds they receive.
Small not-for-profit agencies are encouraged but not required to maintain separate
accounting records as long as Measure A receipts, related revenues, and
expenditures can be readily identified. If RCTC’s independent auditors are unable to
readily identify which funds are being used for expenditures, then the agency will be
required to maintain separate accounting records and cash accounts if they are to
continue receiving Measure A allocations. Any agency which maintains poor
accounting records will receive funding allocations on a reimbursement basis only.
(Policy adopted May 12, 1993)
6. Interfund Borrowing. Interfund borrowing from Measure A funding sources to
another local jurisdiction fund is strictly prohibited. Cities and agencies must maintain
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sufficient cash balances so as not to impair their Measure A funds. Evidence of
interfund borrowing or impaired cash balances will result in the city or agency receiving
funds from RCTC on a reimbursement basis only after any existing city or agency
reserves of prior Commission funds have been fully depleted. (Policy adopted May
12, 1993)
7. Interest Income Allocations. Interest on Measure A funds shall accrue separately
for all of RCTC’s programs as defined in the text of Measure A. This interest allocation
policy is applicable to the entire County, and such allocations shall be made monthly.
Interest earned on unexpended Measure A monies should be recorded in the Measure
A fund established by a local government or other agency receiving local streets and
roads or specialized transit monies. As these funds are restricted, the related interest
earned should be restricted as required by governmental regulations and other
transportation funding including the Transportation Act. (Policy adopted May 8, 1991
and May 12, 1993)
8. Accumulated Deficits. Accumulated funding source deficits are the responsibility of
the local jurisdiction. RCTC will consider allocating additional funds for such deficits
when justifiable on a case-by-case basis. (Policy adopted May 12, 1993)
9. Budget Variances. Significant budget variances should be avoided. All local
jurisdictions are required to compare the budget to actual results and make mid-year
revisions as needed. (Policy adopted May 12, 1993)
10. Unexpended Monies. Whenever the annual fiscal audit or the proposed update of
the Five Year Capital Improvement Program of a local agency shows a Measure A
Local Streets and Road Program carryover balance in excess of three (3) times the
annual allocation to an agency, Commission staff will:
a. Meet with the local agency to have them explain the reason for the carryover and
explore alternatives for moving projects faster, and
b. Present a report of their findings to RCTC’s Budget and Finance Committee to
determine if any further action should be considered and proposed to the full
Commission.
(Policy included in December 13, 1995 revisions to the RCTC Program and Funding
Guide)
H. Transit Compliance Requirements
The auditors should review the TDA regulations for Local Transportation Fund and State
Transit Assistance funding. California Code Section 6664 discusses the fiscal and
compliance audits of all claimants, Section 6666 provides the compliance audit tasks for
non-transit claimants, and Section 6667 provides the compliance audit tasks for transit
claimants. The TDA Statutes and California Code of Regulation Guidebook is available at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/f0009844-tda-07-2018-a11y.pdf.
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California Department of Transportation program guidelines for State of Good Repair
funds received through RCTC are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/sgr/202008-sgr-final-guidelines-a11y.pdf
Proposition 1B accountability requirements for Public Transportation Modernization,
Improvement and Service Enhancement Account (PTMISEA) funds received through
Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/ptmisea/201910-ptmisea-guidelines-a11y.pdf
Proposition 1B guidelines for Transit System Safety, Security, and Disaster Response
Account (TSSSDRA) funds received through CalOES are located at:
https://www.caloes.ca.gov/GrantsManagementSite/Documents/FY 2016-17 HR
Guidance with Allocations.pdf#search=TSSSDRA guidelines
LCTOP program guidelines for funds received through Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/lctop/201909-lctop-fy19-20-guidelines-a11y.pdf
End of Statement of Services
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EXHIBIT "B"
COMPENSATION
[TO BE INSERTED BEHIND THIS PAGE]
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(Amounts subject to rounding
differences)
FIRM PROJECT TASKS/ROLE COST
Brown Armstrong Accountancy Corporation2 Audit and Attestation Services 38,400$
-
38,400$
TASK NUMBER TASK DESCRIPTION COST
TDA Article 3/Bicycle and Pedestrian2 Audit Services -$
TDA Article 4/Transit Audit Services -
Measure A Local Streets and Roads Agreed-Upon Procedures Attestation Services 38,400
38,400
-
38,400$
FISCAL YEAR PROJECT COST
FY 2020/212 Audit and Attestation Services 6,400$
FY 2021/222 Audit and Attestation Services 6,400
FY 2022/232 Audit and Attestation Services 6,400
FY 2023/24 (Option Year 1)2 Audit and Attestation Services 6,400
FY 2024/25 (Option Year 2)2 Audit and Attestation Services 6,400
FY 2025/26 (Option Year 3)2 Audit and Attestation Services 6,400
38,400
38,400$ TOTAL COSTS
1 Commission authorization pertains to total contract award amount. Compensation adjustments between consultants may occur;
however, the maximum total compensation authorized may not be exceeded.
2 TDA Article 3/Bicycle and Pedestrian audits will be determined annually based on TDA claimants; accordingly, amounts are estimated.
This estimate assumes zero (0) annual TDA Article 3/Bicycle and Pedestrian audits.
SUBTOTAL
OTHER DIRECT COSTS
TOTAL COSTS
SUBTOTAL
EXHIBIT "B"
COMPENSATION SUMMARY1
Prime Consultant:
OTHER DIRECT COSTS
TOTAL COSTS
EXHIBIT B-1
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Agreement No. 21-19-057-00
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE EASTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
WITH CONRAD LLP
1. PARTIES AND DATE.
This Agreement is made and entered into this day of , 2021, by and
between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION ("the Co-
mmission") and CONRAD LLP ("Consultant"), a Limited Liability Partnership.
2. RECITALS.
2.1 Consultant desires to perform and assume responsibility for the
provision of certain professional consulting services required by Commission on the terms
and conditions set forth in this Agreement. Consultant represents that it is a professional
consultant, experienced in providing audit services to public clients, is licensed in the
State of California, and is familiar with the plans of Commission.
2.2 Commission desires to engage Consultant to render certain audit
and attestation services for the Commission ("Project") as set forth herein.
3. TERMS.
3.1 General Scope of Services. Consultant promises and agrees to
furnish to Commission all labor materials, tools, equipment, services, and incidental and
customary work necessary to fully and adequately provide professional consulting
services and advice on various issues affecting the decisions of Commission regarding
the Project and on other programs and matters affecting Commission, hereinafter referred
to as "Services". The Services are more particularly described in Exhibit "A" attached
hereto and incorporated herein by reference. All Services shall be subject to, and
performed in accordance with, this Agreement, the exhibits attached hereto and
incorporated herein by reference, and all applicable local, state, and federal laws, rules
and regulations.
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3.2 Term. The term of this Agreement shall be from the date first
specified above to June 30, 2024, unless earlier terminated as provided herein. The
Commission, at its sole discretion, may extend this Agreement for three (3) additional
single year terms through June 30, 2027. Consultant shall complete the Services within
the term of this Agreement and shall meet any other established schedules and
deadlines.
3.3 Schedule of Services. Consultant shall perform the Services
expeditiously, within the term of this Agreement, and in accordance with the Audit
Schedule set forth in Exhibit "A" attached hereto and incorporated herein by reference.
Consultant represents that it has the professional and technical personnel required to
perform the Services in conformance with such conditions. In order to facilitate
Consultant's conformance with the Schedule, the Commission shall respond to
Consultant's submittals in a timely manner. Upon request of the Commission, Consultant
shall provide a more detailed schedule of anticipated performance to meet the Audit
Schedule.
3.4 Independent Contractor; Control and Payment of Subordinates. The
Services shall be performed by Consultant under its supervision. Consultant will
determine the means, method and details of performing the Services subject to the
requirements of this Agreement. Commission retains Consultant on an independent
contractor basis and Consultant is not an employee of Commission. Consultant retains
the right to perform similar or different services for others during the term of this
Agreement. Any additional personnel performing the Services under this Agreement on
behalf of Consultant shall not be employees of Commission and shall at all times be under
Consultant's exclusive direction and control. Consultant shall pay all wages, salaries, and
other amounts due such personnel in connection with their performance of Services under
this Agreement and as required by law. Consultant shall be responsible for all reports
and obligations respecting such additional personnel, including, but not limited to: social
security taxes, income tax withholding, unemployment insurance, and workers'
compensation insurance.
3.5 Conformance to Applicable Requirements. All work prepared by
Consultant shall be subject to the approval of Commission.
3.6 Substitution of Key Personnel. Consultant has represented to
Commission that certain key personnel will perform and coordinate the Services under
this Agreement. Should one or more of such personnel become unavailable, Consultant
may substitute other personnel of at least equal competence and experience upon written
approval of Commission. In the event that Commission and Consultant cannot agree as
to the substitution of key personnel, Commission shall be entitled to terminate this
Agreement for cause, pursuant to provisions of Section 3.16 of this Agreement. The key
personnel for performance of this Agreement are as follows: Andrea Jayasekara, Sam
Parera, Mariana Beuchat, Cameron Gelinas, and Sage Mohan.
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3.7 Commission’s Representative. Commission hereby designates the
Chief Financial Officer, or his or her designee, to act as its representative for the
performance of this Agreement ("Commission’s Representative"). Commission's
representative shall have the power to act on behalf of Commission for all purposes under
this Agreement. Consultant shall not accept direction from any person other than
Commission's Representative or his or her designee.
3.8 Consultant’s Representative. Consultant hereby designates Andrea
Jayasekara, or his or her designee, to act as its representative for the performance of this
Agreement ("Consultant’s Representative"). Consultant’s Representative shall have full
authority to represent and act on behalf of the Consultant for all purposes under this
Agreement. The Consultant’s Representative shall supervise and direct the Services,
using his or her best skill and attention, and shall be responsible for all means, methods,
techniques, sequences and procedures and for the satisfactory coordination of all
portions of the Services under this Agreement.
3.9 Coordination of Services. Consultant agrees to work closely with
Commission staff in the performance of Services and shall be available to Commission's
staff, consultants and other staff at all reasonable times.
3.10 Standard of Care; Licenses. Consultant shall perform the Services
under this Agreement in a skillful and competent manner, consistent with the standard
generally recognized as being employed by professionals in the same discipline in the
State of California. Consultant represents and maintains that it is skilled in the
professional calling necessary to perform the Services. Consultant warrants that all
employees and subcontractors shall have sufficient skill and experience to perform the
Services assigned to them. Finally, Consultant represents that it, its employees and
subcontractors have all licenses, permits, qualifications and approvals of whatever nature
that are legally required to perform the Services and that such licenses and approvals
shall be maintained throughout the term of this Agreement. Consultant shall perform, at
its own cost and expense and without reimbursement from Commission, any Services
necessary to correct errors or omissions which are caused by the Consultant’s failure to
comply with the standard of care provided for herein, and shall be fully responsible to the
Commission for all damages and other liabilities provided for in the indemnification
provisions of this Agreement arising from the Consultant’s errors and omissions.
3.11 Laws and Regulations. Consultant shall keep itself fully informed of
and in compliance with all local, state and federal laws, rules and regulations in any
manner affecting the performance of the Project or the Services, including all Cal/OSHA
requirements, and shall give all notices required by law. Consultant shall be liable for all
violations of such laws and regulations in connection with Services. If the Consultant
performs any work knowing it to be contrary to such laws, rules and regulations and
without giving written notice to Commission, Consultant shall be solely responsible for all
costs arising therefrom. Consultant shall defend, indemnify and hold Commission, its
officials, directors, officers, employees and agents free and harmless, pursuant to the
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indemnification provisions of this Agreement, from any claim or liability arising out of any
failure or alleged failure to comply with such laws, rules or regulations.
3.12 Insurance.
3.12.1 Time for Compliance. Consultant shall not commence work
under this Agreement until it has provided evidence satisfactory to the Commission that
it has secured all insurance required under this section, in a form and with insurance
companies acceptable to the Commission. In addition, Consultant shall not allow any
subcontractor to commence work on any subcontract until it has secured all insurance
required under this section.
3.12.2 Minimum Requirements. Consultant shall, at its expense,
procure and maintain for the duration of the Agreement insurance against claims for
injuries to persons or damages to property which may arise from or in connection with the
performance of the Agreement by the Consultant, its agents, representatives, employees
or subcontractors. Consultant shall also require all of its subcontractors to procure and
maintain the same insurance for the duration of the Agreement. Such insurance shall
meet at least the following minimum levels of coverage:
(A) Minimum Scope of Insurance. Coverage shall be at
least as broad as the latest version of the following: (1) General Liability: Insurance
Services Office Commercial General Liability coverage (occurrence form CG 0001 or
exact equivalent); (2) Automobile Liability: Insurance Services Office Business Auto
Coverage (form CA 0001, code 1 (any auto) or exact equivalent); and (3) Workers’
Compensation and Employer’s Liability: Workers’ Compensation insurance as required
by the State of California and Employer’s Liability Insurance.
(B) Minimum Limits of Insurance. Consultant shall
maintain limits no less than: (1) General Liability: $2,000,000 per occurrence for bodily
injury, personal injury and property damage. If Commercial General Liability Insurance
or other form with general aggregate limit is used, either the general aggregate limit shall
apply separately to this Agreement/location or the general aggregate limit shall be twice
the required occurrence limit; (2) Automobile Liability: $1,000,000 per accident for bodily
injury and property damage; and (3) if Consultant has an employees, Workers’
Compensation and Employer’s Liability: Workers’ Compensation limits as required by the
Labor Code of the State of California. Employer’s Practices Liability limits of $1,000,000
per accident.
3.12.3 Professional Liability. Consultant shall procure and maintain,
and require its sub-consultants to procure and maintain, for a period of five (5) years
following completion of the Project, errors and omissions liability insurance appropriate to
their profession. Such insurance shall be in an amount not less than $1,000,000 per
claim. This insurance shall be endorsed to include contractual liability applicable to this
Agreement and shall be written on a policy form coverage specifically designed to protect
against acts, errors or omissions of the Consultant. “Covered Professional Services” as
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designated in the policy must specifically include work performed under this Agreement.
The policy must “pay on behalf of” the insured and must include a provision establishing
the insurer's duty to defend.
3.12.4 Insurance Endorsements. The insurance policies shall
contain the following provisions, or Consultant shall provide endorsements on forms
approved by the Commission to add the following provisions to the insurance policies:
(A) General Liability.
(i) Commercial General Liability Insurance must
include coverage for (1) bodily injury and property damage; (2) personal Injury/Advertising
injury; (3) premises/operations liability; (4) products/completed operations liability; (5)
aggregate limits that apply per project; (6) explosion, collapse and underground (UCX)
exclusion deleted; (7) contractual liability with respect to this Agreement; (8) broad form
property damage; and (9) independent consultants coverage.
(ii) The policy shall contain no endorsements or
provisions limiting coverage for (1) contractual liability; (2) cross liability exclusion for
claims or suits by one insured against another; or (3) contain any other exclusion contrary
to this Agreement.
(iii) The policy shall give the Commission, its
directors, officials, officers, employees, and agents insured status using ISO endorsement
forms 20 10 10 01 and 20 37 10 01, or endorsements providing the exact same coverage.
(iv) The additional insured coverage under the
policy shall be “primary and non-contributory” and will not seek contribution from the
Commission’s insurance or self-insurance and shall be at least as broad as CG 20 01 04
13, or endorsements providing the exact same coverage.
(B) Automobile Liability. The automobile liability policy
shall be endorsed to state that: (1) the Commission, its directors, officials, officers,
employees and agents shall be covered as additional insureds with respect to the
ownership, operation, maintenance, use, loading or unloading of any auto owned, leased,
hired or borrowed by the Consultant or for which the Consultant is responsible; and (2)
the insurance coverage shall be primary insurance as respects the Commission, its
directors, officials, officers, employees and agents, or if excess, shall stand in an
unbroken chain of coverage excess of the Consultant’s scheduled underlying coverage.
Any insurance or self-insurance maintained by the Commission, its directors, officials,
officers, employees and agents shall be excess of the Consultant’s insurance and shall
not be called upon to contribute with it in any way.
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(C) Workers’ Compensation and Employers Liability
Coverage.
(i) Consultant certifies that he/she is aware of the
provisions of Section 3700 of the California Labor Code which requires every employer
to be insured against liability for workers’ compensation or to undertake self-insurance in
accordance with the provisions of that code, and he/she will comply with such provisions
before commencing work under this Agreement.
(ii) The insurer shall agree to waive all rights of
subrogation against the Commission, its directors, officials, officers, employees and
agents for losses paid under the terms of the insurance policy which arise from work
performed by the Consultant.
(D) All Coverages.
(i) Defense costs shall be payable in addition to the
limits set forth hereunder.
(ii) Requirements of specific coverage or limits
contained in this section are not intended as a limitation on coverage, limits, or other
requirement, or a waiver of any coverage normally provided by any insurance. It shall be
a requirement under this Agreement that any available insurance proceeds broader than
or in excess of the specified minimum insurance coverage requirements and/or limits set
forth herein shall be available to the Commission, its directors, officials, officers,
employees and agents as additional insureds under said policies. Furthermore, the
requirements for coverage and limits shall be (1) the minimum coverage and limits
specified in this Agreement; or (2) the broader coverage and maximum limits of coverage
of any insurance policy or proceeds available to the named insured; whichever is greater.
(iii) The limits of insurance required in this
Agreement may be satisfied by a combination of primary and umbrella or excess
insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a
provision that such coverage shall also apply on a primary and non-contributory basis for
the benefit of the Commission (if agreed to in a written contract or agreement) before the
Commission’s own insurance or self-insurance shall be called upon to protect it as a
named insured. The umbrella/excess policy shall be provided on a “following form” basis
with coverage at least as broad as provided on the underlying policy(ies).
(iv) Consultant shall provide the Commission at
least thirty (30) days prior written notice of cancellation of any policy required by this
Agreement, except that the Consultant shall provide at least ten (10) days prior written
notice of cancellation of any such policy due to non-payment of premium. If any of the
required coverage is cancelled or expires during the term of this Agreement, the
Consultant shall deliver renewal certificate(s) including the General Liability Additional
Insured Endorsement to the Commission at least ten (10) days prior to the effective date
of cancellation or expiration.
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(v) The retroactive date (if any) of each policy is to
be no later than the effective date of this Agreement. Consultant shall maintain such
coverage continuously for a period of at least three years after the completion of the work
under this Agreement. Consultant shall purchase a one (1) year extended reporting
period A) if the retroactive date is advanced past the effective date of this Agreement; B)
if the policy is cancelled or not renewed; or C) if the policy is replaced by another claims-
made policy with a retroactive date subsequent to the effective date of this Agreement.
(vi) The foregoing requirements as to the types and
limits of insurance coverage to be maintained by Consultant, and any approval of said
insurance by the Commission, is not intended to and shall not in any manner limit or
qualify the liabilities and obligations otherwise assumed by the Consultant pursuant to
this Agreement, including but not limited to, the provisions concerning indemnification.
(vii) If at any time during the life of the Agreement,
any policy of insurance required under this Agreement does not comply with these
specifications or is canceled and not replaced, Commission has the right but not the duty
to obtain the insurance it deems necessary and any premium paid by Commission will be
promptly reimbursed by Consultant or Commission will withhold amounts sufficient to pay
premium from Consultant payments. In the alternative, Commission may cancel this
Agreement. The Commission may require the Consultant to provide complete copies of
all insurance policies in effect for the duration of the Project.
(viii) Neither the Commission nor any of its directors,
officials, officers, employees or agents shall be personally responsible for any liability
arising under or by virtue of this Agreement.
Each insurance policy required by this Agreement shall
be endorsed to state that:
3.12.5 Deductibles and Self-Insurance Retentions. Any deductibles
or self-insured retentions must be declared to and approved by the Commission. If the
Commission does not approve the deductibles or self-insured retentions as presented,
Consultant shall guarantee that, at the option of the Commission, either: (1) the insurer
shall reduce or eliminate such deductibles or self-insured retentions as respects the
Commission, its directors, officials, officers, employees and agents; or, (2) the Consultant
shall procure a bond guaranteeing payment of losses and related investigation costs,
claims and administrative and defense expenses.
3.12.6 Acceptability of Insurers. Insurance is to be placed with
insurers with a current A.M. Best’s rating no less than A:VIII, licensed to do business in
California, and satisfactory to the Commission.
3.12.7 Verification of Coverage. Consultant shall furnish
Commission with original certificates of insurance and endorsements effecting coverage
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required by this Agreement on forms satisfactory to the Commission. The certificates and
endorsements for each insurance policy shall be signed by a person authorized by that
insurer to bind coverage on its behalf. All certificates and endorsements must be received
and approved by the Commission before work commences. The Commission reserves
the right to require complete, certified copies of all required insurance policies, at any
time.
3.12.8 Subconsultant Insurance Requirements. Consultant shall not
allow any subcontractors or subconsultants to commence work on any subcontract until
they have provided evidence satisfactory to the Commission that they have secured all
insurance required under this section. Policies of commercial general liability insurance
provided by such subcontractors or subconsultants shall be endorsed to name the
Commission as an additional insured using ISO form CG 20 38 04 13 or an endorsement
providing the exact same coverage. If requested by Consultant, the Commission may
approve different scopes or minimum limits of insurance for particular subcontractors or
subconsultants.
3.13 Safety. Consultant shall execute and maintain its work so as to avoid
injury or damage to any person or property. In carrying out its Services, the Consultant
shall at all times be in compliance with all applicable local, state and federal laws, rules
and regulations, and shall exercise all necessary precautions for the safety of employees
appropriate to the nature of the work and the conditions under which the work is to be
performed. Safety precautions as applicable shall include, but shall not be limited to: (A)
adequate life protection and life saving equipment and procedures; (B) instructions in
accident prevention for all employees and subcontractors, such as safe walkways,
scaffolds, fall protection ladders, bridges, gang planks, confined space procedures,
trenching and shoring, equipment and other safety devices, equipment and wearing
apparel as are necessary or lawfully required to prevent accidents or injuries; and (C)
adequate facilities for the proper inspection and maintenance of all safety measures.
3.14 Fees and Payment.
3.14.1 Compensation. Consultant shall receive compensation,
including authorized reimbursements, for all Services rendered under this Agreement at
the rates set forth in Exhibit "B" attached hereto. The total compensation shall not exceed
Three Hundred Seventy-Four Thousand Seven Hundred Sixty Dollars ($374,760) without
written approval of Commission's Executive Director (“Total Compensation”). Extra Work
may be authorized, as described below, and if authorized, will be compensated at the
rates and manner set forth in this Agreement.
3.14.2 Payment of Compensation. Consultant shall submit to
Commission a monthly statement which indicates work completed and hours of Services
rendered by Consultant. The statement shall describe the amount of Services and
supplies provided since the initial commencement date, or since the start of the
subsequent billing periods, as appropriate, through the date of the statement.
Commission shall, within 45 days of receiving such statement, review the statement and
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pay all approved charges thereon.
3.14.3 Reimbursement for Expenses. Consultant shall not be
reimbursed for any expenses unless authorized in writing by Commission.
3.14.4 Extra Work. At any time during the term of this Agreement,
Commission may request that Consultant perform Extra Work. As used herein, "Extra
Work" means any work which is determined by Commission to be necessary for the
proper completion of the Project, but which the parties did not reasonably anticipate would
be necessary at the execution of this Agreement. Consultant shall not perform, nor be
compensated for, Extra Work without written authorization from Commission's Executive
Director.
3.15 Accounting Records. Consultant shall maintain complete and
accurate records with respect to all costs and expenses incurred and fees charged under
this Agreement. All such records shall be clearly identifiable. Consultant shall allow a
representative of Commission during normal business hours to examine, audit, and make
transcripts or copies of such records and any other documents created pursuant to this
Agreement. Consultant shall allow inspection of all work, data, documents, proceedings,
and activities related to the Agreement for a period of three (3) years from the date of final
payment under this Agreement.
3.16 Termination of Agreement.
3.16.1 Grounds for Termination. Commission may, by written notice
to Consultant, terminate the whole or any part of this Agreement at any time and without
cause by giving written notice to Consultant of such termination, and specifying the
effective date thereof. Upon termination, Consultant shall be compensated only for those
services which have been fully and adequately rendered to Commission through the
effective date of the termination, and Consultant shall be entitled to no further
compensation. Consultant may not terminate this Agreement except for cause.
3.16.2 Effect of Termination. If this Agreement is terminated as
provided herein, Commission may require Consultant to provide all finished or unfinished
Documents and Data, as defined below, and other information of any kind prepared by
Consultant in connection with the performance of Services under this Agreement.
Consultant shall be required to provide such document and other information within fifteen
(15) days of the request.
3.16.3 Additional Services. In the event this Agreement is terminated
in whole or in part as provided herein, Commission may procure, upon such terms and in
such manner as it may determine appropriate, services similar to those terminated.
3.17 Delivery of Notices. All notices permitted or required under this
Agreement shall be given to the respective parties at the following address, or at such
other address as the respective parties may provide in writing for this purpose:
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CONSULTANT: COMMISSION:
Conrad LLP Riverside County
23161 Lake Center Dr. Transportation Commission
Suite 200 4080 Lemon Street, 3rd Floor
Lake Forest, CA 92630 Riverside, CA 92501
Attn: Anrdra Jayasekara Attn: Executive Director
Such notice shall be deemed made when personally delivered or when
mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid
and addressed to the party at its applicable address. Actual notice shall be deemed
adequate notice on the date actual notice occurred, regardless of the method of service.
3.18 Ownership of Materials/Confidentiality.
3.18.1 Documents & Data. This Agreement creates an exclusive and
perpetual license for Commission to copy, use, modify, reuse, or sub-license any and all
copyrights and designs embodied in plans, specifications, studies, drawings, estimates,
materials, data and other documents or works of authorship fixed in any tangible medium
of expression, including but not limited to, physical drawings or data magnetically or
otherwise recorded on computer diskettes, which are prepared or caused to be prepared
by Consultant under this Agreement (“Documents & Data”).
Consultant shall require all subcontractors to agree in writing that
Commission is granted an exclusive and perpetual license for any Documents & Data the
subcontractor prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal
right to grant the exclusive and perpetual license for all such Documents & Data.
Consultant makes no such representation and warranty in regard to Documents & Data
which were prepared by design professionals other than Consultant or provided to
Consultant by the Commission.
Commission shall not be limited in any way in its use of the
Documents & Data at any time, provided that any such use not within the purposes
intended by this Agreement shall be at Commission’s sole risk.
All programs, working papers, files and other materials of the
Consultant made pursuant to this Agreement shall remain the property of the Consultant.
The Commission will have access to this material at any time. All reports delivered by the
Consultant and its subcontractors pursuant to the Agreement shall become the property
of the Commission without restriction or limitation on their use and shall be made available
upon request, to the Commission at any time. Original copies of the deliverable reports
shall be delivered to the Commission upon completion of the Services or termination of
the Services. The Consultant shall be permitted to retain copies of such items for the
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furtherance of its technical proficiency; however, publication of this material is subject to
the written approval of the Commission.
3.18.2 Intellectual Property. In addition, Commission shall have and
retain all right, title and interest (including copyright, patent, trade secret and other
proprietary rights) in all plans, specifications, studies, drawings, estimates, materials,
data, computer programs or software and source code, enhancements, documents, and
any and all works of authorship fixed in any tangible medium or expression, including but
not limited to, physical drawings or other data magnetically or otherwise recorded on
computer media (“Intellectual Property”) prepared or developed by or on behalf of
Consultant under this Agreement as well as any other such Intellectual Property prepared
or developed by or on behalf of Consultant under this Agreement.
The Commission shall have and retain all right, title and interest in
Intellectual Property developed or modified under this Agreement whether or not paid for
wholly or in part by Commission, whether or not developed in conjunction with Consultant,
and whether or not developed by Consultant. Consultant will execute separate written
assignments of any and all rights to the above referenced Intellectual Property upon
request of Commission.
Consultant shall also be responsible to obtain in writing separate
written assignments from any subcontractors or agents of Consultant of any and all right
to the above referenced Intellectual Property. Should Consultant, either during or
following termination of this Agreement, desire to use any of the above-referenced
Intellectual Property, it shall first obtain the written approval of the Commission.
All materials and documents which were developed or prepared by
the Consultant for general use prior to the execution of this Agreement and which are not
the copyright of any other party or publicly available and any other computer applications,
shall continue to be the property of the Consultant. However, unless otherwise identified
and stated prior to execution of this Agreement, Consultant represents and warrants that
it has the right to grant the exclusive and perpetual license for all such Intellectual Property
as provided herein.
Commission further is granted by Consultant a non-exclusive and
perpetual license to copy, use, modify or sub-license any and all Intellectual Property
otherwise owned by Consultant which is the basis or foundation for any derivative,
collective, insurrectional, or supplemental work created under this Agreement.
3.18.3 Confidentiality. All ideas, memoranda, specifications, plans,
procedures, drawings, descriptions, computer program data, input record data, written
information, and other Documents and Data either created by or provided to Consultant
in connection with the performance of this Agreement shall be held confidential by
Consultant. Such materials shall not, without the prior written consent of Commission, be
used by Consultant for any purposes other than the performance of the Services. Nor
shall such materials be disclosed to any person or entity not connected with the
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performance of the Services or the Project. Nothing furnished to Consultant which is
otherwise known to Consultant or is generally known, or has become known, to the
related industry shall be deemed confidential. Consultant shall not use Commission's
name or insignia, photographs of the Project, or any publicity pertaining to the Services
or the Project in any magazine, trade paper, newspaper, television or radio production or
other similar medium without the prior written consent of Commission.
3.18.4 Infringement Indemnification. Consultant shall defend,
indemnify and hold the Commission, its directors, officials, officers, employees,
volunteers and agents free and harmless, pursuant to the indemnification provisions of
this Agreement, for any alleged infringement of any patent, copyright, trade secret, trade
name, trademark, or any other proprietary right of any person or entity in consequence of
the use on the Project by Commission of the Documents & Data, including any method,
process, product, or concept specified or depicted.
3.19 Cooperation; Further Acts. The Parties shall fully cooperate with one
another, and shall take any additional acts or sign any additional documents as may be
necessary, appropriate or convenient to attain the purposes of this Agreement.
3.20 Attorney's Fees. If either party commences an action against the
other party, either legal, administrative or otherwise, arising out of or in connection with
this Agreement, the prevailing party in such litigation shall be entitled to have and recover
from the losing party reasonable attorney's fees and costs of such actions.
3.21 Indemnification. Consultant shall defend, indemnify and hold the
Commission, its directors, officials, officers, agents, consultants, employees and
volunteers free and harmless from any and all claims, demands, causes of action, costs,
expenses, liabilities, losses, damages or injuries, in law or in equity, to property or
persons, including wrongful death, in any manner arising out of or incident to any alleged
negligent acts, omissions or willful misconduct of the Consultant, its officials, officers,
employees, agents, consultants, and contractors arising out of or in connection with the
performance of the Services, the Project or this Agreement, including without limitation,
the payment of all consequential damages, attorneys fees and other related costs and
expenses. Consultant shall defend, at Consultant’s own cost, expense and risk, any and
all such aforesaid suits, actions or other legal proceedings of every kind that may be
brought or instituted against the Commission, its directors, officials, officers, agents,
consultants, employees and volunteers. Consultant shall pay and satisfy any judgment,
award or decree that may be rendered against the Commission or its directors, officials,
officers, agents, consultants, employees and volunteers, in any such suit, action or other
legal proceeding. Consultant shall reimburse the Commission and its directors, officials,
officers, agents, consultants, employees and volunteers, for any and all legal expenses
and costs, including reasonable attorney’s fees, incurred by each of them in connection
therewith or in enforcing the indemnity herein provided. Consultant’s obligation to
indemnity shall not be restricted to insurance proceeds, if any, received by the
Commission or its directors, officials, officers, agents, consultants, employees and
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volunteers. This Section 3.21 shall survive any expiration or termination of this
Agreement.
3.22 Entire Agreement. This Agreement contains the entire Agreement
of the parties with respect to the subject matter hereof, and supersedes all prior
negotiations, understandings or agreements. This Agreement may only be
supplemented, amended, or modified by a writing signed by both parties.
3.23 Governing Law. This Agreement shall be governed by the laws of
the State of California. Venue shall be in Riverside County.
3.24 Time of Essence. Time is of the essence for each and every
provision of this Agreement.
3.25 Commission's Right to Employ Other Consultants. The Commission
reserves the right to employ other consultants in connection with this Project.
3.26 Successors and Assigns. This Agreement shall be binding on the
successors and assigns of the parties, and shall not be assigned by Consultant without
the prior written consent of Commission.
3.27 Prohibited Interests and Conflicts.
3.27.1 Solicitation. Consultant maintains and warrants that it has not
employed nor retained any company or person, other than a bona fide employee working
solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants
that it has not paid nor has it agreed to pay any company or person, other than a bona
fide employee working solely for Consultant, any fee, commission, percentage, brokerage
fee, gift or other consideration contingent upon or resulting from the award or making of
this Agreement. For breach or violation of this warranty, Commission shall have the right
to rescind this Agreement without liability.
3.27.2 Conflict of Interest. For the term of this Agreement, no
member, officer or employee of Commission, during the term of his or her service with
Commission, shall have any direct interest in this Agreement, or obtain any present or
anticipated material benefit arising therefrom.
3.27.3 Conflict of Employment. Employment by the Consultant of
personnel currently on the payroll of the Commission shall not be permitted in the
performance of this Agreement, even though such employment may occur outside of the
employee’s regular working hours or on weekends, holidays or vacation time. Further,
the employment by the Consultant of personnel who have been on the Commission
payroll within one year prior to the date of execution of this Agreement, where this
employment is caused by and or dependent upon the Consultant securing this or related
Agreements with the Commission, is prohibited.
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3.27.4 Employment Adverse to the Commission. Consultant shall
notify the Commission, and shall obtain the Commission’s written consent, prior to
accepting work to assist with or participate in a third-party lawsuit or other legal or
administrative proceeding against the Commission during the term of this Agreement.
3.28 Equal Opportunity Employment. Consultant represents that it is an
equal opportunity employer and it shall not discriminate against any employee or
applicant for employment because of race, religion, color, national origin, ancestry, sex
or age. Such non-discrimination shall include, but not be limited to, all activities related
to initial employment, upgrading, demotion, transfer, recruitment or recruitment
advertising, layoff or termination. Consultant shall also comply with all relevant provisions
of Commission's Disadvantaged Business Enterprise program, Affirmative Action Plan or
other related Commission programs or guidelines currently in effect or hereinafter
enacted.
3.29 Subcontracting. Consultant shall not subcontract any portion of the
work or Services required by this Agreement, except as expressly stated herein, without
prior written approval of the Commission. Subcontracts, if any, shall contain a provision
making them subject to all provisions stipulated in this Agreement.
3.30 Reserved.
3.31 Employment of Apprentices. This Agreement shall not prevent the
employment of properly indentured apprentices in accordance with the California Labor
Code, and no employer or labor union shall refuse to accept otherwise qualified
employees as indentured apprentices on the work performed hereunder solely on the
ground of race, creed, national origin, ancestry, color or sex. Every qualified apprentice
shall be paid the standard wage paid to apprentices under the regulations of the craft or
trade in which he or she is employed and shall be employed only in the craft or trade to
which he or she is registered.
3.32 No Waiver. Failure of Commission to insist on any one occasion
upon strict compliance with any of the terms, covenants or conditions hereof shall not be
deemed a waiver of such term, covenant or condition, nor shall any waiver or
relinquishment of any rights or powers hereunder at any one time or more times be
deemed a waiver or relinquishment of such other right or power at any other time or times.
3.33 Eight-Hour Law. Pursuant to the provisions of the California Labor
Code, eight hours of labor shall constitute a legal day's work, and the time of service of
any worker employed on the work shall be limited and restricted to eight hours during any
one calendar day, and forty hours in any one calendar week, except when payment for
overtime is made at not less than one and one-half the basic rate for all hours worked in
excess of eight hours per day ("Eight-Hour Law"), unless Consultant or the Services are
not subject to the Eight-Hour Law. Consultant shall forfeit to Commission as a penalty,
$50.00 for each worker employed in the execution of this Agreement by him, or by any
sub-consultant under him, for each calendar day during which such workman is required
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or permitted to work more than eight hours in any calendar day and forty hours in any one
calendar week without such compensation for overtime violation of the provisions of the
California Labor Code, unless Consultant or the Services are not subject to the Eight-
Hour Law.
3.34 Subpoenas or Court Orders. Should Consultant receive a subpoena
or court order related to this Agreement, the Services or the Project, Consultant shall
immediately provide written notice of the subpoena or court order to the Commission.
Consultant shall not respond to any such subpoena or court order until notice to the
Commission is provided as required herein, and shall cooperate with the Commission in
responding to the subpoena or court order.
3.35 Survival. All rights and obligations hereunder that by their nature are
to continue after any expiration or termination of this Agreement, including, but not limited
to, the indemnification and confidentiality obligations, and the obligations related to receipt
of subpoenas or court orders, shall survive any such expiration or termination.
3.36 No Third Party Beneficiaries. There are no intended third party
beneficiaries of any right or obligation assumed by the Parties.
3.37 Labor Certification. By its signature hereunder, Consultant certifies
that it is aware of the provisions of Section 3700 of the California Labor Code which
require every employer to be insured against liability for Workers’ Compensation or to
undertake self-insurance in accordance with the provisions of that Code, and agrees to
comply with such provisions before commencing the performance of the Services.
3.38 Counterparts. This Agreement may be signed in counterparts, each
of which shall constitute an original.
3.39 Incorporation of Recitals. The recitals set forth above are true and
correct and are incorporated into this Agreement as though fully set forth herein.
3.40 Invalidity; Severability. If any portion of this Agreement is declared
invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the
remaining provisions shall continue in full force and effect.
3.41 Conflicting Provisions. In the event that provisions of any attached
exhibits conflict in any way with the provisions set forth in this Agreement, the language,
terms and conditions contained in this Agreement shall control the actions and obligations
of the Parties and the interpretation of the Parties’ understanding concerning the
performance of the Services.
3.42 Headings. Article and Section Headings, paragraph captions or
marginal headings contained in this Agreement are for convenience only and shall have
no effect in the construction or interpretation of any provision herein.
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3.43 Assignment or Transfer. Consultant shall not assign, hypothecate,
or transfer, either directly or by operation of law, this Agreement or any interest herein,
without the prior written consent of the Commission. Any attempt to do so shall be null
and void, and any assignees, hypothecates or transferees shall acquire no right or interest
by reason of such attempted assignment, hypothecation or transfer.
3.44 Authority to Enter Agreement. Consultant has all requisite power and
authority to conduct its business and to execute, deliver, and perform the Agreement.
Each Party warrants that the individuals who have signed this Agreement have the legal
power, right, and authority to make this Agreement and bind each respective Party.
[SIGNATURES ON FOLLOWING PAGE]
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SIGNATURE PAGE
TO
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR AUDIT AND ATTESTATION SERVICES
FOR THE EASTERN RIVERSIDE COUNTY
MEASURE A RECIPIENTS AND
TRANSPORTATION DEVELOPMENT ACT CLAIMANTS
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
WITH CONRAD LLP
IN WITNESS WHEREOF, this Agreement was executed on the date first
written above.
RIVERSIDE COUNTY
TRANSPORTATION COMMISSION CONRAD LLP
By: _________________________ By: ____________________________
Anne Mayer Signature
Executive Director
__________________________
Name
__________________________
Title
Approved as to Form: Attest:
By:____________________________ By: ________________________
Best Best & Krieger LLP Its: Secretary
General Counsel
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EXHIBIT "A"
SCOPE OF SERVICES
[TO BE INSERTED BEHIND THIS PAGE]
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Statement of Services
A. General
The Riverside County Transportation Commission (RCTC), as the transportation planning agency
for Riverside County, is issuing this Request for Proposal in order to secure services from a
Consultant of certified public accountants to perform for the fiscal years ending June 30, 2021,
2022, and 2023, with the option of performing such services for three (3) additional one-year
terms:
Financial and compliance audits of RCTC’s Transportation Development Act (TDA)
claimants for transit (including funding from Local Transportation Fund (LTF) Article 4,
State Transit Assistance (STA), State of Good Repair (SGR), Low Carbon Transit
Operations Program (LCTOP), and Proposition 1B);
Financial and compliance audits of RCTC’s TDA claimants for bicycle and pedestrian
projects (consisting of funding from LTF Article 3); and
Agreed-upon procedures similar to those proposed in Appendix A, Section G, for RCTC’s
Measure A recipients of local streets and roads (LSR) funding.
Measure A Agreed Upon Procedures
The Measure A LSR Agreed-Upon Procedures apply to all eligible cities in Riverside County.
Measure A LSR funding is allocated and disbursed monthly to the cities, as specified in Measure
A. RCTC does not currently anticipate any incorporations or dis-incorporations of cities that would
result in a change in Measure A LSR recipients. Currently, all cities meet the eligibility
requirements that include:
Participation in the Coachella Valley Transportation Uniform Mitigation Fee (TUMF)
Program, as applicable;
Annual submittal of a 5-Year Capital Improvement Plan (CIP) list of projects;
Annual Maintenance of Effort certification; and
Annual Project Status Report for the prior fiscal year CIP.
Transportation Development Act Audits
The TDA Transit audits will be performed for the Palo Verde Valley Transit Agency. TDA Transit
operating and capital allocations are approved annually by RCTC in June based on the submittal
of each transit operator’s Short-Range Transit Plan. The transit operators also may unexpended
Proposition 1B funding for capital/rehabilitation and/or security projects received through Caltrans
and the California Office of Emergency Services (CalOES), respectively.
The TDA Bicycle and Pedestrian audits apply to local jurisdictions awarded funding by RCTC
for bicycle and pedestrian projects through a biennial competitive call for projects. Local
jurisdictions generally have two years to complete projects, including those projects approved in
the FY 2019/20 Call for Projects at RCTC’s June 12, 2019 meeting. However, as per revised
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guidelines approved by RCTC at its January 13, 2021 meeting effective with the FY 2021/22 Call
for Projects to be awarded at the June 9, 2021 RCTC meeting, local jurisdictions will now have
three years to complete projects. Claimants may request disbursement of their allocations by
RCTC on a reimbursement basis in accordance with RCTC’s policies. Accordingly, the TDA
Bicycle and Pedestrian audits are dependent on claims for expenditures of such funds.
Anticipated Changes in Audit and Attestation Services
RCTC does not anticipate any change in the local jurisdictions subject to TDA Transit audit and
Measure A LSR attestation services. The local jurisdictions requiring TDA Bicycle and Pedestrian
audits will be determined each year based on actual disbursements.
The Chief Financial Officer is designated as the coordinator of the work and may appoint a
Finance Department staff to coordinate day-to-day oversight. The Chief Financial Officer will
serve as the liaison to the audit oversight committee designated by RCTC.
The audits are to be performed by the Consultant(s) in accordance with generally accepted
auditing standards, including use of the most current version of each of the following standards
and guidelines:
American Institute of Certified Public Accountants audit and attestation standards;
General Accounting Office’s (GAO) Government Auditing Standards;
Measure A conformance requirements (Section G); and
Transit requirements (Section H.
B. Scope of Work to be Performed
The selected Consultant(s) will be required to perform the following tasks:
Audit of the transit and transportation financial statements of the jurisdictions receiving
TDA funds in accordance with auditing standards generally accepted in the United States
of America; the standards applicable to financial audits contained in Government Auditing
Standards, issued by the Comptroller General of the United States; the TDA as
summarized in the TDA Guidebook; and SGR, LCTOP, and Proposition 1B audit
guidelines specified by Caltrans and CalOES.
Performance of agreed-upon procedures similar to those listed in Section F solely to assist
RCTC in evaluating the applicable jurisdictions’ Measure A transportation funds and
degree of their compliance with RCTC’s requirements of the Measure A LSR program.
RCTC reserves the right to modify the agreed-upon procedures as deemed necessary to
fulfill its oversight responsibilities for the Measure A LSR program.
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C. Deliverables
Following completion of the audits and agreed-upon procedures and a review of the draft reports
by RCTC, the Consultant(s) shall issue:
A report on the fair presentation of the financial statements for the TDA claimants in
conformity with generally accepted accounting principles and on compliance and internal
control.
A report on the agreed-upon procedures related to the Measure A recipients of LSR
funding.
Drafts of the reports will be provided to RCTC staff and the applicable TDA claimant or Measure
A recipient. The Chief Financial Officer or designee shall review and approve each report prior
to issuance.
For each report issued to RCTC, the Consultant shall issue one PDF copy to RCTC and one PDF
to the applicable TDA claimant or Measure A recipient, as applicable.
Financial and Compliance Reports
The Consultant will submit a financial and compliance report for each TDA audit. The Consultant
will be responsible for the preparation, editing, and printing of all financial and compliance reports,
including the financial statements and notes to the financial statements. Although the Consultant
will prepare the financial statements, management of the TDA Claimant is responsible for the
financial statements.
Agreed-Upon Procedures
The Consultant will submit a report for each Measure A recipient, as applicable, listing the
procedures performed, results of procedures performed, and findings, if any. The Consultant will
be responsible for preparation, editing, and printing of all agreed-upon procedure reports.
D. Required Communications
Significant Deficiencies – In the required reports on compliance and internal controls, the
Consultant shall communicate any significant deficiencies found during the audit of the TDA
claimants. A significant deficiency shall be defined as a control deficiency, or combination of
control deficiencies, that adversely affects the entity’s ability to initiate, authorize, record, process,
or report financial data reliably in accordance with generally accepted accounting principles such
that there is more than a remote likelihood that a misstatement of the entity’s financial statements
that is more than inconsequential will not be prevented or detected by the entity’s internal control.
Significant deficiencies that are also material weaknesses shall be identified as such in the report.
Other control deficiencies discovered by the Consultant may be reported in a separate letter to
management, which shall be referred to in the reports on compliance and internal controls.
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The report on compliance and internal controls shall include all material instances of
noncompliance. All nonmaterial instances of noncompliance may be reported in a separate
management letter, which shall be referred to in the report on compliance and internal controls.
Irregularities and illegal acts – The Consultant shall be required to make an immediate, written
report of all irregularities and illegal acts or indication of illegal acts of which they become aware
to the jurisdiction/agency and RCTC’s audit oversight committee, Executive Director, and Chief
Financial Officer.
Planning meetings – The Consultant shall meet with RCTC staff at least once a year prior to the
commencement of the audits and agreed-upon procedures.
E. Audit Schedule
The work to be performed at the jurisdictions and agencies shall be arranged by the Consultant
with the individual jurisdiction or agency after the conclusion of a planning meeting with RCTC
and RCTC’s issuance of audit notification letters to each jurisdiction and agency.
The work should be scheduled for no later than November 15 of each year. Barring unforeseen
circumstances, the Consultant must conduct the work activities and provide all required reports
and information to RCTC no later than December 31 of each year. The TDA audits are required
to be submitted to the State Controller by December 31 of each year; however, an extension may
be granted by RCTC for no more than 90 days. RCTC’s policy for Measure A reports follows the
TDA requirement; however, a formal extension is generally not issued.
The Consultant shall keep RCTC apprised at least monthly on the status of the audits and any
issues which have been encountered. RCTC will provide assistance, to the extent necessary
and/or possible, to resolve such issues. If circumstances outside the control of the Consultant or
RCTC arise and the deadline cannot be met, both parties agree to communicate the
circumstances and develop an action plan.
F. Measure A Proposed Local Streets and Roads Agreed-Upon Procedures (Proposed)
1. Review the 2009 Measure A (Ordinance 02-001) compliance requirements. Western
County jurisdictions are required to participate in the Transportation Uniform Mitigation
Fee (TUMF) program and in the Multi-Species Habitat Conservation Plan (MSHCP),
which are administered by the Western Riverside Council of Governments (WRCOG)
and the Western Riverside County Regional Conservation Authority (RCA),
respectively. Coachella Valley jurisdictions are required to participate in the TUMF
program administered by the Coachella Valley Association of Governments (CVAG).
Indicate participation in TUMF and/or MSHCP programs.
2. Obtain from RCTC the approved Five-Year Capital Improvement Plan (CIP) for the
fiscal year.
3. Obtain from the jurisdiction a detail general ledger and balance sheet for the fiscal
year.
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a. Identify the amount of Measure A cash and investments recorded at the end of the
fiscal year. Compare amount to Measure A fund balance and provide an
explanation for any differences greater than 25% of fund balance.
b. Identify any amounts due from other funds.
c. Identify the components of ending fund balance for the Measure A activity (e.g.,
nonspendable, restricted, assigned, committed, unassigned) [and for County of
Riverside only by geographic area].
i. Identify the existence of any restatement of Measure A fund balance; inquire
of management as to the reason for any restatement and provide a summary
of the restatement items.
ii. Compare ending fund balance to total revenues for the current year and prior
two years. If ending fund balance is greater than sum of total revenues for the
three-year period, inquire of management as to the reason(s) for the
accumulation of fund balance (e.g., status of specific projects included in the
5-Year CIP).
4. Obtain an operating statement for the Measure A activity for the fiscal year, including
budget amounts; include the operating statement as an exhibit to the report.
a. Review the revenues in the operating statement.
i. Inquire of management as to what fund is used to record Measure A revenues
received from RCTC and identify what the total revenues were for the fiscal
year.
ii. Obtain from RCTC a listing of Measure A payments to the jurisdiction.
1. Compare the Measure A sales tax revenues recorded by the jurisdiction to
the listing of payments made by RCTC. [Use gross amounts paid by RCTC]
iii. Obtain from the jurisdiction an interest allocation schedule for the fiscal year.
1. Identify the allocation amount of interest income to Measure A activity and
what the amount of interest income was for the fiscal year. If no interest
was allocated, inquire of management as to reason for not allocating
interest income.
b. Review the expenditures in the operating statement.
i. Inquire of management as to what fund is used to record Measure A
expenditures and what the total expenditures were for the fiscal year.
ii. Select expenditures for testing that comprise at least 20% of the total
expenditures.
1. For the expenditures selected for testing, compare the dollar amount listed
on the general ledger to the supporting documentation.
2. For the expenditures selected for testing, review the 5-Year CIP and note
if the project is included in the 5-Year CIP and is an allowable cost.
iii. Inquire of management as to the nature of any transfers in or out recorded in
the Measure A fund. For any transfers out, determine if nature of transfer out
was included in the 5-Year CIP.
iv. Inquire of management as to the amount of general or non-project-related
indirect costs, if any, included in expenditures. If indirect costs exceed 8% of
Measure A revenue, inquire of management as to the basis for indirect costs
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charged to Measure A. If indirect costs are identified, determine if such costs
are included in the 5-Year CIP.
v. Inquire of management as to the amount of debt service expenditures recorded
in the Measure A fund and determine is such costs are included in the 5-Year
CIP.
5. Obtain from RCTC a listing of jurisdictions who participate in the Western County or
Coachella Valley TUMF programs.
a. If the jurisdiction is a participant in the TUMF program, select at least one
disbursement for validation as to the amount remitted to WRCOG or CVAG, as
applicable.
b. Indicate the total amount of TUMF fees collected and remitted during the fiscal
year.
6. Obtain from RCTC a listing of jurisdictions who participate in the Western County
MSHCP program.
a. If the jurisdiction is a participant in the MSHCP program, select at least one
disbursement for validation as to the amount remitted to RCA, as applicable.
b. Inquire of management as to the existence of any fees collected in prior years and
not remitted to RCA as of the end of the fiscal year.
c. Indicate the total amount of MSHCP fees collected and remitted during the fiscal
year.
7. Obtain from RCTC the MOE base year requirement, including supporting detail of the
calculations for its city/County, and the carryover amount allowed as of the beginning
of the fiscal year.
a. Obtain from the city/County a calculation of its current year MOE amount in the
format similar to its base year calculation. Attach a copy of the calculation
worksheet provided by the city/County as an exhibit to the report.
b. Compare the current year MOE amounts from the General Fund to the general
ledger.
c. Review the General Fund general ledger to determine if there were any transfers
in to fund any MOE amounts.
d. Compare the amount of current year MOE expenditures to the MOE base
requirement and add any excess to, or subtract any deficiency from, the carryover
amount.
e. If the amount of discretionary funds spent is less than the MOE base requirement
(MOE deficiency), determine the amount of any prior year MOE carryover using
the information obtained from RCTC and reduce the MOE deficiency by any
available MOE carryover to determine an adjusted current year expenditure
amount.
G. Measure A Recipient Conformance Requirements
1. Allowable Costs. Measure A funds may only be used for transportation purposes
including the administration of Division 25 including legal actions related thereto; the
construction, capital acquisition, maintenance, and operation of streets, roads,
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highways including state highways and public transit systems; and for related
purposes. These purposes include expenditures for the planning, environmental
reviews, engineering and design costs, and related right-of-way acquisition.
a. Eligible local street and road projects costs include any engineering, capital, or
maintenance cost. Decisions on projects are to be made by local jurisdictions
subject to Capital Improvement Program requirements.
i. Annual budget reflecting the local government or agency’s anticipated receipts
and expenditures should be prepared and submitted to RCTC upon approval
by the governing board. The data contained in the capital improvement plans
submitted to RCTC should be included in the recipient’s budgets. These
budgets allow for proper evaluation by RCTC of the recipient’s activities on an
annual basis. (Policy adopted May 8, 1991)
b. Eligible transit programs include special discount fares for seniors and
handicapped people, commuter bus services, funding for computer assisted
rideshare programs, and “seed” programs to encourage the creation of vanpools.
Additionally, funds will be used to provide further reductions for the truly needy and
to expand existing services and implement new services. Bus capital replacement
and additional bus service may also be an eligible program within the Coachella
Valley, subject to a determination of funding by the Coachella Valley Association
of Governments (CVAG).
2. Maintenance of Effort (MOE). Additional funds provided under Measure A are
intended to supplement existing local revenues being used for transportation
purposes. Government agencies shall maintain their existing commitment of local
funds for street highway and public transit purposes pursuant to Measure A.
a. The local cities and the County shall annually submit to RCTC a list of the proposed
uses for these funds and a certification that the MOE requirement is being met. If
in any fiscal year, the maintenance of effort requirement is not met, the agency
shall not be eligible for any Measure A funds in the following fiscal year. Such
funds shall be distributed to the remaining local governments using the formula for
the area.
i. Agencies may use any local discretionary funds expended for local streets and
roads purposes during previous fiscal years which were in excess of their
maintenance of effort requirements to meet their MOE requirements for the
fiscal year. (Measure A Maintenance of Effort Guidelines)
b. RCTC shall assure the cities’ and County compliance with MOE funding
requirements before allocating funds for local streets and roads.
c. RCTC shall not allocate funds to an individual city or the County for local streets
and roads use within the Western County and Coachella Valley areas unless
WRCOG or CVAG indicates participation of agency in the Transportation Uniform
Mitigation Fee program necessary for implementation of the planned regional
arterial system.
3. Allocation of Funds to Geographic Areas. Funds for transportation purposes shall
be allocated to the Western County, Coachella Valley, and Palo Verde Valley areas
proportionate to the Measure A funds generated within these areas.
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4. Allocation of Funds within Geographic Areas. RCTC shall return 2009 Measure A
funds to the geographic areas as follows (Applicable to RCTC):
a. Western County. To be distributed for the following programs: $370 million
(approx. 11% to new corridors; $1,020 million (approx. 30%) to highways; $390
million (approx. 12%) to public transit; $300 million (approx. 9%) to regional
arterials; $970 million (approx. 29%) to local streets and roads; $270 million
(approx. 8%) to bond financing; and $40 million (approx. 1%) to economic
development.
i. Local streets and roads funding are to be distributed by a formula based on
75% on proportionate population and 25% on 2009 Measure A revenues
generated within each jurisdiction, if they participate in the Transportation
Uniform Mitigation Fee program and Multi-Species Habitat Conservation Plan.
If local agencies choose not to participate in the TUMF and MSHCP programs,
the funds they would otherwise receive for local streets and roads will be added
to the Measure A funds for the Regional Arterial System administered by
RCTC.
b. Coachella Valley. To be distributed for the following programs: 50% to highways
and regional arterial projects; 35% to local streets and roads; and 15% to
specialized public transit.
i. Local streets and roads funds will be provided to Coachella Valley cities and
the County if they participate in the Transportation Uniform Mitigation Fee
program. If local agencies choose not to participate in the TUMF program, the
funds they would otherwise receive for local streets and roads will be added to
the Measure A funds for the Regional Arterial System administered by CVAG.
ii. Local streets and roads funds are to be distributed by a formula based on 50%
on proportionate dwelling units and 50% on 2009 Measure A revenues
generated within each jurisdiction, as interpreted in Ordinance and direction
provided by CVAG.
c. Palo Verde Valley. To be distributed 100% to local streets and roads.
i. Local streets and roads funds are to be distributed by a formula based on 75%
on proportionate population and 25% on sales tax revenues generated in each
jurisdiction.
5. Accounting Records. Measure A recipients are required to maintain accurate,
complete, and separate accounting records for all sources of the funds they receive.
Small not-for-profit agencies are encouraged but not required to maintain separate
accounting records as long as Measure A receipts, related revenues, and
expenditures can be readily identified. If RCTC’s independent auditors are unable to
readily identify which funds are being used for expenditures, then the agency will be
required to maintain separate accounting records and cash accounts if they are to
continue receiving Measure A allocations. Any agency which maintains poor
accounting records will receive funding allocations on a reimbursement basis only.
(Policy adopted May 12, 1993)
6. Interfund Borrowing. Interfund borrowing from Measure A funding sources to
another local jurisdiction fund is strictly prohibited. Cities and agencies must maintain
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EXHIBIT A - 9
sufficient cash balances so as not to impair their Measure A funds. Evidence of
interfund borrowing or impaired cash balances will result in the city or agency receiving
funds from RCTC on a reimbursement basis only after any existing city or agency
reserves of prior Commission funds have been fully depleted. (Policy adopted May
12, 1993)
7. Interest Income Allocations. Interest on Measure A funds shall accrue separately
for all of RCTC’s programs as defined in the text of Measure A. This interest allocation
policy is applicable to the entire County, and such allocations shall be made monthly.
Interest earned on unexpended Measure A monies should be recorded in the Measure
A fund established by a local government or other agency receiving local streets and
roads or specialized transit monies. As these funds are restricted, the related interest
earned should be restricted as required by governmental regulations and other
transportation funding including the Transportation Act. (Policy adopted May 8, 1991
and May 12, 1993)
8. Accumulated Deficits. Accumulated funding source deficits are the responsibility of
the local jurisdiction. RCTC will consider allocating additional funds for such deficits
when justifiable on a case-by-case basis. (Policy adopted May 12, 1993)
9. Budget Variances. Significant budget variances should be avoided. All local
jurisdictions are required to compare the budget to actual results and make mid-year
revisions as needed. (Policy adopted May 12, 1993)
10. Unexpended Monies. Whenever the annual fiscal audit or the proposed update of
the Five Year Capital Improvement Program of a local agency shows a Measure A
Local Streets and Road Program carryover balance in excess of three (3) times the
annual allocation to an agency, Commission staff will:
a. Meet with the local agency to have them explain the reason for the carryover and
explore alternatives for moving projects faster, and
b. Present a report of their findings to RCTC’s Budget and Finance Committee to
determine if any further action should be considered and proposed to the full
Commission.
(Policy included in December 13, 1995 revisions to the RCTC Program and Funding
Guide)
H. Transit Compliance Requirements
The auditors should review the TDA regulations for Local Transportation Fund and State
Transit Assistance funding. California Code Section 6664 discusses the fiscal and
compliance audits of all claimants, Section 6666 provides the compliance audit tasks for
non-transit claimants, and Section 6667 provides the compliance audit tasks for transit
claimants. The TDA Statutes and California Code of Regulation Guidebook is available at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/f0009844-tda-07-2018-a11y.pdf.
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California Department of Transportation program guidelines for State of Good Repair
funds received through RCTC are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/sgr/202008-sgr-final-guidelines-a11y.pdf
Proposition 1B accountability requirements for Public Transportation Modernization,
Improvement and Service Enhancement Account (PTMISEA) funds received through
Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/ptmisea/201910-ptmisea-guidelines-a11y.pdf
Proposition 1B guidelines for Transit System Safety, Security, and Disaster Response
Account (TSSSDRA) funds received through CalOES are located at:
https://www.caloes.ca.gov/GrantsManagementSite/Documents/FY 2016-17 HR
Guidance with Allocations.pdf#search=TSSSDRA guidelines
LCTOP program guidelines for funds received through Caltrans are located at:
https://dot.ca.gov/-/media/dot-media/programs/rail-mass-
transportation/documents/lctop/201909-lctop-fy19-20-guidelines-a11y.pdf
End of Statement of Services
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17336.00000\8752982.1
EXHIBIT "B"
COMPENSATION
[TO BE INSERTED BEHIND THIS PAGE]
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(Amounts subject to rounding
differences)
FIRM PROJECT TASKS/ROLE COST
Conrad LLP2 Audit and Attestation Services 374,760$
-
374,760$
TASK NUMBER TASK DESCRIPTION COST
TDA Article 3/Bicycle and Pedestrian2 Audit Services 149,310$
TDA Article 4/Transit Audit Services 44,250
Measure A Local Streets and Roads Agreed-Upon Procedures Attestation Services 181,200
374,760
-
374,760$
FISCAL YEAR PROJECT COST
FY 2020/212 Audit and Attestation Services 61,960$
FY 2021/222 Audit and Attestation Services 62,160
FY 2022/232 Audit and Attestation Services 62,360
FY 2023/24 (Option Year 1)2 Audit and Attestation Services 62,560
FY 2024/25 (Option Year 2)2 Audit and Attestation Services 62,760
FY 2025/26 (Option Year 3)2 Audit and Attestation Services 62,960
374,760$ TOTAL COSTS
OTHER DIRECT COSTS
2 TDA Article 3/Bicycle and Pedestrian audits will be determined annually based on TDA claimants; accordingly, amounts are estimated.
This estimate assumes seven (7) annual TDA Article 3/Bicycle and Pedestrian audits.
SUBTOTAL
OTHER DIRECT COSTS
TOTAL COSTS
1 Commission authorization pertains to total contract award amount. Compensation adjustments between consultants may occur;
however, the maximum total compensation authorized may not be exceeded.
EXHIBIT "B"
COMPENSATION SUMMARY1
Prime Consultant:
TOTAL COSTS
EXHIBIT B-1
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AGENDA ITEM 8D
Agenda Item 8D
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM: Budget and Implementation Committee
David Knudsen, Interim External Affairs Director
THROUGH: Anne Mayer, Executive Director
SUBJECT: State and Federal Legislative Update
This item is for the Commission to:
1) Receive and file an update on state and federal legislation; and
2) Adopt the following bill position:
a) SB 261 (Allen) – Oppose.
DISCUSSION:
State Update
The California State Legislature returned to Sacramento from its week-long spring recess on
April 5, 2021. Legislators have an extremely busy month ahead as they work through policy
committee hearings and facing deadlines to advance bills introduced in their house of origin.
Simultaneously, Governor Newsom is preparing his budget revision to be released in May, which
will take into account any adjustments to state revenue or any changes he wants to make to his
2021-22 budget proposal.
The California Department of Finance released an economic update in March with preliminary
General Fund tax receipts for the first eight months of the fiscal year. According to its report, tax
receipts were $14.34 billion above the 2021-22 Governor’s budget forecast of $111.518 billion.
This combined with $26 billion in federal COVID-19 relief California is expected to receive, the
Governor and the Legislature may decide to increase the state’s discretionary spending already
proposed $165 billion. Staff will monitor how the Governor and Legislature will ultimately decide
to use the windfall of revenue. June 15, 2021 is the Constitutional deadline for the Legislature to
pass a budget.
Legislation
SB 261 (Allen) – Staff Recommended Position: Oppose
Senate Bill (SB) 261 authored by Senator Ben Allen (Santa Monica) would update the state’s
greenhouse gas (GHG) reduction goals for the transportation sector, create new vehicle miles
256
Agenda Item 8D
traveled (VMT) reduction goals, increase the scrutiny of a Metropolitan Planning Organization’s
(MPO) Sustainable Communities Strategy (SCS) by the California Air Resources Board (CARB), and
create new requirements for local governments to report on the number of housing, jobs, and
transit supportive infrastructure that demonstrates the implementation of an SCS’s strategies.
SB 261 adds additional requirements to SB 375 (Chapter 728, Statutes of 2008), which directed
CARB to set regional targets for reducing GHG emissions from the automobile and light-duty truck
sector for 2020 and 2035. In setting regional GHG emissions reduction targets, SB 375 established
a Regional Targets Advisory Committee (RTAC) that included local and regional officials to advise
CARB on the target-setting. Since the passage of SB 375, MPOs like Southern California
Association of Governments (SCAG) and county transportation commissions like the Riverside
County Transportation Commission (RCTC), have been working in partnership with each other
and with CARB to meet the Southern California region’s GHG reduction targets from the
automobile and light-duty truck sector for 2020 and 2035. SB 375 requires MPOs to create SCSs
in conjunction with their Regional Transportation Plans (RTPs) and establishes a "bottom-up"
approach to ensure that cities, counties, and county transportation commissions are involved in
developing regional plans to achieve those GHG reduction targets.
SB 261 would implement the following:
1. Extends GHG reduction targets and adds new VMT reduction targets: SB 261 would
require CARB to set regional targets for reducing greenhouse gas emissions from
automobile and light trucks for 2045 and 2050. In addition, the bill would require CARB
to provide each region with VMT reduction targets for 2035, 2045, and 2050.
2. Increased Scrutiny and Double-Checking an MPO’s SCS by CARB: This bill would provide
vague justifications for CARB to reject an MPO’s SCS and subject the MPO’s SCS to
increased levels of scrutiny and double-checking by CARB. SB 261 would require the MPO
to submit an SCS to CARB within 60 days of the MPO’s adoption of the document and
then doubles the time CARB has to accept or reject an MPO’s SCS from 60 to 120 days.
3. New Reporting Requirements: SB 261 would require each city or county to report to the
MPO on the number of housing, jobs, and transit-supportive infrastructure, existing and
planned, that demonstrates the implementation of the SCS’s strategies. Cities and
counties would be required to report this information every other year.
VMT reduction targets disproportionately and unfairly impact commuter communities, such as
those in Riverside County whose residents find affordable living but who have to commute long
distances to job centers. Riverside County is among the fastest-growing counties in the state.
Imposing uniform VMT reduction policies without a complete understanding of the region and
substantial state funding could reduce our communities’ access to employment, education,
economic development, and recreational opportunities.
257
Agenda Item 8D
As a result of the issues identified in the bill, staff is recommending the Commission take an
oppose position. This recommendation is consistent with the Commission’s adopted 2021 State
and Federal Legislative Platform, including:
• Environment - Oppose efforts to place new environmental criteria (such as GHG reduction
or VMT reduction) on transportation projects and programs without commensurate
funding for alternatives or mitigations.
• Equity and Fairness - Policies should be implemented recognizing regional variance by
distinguishing high-growth regions for their impact on the economy, environment, and
should be dynamic in order to address future population growth.
AB 840 (Holden)
Assembly Bill (AB) 840, authored by Assemblymember Chris Holden, would require
San Bernardino County Transportation Authority (SBCTA) and LA Metro to jointly develop a
funding and implementation program for regional transit services to include service to
international airports. In developing the program, the agencies shall consult with SCAG, California
Transportation Commission, Ontario International Airport Authority, Metro Gold Line Foothill
Extension Construction Authority, and Counties of Los Angeles and San Bernardino. This bill is
another attempt after two bills last year, AB 2011 (Holden) and SB 1390 (Portantino), failed to
pass out of the Legislature to compel SBCTA to extend the Metro Gold Line to Ontario
International Airport.
While the specific matters at the center of this legislation do not apply directly to Riverside
County, if approved, this bill creates a troublesome precedent for RCTC and all self-help
transportation agencies in California who are entrusted with local governance of voter-approved
tax revenues, including:
• Involving the state in the working partnerships between county transportation
commissions
• Challenging the independent decision-making authority of the regional transportation
authority
Any effort by the state to mandate a project not consistent with local priorities erodes the faith
voters and taxpayers have placed in the transportation agencies to deliver projects that benefit
county residents and maximize taxpayer dollars.
Staff’s recommendation for the Commission to take an oppose position is consistent with the
adopted 2021 State and Federal Legislative Platform, including:
• Protect Our Authority and Revenue - Existing statutory authorities for the Commission
should be preserved and protected.
258
Agenda Item 8D
• Protect Our Authority and Revenue - Oppose legislation that restructures or interferes
with governance of the Commission or other local and regional transportation agencies
without the support and consent of the entity affected.
Subsequent to the Committee's action to approve staff’s recommendation to oppose the bill but
prior to the Commission meeting, the author pulled the bill and there is no action needed at this
time. Staff will continue to monitor this issue in the event a bill is reintroduced seeking to take a
similar action.
Federal Update
On March 31, 2021, President Joe Biden unveiled his American Jobs Plan (AJP), a $2.3 trillion
proposal including $1.3 trillion for infrastructure spending. The AJP proposes investment in “core
assets” transportation funding levels, including:
• Roads and Bridges ($115 billion)
• Transit ($85 billion)
• Aviation ($25 billion)
• Ports and Waterways ($17 billion)
• Rail ($80 billion)
More details on the AJP are anticipated in the coming weeks as Congress holds hearings to debate
the proposal. It is not yet known if the budget reconciliation process will be used to move the
AJP or if the package will move under “regular order.” The decision on the legislative path will
impact the final details and timing on action related to the package.
Surface Transportation Reauthorization
Both the House and Senate continue to develop legislation to reauthorize federal surface
transportation programs.
In the House, the Chairman of the House Transportation and Infrastructure Committee (T&I),
Congressman Peter DeFazio (Oregon), has stated his intent to complete work on a surface
transportation bill by late May. As part of the T&I Committee’s process, a Member Day hearing
was held on April 14, 2021, to receive testimony from Members of Congress on their policy
priorities.
In addition, the T&I Committee is seeking earmark requests from Members of Congress to be
included in the surface transportation reauthorization legislation. As of the writing of this staff
report, RCTC has proposed the following projects to members of the Riverside County delegation:
• State Route 79 Realignment Project – Right-of-Way Environmental Mitigation
• Interstate 15 Northern Extension (I-15 NEXT)
259
Agenda Item 8D
In the Senate, the Environment and Public Works Committee (EPW), which has jurisdiction over
federal highway programs, has also continued its work to develop a new surface transportation
bill. The Chairman of the EPW Committee has also expressed a desire to complete work on the
highway title of a surface transportation bill by late May. Recall that there are two other Senate
Committees with jurisdiction over surface transportation programs that have yet to articulate a
timeframe for their action. At this time, the Senate has not yet agreed to include earmarks in
this legislation.
Community Project Funding
Congressional offices across the country, including those in Riverside County, accepted
applications for community projects to receive federal dollars under new Community Project
Funding (CPF), formally known as earmarks, which allows members of Congress to request
funding for as many as 10 projects within their home districts. The 10 projects selected by
Members will go to the House Appropriations Committee for review, and there will be a public
database of all requests received by the committee.
In order to achieve decision-making transparency and reduce potential abuse, several guardrails
have been set, including: requiring Members to certify that they and their families do not have a
financial interest in any request made by the Member; creating a searchable online database of
all CPF requests; banning for-profit recipients; and requiring each Member to demonstrate
community benefit and support for each request. Each congressional office required each
applicant to answer a series of questions to vet the legitimacy of the project and the request.
In April, RCTC submitted Community Project Funding requesting $3 million for each of the
following projects:
• Interstate 15 Smart Freeway Pilot Project
• Interstate 15 Corridor Operations Project
• Interstate 10 Highland Springs Interchange Improvements
• Moreno Valley/March Field Station Improvements Project
Attachments:
1) RCTC Community Project Funding Request Letter for Smart Freeway Pilot Project
2) RCTC Community Project Funding Request Letter for Interstate 15 Corridor Operations
Project
3) RCTC Community Project Funding Request Letter for Interstate 10 Highland Springs
Interchange Improvements
4) RCTC Community Project Funding Request Letter for Moreno Valley/March Field Station
Improvements Project
5) Legislative Matrix – April 2021
260
Agenda Item 8D
Approved by the Budget and Implementation Committee on April 26, 2021
In Favor: 11 Abstain: 0 No: 0
261
April 8, 2021
The Honorable Ken Calvert
United States House of Representatives
U.S. Capitol
Washington, DC 20510
Subject: Support for the Riverside County Transportation Commission’s Community Project Funding Request
Dear Congressman Calvert:
On behalf of the Riverside County Transportation Commission (RCTC), I am pleased to request Community Project
Funding of $3 million for the Smart Freeway Pilot Project. Planned on northbound Interstate 15 from the San
Diego/Riverside County Line to the 15/215 Interchange in Murrieta, this $18 million pilot project is regionally
significant, socially equitable, and will have a positive impact on the health and safety of the region’s residents,
businesses, and freight and goods movement.
This project pilots new and emerging technologies to demonstrate vast improvements to motorist safety and
traffic congestion by using controlled, continuously variable adaptive ramp metering to improve traffic flow and
reduce weaving and sudden stops. The project will also benefit the region by:
•Expanding Regional Mobility: This pilot project will improve regional mobility by improving the service
times of Riverside Transit Agency’s CommuterLink Express Routes 205/206, which provide essential transit
service between Temecula and Corona, as well as job centers beyond via Metrolink.
•Enhancing Economic Development: The project will improve throughput along a vital trade corridor from
the ports of Long Beach, Los Angeles, and San Diego to the rest of the country and will provide broad
economic benefit and support the tourism industry in the Temecula Valley.
•Supporting Access to all Communities: The Smart Freeways project will provide more equitable access to
regional job centers for low-income communities immediately adjacent to the project and further north
on I-15 and I-215. In addition, this project will reduce rear-end collisions and limit income shocks that can
irrevocably push vulnerable populations into poverty.
•Decreasing Pollution (or Improving Air Quality): Decreased vehicle idling and improved transit service, as
well as reductions in sudden vehicle deceleration and acceleration, will reduce air pollution as the region’s
population continues to grow.
ATTACHMENT 1
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The Honorable Ken Calvert
April 8, 2021
Page 2
The project will use $4 million in Fiscal Year 2020-21 Congestion Mitigation and Air Quality funds, $1.2 million in
State Highway Operation and Protection Program funds, as well as and local funds to complete the project. It is
also included and consistent with adopted regional transportation plans.
RCTC’s innovative and forward-thinking Smart Freeway Pilot Project merits Community Project Funding because
of the immediate positive impact it will have on our region’s residents, the economy, and the environment. I
encourage you to give it full and fair consideration.
Please contact Executive Director Anne Mayer at (951) 787-7141 if you have any questions.
Sincerely,
Jan Harnik
Chair
263
April 8, 2021
The Honorable Ken Calvert
United States House of Representatives
U.S. Capitol
Washington, DC 20510
Subject: Support for the Riverside County Transportation Commission’s Community Project Funding Request
Dear Congressman Calvert:
On behalf of the Riverside County Transportation Commission (RCTC), I am pleased to request Community
Project Funding of $3 million for the Interstate 15 Corridor Operations Project (I-15 COP). This $38 million
project is regionally significant, socially equitable, and will benefit the health and safety of our region’s
residents, businesses, and freight and goods movement.
The project proposes to add an auxiliary lane on southbound I-15 between Cajalco Road in Corona and Weirick
Road in Temescal Valley in Riverside County. The auxiliary lane is designed to relieve heavy traffic congestion
in this area, especially during peak afternoon commute times, by removing a bottleneck to accommodate
existing and future traffic volumes. The project will also be compatible with other RCTC planned I-15 corridor
improvements, such as the future I-15 Express Lanes Project Southern Extension, expected to be open as early
as 2028.
The I-15 COP will benefit our region by:
•Expanding Regional Mobility: The project with help reduce vehicle congestion that is prevalent during
peak afternoon commute hours.
•Increasing Safety: Adding an auxiliary lane will reduce weaving at the high use exits of Cajalco Road in
Corona and Weirick Road in Temescal Valley, reducing chances of vehicle collisions.
•Enhancing Economic Development: Traffic congestion relief is essential to the region’s economic
vitality, due to Interstate 15’s role in carrying commuters, freight, and regional tourists. Low-income
communities are concentrated both in the I-15/State Route-91 corridor of Corona to the north of the
project and in Lake Elsinore to the south of the project, and this improvement would improve access to
job centers and increase productivity.
ATTACHMENT 2
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The Honorable Ken Calvert
April 8, 2021
Page 2
• Improving Transit: This project will expand multimodal options by optimizing travel conditions on I-15
for riders of Riverside Transit Agency CommuterLink Express Routes 205/206 between Temecula and
Corona, as well as job centers beyond via Metrolink.
• Supporting All Communities: Relieving traffic congestion is also critical for this area, particularly
disadvantaged communities east of the I-15 and project area, which experience high levels of pollution
particulates, largely from idling vehicles on I-15.
This project is regionally significant. In the western United States, the I-15 corridor is the spine of a
transportation network extending more than 1,470 miles through California, Nevada, Arizona, Utah, Idaho, and
Montana. I-15 links coastal ports to inland population centers and connects with major east-west corridors that
serve the entire U.S. The I-15 corridor links the San Diego metropolitan area with the Riverside-San Bernardino
metropolitan area. Due to rapid population growth in recent years in the California Mojave Desert region, I-15
has become a heavily traveled commuter route between metropolitan Southern California and the Victor
Valley. It is also the primary access route between Southern California and Las Vegas with more than 25 million
people driving this corridor annually.
The I-15 COP merits Community Project Funding because of the immediate positive effect it will have on our
region’s residents, the economy, and the environment. I encourage you to give it full and fair consideration.
Please contact Executive Director Anne Mayer at (951) 787-7141 if you have any questions.
Sincerely,
Jan Harnik
Chair
265
April 8, 2021
The Honorable Raul Ruiz, M.D.
United States House of Representatives
U.S. Capitol
Washington, DC 20510
Subject: Support for the Riverside County Transportation Commission’s Community Project Funding
Request
Dear Congressman Ruiz:
On behalf of the Riverside County Transportation Commission (RCTC), I am pleased to request Community
Project Funding of $3 million for the Interstate 10/Highland Springs Avenue Interchange Improvement project.
This $25 million project, informed by preliminary studies conducted in partnership with Caltrans and the cities
of Banning and Beaumont, would reconfigure lanes to the I-10 underpass at Highland Springs Avenue and add
auxiliary lanes to the ramps to improve traffic flow and safety. This project is socially equitable and will have a
positive impact on the health and safety of the region’s residents, businesses, and freight and goods movement.
The I-10/Highland Springs Avenue Interchange serves as the main connection to large housing developments
and multiple retail, commercial, medical, and employment centers. With one of the highest peak traffic volumes
per hour and per month in Riverside County, it also is in proximity to State Route 60, a major trucking and
logistics route for Southern California and the nation.
The I-10/Highland Springs Avenue Interchange will benefit our region by:
•Enhancing Traffic Safety: Current queue lengths exceed capacity to and from I-10 at Highland Springs
Avenue. This creates impacted intersections, which prevents emergency vehicles from being able to
move efficiently within the cities of Banning and Beaumont.
•Spurring Economic Development: This project will stimulate economic development in a rapidly
developing area by reducing traffic congestion and improving motorist access to I-10, San Gorgonio
Memorial Hospital to the north, and retail and commercial businesses to the north and south of I-10, all
vital commerce and employment centers.
ATTACHMENT 3
266
The Honorable Raul Ruiz, M.D.
April 8, 2021
Page 2
• Supporting Underserved Communities: This project will particularly benefit low-income communities
living with household incomes at and below 80 percent of the state median, located east and south of
the interchange, providing equitable access to employment centers and medical services. The project
would additionally provide congestion relief to the interchanges to the east on I-10, which are situated
in an identified disadvantaged community with a CalEnviroScreen 3.0 percentile of 80-85 percent.
• Enhancing Multimodal Transit: The project will improve mobility and support multimodal transit by
providing a Class II bike lane within the project limits, which is also served by Riverside Transit Agency
Route 31, a link to San Jacinto and Moreno Valley, and SunLine 10 Commuter Link, which provides regular
service between Indio and the San Bernardino Transit Center and Metrolink Station.
• Improving Air Quality: The project will reduce idling and limit increases in air pollution as the area
population continues to grow.
The project will be funded with $22 million from the Western Riverside Council of Governments (WRCOG)
Transportation Uniform Mitigation Fee (TUMF) with the balance from the Community Funding Project.
The I-10/Highland Springs Avenue Interchange Improvement project merits this funding because of the
immediate positive effect it will have on our region’s residents, their environment, and the economy. I
encourage you to give it full and fair consideration.
Please contact Executive Director Anne Mayer at (951) 787-7141 if you have any questions.
Sincerely,
Jan Harnik
Chair
267
April 8, 2021
The Honorable Mark Takano
U. S. House of Representatives
United States Capitol
Washington, DC 20510
Subject: Support for the Riverside County Transportation Commission’s Community Project Funding
Request
Dear Congressman Takano:
On behalf of the Riverside County Transportation Commission (RCTC), I am pleased to request Community
Project Funding of $3 million for the Moreno Valley/March Field Station Improvement Project, in partnership
with the Southern California Regional Rail Authority (Metrolink). This station serves Metrolink’s 91/Perris
Valley Line and is the midpoint between the Perris-Downtown Station and the Riverside-Downtown Station.
This project is regionally significant and connects commuters to employment and education centers in Orange
and Los Angeles counties. Metrolink also provides service throughout a five-county region, providing access to
locations throughout southern California. The project will add a train platform and upgrade existing tracks that
will lead to service efficiencies, expand regional mobility options, and reduce reliance on passenger vehicles,
which generate more pollutants per traveler than passenger trains. This environmental health benefit is critical,
considering the 91/Perris Valley Line corridor in Riverside, Moreno Valley, and Perris are surrounded by
disadvantaged communities with pollution burden percentiles of over 90, per CalEnviroScreen 3.0.
The project will benefit the region by:
•Increasing Service Capacity: Adding a second train platform and lengthening the existing train platform
to accommodate the length of Metrolink’s standard eight-car trains. The project also will upgrade 2.7
miles of track that are part of a future nine-mile double-track corridor south of the station.
•Alleviating Traffic Congestion: Reducing traffic congestion on Interstate 215 by providing more public
transit options for Riverside County residents, including those in southwestern Riverside County, who
have some of the longest commutes in Southern California.
•Improving Air Quality: Reducing auto emissions by offering more options for train service, which
encourages more commuters to travel by train.
ATTACHMENT 4
268
The Honorable Mark Takano
April 8, 2021
Page 2
The Moreno Valley/March Field Station Improvement Project, with a total cost of $25 million, has already
received $16.9 million in Federal Transit Administration Section 5307 formal funds. If the project receives
Community Project Funding, RCTC would fully fund the remainder of the project with other federal and local
sources.
The Moreno Valley/March Field Station Improvements deserve Community Project Funding because of the
immediate positive effect it will have on our region’s residents, the economy, and the environment. I encourage
you to give it full and fair consideration.
Please contact Executive Director Anne Mayer at (951) 787-7141 if you have any questions.
Sincerely,
Jan Harnik
Chair
269
RIVERSIDE COUNTY TRANSPORTATION COMMISSION - POSITIONS ON STATE AND FEDERAL LEGISLATION – APRIL 2021
Legislation/ Author Description Bill Status Position Date of Board Adoption
AB 1499 (Daly) Removes the January 1, 2024 sunset date for Department of
Transportation and regional transportation agencies to use the design-
build procurement method for transportation projects in California.
Referred to Assembly
Appropriations Committee
April 5, 2021
SUPPORT April 14, 2021
SB 623 (Newman) Clarifies existing law to ensure toll operators statewide can improve
service to customers and enforce toll policies while increasing privacy
protections for the use of personally identifiable information (PII).
Referred to Senate
Judiciary Committee
April 13, 2021
SUPPORT
Staff action based on platform
April 5, 2021
ATTACHMENT 5
270
AGENDA ITEM 8E
Agenda Item 8E
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM: Budget and Implementation Committee
Jillian Guizado, Planning and Programming Director
THROUGH: Anne Mayer, Executive Director
SUBJECT: 2021 Mid-Cycle State Transportation Improvement Program Funding
Distribution and Programming
BUDGET AND IMPLEMENTATION COMMITTEE AND STAFF RECOMMENDATION:
This item is for the Commission to:
1) Approve the 2021 Mid-Cycle State Transportation Improvement Program (STIP) funding
distribution among the three geographic areas in Riverside County per the adopted STIP
Intracounty Memorandum of Understanding (MOU);
2) Approve programming $10,069,068 of 2021 Mid-Cycle STIP Western Riverside County,
Coachella Valley, and Palo Verde Valley funding capacity to the 71/91 Connector project,
and submit the 2021 Mid-Cycle STIP to the California Transportation Commission (CTC);
3) Include programming Planning, Programming, and Monitoring (PPM) funds (2 percent of
STIP programming capacity) in the amount of $205,491 in Fiscal Year 2022/23;
4) Approve swapping the Coachella Valley STIP share with Surface Transportation Block
Grant (STBG) funds in the amount of $2,159,815;
5) Approve Agreement No. 07-71-028-04, Amendment No. 4 to Agreement
No. 07-71-028-00, with the city of Blythe (Blythe) to trade $43,297 of Palo Verde Valley
STIP funds with Measure A Western Riverside County Highway funds to facilitate delivery
of local arterial projects; and
6) Authorize the Executive Director, pursuant to legal counsel review, to execute Agreement
No. 07-71-028-04 on behalf of the Commission upon CTC adoption of the 2021 Mid-Cycle
STIP.
BACKGROUND INFORMATION:
On December 27, 2020, the President signed the Coronavirus Response and Relief Supplemental
Appropriations Act (CRRSAA) stimulus bill. CRRSAA appropriated an additional $10 billion for
Highway Infrastructure Programs (HIP) nationwide, of which approximately $911.8 million was
apportioned to the state of California. These funds are available for obligation until
September 30, 2024 and have very flexible uses as specified in federal law section 133(b) of Title
23, U.S.C., as well as costs related to preventive maintenance, routine maintenance, operations,
271
Agenda Item 8E
personnel, including salaries of employees or contractors, debt service payments, availability
payments, and coverage for other revenue losses.
Traditionally, HIP funds are apportioned by the California Department of Transportation
(Caltrans) by formula, whereby Riverside County receives approximately 5.9 percent for its
population share. The CTC, typically responsible for the programming and allocation of state-
generated transportation funds, elected to oversee the distribution of the CRRSAA funds. In
coordination with Caltrans, the CTC set aside 60 percent of CRRSAA funds to backfill revenue
losses anticipated in the State Highway Operation and Protection Program, leaving the remaining
40 percent for distribution to regions throughout the state. The CTC held three workshops to
discuss how the 40 percent of regional funds should be distributed. Despite precedence and
clear written guidance from the Federal Highway Administration, the CTC opted for an
unprecedented distribution of federal formula funds: of the 40 percent available to regions,
50 percent will be distributed under the Surface Transportation Block Grant (STBG) program and
50 percent will be distributed under the STIP.
STBG is a federal formula program authorized in the current federal transportation authorization
law, Fixing America’s Surface Transportation (FAST) Act. Riverside County typically receives
5.9 percent or $31 million annually for its population share in STBG federal formula funds under
the FAST Act.
The STIP is a five-year program of projects administered by the CTC every two years. The next
STIP is anticipated to be adopted in March 2022. Every two years when there is a new STIP cycle,
the state allocates STIP funds to two broad programs – the Regional Improvement Program (RIP),
which receives 75 percent of the total STIP funds, and the Interregional Transportation
Improvement Program managed by Caltrans, which receives the remaining 25 percent. The
75 percent RIP funding is further subdivided by formula into county shares. The formula is
75 percent population and 25 percent state highway lane miles. County shares are available
solely for projects nominated by regional agencies.
Per the Commission’s STIP intracounty formula distribution most recently adopted at the
July 10, 2019 Commission meeting for the 2020 STIP, STIP funds are allocated to Western County,
Coachella Valley, and Palo Verde Valley based on the most recent fiscal year taxable sales by
geographic area used for Measure A allocations, as seen in Table 1.
Table 1. STIP intracounty formula
Geographic Area 2020 STIP
Western County 78.12%
Coachella Valley 21.45%
Palo Verde Valley 00.43%
272
Agenda Item 8E
DISCUSSION:
On March 24, 2021, the CTC approved the distribution of CRRSAA funds. With the adopted
distribution methodology, the Commission will receive $10,576,603 of STBG funds and
$10,274,559 of STIP funds for a combined total of $20,851,162 of CRRSAA funding.
Per the Commission’s STIP intracounty distribution formula, each geographic area receives STIP
funding based on the above percentages. In addition, STIP guidelines allow up to five percent of
RIP funding for PPM activities. However, the Commission’s policy is to set aside only two percent
for PPM activities to fund Project Study Reports, planning documents, and staff costs associated
with STIP funding and programming. PPM funding is available for Coachella Valley Association of
Governments (CVAG) and Commission activities.
As presented in Table 2, staff recommends approval of the 2021 Mid-Cycle STIP funding
distribution among the three geographic areas in Riverside County per the adopted STIP
Intracounty Memorandum of Understanding (MOU). Staff further recommends to include
programming PPM funds (2 percent of STIP programming capacity) in the amount of $205,491 in
Fiscal Year 2022/23. Due to the amount of STIP funding available to each geographic area being
relatively small, as seen in Table 2, staff recommends swapping the Coachella Valley STIP share
with STBG funds and the Palo Verde Valley STIP share with Measure A funds. Staff also
recommends the Commission authorize the Executive Director, pursuant to legal counsel review,
to execute an amendment to the agreement with the city of Blythe for the Palo Verde Valley STIP
trade upon CTC adoption of the 2021 Mid-Cycle STIP.
Table 2. STIP intracounty distribution
Geographic Area 2020 STIP 2021 Mid-Cycle STIP
STIP PPM 2% off-the-top $205,491
Western County 78.12% $7,865,956
Coachella Valley 21.45% $2,159,815
Palo Verde Valley 00.43% $43,297
If approved, this will result in the Commission having $10,069,068 of STIP funds to program in
Western County. Staff recommends the Commission approve programming these STIP funds on
the construction phase of the 71/91 Connector project and submitting the 2021 Mid-Cycle STIP
to the CTC. This project is already programmed in the 2020 STIP.
The Coachella Valley STIP share of $2,159,815 is proposed to be funded from the STBG funds the
Commission will receive from CRRSAA and will be available for programming by CVAG, as is the
standard practice for formula funds due to the Coachella Valley. Other than the federal
requirements associated with federal funding, STBG is the most flexible fund source available.
The remainder of the STBG funds, approximately $8,416,788, will be programmed on
Commission priority projects as quickly as possible to meet the intent of the funds providing a
stimulus to Riverside County.
273
Agenda Item 8E
FISCAL IMPACT:
Financial Information
In Fiscal Year Budget: Yes
N/A Year: FY 2021/22
FY 2022/23+ Amount: $248,788
$10,025,771
Source of Funds: CRRSAA/STIP funds Budget Adjustment: No
N/A
GL/Project
Accounting No.:
652040 415 41502 106 66 41501 $205,491 (PPM STIP revenues)
003021 415 41502 262 31 41501 $10,069,068 (71/91 Connector revenues)
623994 81301 262 31 81301 $43,297 (Blythe STIP trade expenditure)
Fiscal Procedures
Approved: Date: 04/14/2021
Approved by the Budget and Implementation Committee on April 26, 2021
In Favor: 11 Abstain: 0 No: 0
274
AGENDA ITEM 8F
Agenda Item 8F
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM: Western Riverside County Programs and Projects Committee
Jillian Guizado, Planning and Programming Director
THROUGH: Anne Mayer, Executive Director
SUBJECT:
Amendment No. 1 to Agreement No. 16-31-102-00 with County of Riverside
to Fund a Project Study Report for the Interstate 215/Ethanac Road
Interchange
WESTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS COMMITTEE AND STAFF
RECOMMENDATION:
This item is for the Commission to:
1) Approve Amendment No. 1 to Agreement No. 16-31-102-00 with the County of Riverside
(County) to utilize the remaining balance of $1,041,716 of 2009 Measure A Western
County New Corridors Program funds from the original agreement for the preparation of
a Project Study Report (PSR) for the Interstate 215/Ethanac Road Interchange, for which
the County will serve as lead agency; and
2) Authorize the Executive Director, pursuant to legal counsel review, to execute the
amendment on behalf of the Commission.
BACKGROUND INFORMATION:
At its November 2014 meeting, the Commission approved $2 million of 2009 Measure A Western
County New Corridors Program funds in response to a joint request from the County and cities
of Lake Elsinore, Menifee, and Perris (Cities). The request was for funding of an east-west
corridor study along SR-74/Ethanac Road to serve as a future direct route between Antelope
Road in Romoland and SR-74 in Meadowbrook and to study the establishment of a new
connection from SR-74 to Interstate 15 via Nichols Road (in its entirety, Ethanac Expressway).
The purpose of the study was to determine the feasibility of developing a corridor that would
eliminate the circuitous detours between I-15 and I-215, thereby providing an efficient east-west
route. The Project Study Report Equivalent (PSRE) was estimated to cost $3 million. The County
and the Cities committed a combined $1 million in addition to the Commission’s $2 million.
Agreement No. 16-31-102-00 was entered into on February 13, 2017 pursuant to the
Commission’s action.
275
Agenda Item 8F
DISCUSSION:
The County entered into an agreement with Michael Baker International on March 17, 2017 to
prepare the PSRE. On September 29, 2020, the County transmitted to the Commission the
completed PSRE for the Ethanac Expressway (Attachment 1). The PSRE consisted of five primary
study elements: community input, community plan consistency, traffic analysis, environmental
and engineering studies, and project scoping. The PSRE resulted in identification of nine study
segments (Attachment 2). Each study segment is envisioned to be evaluated as separate projects
and as funding becomes available. One of the nine study segments identified is the I-215/Ethanac
Road Interchange which was determined to be among the top priorities.
On March 4, 2021, the County sent a letter to the Commission indicating there were cumulative
cost savings on the PSRE work (Attachment 3). Given the 2:1 ratio of Commission to
County/Cities funding on the PSRE, approximately $1,041,716 of Commission-dedicated 2009
Measure A Western County New Corridors Program funds remain. The County requests this
remaining balance be applied toward advancing one of the nine study segments with the
preparation of a PSR for the I-215/Ethanac Road Interchange. The remaining balance of
County/Cities funding would also be applied by the County to perform this work. The County
indicated it has sufficient budget with Michael Baker International, the consultant that prepared
the PSRE, to advance the PSR for the I-215/Ethanac Road Interchange. As such, upon all
necessary approvals and execution of relevant agreements, the County anticipates work
beginning by July 1, 2021.
Staff supports the County’s request to apply the balance of funds dedicated to the Ethanac
Expressway to prepare a PSR for the I-215/Ethanac Road Interchange and recommends approval
of Amendment No. 1 to Agreement No. 16-31-102-00 (Attachment 4).
FISCAL IMPACT:
Reimbursements to the County for remaining work on the PSRE and work to be initiated on the
PSR have been budgeted in both Fiscal Years 2020/21 and 2021/22.
Financial Information
In Fiscal Year Budget: Yes
Yes Year: FY 2020/21
FY 2021/22 Amount: $0
$1,041,716
Source of Funds: 2009 Measure A Western County New
Corridors Program Funds Budget Adjustment: No
No
GL/Project Accounting No.: 615133 81101 00000 0000 261 31 81101
Fiscal Procedures Approved: Date: 04/12/2021
276
Agenda Item 8F
Attachments:
1) County PSRE transmittal letter dated September 29, 2020
2) Ethanac Expressway Nine Study Segments Map
3) County funding request letter dated March 4, 2021
4) Draft Amendment No. 16-31-102-01
Approved by the Western Riverside County Programs and Projects Committee on
April 26, 2021
In Favor: 11 Abstain: 0 No: 0
277
4080 Lemon Street, 8th Floor ꞏ Riverside, CA 92501 ꞏ (951) 955-6740
P.O. Box 1090 ꞏ Riverside, CA 92502-1090 ꞏ FAX (951) 955-3198
COUNTY OF RIVERSIDE
TRANSPORTATION AND
LAND MANAGEMENT AGENCY
Transportation Department
September 29, 2020
Riverside County Transportation Commission
Attn: Alexandra Rackerby
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
Re: Ethanac Expressway Planning Study Final Reports & Documents
Dear Ms. Rackerby:
Riverside County in cooperation with Riverside County Transportation Commission and the Cities of Lake
Elsinore, Menifee and Perris, conducted a planning study for a proposed new expressway with the intent
of recommending enhancements that will improve regional east‐west movement and connectivity
between Interstate 15 and Interstate 215 and improve access to/from the communities east of I‐215.
This study is complete and evaluated vehicular mobility, provided a future vision for the corridor, and
outlined a delivery approach. These items are summarized in Corridor Development Report – Executive
Summary and detailed in various studies. The studies are enclosed on a USB drive in this transmittal
package and described below:
Brochure – A visual summary of the corridor assessment is provided on a tri‐folded handout.
PowerPoint presentation – A presentation summary of the corridor assessment is provided in
PowerPoint format. The presentation incorporates feedback from local agencies, stakeholders
and County management.
Video flyover –The video is comprised of three parts: the first segment provides an overview of
the proposed corridor improvements, the middle segment provides a flyover view and
description (traveling from west to east), and the final segment describes the delivery approach.
Corridor Development Report – Executive Summary – The deliverable provides a brief (14
page) summary of the community input, community plan consistency, traffic analysis,
environmental and engineering studies, project scoping and delivery approach.
Corridor Development Report – The deliverable provides a detailed overview of the individual
studies performed during the study phase, including the Preliminary Environmental Analysis
Report, the Traffic Study, the Community Outreach Summary, and additional details related to
scoping the engineering for the proposed corridor enhancements on Nichols Road and Ethanac
Road.
Patricia Romo, P.E.
Director of Transportation
Mojahed Salama, P.E.
Deputy for Transportation/Capital Projects
Richard Lantis, P.L.S.
Deputy for Transportation/Planning and
Development
ATTACHMENT 1
278
September 29, 2020
Page 2 of 2
Preliminary Environmental Analysis Report ‐ A Preliminary Environmental Analysis Report was
prepared and documents the environmental studies and approvals that are anticipated to be
required during future phases of project development.
Traffic Study ‐ A comprehensive traffic study, titled Ethanac Expressway Traffic Operations
Report, was prepared for the entire Ethanac Expressway corridor. The focus of the traffic
analysis was to define an ultimate vision for the corridor, identify existing and future circulation
deficiencies and document the need for corridor improvements, and assist the County with the
phasing and sequencing for the entire corridor.
Community Outreach Summary ‐ An extensive community outreach program was conducted to
obtain input from the potential users of the facility, residents in the area, and state, regional,
and local stakeholders. The outreach effort is summaries in this deliverable.
The brochure, PowerPoint presentation, video flyover and Corridor Development Report – Executive
Summary will also be posted to the County’s website subsequent to this transmittal distribution:
https://rcprojects.org/ethanac‐expressway
Transmittal of these final reports and documents represents completion of the planning study effort.
The County appreciates the help and cooperation each of the cities provided in support of this effort. If
you have any comments or questions, you can contact me at cstaley@rivco.org or at (951) 955‐2092 at
your convenience.
Sincerely,
Scott Staley
Project Manager
enc. Corridor Development Report – Executive Summary (4 copies)
Project Brochures (200 copies)
USB Drive
cc. Remon Habib (City of Elsinore)
Brad Brophy (City of Perris),
Carlos Geronimo (City of Menifee),
Khalid Nasim (RCTD), Mojahed Salama (RCTD), Patricia Romo (RCTD),
Rebecca Young (Michael Baker Intl.)
279
LAKE ELSINORE
CANYON LAKE
MENIFEE
PERRIS
?±
%&h(
Existing at Ultimate Width
1
7
8
9
3
°
Source: Esri World Imagery, County of Riverside
Project Segments ETHANAC EXPRESSWAY
!"a$
NICHOLS ROAD
ETHANAC RD
0 1 2Miles
Note: The alignments shown are for study purposes only, not for construction.
Interchange Improvements(Potential Project by Others)
Interchange Improvements(Potential Project by Others)
COUNTY OF RIVERSIDE
Realignment & Widening(By Developer)
New Connection
5New Connection & ConstructGood Hope Crossing
2
Median Improvements & Widening(Projects by Others)4
Widen Ethanac(By Cities)
Extend Ethanac & ConstructSan Jacinto River Crossing (By Developer)6 Future Widening and Grade Separation(Project By Others)
3
ATTACHMENT 2
280
ATTACHMENT 3
281
282
Agreement No. 16-31-102-01
1
AMENDMENT NO. 1 TO AGREEMENT
BETWEEN
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND COUNTY OF RIVERSIDE
FOR THE FUNDING OF MEASURE A WESTERN COUNTY NEW CORRIDORS
ETHANAC ROAD/SR-74/NICHOLS ROAD CORRIDOR PROJECT IMPROVEMENT
STUDY AND TO INCLUDE PROJECT STUDY REPORT OF I-215/ETHANAC ROAD
INTERCHANGE
1.Parties and Date.
This Amendment No. 1 to the Agreement is made and entered into this ____ day of ______________, 2021, by and between the Riverside County Transportation Commission (RCTC) and County of Riverside (County).
2.Recitals.
2.1 RCTC and the County have entered into an agreement entitled “Agreement with the County of Riverside for the Funding of Measure A Western County New Corridors Improvement Study of the Ethanac Road/SR-74/Nichols Road Corridor Project” dated February 13, 2017 (Master Agreement).
2.2 The Master Agreement established the County as the lead agency for the preparation of the Project Study Report (PSR) equivalent for the Ethanac Road/State Route 74 (SR-74)/Nichols Road Corridor (Corridor) to be funded with $2,000,000 in Measure A New Corridors Funds allocated by RCTC.
2.3 The County completed the PSR equivalent for the Corridor in September 2020, utilizing approximately $958,284 of the Measure A New Corridors Funds allocated by RCTC.
2.4 In a letter dated March 4, 2021, the County requested RCTC reallocate the remaining $1,041,716 from the Corridor PSR equivalent to prepare a new PSR for the Interstate 215 (I-215) / Ethanac Road interchange, which is one of the top priority phases identified in the Corridor PSR equivalent, for which the County will be the lead agency.
2.5 The Parties now desire, pursuant to this Amendment No. 1, to memorialize the funding reallocation to prepare a PSR on the I-215/Ethanac Road interchange, and to include the PSR work under the Master Agreement. The scope of work, funding, and timetable for the PSR on the I-215/Ethanac Road interchange is set forth in Exhibit “A” of this Amendment No. 1.
3.Terms.
ATTACHMENT 4
283
Agreement No. 16-31-102-01
2
3.1 Capitalized terms used in the Master Agreement and not otherwise defined in this Amendment No. 1 shall have the meanings as set forth in the Master Agreement.
3.2 Section 3.2, RCTC Funding Amount, of the Master Agreement shall be amended to include the following:
RCTC and the County will reallocate the funds remaining from the project study report equivalent phase (approximately $1,041,716) to the PSR for the I-215/Ethanac Road interchange.
3.3 Sections 3.2.4, Cost Savings, 3.3, County’s Funding Obligation to Complete the Work, 3.4 Work Responsibilities of the County, and 3.5 Term/Notice of Completion of the Master Agreement shall be amended to provide that the obligations set forth in these provisions apply to the PSR work to the same extent as the same apply to the project study report equivalent.
3.4 Section 3.24, Notification, of the Master Agreement shall be amended as follows:
County of Riverside RCTC Transportation Department Riverside County Transportation Commission 4080 Lemon St., 8th Floor 4080 Lemon St., 3rd Floor Riverside, CA 92501 Mailing address: P.O. Box 12008 Riverside, CA 92502-2208 ATTN: Director of Transportation ATTN: Executive Director
3.5 This Amendment No. 1 is in all respects governed by California law and venue for any dispute shall be in Riverside County.
3.6 The recitals set forth above are true and correct and are incorporated by reference into this Amendment No. 1 as though fully set forth herein.
3.7 Except as amended by this Amendment No. 1, all provisions of the Master Agreement, including without limitation the indemnity provisions, shall remain in full force and effect and shall govern the actions of the Parties under this Am endment No. 1.
3.8 This Amendment No. 1 may be signed in counterparts, each of which shall constitute an original.
3.9 A manually signed copy of this Amendment No. 1 which is transmitted by facsimile, email or other means of electronic transmission shall be deemed to have the same legal effect as delivery of an original executed copy of this Amendment No. 1 for all purposes. This Amendment No. 1 may be signed using an electronic signature.
[Signatures on following page]
284
Agreement No. 16-31-102-01
3
SIGNATURE PAGE
TO AMENDMENT NO. 1 TO
AGREEMENT BETWEEN
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND COUNTY OF RIVERSIDE
FOR THE FUNDING OF MEASURE A WESTERN COUNTY NEW CORRIDORS
ETHANAC ROAD/SR-74/NICHOLS ROAD CORRIDOR PROJECT IMPROVEMENT
STUDY AND TO INCLUDE PROJECT STUDY REPORT OF I-215/ETHANAC ROAD
INTERCHANGE
IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 1 as of the date first set forth above.
RIVERSIDE COUNTY
TRANSPORTATION COMMISSION
By: _________________________ Anne Mayer, Executive Director
COUNTY OF RIVERSIDE By: __________________________ Mark Lancaster, Director of Transportation
APPROVED AS TO FORM:
By: _________________________ Best Best & Krieger LLP Counsel to the Riverside County Transportation Commission
APPROVED AS TO FORM: By: __________________________
Title: ________________________
ATTEST: By: __________________________
Title: ________________________
285
Agreement No. 16-31-102-01
4
EXHIBIT “A” SCOPE OF WORK, FUNDING AND TIMETABLE
SCOPE OF WORK: Prepare the Project Study Report (PSR) project initiation documents for the Ethanac Rd / 1-215 Interchange. The project initiation documents are a nece ssary step to evaluate and prepare the project for the next preliminary engineering and environmental phase (PA&ED).
FUNDING: PHASE New Corridors Fund LOCAL STATE/FEDERAL TOTAL
PSR/PDS $1,041,716 $0 $0 $1,041,716
TIMETABLE:
Phase Start Date End Date Comments
PSR/PDS 07/01/2021 6/30/2023 See below
Comments:
• Consultant expected to be under contract in July 2021.
• Time to produce PSR has been assumed at about 18 months. The PSR requires Caltrans approval which is estimated conservatively to add 6 months to the completion schedule.
286
AGENDA ITEM 8G
Agenda Item 8G
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM: Western Riverside County Programs and Projects Committee
David Thomas, Interim Toll Program Director
THROUGH: Anne Mayer, Executive Director
SUBJECT: Interstate 15 Express Lanes Project Design-Build Contract Final Acceptance
WESTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS COMMITTEE AND STAFF
RECOMMENDATION:
This item is for the Commission to approve Final Acceptance for the Interstate 15 Express Lanes
Project (I-15 ELP or Project) Design-Build Contract, Agreement No. 16-31-057-00, with Skanska-
Ames, a Joint Venture, subject to the Executive Director’s verification that all contract
requirements for Final Acceptance have been met.
BACKGROUND INFORMATION:
The I-15 ELP is part of the Commission’s 2009 Measure A Western Riverside County Highway
10-Year Delivery Plan. The project, when opened, results in one to two tolled express lanes in
each direction between the I-15/Cajalco Road interchange in Corona and the I-15/State Route 60
Figure 1: I-15 Express Lanes Project Vicinity Map
287
Agenda Item 8G
interchange just south of the Riverside/San Bernardino County line – approximately 15 miles
(Figure 1 Vicinity Map).
On April 12, 2017, the Commission awarded Agreement No. 16-31-057-00 to Skanska-Ames, a
Joint Venture, for the design and construction of the I-15 ELP.
This Design-Build Contract has three distinct completion milestones of which two have been met:
1. Substantial Completion – 15 Express Lanes turned over to the Toll Service Provider on
August 17, 2020.
2. Project Completion – Construction activities complete except for deferred punch list
work. This completion milestone occurred on January 15, 2021.
The third completion milestone, Final Acceptance, is nearing completion and requires the
Commission’s formal acceptance after the following has occurred:
1. All requirements for the Project Completion milestone shall have been fully satisfied;
2. The Commission shall have received all design documents, original working drawings,
shop drawings, final as-built documents, right-of-way record maps, surveys, test data and
other deliverables required under the Contract Documents;
3. The Design-Builder shall have submitted and received Commission approval for all
contract-required Design-Build Final Acceptance Submittals;
4. All special tools, equipment, furnishings, and supplies purchased and/or used by the
Design-Builder as provided in the Contract Documents shall have been delivered to the
Commission and all replacement spare parts shall have been purchased and delivered to
the Commission free and clear of liens; and
5. The items on the Final Acceptance punch list shall have been completed to the satisfaction
of the Commission and Caltrans, and all the Design-Builder’s other obligations under the
Contract Documents shall have been satisfied in full or waived in writing by Commission.
Additionally, Caltrans shall accept the work and issue relief of maintenance within its
jurisdictional boundaries of the Project. Caltrans shall also perform a final review and accept the
Project including all permitting and environmental commitments and other requirements. The
two remaining work items are warranty work to correct defective items for a period of two years
and plant establishment and habitat restoration, which is a contract requirement for three years
after Final Acceptance. All the above contract Final Acceptance requirements have either been
met or are imminent. Staff recommends approval of Final Acceptance of the Design-Build
Contract subject to the Executive Director’s verification that all contract requirements for Final
Acceptance have been met.
FISCAL IMPACT:
There is no fiscal impact to approval of Final Acceptance of the Design-Build Contract.
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Agenda Item 8G
Approved by the Western Riverside County Programs and Projects Committee on
April 26, 2021
In Favor: 11 Abstain: 0 No: 0
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AGENDA ITEM 8H
Agenda Item 8H
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM:
Interstate 15 Ad Hoc Committee
Marlin Feenstra, Project Delivery Director
David Lewis, Capital Project Manager
THROUGH: Anne Mayer, Executive Director
SUBJECT: Smart Freeways Pilot Project
INTERSTATE 15 AD HOC COMMITTEE AND STAFF RECOMMENDATION:
This item is for the Commission to:
1) Approve Agreement No. 21-31-063-00 with WSP USA Inc, (WSP) to provide professional
services for preliminary engineering/environmental document, final design, construction
support, and operations support services for Smart Freeway improvements on Interstate
15 (I-15) project (Project), from the San Diego county line to Winchester Road in
the city of Temecula in an amount of $3,866,809, plus a contingency amount of $133,191,
for a total amount not to exceed of $4,000,000;
2) Approve Agreement No. 21-31-059-00 with Caltrans to obtain a State Highway Operation
and Protection Program (SHOPP) Minor Funds contribution for a total amount not to
exceed of $1,200,000;
3) Authorize the Chair or Executive Director, pursuant to legal counsel review, to execute
the agreements on behalf of the Commission; and
4) Authorize the Executive Director, or designee, to approve contingency work as may be
required for the Project.
BACKGROUND INFORMATION:
At the Annual Commission Workshop held on January 31, 2020, Darren Henderson of WSP
presented information about technology-based traffic management strategies, referred to as
“Smart Freeways.” Since that presentation, WSP has completed its feasibility study for a pilot
project along I-15 from the San Diego county line to Winchester Road. The proposed Project
controls traffic using a product called STREAMS, developed by an Australian company called
Transmax.
At its September 28, 2020 meeting, the Interstate 15 Corridor Ad Hoc Committee received an
update, outlining next steps for the pilot project. Since that time, staff has been working with
Caltrans, refining the scope of the Project and gaining broad support for the Project both at the
District 8 and Headquarters level. As a result of this effort, Caltrans is contributing $1.2 million of
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SHOPP funding toward the Project. Meetings were also held with the city of Temecula staff which
supports the Project. A sole source contract was also negotiated with WSP to provide
environmental, preliminary and final design, construction support, and pilot period support for
the Project.
Project Scope
The scope of the Project is to add active traffic management strategies to the northbound
direction of I-15 from the San Diego county line to Winchester Road. This will include the
following elements:
• Improvements to the northbound entrance ramps at Temecula Parkway and Rancho
California Road, including pavement widening, barriers, and miscellaneous improvements
(civil improvements);
• Installation of an Intelligent Transportation System, which includes enhanced traffic
detection devices and coordinated adaptive ramp meters at northbound Temecula
Parkway, Rancho California Road, and Winchester Parkway (ITS improvements); and
• Implementation of the STREAMS software platform provided by Transmax to monitor and
operate the active traffic management system.
The pilot Project will construct the improvements and operate the system for two years. Regular
monitoring reports will be prepared during the operations phase and presented to the
Commission and Caltrans, comparing the performance of the system to established criteria.
Criteria may include travel time savings, average speeds, accident rates, ramp meter queue
length and duration, and calculated emissions reduction. Prior to the end of the pilot period, the
Commission, in partnership with Caltrans, will determine whether to continue operating the
system after the pilot period.
The project is being closely coordinated with the City of Temecula’s auxiliary lane project and the
French Valley Parkway project. Staff has been working with City staff and Caltrans to see if ramp
metering can be added to that project to provide for future functionality, without incurring any
delay to the project schedule whatsoever.
Proposed Delivery Approach
The Commission will be required to enter into multiple agreements for this Project. The table
below lists the anticipated contracts, the estimated amounts, and when the agreement will be
needed:
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Agenda Item 8H
Party Scope Amount When
WSP Preliminary engineering,
environmental, final design,
construction support, and operations
support
$4.0 million May 12, 2021 –
Commission meeting
Caltrans Financial contribution to the Project (1.2 million) May 12, 2021 –
Commission meeting
Caltrans Operations and maintenance No cost Prior to construction
Transmax Software license, configuration and
support
2.95 million Prior to construction
Contractor Civil improvements 3.44 million Prior to construction
Contractor ITS improvements 5.25 million Prior to construction
Consultant Construction management 1.63 million Prior to construction
Total Net Cost After Caltrans Contribution: $16.07 million
The total in the table above represents the estimated total cost of the major portions of the pilot
Project and does not include internal costs such as staff, legal, and Bechtel project management,
and other smaller contracts such as Construction Zone Enhanced Enforcement Program (COZEEP)
or construction freeway service patrol.
Staff will be negotiating the operations and maintenance agreement with Caltrans and the license
and support agreement with Transmax and will return to the Commission for approval of those
agreements prior to construction. The construction management contract will use the
qualifications-based procurement process. The two construction contracts for civil and ITS
improvements will be awarded by the Commission based on the standard low-bid process.
It is anticipated to fund all contract costs for the Project with CMAQ funds, using toll credits to
reduce the match to zero. Sufficient funding for the WSP contract has already been programmed,
and the remaining amount needed will be brought to the Commission for approval prior to
construction. Internal costs will be paid for by 2009 Measure A Western County New Corridor
funds.
When states spend their toll revenue on projects for building, improving, or maintaining
highways, bridges, or tunnels that serve interstate commerce and would otherwise require
federal-aid support, they earn toll credits. States and regional transportation planning agencies
can use these toll credits to reduce the match required when using Federal funds.
WSP Agreement
The Smart Freeway project will use an innovative technology that has not been tried before in
California (in fact there is only one installation in the US, in Colorado; this 6-month demonstration
project is scheduled to become operational sometime next month), and therefore the familiarity
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and expertise necessary to deliver this product is limited to WSP. Therefore, a sole-source multi-
phase contract is necessary. Staff has already secured Caltrans’ approval of a Public Interest
Finding (PIF) allowing federal funds to be used for this sole source contract.
Staff has developed and recommends approval of a master contract with a scope of work for all
phases of the Project, for a total of $3,866,809 plus a contingency of $133,191 for a total amount
of $4 million. However, staff will authorize task orders for only the preliminary engineering,
environmental, and final design phases for a total of $2,567,953. The remainder of the contract
work for construction support and operations support services will be authorized only after the
Commission approves the other contracts required for the construction phase (Caltrans and
Transmax). The funding for the WSP contract will be federal Congestion Mitigation and Air
Quality (CMAQ) funds.
Caltrans Contribution Agreement
Since Caltrans is the owner and operator of the State Highway System, the Project requires a
close partnership between the Commission and Caltrans. Staff has made several presentations
to Caltrans Headquarters and Caltrans District 8 staff. Staff also obtained a letter of support from
Headquarters’ Traffic Operations branch (see attachment 1).
Caltrans has recognized the Project’s innovative approach and has committed to the Project by
contributing $1.2 million in SHOPP Minor Funds. Staff recommends approval of the contribution
agreement which will support the construction phase of the Project.
FISCAL IMPACT:
Financial Information
In Fiscal Year Budget:
Yes
Yes
N/A
Year:
FY 2020/21
FY 2021 /22
FY 2022/23+
Amount:
$100,000
$2,900,000
$1,000,000
Source of Funds: CMAQ, toll credits Budget Adjustment:
No
No
N/A
GLA/Project Accounting No.:
003051 81101 00000 0000 261 31 81101
003051 81102 00000 0000 261 31 81101
003051 81115 00000 0000 261 31 81115
Fiscal Procedures Approved: Date: 04/16/2021
Attachments:
1) Support Letter from Caltrans
2) WSP Scope of Work
3) WSP Draft Agreement No. 21-31-063-00
4) Caltrans Cooperative Agreement No. 21-31-059-00
293
State of California California State Transportation Agency
DEPARTMENT OF TRANSPORTATION
“Provide a safe, sustainable, integrated and efficient transportation system to enhance California’s economy and livability”
Memorandum Making Conservation
a California Way of Life
To:CATALINO A. PINING III Date: November 23, 2020
Deputy District Director, Traffic Operations
District 8 File: 08-1L900
CMLN 6054(094)
From: JASVINDERJIT S. BHULLAR
Chief
Division of Traffic Operations
Subject: I-15 SMART FREEWAY PILOT PROJECT
The Headquarters (HQ) Division of Traffic Operations has been working closely with
staff from District 8 Traffic Operations, Riverside County Transportation Commission
and Transmax Ltd., on the demonstration of the STREAMS active traffic
management software on the I-15 Smart Freeway pilot project. The STREAMS
software will be a key element to improving traffic flow in the corridor, providing
improved traveler information, and manage traffic speeds on the travel lanes,
without increasing capacity.
Based on a review of the deployments in other states and internationally, the
STREAMS software shows great promise in providing the next generation of freeway
management systems utilizing city-wide adaptive and coordinated ramp metering.
The operations and maintenance agreement for the demonstration is being
developed with input from all participants and will establish performance metrics
and provide for on-going monitoring and evaluation of the pilot project. The
deployment of the STREAMS software is a bold and innovative initiative which we
strongly support and will provide any all assistance needed to the District 8 Traffic
Operations team to successfully pilot this project.
Please continue to work with our HQ team moving forward. If you have questions,
contact Said Ismail, Deputy Division Chief, System Management at (916) 708-5214 or
by email at <said.ismail@dot.ca.gov>.
c: Said Ismail, Deputy Division Chief, System Management, Division of Traffic
Operations
Zhongren Wang, Chief, Office of Mobility Programs, Division of Traffic Operations
Kevin Riley, Chief, Office of Technology & Innovation, Division of Traffic
Operations
ATTACHMENT 1
294
Prepared for :
Prepared by:
In partnership with
March 31, 2021
I-15 SMART FREEWAYS PILOT
PROJECT
Turn-key Delivery Scope of Services
ATTACHMENT 2
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Scope of Services
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Table of Contents
1. Background ............................................................................................................................ 1
1.1 Project Development Process ......................................................................................... 2
2. Stakeholder Engagement and Public Outreach ...................................................................... 3
3. Project Approval phase .......................................................................................................... 4
3.1 Design Engineering Evaluation Report ............................................................................ 4
3.1.1 Preliminary Plans and Cost Estimate ....................................................................... 5
3.1.2 Initial Site Assessment ............................................................................................. 5
3.1.3 Storm Water Data ................................................................................................... 6
3.1.4 Design Standard Decision Document ...................................................................... 6
3.1.5 TMP Data Sheet ....................................................................................................... 6
3.1.6 Traffic Impact Report ............................................................................................... 7
3.1.7 Utility Coordination ................................................................................................. 7
3.1.8 Right of Way Data Sheet (to be provided by others) ............................................... 7
3.1.9 Environmental Approval Document ........................................................................ 8
3.1.10 Environmental Technical Studies ............................................................................. 8
3.1.11 Project Approval Exclusions ................................................................................... 10
3.2 Photogrammetric Mapping and Surveying ................................................................... 10
3.3 Systems Engineering ..................................................................................................... 10
3.3.1 Concept of Operations .......................................................................................... 11
3.3.2 Systems Engineering Management Plan ................................................................ 11
4. Plans, Specifications and Estimates (PS&E) Phase ............................................................... 11
4.1 Technical Specifications, including Testing and Integration Plan and Performance
Requirements ............................................................................................................ 12
4.2 Cost Estimates .............................................................................................................. 13
4.3 Final PS&E Package ....................................................................................................... 13
4.4 Additional PS&E tasks ................................................................................................... 14
4.5 Requirements Traceability Matrix ................................................................................ 15
4.6 PS&E Exclusions ............................................................................................................ 15
5. Design Support During Construction .................................................................................... 17
5.1 Pre-Bid Assistance ........................................................................................................ 17
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5.2 Post-Design Services ..................................................................................................... 17
6. Systems Integration ............................................................................................................. 18
6.1 Software Refinement .................................................................................................... 18
6.2 STREAMS® Configuration and Testing .......................................................................... 18
6.3 Data Collection ............................................................................................................. 18
7. Operations Support ............................................................................................................. 20
8. Performance Monitoring ..................................................................................................... 21
8.1 Ongoing Performance Monitoring ................................................................................ 21
8.2 Initial Performance Assessment Report ........................................................................ 21
8.3 Annual Performance Reports ........................................................................................ 21
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1. BACKGROUND
The Riverside County Transportation Commission (RCTC) intends to engage WSP USA (WSP) to complete
the California Department of Transportation (Caltrans) project development process for the
implementation of a two-year pilot of a Smart Freeway solution on Interstate 15 (I-15) northbound from
the San Diego County line to the I-15/I-215 junction in Temecula, California. The I-15 Smart Freeways
Pilot Project will demonstrate the effectiveness of the Smart Freeways (also known as managed
freeways) concept to control traffic flows and alleviate recurrent chronic congestion.
The pilot project will feature the installation of a coordinated adaptive ramp metering (CARM) system
and associated ramp modifications at the three northbound interchanges in the project area:
• Temecula Parkway Interchange
• Rancho California Road Interchange
• Winchester Road Interchange
The pilot project will also feature the installation of various Intelligent Transportation Systems (ITS)
infrastructure to support the CARM system and address traffic flow disruptions. These ITS infrastructure
installations include additional vehicle detection devices to enhance data accuracy and coverage, as well
as Variable Speed Limit signs to address excessive speeds on the downhill grade from the San Diego
County line to Temecula Parkway. The design and operation of the pilot smart freeways project will be
coordinated with the future French Valley Parkway Phase II project that is also being designed and is
anticipated to be constructed within the northerly limits of the smart freeways study area.
The managed freeways concept relies on advanced, highly precise ITS to monitor traffic flows and
control freeway access on a continuous basis. It uses CARM and other harmonious demand
management tools to ensure traffic on the freeway achieves optimum flow without breaking down into
a congested state.
Developed and deployed successfully in Australia by the Victoria Department of Transportation
(VicDOT), the managed freeways strategy operates a range of ITS installations as a comprehensive,
coordinated network to manage traffic flows on a proactive basis. The technology utilizes a
comprehensive advanced traffic management system running a suite of algorithms to balance the
demand for freeway access from ramps throughout the entire corridor on a dynamic, real-time basis.
This approach enables the system to manage and optimize traffic flows, distinguishing the managed
freeways concept from other adaptive ramp metering and integrated corridor management strategies.
RCTC proposes to sole source various project elements under a master contract (“WSP Project
Implementation Contract”) in order to develop, design, implement, operate and evaluate the Smart
Freeway pilot project. The pilot project is intended to utilize the STREAMS® traffic management system,
which is a proprietary traffic management system platform developed and owned by Transmax. RCTC
proposes to separately sole source STREAMS® implementation, hosting, subscription and support
(“Transmax STREAMS Integration Contract”). STREAMS® has been deployed for over 10 years on
managed freeways projects in Australia and is unique in being the only proven traffic management
systems platform to enable effective control of freeway traffic flows to avoid the onset of flow
breakdown and associated traffic congestion. RCTC has submitted a Public Interest Finding to Caltrans
to justify the proposed sole source award.
The WSP Project Implementation Contract will include environmental clearance, preparation of a
project approval document, design of civil improvements and ITS elements, design support during pre-
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bid and construction, and performance monitoring and reporting for a minimum two-year
demonstration period, as described in more detail in this scope of services. The Transmax STREAMS®
Integration Contract will include the provision of STREAMS® hardware and software, system integration
work to be completed by Transmax, in-person and/or remote setup and operation of the STREAMS®
traffic management system, system hosting, licensing and ongoing support for the two year
demonstration period. The scope of work for the Transmax STREAMS® Integration Contract is
described in Sections 2.2 through 2.9 of the Riverside County Transportation Commission (RCTC) -
Budgetary Proposal prepared and submitted by Transmax dated December 2020
1.1 PROJECT DEVELOPMENT PROCESS
Given that the demonstration on the managed freeways concept on I-15 meets Caltrans’ criteria for a
non-complex project, it is anticipated that approval for the demonstration will be gained by completing
a Design Engineering Evaluation Report (DEER). This is a streamlined, short-form project document that
is used in lieu of a standard project approval document. In order to complete the DEER, a Design
Standard Decision Document (DSDD) and Pilot Project Decision Document (PPDD) will also need to be
signed and approved, and the project will also need environmental clearance. While it is anticipated
that the Plans, Specifications and Estimates (PS&E) Phase will be initiated during the preparation of the
DEER, once the DEER is approved, the project will have necessary Caltrans approvals to complete PS&E.
In the apparent absence of the need for acquiring additional right-of-way outside the existing I-15
freeway right-of-way limits, it is anticipated the project will gain environmental clearance through a
California Environmental Quality Act (CEQA) Categorical Exemption / National Environmental Policy Act
(NEPA) Categorical Exclusion (CE/CE) determination. This will necessitate the preparation of an Initial
Site Assessment, together with a variety of technical studies and checklists identified in section 3.1.5 of
this Scope of Services.
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2. STAKEHOLDER ENGAGEMENT AND PUBLIC OUTREACH
The WSP team will assist RCTC to implement a stakeholder engagement process throughout the
duration of the project to coordinate and inform key partners on the technical aspects of the smart
freeways concept, and to achieve necessary concurrence and approvals at critical milestones. A major
focus of the stakeholder engagement process will be the establishment of a Project Advisory Team (PAT)
with monthly meetings to be held during the accomplishment of the project approvals tasks, bimonthly
meetings during the design phase, and quarterly meetings during the construction, systems integration
and pilot operations phases.
In addition, the WSP team will support RCTC’s public outreach efforts to help drivers understand how
the system works, build support, and respond to questions. Public outreach activities would begin
approximately 60 days prior to construction and continue through construction and the three-year pilot
period. Suggested public outreach activities include, but are not limited to, the following.
• Implement Public Outreach Plan with measurable objectives
• Develop and use approved “key messages” and adjust messaging as needed
• Lead branding exercise for project name
• Develop and maintain contact database
• Monitor construction activities and prepare/distribute electronic Construction Updates
• Develop social media posts; monitor and draft responses to questions and comments
• Develop educational videos, distribute, and monitor views
• Provide content for RCTC project website and update as needed
• Monitor project email account and respond to inquiries
• Maintain inquiry/response log
• Coordinate presentations to city councils and other key stakeholder groups
• Organize virtual open houses to introduce project
• Provide photography and videography for use in public materials
• Explore use of geofencing/digital advertising for Temecula/Murrieta corridor, prepare graphics,
coordinate placement
• Research use of billboards and electronic signage; prepare graphics and coordinate placement
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3. PROJECT APPROVAL PHASE
The WSP team will assist RCTC in gaining the necessary approvals for the I-15 Smart Freeways Pilot
Project. This will include completing a DEER, with all appendices required by Caltrans, as well as a DSDD
and PPDD. Environmental approval will be obtained through a CE/CE and will require an Initial Site
Assessment, storm water data report, and further associated technical studies. Upon completion of
these milestones, RCTC will receive approval from Caltrans to allow the Plans, Specifications and
Estimates (PS&E) Phase to continue to completion.
In order to expedite the implementation of the project, the WSP team will undertake other project
development activities concurrently with the DEER. These include completing a high-level 30 percent
design for the project, and beginning the systems engineering process with the preparation of a Concept
of Operations (ConOps) report and a Systems Engineering Management Plan (SEMP). The PS&E Phase
will also be initiated during the preparation of the DEER to help accelerate the overall project delivery
schedule.
3.1 DESIGN ENGINEERING EVALUATION REPORT
RCTC has already prepared an Interim DEER application for Caltrans review. The application follows the
same general format as the standard DEER template and is a 10-page, high-level document that includes
the following sections:
• A description of the I-15 Smart Freeways Pilot Project
• Background information on the managed freeways concept
• Purpose and Need for the demonstration
• Right-of-way impact analysis
• Traffic analysis
• Maintenance and operations impact analysis including a description of the STREAMS®
coordinated, adaptive ramp metering control software
• Structures information
The WSP team will assist RCTC to expand the content of the Interim DEER application into the DEER
document. As an initial focus of this phase, WSP staff will prepare a Design Standard Risk Assessment
Matrix as the basis for preparing the Design Standard Decision Document (DSDD). The WSP team will
also prepare a Pilot Project Decision Document to facilitate discussions with Caltrans staff to achieve an
initial indication of concurrence on the overall implementation strategy and design concept. The focus
of WSP’s work in the Project Approval Phase will be the subsequent preparation of the various
attachments that must accompany the DEER. The required attachments include:
• Vicinity and Location Map (completed)
• Plan Set
• Initial Site Assessment, with required appendices
• Storm Water Data Report
• Environmental Document (anticipated to be a CE/CE)
Other attachments that may be required as needed include:
• Pilot Project Decision Document
• Design Standards Risk Assessment Matrix
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• Design Standard Decision Document
• Traffic Management Plan (TMP) Data Sheet
• Traffic Impact Report
• Cost Estimate
• Air Quality Study
• Natural Environmental Study (Minimal Impact) (NESMI)
3.1.1 Preliminary Plans and Cost Estimate
The consultant will prepare design plans to be included as an appendix to the DEER. The design plans
will be based on field review data and input from the RCTC’s existing conceptual plans agreed upon in
concept by Caltrans. It is assumed that any relevant as-built plans, topographic mapping, digital terrain
model, or detailed survey will be provided by RCTC from recent projects or new survey. The centerline
and aerial imagery will be available prior to start of developing plan sheets. The new survey data will be
made available shortly thereafter to avoid any duplication of design development. The consultant will
collect additional as-built plans as needed to complete the preliminary and final design plans. The
consultant will perform a detailed QC review of all submittal documents and will submit the following
documentation to RCTC:
• Concept Development. Concept level design for sites noted above will be developed prior to the
Scoping meeting so that potential design issues can be discussed and resolved.
• Preliminary Design (35%) Plan Sheets. Plan sheets (100 scale when printed at 11”x17”) will be
created for the corridor. All designs will be overlaid onto aerial imagery until topographic
mapping is available. RCTC will provide and facilitate the acquisition of as-built plans or design
survey as available from recent projects. Plans will show the locations of proposed detectors,
cabinets, ramp meters, power supply and fiber communications tie-ins to existing pull boxes.
Plan sheets will be developed at a scale that will be usable for the PS&E task.
• Preliminary Cost Estimate. A preliminary cost estimate will be developed for the project and
included as an attachment to the DEER.
• Design Exceptions. Anticipated design exceptions will be documented in a Design Standards Risk
Assessment Matrix for preliminary discussion, prior to the completion of the Design Standard
Decision Document.
Deliverables for this task include:
• Preliminary Plans and Cost Estimate
3.1.2 Initial Site Assessment
To facilitate the environmental review process, the WSP team will complete an Initial Site Assessment
(ISA). The ISA will identify potential or known hazardous materials, hazardous waste, and contamination
in the project area, together with the party(ies) responsible, or potentially responsible, for hazardous
waste and contamination. The ISA will be based on a records search, field visit, and historical research
on past project area land uses to identify potential sources of contamination. Given that the I-15 Smart
Freeway demonstration will take place entirely within the existing Caltrans right-of-way, the field visit
will be conducted as a non-invasive windshield survey, given that the site is uniform and relatively
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featureless. The ISA will conclude with a recommendation on whether a Preliminary Site Investigation is
warranted. The ISA will be included as an attachment to the DEER, as well as the Environmental
Approval Document.
3.1.3 Storm Water Data
Although the project will be constructed completely within existing right-of-way, it is anticipated that
additional impervious surfaces will include ramp widening requiring the need to evaluate implications
on storm water accumulation. The WSP team will prepare a Storm Water Data Report to quantify the
additional impervious area and the associated changes in storm water Best Management Practices
(BMPs).
3.1.4 Design Standard Decision Document
If required by Caltrans, the WSP team will prepare a Design Standard Decision Document (DSDD) that
documents the need for utilizing non-standard features in the design of the I-15 Smart Freeway
Demonstration. The document will follow the standard Caltrans format and provide an overview of the
project, together with high-level information on the existing highway, safety improvements and the
project cost.
The DSDD will then provide and inventory of all project features requiring Caltrans design decision
documentation, both at the headquarters level and the district level. The following information will be
included for each non-standard feature:
• Description of the non-standard feature
• The design standard for which documentation is required
• The reason for not using the standard design
• The cost of making the design standard
• Plan sheets showing the non-standard and standard condition (11x17 sheets)
It is assumed the scope of the DSDD will be focused on existing non-standard features associated with
the study area service interchange ramps and will not encompass a listing of existing non-standard
features along the entire study corridor.
In addition, the DSDD will provide high-level information on traffic data in the corridor, collision analysis,
accident data, planned future construction activities in the corridor, a summary of reviews and
concurrence, and a discussion of the rational for using the DEER document to gain environmental
clearance.
The WSP team will ensure that the DSDD is signed and approved prior to the completion of the DEER
document.
3.1.5 TMP Data Sheet
Given that the I-15 Smart Freeways Pilot Project will involve minimal construction activities on the I-15
mainline, such as the placement of ITS detection equipment along the shoulder and in the median, the
resulting traffic delays are expected to be minimal and a Transportation Management Plan is not
expected to be needed. A TMP Data Sheet would be developed in coordination with RCTC in Caltrans
for the purpose of informing the preliminary cost estimate.
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3.1.6 Traffic Impact Report
Caltrans generally requires the completion of Traffic Impact Studies when improvement projects attract
additional traffic to state highway facilities. Traffic Impact Studies may be as simple as providing a traffic
count to as complex as a microscopic simulation. The appropriate level of study is determined by the
particulars of a project, the prevailing highway conditions, and forecasted traffic levels.
WSP has completed detailed assessments of existing traffic conditions in the I-15 corridor and will
continue to collect and review traffic data as it completes the design of the CARM system. We will work
closely with RCTC and Caltrans to confirm the appropriate level of detail the specific traffic count that
Caltrans will require at ramps and the locations of ITS installations. The CARM system, like other ramp
metering systems, is designed to manage the flow of traffic onto the I-15 in a manner that does not
degrade traffic service in the corridor during peak travel periods. The project does not, however, result
in the provision of additional mainline lane capacity, and therefore is not expected to induce substantial
additional traffic. In accordance with Draft Transportation Impacts Analysis under CEQA for Projects on
the State Highway System (Caltrans Environmental Management Office, 3/1/20), project types not likely
to lead to a measurable and substantial increase in VMT include:
• Installation of traffic metering systems, detection systems, cameras, changeable message signs
and other electronics designed to optimize vehicle… flow.
The improvements associated with the I-15 Smart Freeways Pilot Project fits within this project type,
and therefore is not anticipated to result in a substantial increase in VMT.
It is anticipated that a Traffic Impact Report will be prepared as an attachment to the DEER. The Traffic
Impact Report is expected to include traffic counts and 20-year forecast volumes at a level consistent
with that required on other Caltrans ITS and ramp projects.
RCTC is currently confirming whether a separate traffic study would also need to be completed in
conjunction with the ISA. The WSP team will ensure that these two assessments are coordinated and
will develop a single document meeting both requirements, if necessary and possible, with the single
Traffic Impact Report included as an attachment to the DEER and/or CE/CE.
3.1.7 Utility Coordination
Although most privately-owned utilities are typically located outside of the Caltrans right of way, they
occasionally appear as a longitudinal encroachment within the freeway right of way, or as a transverse
crossing. The WSP team will conduct a utility coordination task to determine what, if any, utility
facilities exist within the project limits. If utilities are identified within the freeway right of way, it will be
determined if any need to be potholed as part of the PS&E activities to positively identify the utility
location and determine if conflicts are expected. Activities in this task include collecting utility as-builts,
developing a utility base file, identifying any potholing needs, identifying any longitudinal encroachment
exceptions, and identifying potential relocations for the purpose of informing the cost estimate.
3.1.8 Right of Way Data Sheet (to be provided by others)
Temporary or permanent right of way acquisition is not anticipated to be needed for this project.
However, a Right of Way Data Sheet is still required even if there is no right of way acquisition required
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for the project. RCTC will be utilizing an on-call survey consultant to complete the preparation of
topographic mapping and survey for the corridor, and as such it is anticipated that this consultant will
prepare the ROW Data Sheet in accordance with Caltrans District 8 procedures and included as an
attachment to the DEER.
3.1.9 Environmental Approval Document
The project activities will disturb areas within the Caltrans I-15 right-of-way necessitating an evaluation
of environmental impacts from the action. Since impacts are anticipated to be minor, the project will be
entirely within the existing operational right-of-way and the project is maintained for transportation
purposes, it is anticipated that a CE/CE with technical studies will be the appropriate level of
environmental clearance. The consultant will prepare all necessary documentation for completion of
the Caltrans CE/CE, which must be used to document compliance with laws and regulations when
making a final determination.
The Caltrans Categorical Exclusion Checklist will be used to document compliance with laws and
regulations. The checklist includes assessing exceptions to the Categorical Exclusion and Unusual
Circumstances from 23 CFR 771.117(b).
3.1.10 Environmental Technical Studies
Various technical studies are anticipated to be necessary to support the CE/CE determination. These
studies will inform the completion of the Categorical Exclusion Checklist and the Caltrans CE/CE Form.
Preparation of the following technical reports will be undertaken if the preliminary evaluation shows
they are necessary:
• Initial Site Assessment
• Water Quality Assessment Report
• Biological Resources
o NESMI
o Wetlands Delineation
o Habitat Evaluation for Colonial Birds/Roosting Bats including Step-2 Bat Night
o Habitat Evaluation and Focused Survey for Special-status Plants
o Western Riverside County Multi Species Habitat Conservation Plan (MSHCP) Consistency
Finding
• Visual Impact Assessment
• Community Impact Assessment
• APE/Historical Property Survey Report
• Paleontological Report
• Traffic Impact Report
The consultant shall coordinate and prepare all required technical studies to support the NEPA CE and
CEQA CE. Preparation of all technical analyses and reports will follow local, state, and federal
environmental guidelines, primarily consisting of the Caltrans Standard Environmental Reference (SER)
website as well as local and state CEQA Guidelines and FHWA Guidance on preparing and processing
Environmental and Section 4(f) documents.
Unless otherwise noted, the deliverables for the technical studies will be a separate bound report
including a standardized project description, a methodology relevant to each topic area, description of
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the affected environment, impact assessment and mitigation measures. Each screen check technical
study will be submitted to RCTC (two copies) for review. Following RCTC’s review, the document will be
revised, and a screen check technical study will be provided to Caltrans for review. Following Caltrans’
review, a draft of each technical study will be submitted to RCTC and Caltrans for concurrent review.
Following Caltrans and RCTC’s review, a second draft of each technical study will be submitted to RCTC
and Caltrans. Following Caltrans and RCTC’s review of the second draft, it is assumed that a revisions
workshop will be held to address any outstanding comments if any comments remain. Following the
revision workshop, a final version of each report will be prepared. The final technical studies will be
submitted following the workshop for final concurrence (no additional comments are assumed to be
received associated with the final concurrence review). If the revisions are required due to the quality of
the submittal made by Engineering team, then these revisions would not be considered out of scope.
Deliverables:
• Screen check technical studies (submitted to RCTC first then to Caltrans) digital copy to RCTC
• Draft technical studies
• Second Draft technical studies
• Final technical studies for concurrence
• Final approved technical studies
Natural Environmental Study (Minimal Impact)
The WSP team will prepare a Natural Environmental Study (Minimal Impact) (NES[MI]) for the I-15 Smart
Freeways Pilot Project. The NESMI will provide the technical basis for statements made in the
environmental document concerning plants, animals, and natural communities occurring in the
Biological Study Area (BSA). The NES summarizes technical documents such as focused species studies,
wetland assessments, and biological assessments related to effects on biological resources in the BSA
for use in the environmental document.
The level of analysis provided in NESMI documents is generally commensurate with the complexity of
the project being assessed. Given that the project will be implemented entirely within existing Caltrans
right-of-way and within previously disrupted areas, it is assumed that the project will have a minimal
impact on the natural environment.
Historic Property Survey Report (HPSR)
The WSP team will coordinate with Caltrans and RCTC to establish the boundaries of the Area of
Potential Effects (APE) within which the Historic Property Survey Report will be conducted (HPSR).
Working in consultation with local governments, native American tribes and heritage commissions, local
historical societies and other appropriate consulting parties, the WSP team will assemble a
comprehensive listing of historic and cultural resources within the APE. We will then assess the overall
finding for the project. Given that the I-15 Smart Freeways Pilot Project will take place entirely within
existing Caltrans right-of-way it is anticipated that the demonstration would have no adverse effects on
any historic or cultural resources within the APE.
Initial Site Assessment
As discussed in Section 3.1.2 of this Scope of Services, an Initial Site Assessment will be prepared as an
attachment to the DEER report.
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Air Quality Conformity Findings Checklist
WSP will also complete the Caltrans Air Quality Conformity Findings Checklist to summarize and
document the conformity analysis and determination for the CE. Given that the demonstration is not a
type 1 project, it is assumed that air or noise impact studies are not required.
Traffic Impact Report
As described in Section 3.1.6, it is anticipated that a Traffic Impact Report will be prepared as an
attachment to the DEER. If necessary, the WSP team will ensure that the traffic impact assessment is
coordinated with the environmental approvals process to develop a single document meeting both
requirements.
3.1.11 Project Approval Exclusions
Due to the non-complex and streamlined nature of the project improvements, it is anticipated that
certain tasks will be excluded from the Project Approval process. These include:
• Intersection Control Evaluation process and Memorandum
• Geometric Approval Drawings
• Ramp Metering HOV Bypass Exception Memorandum
• Preliminary Drainage Report
• Transportation Management Plan
• Preliminary Materials Report
• Pavement Life-Cycle Cost Analysis
• Preliminary Geotechnical Memorandum
• Preliminary Structural design or reports
• Value Analysis
• Modified Access Report (MAR)
• American’s with Disabilities Act (ADA) Certification
3.2 PHOTOGRAMMETRIC MAPPING AND SURVEYING
To expedite the implementation of the project, RCTC will contract directly with an on-call consultant to
prepare the photogrammetric mapping and surveying to support detailed PS&E design. The mapping to
be completed by others under a separate contract will include aerial photographs at 1”=50’ scale that
will be used to develop base mapping for the corridor. The detailed surveys will consist of roadway
cross-sections at 100 feet intervals within Caltrans right-of-way and survey of the ramp tie-in locations.
The surveys will include the location of existing guardrails, embankments, poles, signs, and streetlights
needed for final design, as well as visible utilities running in the corridor. Survey points and lines shall be
established, marked, identified, referenced, and documented as required, to complete the PS&E in
accordance with the Caltrans Survey Manual.
3.3 SYSTEMS ENGINEERING
As required by Caltrans and FHWA, the consultant will complete the system engineering analysis risk
assessment for the operational clearance. As part of this effort, the consultant will prepare the
following documents:
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3.3.1 Concept of Operations
The concept of operations (ConOps) will follow Caltrans and FHWA guidelines and address the following
elements:
• Define Managed Freeways. Explain and document the purpose of the pilot project
• Existing conditions. Consistency with Regional ITS Architecture plan
• Operational requirements.
• Design requirements.
• Ramp and Mainline Detection.
• Exit and Entrance Ramps.
• Supporting ITS infrastructure and devices (power and communications needs, cabinets, CCTV,
DMS, etc.)
• Operational concept.
• Provide an overview of agencies responsible for transportation services in the corridor, including
Caltrans, RCTC, FHWA, transit providers, CHC, local agencies and traffic management center
• Provide an inventory and overview of existing transportation services and operational programs
within the I-15 corridor, including incident management, ramp metering and traveler
information systems.
• Provide a description of the current traffic management center and associated ITS programs in
the corridor, including responsible agencies, physical locations of facilities, staffing, capabilities
and house of operations
• Describe the information technology used to process ITS and traffic data, including the
information and communications systems used in the TMC
3.3.2 Systems Engineering Management Plan
The WSP team will prepare a Systems Engineering Management Plan (SEMP) including the following
content:
• A description of the purpose of the document
• Scope of the pilot project
• Description of the technical planning and controls
• Description of the systems engineering analysis process that the pilot will follow
• Description of the transition of critical technologies
• Description of the overall systems integration approach
4. PLANS, SPECIFICATIONS AND ESTIMATES (PS&E) PHASE
The WSP team will prepare 95 percent plans based on the comments received on the 35 percent
preliminary design plans. In order to expedite delivery of the project and recognizing the relatively non-
complex and limited nature of the civil works associate with the ramp widenings and device
installations, it is anticipated that the PS&E will advance directly from 35% to 95% submittals,
eliminating the 65% plan deliverable that can typically be required. In addition to detailing the required
civil works to accomplish ramp widening, the plans will detail revisions to the existing communications
network (reallocation and/or addition of fiber and addition of switches to convert any existing serial
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communications to Ethernet), additional signal/ITS cabinets, trenching/boring of additional conduits,
new power services, quantities, and Caltrans standard sheets for traffic/ITS projects. The outcome of
this task will be two draft PS&E packages to support each of the two anticipated construction contracts:
a PS&E package for the civil construction works associated with the ramp widening and consolidation;
and a second PS&E package for the ITS elements associated with the ramp metering, detection devices
and VSL installations.
It is assumed that RCTC will Administer, Advertise and Award the construction contracts, and the bid
packages will not go through the Caltrans Office Engineer for review and advertisement.
The consultant will perform a detailed QC review of all submittal documents prior to submitting to RCTC,
which is included as a separate subtask. Caltrans details will be used whenever possible, for pull boxes,
conduit, cabinet foundations, poles, and markers. Project specific typical detail sheets will be prepared
for cabinet and rack layouts, ramp meters, field devices, and electrical one-line diagrams.
• Fiber Allocation. The WSP team will determine how to best utilize the existing fiber optic trunk
line. The consultant will develop fiber allocation and splicing details for the new cabinet fiber
drop cables, as well as any required fiber trunk line splicing.
• Proposed Networking. It is assumed that the network will be Ethernet-based using Coarse
Wavelength Division Multiplexing (CWDM) and Ciena switches for field and head-end network
gear. A managed Ethernet network topology will be developed using the existing fiber plant to
provide the communications bandwidth necessary for the managed freeways system
communications. Network diagrams will be prepared showing the schematic network system
architecture.
• Storm Water. It is assumed that one SWDR narrative in Caltrans format will be provided for the
entire project. It is assumed that there will not be separate SWDR Plan sheets for the work
areas based on the limited earth disturbance activities.
4.1 TECHNICAL SPECIFICATIONS, INCLUDING TESTING AND INTEGRATION PLAN AND
PERFORMANCE REQUIREMENTS
The WSP team will develop additional specifications, provisions, and requirements for the project
specific to each of the two bid packages. One for the civil improvements; and one for the ITS
improvements, which includes testing, commissioning, and placing into service.
• Standard Special Provisions and Project Special Provisions. The special provisions package will
include the Caltrans standard special provisions index and all project special provisions
necessary to complete the work. At the 35 percent submittal, an index of project special
provisions will be provided. At the 95 percent submittal, all standard special provisions and
project special provisions will be included, as well as a full draft of any project special provisions
requiring new RCTC pay items or items requiring a finding in the public interest (FIPI). It is
expected that Project Special Provisions that are considered “Nonstandard Special Provisions
(NSSP)” will be reviewed by Caltrans District 8 and Caltrans Headquarters by the associated
discipline specialist. The Advertisement submittal will include a complete special provision
package that addresses all comments from the FOR submittal.
• Demarcation Drawings. Demarcation drawings will be prepared to illustrate the division of
responsibilities between the civil construction contractor and the ITS System Integrator.
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• Testing and Integration Plan. A Testing and Integration Plan will be prepared and submitted
with the 90-percent-level plan package. This plan will outline the following:
o Roles and responsibilities of all parties (RCTC and its agents, Caltrans, Contractor,
Transmax, others)
o Testing procedures for local field devices
o Subsystem functionality and communications testing
o Integration into TMC and Transmax
o System-wide testing requirements
o Documentation
o Acceptance Process
Deliverables for this task include:
• List of Standard Special Provisions
• Project Special Provisions
• Finding(s) in the Public’s Interest (FIPI)
• Demarcation Drawings
• Testing and Integration Plan
4.2 COST ESTIMATES
The WSP team will prepare civil cost associated with the recommended ramp modifications, ITS
infrastructure costs for the installation of a CARM system, ITS device maintenance cost associated with
providing continuous device functionality, software cost for the use of a consolidated, comprehensive
Advanced Traffic Management System (ATMS), and on-going operations cost associated with the system
calibration and optimization of the managed freeways system.
The consultant will prepare cost estimates for each plan submittal.
Deliverables for this task include:
• Cost estimates for the 35 percent and 95 percent design levels for each of the two bid packages:
one for the civil improvements; and one for the ITS improvements.
4.3 FINAL PS&E PACKAGE
The WSP team will address comments received on the 95 percent package and prepare Final Plans,
signed and sealed by a California Professional Engineer.
We anticipate the following plan sheets will be required as a part of the package
- title sheet
- typical sections
- project control (to be provided by others)
- key map
- layout sheets
- ramp profile and superelevation sheets
- construction detail sheets for gore areas and special design details, if needed
- erosion control plan
- utility sheets (existing utilities only)
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- standard retaining wall plans / details / quantities
- drainage plans / profiles / details, combined with grading
- construction staging plans
- construction area signs
- motorist information plans
- roadway quantity sheets
- roadside sign plans/ details / quantities
- pavement delineations plans / quantities
- electrical and communications plans (ramp metering, lighting, traffic count station and other
modifying electrical, fiber optic splicing and networking plans)
- Revised Standard Plan sheets
The scope of the project does not include widening of the mainline, auxiliary lanes or Winchester Road
on ramp structures over Santa Gertrudis Creek. Structure plans or design is not included in the scope of
work.
It is anticipated that Nonstandard Special Provisions developed for the project will be reviewed by
Caltrans headquarters reviewers specialized in certain disciplines.
Deliverables for this task include:
• Final plans, specifications and cost estimate for each of the two bid packages. A PDF of the
plans and specifications will be delivered electronically to RCTC, along with other project files.
4.4 ADDITIONAL PS&E TASKS
In addition to the preparation of the PS&E packages, several other support documents and tasks are
expected to be needed to support the Caltrans approval process. Given that the nature of the project
improvements is non-complex and small in scope, there are several tasks that are recommended to be
either reduced in scope or excluded from the approval process.
Encroachment Permits
WSP will support RCTC staff to prepare and submit the Caltrans encroachment permit application for the
Parent Permit. An additional Double Permit is anticipated to be processed for surveying activities. It is
expected that these will be processed during the Project Approval phase to expedite the PS&E design. It
is assumed that the following activities will not be needed and, therefore, associated Double Permits will
not be needed:
• Utility Potholing, and survey of the potholes
• Geotechnical Investigation (it is assumed that record data will be used to support pavement
design, retaining wall foundation recommendations, and infiltration feasibility)
Geotechnical
Given the non-complex nature of the project improvements, it is assumed that geotechnical field
investigations will not be needed. Geotechnical data from historical resources such as as-builts and Log
of Test Borings will be used to develop a geotechnical determination for the purpose of validating the
proposed pavement sections for the ramp construction and to inform the foundation selection for the
retaining wall at Rancho California Road.
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It is assumed that prescriptive pavement sections will be selected to be similar in material and depth to
the existing pavement, in coordination with RCTC and Caltrans. As a result, a standalone Materials
Report and pavement Life-Cycle Cost Analysis will not be developed.
It is assumed that the retaining wall will be a standard wall, and that a Foundation Report and Caltrans
DES review of the retaining wall design will not be needed.
A Geotechnical Memorandum will be developed to document the as-built and historical data research,
the proposed pavement section, slope stability analysis, and retaining wall foundation validation.
Drainage Memorandum
A Drainage Memorandum will be developed to document the existing drainage facilities that will be
impacted by the proposed improvements, and the proposed drainage facilities needed to accommodate
the freeway and ramp reconstruction. This task does not include hydrology and hydraulic analysis of
offsite and cross-drainage facilities. Flooded width analysis will be included for areas where
concentrated flows occur on the roadways. Additional inlets or overside drains may be needed to
maintain the flooded width within the proposed shoulders.
Storm Water Data Report
The Storm Water Data Report developed as part of the DEER approval process will be updated to include
temporary construction site BMPs and will inform the permanent and temporary BMP design and
quantities. Any necessary erosion control recommendations will also be included.
4.5 REQUIREMENTS TRACEABILITY MATRIX
As the final element of the Systems Engineering process, WSP will prepare a Requirements Traceability
Matrix during the PS&E Phase. The Requirements Traceability Matrix will link user needs, applicable
content included in the ConOps document, high-level requirements, and functional requirements. The
scope and level of detail of the document will be based on examples provided by FHWA.
4.6 PS&E EXCLUSIONS
Due to the non-complex and streamlined nature of the project, it is assumed that certain tasks are
excluded from this scope of work. These include:
• Encroachment Permits for geotechnical activities, utility activities, and surveying utility potholes
• Geotechnical borings for pavement design, retaining wall design, or overhead signs
• Geotechnical investigation to confirm soil infiltration characteristics (infiltration field tests)
• Utility potholing (assuming as-builts will indicate no need)
• Environmental Permitting
• Offsite Drainage Analysis (Hydrology and Hydrology)
• Standalone Materials Report (a brief geotechnical memorandum would be produced)
• Standalone Geotechnical Design Report (a brief geotechnical memorandum would be produced)
• Foundation Report (assuming only standard retaining walls, which will be summarized in the
brief geotechnical memorandum)
• Pavement Life-Cycle Cost Analysis
• Transportation Management Plan
• ADA Design and Certification
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• Design and Plan sheets for: sound walls, planting and irrigation, utility relocations, aesthetic
details, overhead signs, new or modified signals, temporary signals, temporary lighting plans,
structures plans (bridge, walls, or special structures)
• Revised Freeway Agreement
• Maintenance Agreement
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5. DESIGN SUPPORT DURING CONSTRUCTION
5.1 PRE-BID ASSISTANCE
The consultant will provide pre-bid assistance for both the civil and ITS bid packages to RCTC to help
answer contractor questions during bidding, provide design clarifications, prepare addendums, and
attend the pre-bid meeting, as requested.
Deliverables for this task include:
• Responses to contractor questions prior to award for construction
• Addendums
Due to the non-complex and streamlined nature of the project, it is assumed that certain pre-bid
assistance items are excluded from this scope of work. These include:
• Ready to Let (RTL) package
• Resident Engineer (RE) Pending File
• RTL/Construction Certification
• Encroachment Permits
• Double Permit
• Facility Maintenance Agreement (FMA)
• ROW and Utility Certifications
5.2 POST-DESIGN SERVICES
Design Support
The consultant will provide post-design services to advise and assist the successful contractor with
device installation, network communication, and equipment functionality. These services will be offered
as-needed, upon request by RCTC, and may include responses to Requests for Information, the
preparation of design plans and diagrams, and participation in conference calls or field visits.
As-Built Record Drawings
The consultant will develop as-built record drawings of the proposed improvements in accordance with
Caltrans procedures. The WSP team will incorporate markups provided by the Resident Engineer. The
WSP team is not responsible for verifying the markups against actual final conditions constructed in the
field.
The Microstation as-built files will be converted to individual merged sheet files, which will also be
converted to individual TIFF files. The files will be submitted electronically to Caltrans District 8.
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6. SYSTEMS INTEGRATION
6.1 SOFTWARE REFINEMENT
WSP staff will support RCTC to coordinate and oversee Transmax staff setup, refinement and
demonstration of the necessary software to enable deployment of coordinated adaptive ramp metering
on I-15 northbound utilizing the coordinated ramp metering algorithms currently deployed on various
freeways in Melbourne, Brisbane and Perth, Australia, and soon to be deployed on I-25 in Denver,
Colorado. WSP staff will facilitate coordination between RCTC, Caltrans and Transmax to ensure
customization of STREAMS® Connect and the existing Caltrans ramp signal controller driver to enable
recommended field devices and equipment to interface correctly with the STREAMS® transport
management system in Riverside County. The software refinement process will be conducted both prior
to and concurrent with construction activities, to support operation of the system immediately upon
completion of construction and device installation and integration.
Deliverables for this task include:
• Technical memorandum confirming accomplishment of the following milestones as part of the
Transmax STREAMS Integration Contract:
o Functional device driver for existing Caltrans ramp metering controller viable for
coordinated adaptive ramp metering through STREAMS® platform
o Software demonstration
6.2 STREAMS® CONFIGURATION AND TESTING
WSP staff will support RCTC to coordinate and oversee Transmax staff configuration of the system,
route, and maps as part of the STREAMS® operating platform. WSP staff will facilitate assembling
necessary civil and ITS design information to inform Transmax data entry of various design and
performance parameters into STREAMS® for controlling the coordinated adaptive ramp metering
system and associated suite of algorithms. Ramp design characteristics, detection device locations, and
parameters, etc. will be verified by WSP staff and provided to Transmax staff to enter into the
STREAMS® platform as part of the Transmax STREAMS Integration Contract.
WSP staff will also coordinate and oversee Transmax staff engagement of Amazon Web Services (AWS)
to host the STREAMS® platform in the cloud. This process will begin as soon as possible after the design
phase. WSP staff will oversee STREAMS® system testing by Transmax staff, with system testing to
commence once necessary mainline and ramp ITS devices are installed and integrated.
Deliverables for this task include:
• Technical memorandum (with input from Transmax staff as developed as part of the Transmax
STREAMS Integration Contract) verifying the following:
o System Configuration Management Matrix
o System Verification Test Plan and Results
6.3 DATA COLLECTION
RCTC staff have identified a preliminary list of performance measures to be used to evaluate the
benefits and impacts of the Smart Freeways demonstration project. These measures include:
• change in vehicle throughput
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• change in travel time
• change in time of delay
• change in corridor productivity (with productivity being a value representing the product of
traffic flow and travel speed)
• ramp queue length and wait time
• accident rates
• change in emissions levels
• economic benefit/impact
WSP staff will coordinate with Transmax staff to collect mainline and ramp detection data to support the
evaluation of these measures. Data will be collected for a four-week period. The WSP team will review
initial data from the system to verify correct function (i.e., data detection, collection, communication,
etc.) before activating the coordinated adaptive ramp metering. The WSP team will review corridor
performance data to establish baseline condition for subsequent performance evaluation.
Existing data collection systems may not be comparable to the new systems due to differences in device
accuracy, spacing, etc., and therefore establishing a baseline condition with the new devices before
activating the coordinated metering system will be necessary to ensure a consistent comparison.
Evaluation will encompass critical bottlenecks and corridor as well as considering performance measures
such as volume, occupancy, speed, VMT, VHT, VHD, economic impacts, etc., as calculated in post-
processing. The WSP team will analyze data to establish initial coordinated adaptive ramp metering
system parameter settings.
Deliverables for this task include:
• Performance reports module and templates
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7. OPERATIONS SUPPORT
WSP staff will coordinate with Transmax staff to assemble, review and report traffic performance data
daily during the initial activation period of 8 weeks to verify systems performance and initiate required
fine tuning.
Throughout the two-year demonstration period, the WSP team will review weekly performance data to
identify any operational issues and coordinate with Transmax staff to complete necessary system
adjustments to further refine the system parameters. This effort will include the tracking and
documentation of individual parameters, their changes, and the corresponding results. This information
will be included in the regular performance reports described in Section 8. The WSP team will work with
RCTC and Caltrans staff to address any ongoing performance issues with Transmax.
Deliverables for this task include:
• Preliminary performance assessment report following the end of 8 week ramp up period
• Performance evaluation report following each full year of operations.
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8. PERFORMANCE MONITORING
8.1 ONGOING PERFORMANCE MONITORING
The WSP team will prepare weekly reporting for internal purposes and will review system performance
to verify the different performance metrics identified in task 5.3. The consultant will prepare a monthly
performance assessment report for the first six months of operations, and quarterly performance
assessments reports thereafter to compare operations to previous conditions. The reports will utilize
templates for tables and figures documenting the performance of the managed freeways demonstration
that will also be suitable for use in presentations and public outreach and communications materials.
8.2 INITIAL PERFORMANCE ASSESSMENT REPORT
At the conclusion of the first three months of operations, the WSP team will coordinate with Transmax
staff to assemble data and prepare a detailed assessment report documenting the performance of the
Managed Freeway demonstration and comparing conditions in the I-15 corridor before and after the
activation of the Managed Freeways pilot. The report should also discuss any performance issues that
arose in the initial three months of operations, the necessary system adjustments to further refine the
system parameters, and the results of those adjustments.
8.3 ANNUAL PERFORMANCE REPORTS
At the conclusion of the first year, the WSP team will prepare a detailed assessment report documenting
the and comparing conditions in the I-15 corridor over the past 12 months. The report should also
document before and after the activation of the I-15 Managed Freeway pilot. The report should also
discuss any performance issues that arose in the past 12 months of operations, the necessary system
adjustments to further refine the system parameters, and the results of those adjustments.
Upon completion of the demonstration period after 24 months, the WSP team will complete a final
detailed assessment report documenting the overall performance of the Managed Freeway
demonstration. This report will provide conclusions regarding the effectiveness of the CARM
demonstration and recommendations for future deployments and/or system enhancements.
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Discussion Draft No. 1
Agreement No. 21-31-063-00
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT WITH
WSP USA INC.
FOR PLANNING, DESIGN AND
IMPLEMENTATION OF
SMART FREEWAY PILOT PROJECT
Parties and Date.
This Agreement is made and entered into this _____day of __________, 2021, by and
between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION (“the Commission”)
and WSP USA INC. (“Consultant”), a New York corporation. The Commission and Consultant
are sometimes referred to herein individually as “Party”, and collectively as the “Parties”.
Recitals.
A.On November 8, 1988 the Voters of Riverside County approved Measure A authorizing
the collection of a one-half percent (1/2 %) retail transactions and use tax (the “tax”) to fund
transportation programs and improvements within the County of Riverside, and adopting the
Riverside County Transportation Improvement Plan (the “Plan”).
B.Pursuant to Public Utility Code Sections 240000 et seq., the Commission is authorized to
allocate the proceeds of the Tax in furtherance of the Plan.
C.On November 5, 2002, the voters of Riverside County approved an extension of the
Measure A tax for an additional thirty (30) years for the continued funding of transportation and
improvements within the County of Riverside.
D.A source of funding for payment provided under this Agreement is federal funds
administered by the California Department of Transportation (“Caltrans”) pursuant to the
following project/program: Congestion Mitigation and Air Quality Improvement (CMAQ)
Program.
E.Consultant desires to perform and assume responsibility for the provision of certain
professional environmental, engineering, design and construction support services and work
required by the Commission on the terms and conditions set forth in this Agreement. Consultant
represents that it is experienced in providing planning and preliminary engineering services to
public clients, in Intelligent Transportation Systems (ITS) project delivery, and is licensed in the
State of California, and is familiar with the plans of the Commission.
F. The services identified in this Agreement shall be subject to specific authorization under
written task order(s) to be issued by Commission as further described in this Agreement (“Task
Order”).
ATTACHMENT 3
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G. The Commission desires to engage Consultant to render such services, on a task-order
basis, for the Smart Freeway Pilot Project, on Interstate 15 in the City of Temecula in Riverside
County, which will install and operate for the two year demonstration period, systems to collect
real-time traffic data and operate active traffic management devices to reduce congestion,
maximize the use of existing freeway capacity, and react to incidents that cause delay
(”Project”).
The Task Orders anticipated for this Project are:
1) Project Approval / Environmental Document (PA/ED) & Plan, Specifications, and
Estimates (PS&E)
2) Design support during construction
3) Operations support during 2-year demonstration period
H. Consultant will subcontract with Transmax for preparation of the Concept of Operations
report under this Agreement, and required for the Project. The Parties acknowledge and agree
that it is the intent of the Commission to enter into a separate agreement(s) with Transmax or
VicDOT for the provision, customization, integration, operation and monitoring performance of
the STREAMS® traffic management system owned by Transmax, and for related hardware and
software.
Terms.
1. Defined Terms.
1.1 As used in this Agreement, “Commission’s Task Order Authorization” shall have
the meaning as set forth in Section 3.2 of this Agreement.
1.2 As used in this Agreement, “Construction Contractor” shall mean and refer to the
Commission’s contractor for construction of the infrastructure improvements required for the
Project.
1.3 As used in this Agreement, “Consultant-Related Entity” shall mean Consultant, its
officials, officers, directors, shareholders, employees, agents, consultants, contractors, suppliers,
successors and assigns.
1.4 As used in this Agreement, “ITS Equipment” shall mean and refer to all
equipment, conduit, devices and hardware installed as part of the coordinated adaptive ramp
metering (CARM) system, or otherwise required for the Project.
1.5 As used in this Agreement, “Work Directive” shall mean and refer to a directive
executed by the Executive Director to proceed with disputed work.
2. General Scope of Services. Consultant shall furnish all technical and professional
services, including labor, material, equipment, transportation, supervision and expertise, and
incidental and customary work necessary to fully and adequately supply the following services
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required for the Project: project approval and environmental document preparation, systems
engineering, development of final plans, specifications, and estimates, bid support, design
support during construction, public engagement, travel demand modeling and traffic operations
analysis (the “Services”). The Services are more particularly described in Exhibit “A” attached
hereto and incorporated herein by reference. The Services may be further described in the Task
Order authorizing the Services, and allocating compensation therefor. No Services shall be
performed prior to Commission’s Task Order Authorization. All Services shall be subject to,
and performed in accordance with, this Agreement, the relevant Task Order, the exhibits attached
hereto and incorporated herein by reference, and all applicable local, state and federal laws, rules
and regulations.
2.1 The Services include preparation of various plans and reports for the Project
including, but not limited to, a Project Management Plan, a Quality Management Plan, a
Communications Plan, a Concept of Operations report and a Systems Engineering Management
Plan. The Services shall be performed in accordance with the terms of this Agreement, and in
accordance with the foregoing plans and reports, once approved by the Commission.
3. Task Order Requirements; Commencement of Services.
3.1 Consultant shall not perform nor be compensated for Services identified in
Exhibit “A” unless and until performance of the relevant Services, or Project phase have been
authorized by Commission’s Task Order Authorization.
3.2 An authorized Task Order may be evidenced by Commission’s issuance of a
purchase order for the specific phase/task or by an executed task order for the Services
(“Commission’s Task Order Authorization”). Consultant’s agreement to the final terms of a
proposed Task Order, Commission’s Task Order Authorization and Consultant’s commencement
of the Services shall indicate the Parties’ agreement to the terms of the relevant Task Order.
Consultant shall commence Services under a Task Order within five (5) days of receiving
Commission’s Task Order Authorization.
4. Pre-Award Audit. As a result of the federal funding for this Project, and to the extent
Caltrans procedures apply in connection therewith, issuance of a “Notice to Proceed” may be
contingent upon completion and approval of a pre-award audit. Any questions raised during the
pre-award audit shall be resolved before the Commission will consider approval of this
Agreement. The federal aid provided under this Agreement is contingent on meeting all FHWA
and Caltrans requirements and could be withdrawn, thereby entitling the Commission to
terminate this Agreement, if the procedures are not completed. The Consultant’s files shall be
maintained in a manner to facilitates State process reviews.
5. Caltrans Audit Procedures.
5.1 Consultant and certain subconsultant contracts, including cost proposals and ICR,
are subject to audits or reviews such as, but not limited to, a contract audit, an incurred cost
audit, an Independent Cost Review (ICR) Audit, or a CPA ICR audit work paper review. If
selected for audit or review, this Agreement, Consultant’s cost proposal and ICR and related
work papers, if applicable, will be reviewed to verify compliance with 48 CFR, Part 31 and other
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related laws and regulations. In the instances of a CPA ICR audit work paper review it is
Consultant’s responsibility to ensure federal, state, or local government officials are allowed full
access to the CPA’s work papers including making copies as necessary. This Agreement,
Consultant’s cost proposal, and ICR shall be adjusted by Consultant and approved by the
Commission’s contract manager to conform to the audit or review recommendations. Consultant
agrees that individual terms of costs identified in the audit report shall be incorporated into this
Agreement by this reference if directed by Commission at its sole discretion. Refusal by
Consultant to incorporate audit or review recommendations, or to ensure that the federal, state or
local governments have access to CPA work papers, will be considered a breach of the
Agreement terms and cause for termination of this Agreement and disallowance of prior
reimbursed costs. Additional audit provisions applicable to this Agreement are set forth in
Sections 22 and 23 of this Agreement.
5.2 During Caltrans’ review of the ICR audit work papers created by the Consultant’s
independent CPA, Caltrans will work with the CPA and/or Consultant toward a resolution of
issues that arise during the review. Each party agrees to use its best efforts to resolve any audit
disputes in a timely manner. If Caltrans identifies significant issues during the review and is
unable to issue a cognizant approval letter, Commission will reimburse the Consultant at an
accepted ICR until a FAR (Federal Acquisition Regulation) compliant ICR {e.g. 48 CFR Part 31;
GAGAS (Generally Accepted Auditing Standards); CAS (Cost Accounting Standards), if
applicable; in accordance with procedures and guidelines of the American Association of State
Highways and Transportation Officials (AASHTO) Audit Guide; and other applicable
procedures and guidelines}is received and approved by Caltrans.
Accepted rates will be as follows:
a. If the proposed rate is less than one hundred fifty percent (150%) - the accepted
rate reimbursed will be ninety percent (90%) of the proposed rate.
b. If the proposed rate is between one hundred fifty percent (150%) and two hundred
percent (200%) - the accepted rate will be eighty-five percent (85%) of the proposed rate.
c. If the proposed rate is greater than two hundred percent (200%) - the accepted rate
will be seventy-five percent (75%) of the proposed rate.
5.3 If Caltrans is unable to issue a cognizant letter per Section 5.2 above, Caltrans
may require Consultant to submit a revised independent CPA-audited ICR and audit report
within three (3) months of the effective date of the Caltrans’ management letter. Caltrans will
then have up to six (6) months to review the Consultant’s and/or the independent CPA’s
revisions.
5.4 If the Consultant fails to comply with the provisions of this Section 5, or if
Caltrans is still unable to issue a cognizant approval letter after the revised independent CPA
audited ICR is submitted, overhead cost reimbursement will be limited to the accepted ICR that
was established upon initial rejection of the ICR and set forth in Section 5.2 above for all
rendered services. In this event, this accepted ICR will become the actual and final ICR for
reimbursement purposes under this Agreement.
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5.5 Consultant may submit to Commission final invoice only when all of the
following items have occurred: (1) Caltrans accepts or adjusts the original or revised independent
CPA audited ICR; (2) all work under this Agreement has been completed to the satisfaction of
Commission; and, (3) Caltrans has issued its final ICR review letter. The Consultant must submit
its final invoice to Commission no later than sixty (60) calendar days after occurrence of the last
of these items. The accepted ICR will apply to this Agreement and all Task Orders issued under
this Agreement, and all other agreements executed between the Commission and the Consultant,
either as a prime or subconsultant, with the same fiscal period ICR.
6. Term.
6.1 This Agreement shall go into effect on the date first set forth above and shall
terminate, March 31, 2025, unless earlier terminated as provided herein. Consultant shall
complete the Services, including all Task Orders, within the term of this Agreement, and shall
meet any other established schedules and deadlines. All applicable indemnification provisions of
this Agreement shall remain in effect following the termination of this Agreement.
7. Commission’s Contract Administrator. The Commission hereby designates the
Commission’s Executive Director, or his or her designee, to act as its Contract Administrator for
the performance of this Agreement (“Commission’s Contract Administrator”). Commission’s
Contract Administrator shall have the authority to act on behalf of the Commission for all
purposes under this Agreement. Commission’s Contract Administrator shall also review and give
approval, as needed, to the details of Consultant’s work as it progresses. Consultant shall not
accept direction or orders from any person other than the Commission’s Contract Administrator
or his or her designee.
8. Consultant’s Representative. Consultant hereby designates ___________________ to act
as its Representative for the performance of this Agreement (“Consultant’s Representative”).
Consultant’s Representative shall have full authority to act on behalf of Consultant for all
purposes under this Agreement. The Consultant’s Representative shall supervise and direct the
Services, using his or her professional skill and attention, and shall be responsible for all means,
methods, techniques, sequences and procedures and for the satisfactory coordination of all
portions of the Services under this Agreement. Consultant shall work closely and cooperate fully
with Commission’s Contract Administrator and any other agencies which may have jurisdiction
over, or an interest in, the Services. Consultant’s Representative shall be available to the
Commission staff at all reasonable times. Any substitution in Consultant’s Representative shall
be approved in writing by Commission’s Contract Administrator.
9. Substitution of Key Personnel. Consultant has represented to the Commission that certain
key personnel will perform and coordinate the Services under this Agreement. Should one or
more of such personnel become unavailable, Consultant may substitute other personnel of at
least equal competence upon written approval by the Commission. In the event that the
Commission and Consultant cannot agree as to the substitution of the key personnel, the
Commission shall be entitled to terminate this Agreement for cause, pursuant to the provisions
herein. The key personnel for performance of this Agreement are as follows:
_______________________________, or as otherwise identified in a Task Order.
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10. Standard of Care; Licenses. Consultant represents and maintains that it is skilled in the
professional calling necessary to perform all Services, duties and obligations required by this
Agreement to fully and adequately complete the Project. Consultant shall perform the Services
and duties in conformance to and consistent with the standards generally recognized as being
employed by professionals in the same discipline in the State of California. Consultant warrants
that all employees and subcontractors shall have sufficient skill and experience to perform the
Services assigned to them. Consultant further represents and warrants to the Commission that its
employees and subcontractors have all licenses, permits, qualifications and approvals of
whatever nature that are legally required to perform the Services, and that such licenses and
approvals shall be maintained throughout the term of this Agreement. Consultant shall perform,
at its own cost and expense and without reimbursement from the Commission, any services
necessary to correct errors or omissions which are caused by any Consultant-Related Entity’s
failure to comply with the standard of care provided for herein, and shall be fully responsible to
the Commission for all damages and other liabilities provided for in the indemnification
provisions of this Agreement arising from any Consultant-Related Entity’s errors and omissions.
Any employee of Consultant or its sub- consultants who is determined by the Commission to be
uncooperative, incompetent, a threat to the adequate or timely completion of the Project, a threat
to the safety of persons or property, or any employee who fails or refuses to perform the Services
in a manner acceptable to the Commission, shall be promptly removed from the Project by the
Consultant and shall not be re-employed to perform any of the Services or to work on the
Project.
11. Independent Contractor. The Services shall be performed by Consultant or under its
supervision. Consultant will determine the means, methods and details of performing the
Services subject to the requirements of this Agreement. Commission retains Consultant on an
independent contractor basis and not as an employee, agent or representative of the Commission.
Consultant retains the right to perform similar or different services for others during the term of
this Agreement. Any additional personnel performing the Services under this Agreement on
behalf of Consultant shall at all times be under Consultant’s exclusive direction and control.
Consultant shall pay all wages, salaries and other amounts due such personnel in connection with
their performance of Services and as required by law. Consultant shall be responsible for all
reports and obligations respecting such personnel, including but not limited to, social security
taxes, income tax withholdings, unemployment insurance, disability insurance, and workers’
compensation insurance.
12. Schedule of Services.
12.1 A Preliminary Milestone Schedule is attached to this Agreement, for reference, as
Exhibit “B”.
12.2 Consultant shall perform the Services expeditiously, within the term of this
Agreement, and in accordance with any schedule of Services set forth in a Task Order (each a
“Schedule”). Consultant represents that it has the professional and technical personnel to
perform the Services in conformance with such conditions. In order to facilitate Consultant's
conformance with the Schedule, the Commission shall respond to Consultant's submittals in a
timely manner. Upon request of Commission’s Contract Administrator, Consultant shall provide
a more detailed schedule of anticipated performance to meet the Schedule of Services.
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12.3 Consultant shall regularly report to the Commission, through correspondence or
progress reports, its progress in providing required Services within the scheduled time periods.
Commission shall be promptly informed of all anticipated delays. In the event that Consultant
determines that a schedule modification is necessary, Consultant shall promptly submit a revised
Schedule of Services for approval by Commission’s Contract Administrator.
13. Delay in Performance.
13.1 Should Consultant be delayed or prevented from the timely performance of any
act or Services required by the terms of the Agreement by reason of unavoidable delay caused by
acts of God or of the public enemy, acts or omissions of the Commission or other governmental
agencies in either their sovereign or contractual capacities, fires, floods, pandemics, epidemics,
quarantine restrictions, strikes, freight embargoes or unusually severe weather, performance of
such act shall be excused for the period of such delay.
13.2 If Consultant believes it is entitled to an extension of time due to an unavoidable
delay for a cause set forth in subsection 13.1, Consultant shall provide written notice to the
Commission within seven (7) working days from the time Consultant knows, or reasonably
should have known, that performance of the Services will be delayed due to such conditions.
Failure of Consultant to provide such timely notice shall constitute a waiver by Consultant of any
right to an excusable delay in time of performance.
13.3 Performance of any Services under this Agreement, or any Task Order, may be
delayed upon mutual agreement of the Parties, or upon notification by Commission. In either
case, the Schedule shall be extended as necessary. Consultant shall take all reasonable steps to
minimize delay in completion, and additional costs, resulting from any such extension.
14. Preliminary Review of Work. All reports, working papers, and similar work products
prepared for submission in the course of providing Services under this Agreement shall be
submitted to the Commission’s Contract Administrator in draft form, and the Commission may
require revisions of such drafts prior to formal submission and approval. In the event plans and
designs are to be developed as part of the Project, final detailed plans and designs shall be
contingent upon obtaining environmental clearance as may be required in connection with
federal funding. In the event that Commission’s Contract Administrator, in his or her sole
discretion, determines the formally submitted work product to be not in accordance with the
standard of care established under this Agreement, Commission’s Contract Administrator may
require Consultant to revise and resubmit the work at no cost to the Commission.
15. Appearance at Hearings. If and when required by the Commission, Consultant shall
render assistance at public hearings or other meetings related to the Project or necessary to the
performance of the Services. However, Consultant shall not be required to, and will not, render
any decision, interpretation or recommendation regarding questions of a legal nature or which
may be construed as constituting a legal opinion.
16. Opportunity to Cure; Inspection of Work; Responsibility for Design. Commission may
provide Consultant an opportunity to cure, at Consultant’s expense, all errors and omissions
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which may be disclosed during Project implementation. Should Consultant fail to make such
correction in a timely manner, such correction may be made by the Commission, and the cost
thereof charged to Consultant. Consultant shall allow the Commission’s Contract Administrator
and Caltrans to inspect or review any Consultant-Related Entity’s work in progress at any
reasonable time. Upon approval of the final Project design, including any related infrastructure,
construction or installation design, Consultant shall assume responsibility for the design to the
extent that if the Project is installed as designed and does not meet the requirements of this
Agreement, Consultant shall be responsible for the costs of redesign, rework and additional ITS
Equipment costs and any other costs associated with any sub-standard performance.
17. Fees and Payment.
17.1 The method of payment for the Services shall be based on actual cost plus a fixed
fee.
17.2 Commission shall reimburse Consultant for actual costs (including labor costs,
employee benefits, travel, equipment rental costs, overhead and other direct costs) incurred by
Consultant in performance of the Services. Consultant shall not be reimbursed for actual costs
that exceed the estimated wage rates, employee benefits, travel, equipment rental, overhead, and
other estimated costs set forth in the approved Consultant cost proposal attached hereto as
Exhibit “C” and incorporated herein by reference (“Cost Proposal”) unless additional
reimbursement is provided for by a written amendment. In no event shall Consultant be
reimbursed for overhead costs at a rate that exceeds Commission’s approved overhead rate set
forth in the Cost Proposal. The overhead rates included in the attached Exhibit “C” – Part 1 shall
be fixed for the Term of the this Agreement, and shall not be subject to adjustment.
17.3 In addition to the allowable incurred costs, Commission shall pay Consultant a
fixed fee for each Task Order, which shall be included in each Task Order. The fixed fee is
nonadjustable, except in the event of a significant change in the Scope of Services under the
Task Order, and such adjustment is made by written amendment to the Task Order.
17.4 Reimbursement for transportation and subsistence costs shall not exceed the rates
specified in the approved Cost Proposal. In addition, payments to Consultant for travel and
subsistence expenses claimed for reimbursement or applied as local match credit shall not exceed
rates authorized to be paid exempt non-represented State employees under current State
Department of Personnel Administration (DPA) rules, unless otherwise authorized by
Commission. If the rates invoiced are in excess of those authorized DPA rates, and Commission
has not otherwise approved said rates, then Consultant is responsible for the cost difference and
any overpayments shall be reimbursed to the Commission on demand.
17.5 When milestone cost estimates are included in the approved Cost Proposal,
Consultant shall obtain prior written approval for a revised milestone cost estimate from the
Contract Administrator before exceeding such cost estimate.
17.6 Progress payments shall be made monthly in arrears based on Services provided
and allowable incurred costs. A pro rata portion of Consultant’s fixed fee shall be included in the
monthly progress payments. If Consultant fails to submit the required deliverable items
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according to the Schedule, Commission shall have the right to delay payment or terminate this
Agreement in accordance with the provisions of Section 20, Termination.
17.7 No payment shall be made prior to approval of any Services, nor for any Services
performed prior to approval of this Agreement, or prior to Commission’s Task Order
Authorization for the relevant Services.
17.8 Consultant shall be reimbursed, as promptly as fiscal procedures will permit upon
receipt by Commission’s Contract Administrator of itemized invoices in triplicate. Invoices shall
be submitted no later than 45 calendar days after the performance of work for which Consultant
is billing. Invoices shall detail the work performed on each milestone and each project as
applicable. Invoices shall follow the format stipulated for the approved Cost Proposal and shall
reference this Agreement number and project title. Final invoice must contain the final cost and
all credits due Commission including any equipment purchased under the Equipment Purchase
provisions of this Agreement. The final invoice should be submitted within 60 calendar days
after completion of Consultant’s work. Invoices shall be mailed to Commission’s Contract
Administrator at the following address:
Riverside County Transportation Commission
Attention: Accounts Payable
P.O. 12008 Riverside, CA 92502
17.9 The total compensation per Task Order shall be set forth in each Task Order, as
authorized by the Commission Board, and shall not exceed such amount without written
approval of Commission's Executive Director. Extra Work may be authorized, as described
below, and if authorized, will be compensated at the rates and manner set forth in this
Agreement.
17.10 Salary increases shall be reimbursable if the new salary is within the salary range
identified in the approved Cost Proposal and is approved by Commission’s Contract
Administrator. For personnel subject to prevailing wage rates as described in the California
Labor Code, all salary increases, which are the direct result of changes in the prevailing wage
rates are reimbursable.
17.11 Consultant shall not be reimbursed for any expenses unless authorized in writing
by the Commission’s Contract Administrator.
17.12 All subcontracts in excess of $25,000 shall contain the above provisions.
18. Maximum Agreement Cost. The total value of all Task Orders authorized under this
Agreement shall not exceed ____________________, unless authorized in writing by the
Executive Director.
19. Disputes.
19.1 Any dispute, other than audit, concerning a question of fact arising under this
Agreement that is not disposed of by mutual agreement of the Parties shall be resolved as set
forth herein.
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19.2 In the case of a dispute, the Parties shall diligently cooperate with one another and
with the person(s) appointed to resolve the dispute and shall perform such acts as may be
necessary to obtain a prompt and expeditious resolution of the dispute.
19.3 Upon commencement of the dispute resolution process, the Parties shall first
attempt to resolve the dispute between Commission’s Project Manager and Consultant’s Project
Manager. The Parties shall meet in good faith within five (5) business days after the date that the
written request for dispute resolution is submitted and attempt to resolve it. There shall be at
least one meeting to attempt Project level resolution. The Project level negotiation may be
continued upon the agreement of the Parties. If the Commission’s Project Manager and
Consultant’s Project Manager are able to resolve the dispute, the resolution shall be set forth in
writing. If such resolution results in a change to the Scope of Services, Schedule or
Compensation provisions which requires an amendment to this Agreement, the resolution shall
not be final until an amendment has been approved and executed by the authorized
representatives of the Parties. If the dispute cannot be resolved at the meeting or any
continuance thereof, the following shall apply:
19.4 The dispute shall be submitted to Commission’s Executive Director within ten
(10) business days following the initial meeting identified above. The Parties shall each submit
the following written information to the Executive Director (a) an explanation of the nature of
the dispute; (b) the Party’s position; (c) the dollar amount and/or schedule impact of the dispute;
and (d) any supporting documents the Party believes will aid the Executive Director in arriving
at a decision. The Executive Director will issue a written decision within ten (10) business days;
provided that if no written decision is submitted within that time, or any agreed upon extension
thereof, the Commission will have been deemed to have denied Consultant’s position. The
decision of the Executive Director shall be the final and conclusive administrative decision of the
Commission
19.5 If a dispute arises which must be resolved expeditiously in order to prevent
serious damage to person or property, or serious interference with the Schedule, the Parties shall
make every effort to resolve such dispute immediately. If such dispute cannot be resolved
immediately, Commission may issue a Work Directive, and Consultant shall expeditiously
proceed with the Work Directive. Once the urgent aspects of the dispute have been resolved, the
Parties may continue with the remaining procedures for dispute resolution, in accordance with
this Section 19, if necessary and to the extent applicable.
19.6 Nothing in this Agreement, however, shall be construed as making final the
decision of any Commission official or representative on a question of law, which questions shall
be settled in accordance with the laws of the State of California.
19.7 If all other means of dispute resolution set forth above are not successful, the
Parties may upon terms agreed to by the Parties, elect mediation or arbitration, binding or
otherwise, or may pursue any other available legal means. Consultant shall as a condition
precedent to commencing an action in Riverside County Superior Court for money or damages
file a claim pursuant to the Government Claims Act, Government Code sections 900 et seq. For
purposes of the claims filing requirement, the running of the time period in which a claim must
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be filed shall be suspended until the Commission’s final administrative decision by its Executive
Director.
19.8 Neither the pendency of a dispute, nor its consideration by the Commission will
excuse Consultant from full and timely performance in accordance with the terms of this
Agreement.
20. Termination.
20.1 Commission reserves the right to terminate this Agreement for any or no reason
upon thirty (30) calendar days written notice to Consultant with the reasons for termination
stated in the notice. Commission may terminate Services under a Task Order, at any time, for
any or no reason, with the effective date of termination to be specified in the notice of
termination of Task Order.
20.2 Commission may terminate this Agreement with Consultant, or any Task Order,
should any Consultant-Related Entity fail to perform the covenants herein contained at the time
and in the manner herein provided. In the event of such termination, Commission may proceed
with the work in any manner deemed proper by Commission. If Commission terminates this
Agreement with Consultant, or any Task Order, Commission shall pay Consultant the sum due to
Consultant under this Agreement or the relevant Task Order for Services completed and accepted
prior to termination, unless the cost of completion to Commission exceeds the funds remaining
in this Agreement. In such case, the overage shall be deducted from any sum due Consultant
under this Agreement and the balance, if any, shall be paid to Consultant upon demand.
20.3 In addition to the above, payment upon termination shall include a prorated
amount of profit, if applicable, but no amount shall be paid for anticipated profit on unperformed
Services. Consultant shall provide documentation deemed adequate by Commission’s Contract
Administrator to show the Services actually completed by Consultant prior to the effective date
of termination. This Agreement shall terminate on the effective date of the Notice of
Termination.
20.4 Discontinuance of Services. Upon receipt of the written Notice of Termination,
Consultant shall discontinue all affected Services as directed in the Notice or as otherwise
provided herein, and deliver to the Commission all Documents and Data, as defined in this
Agreement, as may have been prepared or accumulated by Consultant in performance of the
Services, whether completed or in progress.
20.5 Effect of Termination for Cause. In addition to the above, Consultant shall be
liable to the Commission for any reasonable additional costs incurred by the Commission to
revise work for which the Commission has compensated Consultant under this Agreement, but
which the Commission has determined in its sole discretion needs to be revised, in part or whole,
to complete the Project because it did not meet the standard of care established herein.
Termination of this Agreement for cause may be considered by the Commission in determining
whether to enter into future agreements with Consultant.
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20.6 Cumulative Remedies. The rights and remedies of the Parties provided in this
Section are in addition to any other rights and remedies provided by law or under this
Agreement.
20.7 Waivers. Consultant, in executing this Agreement, shall be deemed to have
waived any and all claims for damages which may otherwise arise from the Commission’s
termination of this Agreement, for convenience or cause, as provided in this Section.
20.8 Consultant may not terminate this Agreement except for cause.
21. Cost Principles and Administrative Requirements.
21.1 Consultant agrees that the Contract Cost Principles and Procedures, 48 CFR,
Federal Acquisition Regulations System, Chapter 1, Part 31.000 et seq., shall be used to
determine the cost allowability of individual items.
21.2 Consultant also agrees to comply with federal procedures in accordance with 2
CFR, Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards.
21.3 Any costs for which payment has been made to Consultant that are determined by
subsequent audit to be unallowable under 2 CFR, Part 200 and 48 CFR, Federal Acquisition
Regulations System, Chapter 1, Part 31.000 et seq., are subject to repayment by Consultant to
Commission.
21.4 All subcontracts in excess of $25,000 shall contain the above provisions.
22. Retention of Records/Audit. For the purpose of determining compliance with Public
Contract Code 10115, et seq. and Title 21, California Code of Regulations, Chapter 21, Section
2500 et seq., when applicable and other matters connected with the performance of this
Agreement pursuant to Government Code 8546.7; Consultant, subconsultants, and Commission
shall maintain and make available for inspection all books, documents, papers, accounting
records, and other evidence pertaining to the performance of this Agreement, including but not
limited to, the costs of administering this Agreement. All parties shall make such materials
available at their respective offices at all reasonable times during this Agreement period and for
three years from the date of final payment under this Agreement. The federal government, state,
State Auditor or Commission shall have access to any books, records, and documents of
Consultant and it’s certified public accountants (CPA) work papers that are pertinent to this
Agreement and indirect cost rates (ICR) for audit, examinations, excerpts, and transactions, and
copies thereof shall be furnished if requested. Subcontracts in excess of $25,000 shall contain
this provision.
22.1 Accounting System. Consultant and its subconsultants shall establish and
maintain an accounting system and records that properly accumulate and segregate expenditures
by line item for the Services. The accounting system of Consultant and its subcontractors shall
conform to Generally Accepted Accounting Principles (GAAP), enable the determination of
incurred costs at interim points of completion, and provide support for reimbursement payment
vouchers or invoices.
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23. Audit Review Procedures.
23.1 Any dispute concerning a question of fact arising under an interim or post audit of
this Agreement that is not disposed of by agreement, shall be reviewed by Commission’s Chief
Financial Officer.
23.2 Not later than 30 days after issuance of the final audit report, Consultant may
request a review by Commission’s Chief Financial Officer of unresolved audit issues. The
request for review shall be submitted in writing.
23.3 Neither the pendency of a dispute nor its consideration by Commission shall
excuse Consultant from full and timely performance, in accordance with the terms of this
Agreement.
24. Subcontracting.
24.1 Nothing contained in this Agreement or otherwise, shall create any contractual
relation between Commission and any subconsultant(s), and no subcontract shall relieve
Consultant of its responsibilities and obligations hereunder. Consultant agrees to be as fully
responsible to Commission for the acts and omissions of its subconsultant(s) and of persons
either directly or indirectly employed by any of them as it is for the acts and omissions of
persons directly employed by Consultant. Consultant’s obligation to pay its subconsultant(s) is
an independent obligation from Commission’s obligation to make payments to the Consultant.
24.2 Consultant shall perform the Services with resources available within its own
organization and no portion of the Services shall be subcontracted without written authorization
by Commission’s Contract Administrator, except that, which is expressly identified in the
approved Cost Proposal.
24.3 Consultant shall pay its subconsultants within ten (10) calendar days from receipt
of each payment made to Consultant by Commission.
24.4 Any subcontract in excess of $25,000 entered into as a result of this Agreement
shall contain all the provisions stipulated in this Agreement to be applicable to subconsultants.
24.5 Any substitution of subconsultant(s) must be approved in writing by
Commission’s Contract Administrator prior to the start of work by the subconsultant(s).
24.6 Exhibit “C” shall also set forth the rates at which each subconsultant shall bill the
Consultant for Services and that are subject to reimbursement by the Commission to Consultant.
Additional Direct Costs, as defined in Exhibit “C” shall be the same for both the Consultant and
all subconsultants, unless otherwise identified in Exhibit “C”. The subconsultant rate schedules
and cost proposals contained herein are for accounting purposes only.
25. Infringement Indemnification. Consultant shall defend, indemnify and hold the
Commission, its directors, officials, officers, employees, volunteers and agents free and
harmless, pursuant to the indemnification provisions of this Agreement, for any alleged
infringement of any patent, copyright, trade secret, trade name, trademark, or any other
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proprietary right of any person or entity in consequence of the use on the Project by Commission
of any intellectual property, copyright, documents, and data, including any method, process,
product, or concept specified or depicted, provided by any Consultant-Related Entity under this
Agreement.
26. Indemnification. To the fullest extent permitted by law, Consultant shall defend (with
counsel of Commission’s choosing), indemnify and hold Commission, its directors, officials,
officers, employees, consultants, volunteers, and agents free and harmless from any and all
claims, demands, causes of action, costs, expenses, liability, loss, damage or injury, in law or
equity, to property or persons, including wrongful death, in any manner arising out of or incident
to alleged negligent acts, omissions, or willful misconduct of any Consultant-Related Entity
arising out of or in connection with the performance of the Services, the Project or this
Agreement, including without limitation the payment of consequential damages, expert witness
fees, and attorney’s fees and other related costs and expenses. Consultant shall defend, at
Consultant’s own cost, expense and risk, any and all such aforesaid suits, actions or other legal
proceedings of every kind that may be brought or instituted against Commission, its directors,
officials, officers, employees, consultants, agents, or volunteers. Consultant shall pay and satisfy
any judgment, award or decree that may be rendered against Commission or its directors,
officials, officers, employees, consultants, agents, or volunteers, in any such suit, action or other
legal proceeding. Consultant shall reimburse Commission and its directors, officials, officers,
employees, consultants, agents, and/or volunteers, for any and all legal expenses and costs,
including reasonable attorney’s fees, incurred by each of them in connection therewith or in
enforcing the indemnity herein provided. Consultant’s obligation to indemnify shall not be
restricted to insurance proceeds, if any, received by Commission, its directors, officials officers,
employees, consultants, agents, or volunteers.
If Consultant’s obligation to defend, indemnify, and/or hold harmless arises out of Consultant’s
performance as a “design professional” (as that term is defined under Civil Code section 2782.8),
then, and only to the extent required by Civil Code section 2782.8, which is fully incorporated
herein, Consultant’s indemnification obligation shall be limited to claims that arise out of,
pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant, and,
upon Consultant obtaining a final adjudication by a court of competent jurisdiction, Consultant’s
liability for such claim, including the cost to defend, shall not exceed the Consultant’s
proportionate percentage of fault.
Consultant’s obligations as set forth in this Section shall survive expiration or termination of this
Agreement.
27. Insurance.
27.1 Time for Compliance. Consultant shall not commence work under this Agreement
until it has provided evidence satisfactory to the Commission that it has secured all insurance
required under this Section, in a form and with insurance companies acceptable to the
Commission. In addition, Consultant shall not allow any subcontractor to commence work on
any subcontract until it has secured all insurance required under this Section.
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27.2 Minimum Requirements. Consultant shall, at its expense, procure and maintain
for the duration of the Agreement insurance against claims for injuries to persons or damages to
property which may arise from or in connection with the performance of the Agreement by the
Consultant, its agents, representatives, employees or subcontractors. Consultant shall also require
all of its subcontractors to procure and maintain the same insurance for the duration of the
Agreement. Such insurance shall meet at least the following minimum levels of coverage:
(a) Minimum Scope of Insurance. Coverage shall be at least as broad
as the latest version of the following: (1) General Liability: Insurance Services Office
Commercial General Liability coverage (occurrence form CG 0001 or exact equivalent); (2)
Automobile Liability: Insurance Services Office Business Auto Coverage (form CA 0001, code
1 (any auto) or exact equivalent); and (3) Workers’ Compensation and Employer’s Liability:
Workers’ Compensation insurance as required by the State of California and Employer’s
Liability Insurance.
(b) Minimum Limits of Insurance. Consultant shall maintain limits no
less than: (1) General Liability: $2,000,000 per occurrence for bodily injury, personal injury and
property damage. If Commercial General Liability Insurance or other form with general
aggregate limit is used, either the general aggregate limit shall apply separately to this
Agreement/location or the general aggregate limit shall be twice the required occurrence limit.
Limits may be achieved by any combination of primary and excess or umbrella liability
insurance; (2) Automobile Liability: $2,000,000 per accident for bodily injury and property
damage. Limits may be achieved by any combination of primary and excess or umbrella liability
insurance; and (3) Workers’ Compensation and Employer’s Liability: Workers’ Compensation
limits as required by the Labor Code of the State of California. Employer’s Practices Liability
limits of $1,000,000 per accident.
27.3 Professional Liability. Consultant shall procure and maintain, and require its sub-
consultants to procure and maintain, for a period of five (5) years following completion of the
Project, errors and omissions liability insurance appropriate to their profession. For Consultant,
such insurance shall be in an amount not less than $2,000,000 per claim. This insurance shall be
endorsed to include contractual liability applicable to this Agreement and shall be written on a
policy form coverage specifically designed to protect against acts, errors or omissions of the
Consultant. “Covered Professional Services” as designated in the policy must specifically
include work performed under this Agreement. The policy must “pay on behalf of” the insured
and must include a provision establishing the insurer’s duty to defend. Subconsultants of
Consultant shall obtain such insurance in an amount not less than $1,000,000 per claim.
Notwithstanding the foregoing, the Commission may consider written requests to lower or
dispense with the errors and omissions liability insurance requirement contained in this Section
for certain subconsultants of Consultant, on a case-by-case basis, depending on the nature and
scope of the Services to be provided by the subconsultant. Approval of such request shall be in
writing, signed by the Commission’s Contract Administrator.
27.4 Aircraft Liability Insurance. Prior to conducting any Services requiring use of
aircraft, Consultant shall procure and maintain, or cause to be procured and maintained, aircraft
liability insurance or equivalent form, with a single limit as shall be required by the Commission.
Such insurance shall include coverage for owned, hired and non-owned aircraft and passengers,
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and shall name, or be endorsed to name, the Commission, Caltrans and their directors, officials,
officers, employees and agents as additional insureds with respect to the Services or operations
performed by or on behalf of the Consultant.
27.5 Insurance Endorsements. The insurance policies shall contain the following
provisions, or Consultant shall provide endorsements on forms approved by the Commission to
add the following provisions to the insurance policies:
(a) General Liability.
(i) Commercial General Liability Insurance must include
coverage for (1) bodily Injury and property damage; (2) personal Injury/advertising Injury; (3)
premises/operations liability; (4) products/completed operations liability; (5) aggregate limits
that apply per Project; (6) explosion, collapse and underground (UCX) exclusion deleted; (7)
contractual liability with respect to this Agreement; (8) broad form property damage; and (9)
independent consultants coverage.
(ii) The policy shall contain no endorsements or provisions
limiting coverage for (1) contractual liability; (2) cross liability exclusion for claims or suits by
one insured against another; or (3) contain any other exclusion contrary to this Agreement.
(iii) The policy shall give the Commission, its directors,
officials, officers, employees, and agents insured status using ISO endorsement forms 20 10 10
01 and 20 37 10 01, or endorsements providing the exact same coverage.
(iv) The additional insured coverage under the policy shall be
“primary and non-contributory” and will not seek contribution from the Commission’s or
Caltrans’ insurance or self-insurance and shall be at least as broad as CG 20 01 04 13, or
endorsements providing the exact same coverage.
(b) Automobile Liability. The automobile liability policy shall be
endorsed to state that: (1) the Commission, Caltrans and their directors, officials, officers,
employees and agents shall be covered as additional insureds with respect to the ownership,
operation, maintenance, use, loading or unloading of any auto owned, leased, hired or borrowed
by the Consultant or for which the Consultant is responsible; and (2) the insurance coverage shall
be primary insurance as respects the Commission, Caltrans and their directors, officials, officers,
employees and agents, or if excess, shall stand in an unbroken chain of coverage excess of the
Consultant’s scheduled underlying coverage. Any insurance or self-insurance maintained by the
Commission, Caltrans and their directors, officials, officers, employees and agents shall be
excess of the Consultant’s insurance and shall not be called upon to contribute with it in any
way.
(c) Workers’ Compensation and Employers Liability Coverage.
(i) Consultant certifies that he/she is aware of the provisions of
Section 3700 of the California Labor Code which requires every employer to be insured against
liability for workers’ compensation or to undertake self-insurance in accordance with the
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provisions of that code, and he/she will comply with such provisions before commencing work
under this Agreement.
(ii) The insurer shall agree to waive all rights of subrogation
against the Commission, its directors, officials, officers, employees and agents for losses paid
under the terms of the insurance policy which arise from work performed by the Consultant.
(d) All Coverages.
(i) Defense costs shall be payable in addition to the limits set
forth hereunder.
(ii) Requirements of specific coverage or limits contained in
this Section are not intended as a limitation on coverage, limits, or other requirement, or a waiver
of any coverage normally provided by any insurance. It shall be a requirement under this
Agreement that any available insurance proceeds broader than or in excess of the specified
minimum insurance coverage requirements and/or limits set forth herein shall be available to the
Commission, Caltrans and their directors, officials, officers, employees and agents as additional
insureds under said policies. Furthermore, the requirements for coverage and limits shall be (1)
the minimum coverage and limits specified in this Agreement; or (2) the broader coverage and
maximum limits of coverage of any insurance policy or proceeds available to the named insured;
whichever is greater.
(iii) The limits of insurance required in this Agreement may be
satisfied by a combination of primary and umbrella or excess insurance. Any umbrella or excess
insurance shall contain or be endorsed to contain a provision that such coverage shall also apply
on a primary and non-contributory basis for the benefit of the Commission (if agreed to in a
written contract or agreement) before the Commission’s own insurance or self-insurance shall be
called upon to protect it as a named insured. The umbrella/excess policy shall be provided on a
“following form” basis with coverage at least as broad as provided on the underlying policy(ies).
(iv) Consultant shall provide the Commission at least thirty (30)
days prior written notice of cancellation of any policy required by this Agreement, except that
the Consultant shall provide at least ten (10) days prior written notice of cancellation of any such
policy due to non-payment of premium. If any of the required coverage is cancelled or expires
during the term of this Agreement, the Consultant shall deliver renewal certificate(s) including
the General Liability Additional Insured Endorsement to the Commission at least ten (10) days
prior to the effective date of cancellation or expiration.
(v) The retroactive date (if any) of each policy is to be no later
than the effective date of this Agreement. Consultant shall maintain such coverage continuously
for a period of at least three years after the completion of the work under this Agreement.
Consultant shall purchase a one (1) year extended reporting period A) if the retroactive date is
advanced past the effective date of this Agreement; B) if the policy is cancelled or not renewed;
or C) if the policy is replaced by another claims- made policy with a retroactive date subsequent
to the effective date of this Agreement.
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(vi) The foregoing requirements as to the types and limits of
insurance coverage to be maintained by Consultant, and any approval of said insurance by the
Commission, is not intended to and shall not in any manner limit or qualify the liabilities and
obligations otherwise assumed by the Consultant pursuant to this Agreement, including but not
limited to, the provisions concerning indemnification.
(vii) If at any time during the life of the Agreement, any policy
of insurance required under this Agreement does not comply with these specifications or is
canceled and not replaced, Commission has the right but not the duty to obtain the insurance it
deems necessary and any premium paid by Commission will be promptly reimbursed by
Consultant or Commission will withhold amounts sufficient to pay premium from Consultant
payments. In the alternative, Commission may cancel this Agreement. The Commission may
require the Consultant to provide complete copies of all insurance policies in effect for the
duration of the Project.
(viii) Neither the Commission nor any of its directors, officials,
officers, employees or agents shall be personally responsible for any liability arising under or by
virtue of this Agreement.
27.6 Deductibles and Self-Insurance Retentions. Any deductibles or self- insured
retentions must be declared to and approved by the Commission. If the Commission does not
approve the deductibles or self-insured retentions as presented, Consultant shall guarantee that, at
the option of the Commission, either: (1) the insurer shall reduce or eliminate such deductibles or
self-insured retentions as respects the Commission, its directors, officials, officers, employees
and agents; or, (2) the Consultant shall procure a bond guaranteeing payment of losses and
related investigation costs, claims and administrative and defense expenses.
27.7 Acceptability of Insurers. Insurance is to be placed with insurers with a current
A.M. Best’s rating no less than A:VIII, licensed to do business in California, and satisfactory to
the Commission.
27.8 Verification of Coverage. Consultant shall furnish Commission with original
certificates of insurance and endorsements effecting coverage required by this Agreement on
forms satisfactory to the Commission. The certificates and endorsements for each insurance
policy shall be signed by a person authorized by that insurer to bind coverage on its behalf. All
certificates and endorsements must be received and approved by the Commission before work
commences. The Commission reserves the right to require complete, certified copies of all
required insurance policies, at any time.
27.9 Subconsultant Insurance Requirements. Consultant shall not allow any
subcontractors or subconsultants to commence work on any subcontract until they have provided
evidence satisfactory to the Commission that they have secured all insurance required under this
Section. Policies of commercial general liability insurance provided by such subcontractors or
subconsultants shall be endorsed to name the Commission as an additional insured using ISO
form CG 20 38 04 13 or an endorsement providing the exact same coverage. If requested by
Consultant, the Commission may approve different scopes or minimum limits of insurance for
particular subcontractors or subconsultants.
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27.10 Other Insurance. At its option, the Commission may require such additional
coverage(s), limits and/or the reduction of deductibles or retentions it considers reasonable and
prudent based upon risk factors that may directly or indirectly impact the Project. In retaining
this option Commission does not warrant Consultant’s insurance program to be adequate.
Consultant shall have the right to purchase insurance in addition to the insurance required in this
Section.
28. Safety. Consultant shall execute and maintain its work so as to avoid injury or damage to
any person or property. In carrying out its Services, the Consultant shall at all times be in
compliance with all applicable local, state and federal laws, rules and regulations, and shall
exercise all necessary precautions for the safety of employees appropriate to the nature of the
work and the conditions under which the work is to be performed. Safety precautions as
applicable shall include, but shall not be limited to:
(A) adequate life protection and lifesaving equipment and procedures; (B) instructions in
accident prevention for all employees and subcontractors, such as safe walkways, scaffolds, fall
protection ladders, bridges, gang planks, confined space procedures, trenching and shoring,
equipment and other safety devices, equipment and wearing apparel as are necessary or lawfully
required to prevent accidents or injuries; and (C) adequate facilities for the proper inspection and
maintenance of all safety measures.
As between Consultant and the Construction Contractors only, the Construction Contractors shall
remain solely responsible for construction safety notwithstanding any safety obligations of
Consultant at the jobsite. The foregoing sentence shall not impact nor in any way modify or alter
Consultant’s indemnity and defense obligations to the Commission, as set forth in Section 26 of
this Agreement, not any of Consultant’s duties or obligations set forth under this Agreement,
including the attached exhibits.
Pursuant to the authority contained in Section 591 of the Vehicle Code, the Commission has
determined that the Project will contain areas that are open to public traffic. Consultant shall
comply with all of the requirements set forth in Divisions 11, 12, 13, 14, and 15 of the Vehicle
Code. Consultant shall take all reasonably necessary precautions for safe operation of its vehicles
and the protection of the traveling public from injury and damage from such vehicles.
29. Labor Code Requirements.
29.1 Prevailing Wages.
A. Consultant shall comply with the State of California’s General Prevailing Wage
Rate requirements in accordance with California Labor Code, Section 1770 et seq., and all
Federal, State, and local laws and ordinances applicable to the Services.
B. Any subcontract entered into as a result of this Agreement, if for more than
$25,000 for public works construction or more than $15,000 for the alteration, demolition, repair,
or maintenance of public works, shall contain all of the provisions of this Section.
C. When prevailing wages apply to the Services described in the Scope of Services,
transportation and subsistence costs shall be reimbursed at the minimum rates set by the
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Department of Industrial Relations (DIR) as outlined in the applicable Prevailing Wage
Determination. See http://www.dir.ca.gov.
D. Copies of the prevailing rate of per diem wages in effect at commencement of this
Agreement are on file at the Commission’s offices. Consultant shall make copies of the
prevailing rates of per diem wages for each craft, classification or type of worker needed to
execute the Services available to interested parties upon request, and shall post copies at the
Consultant’s principal place of business and at the project site. Consultant shall defend,
indemnify and hold the Commission, its elected officials, officers, employees and agents free and
harmless from any claims, liabilities, costs, penalties or interest arising out of any failure or
alleged failure to comply with the Prevailing Wage Laws.
29.2 DIR Registration. If the Services are being performed as part of an applicable
“public works” or “maintenance” project, then pursuant to Labor Code Sections 1725.5 and
1771.1, the Consultant and all applicable subconsultants must be registered with the Department
of Industrial Relations. If applicable, Consultant shall maintain registration for the duration of
the Project and require the same of any subconsultants. This Project may also be subject to
compliance monitoring and enforcement by the Department of Industrial Relations. It shall be
Consultant’s sole responsibility to comply with all applicable registration and labor compliance
requirements.
29.3 Eight-Hour Law. Pursuant to the provisions of the California Labor Code, eight
hours of labor shall constitute a legal day’s work, and the time of service of any worker
employed on the work shall be limited and restricted to eight hours during any one calendar day,
and forty hours in any one calendar week, except when payment for overtime is made at not less
than one and one-half the basic rate for all hours worked in excess of eight hours per day
(“Eight-Hour Law”), unless Consultant or the Services are not subject to the Eight-Hour Law.
Consultant shall forfeit to Commission as a penalty, $50.00 for each worker employed in the
execution of this Agreement by him, or by any sub-consultant under him, for each calendar day
during which such workman is required or permitted to work more than eight hours in any
calendar day and forty hours in any one calendar week without such compensation for overtime
violation of the provisions of the California Labor Code, unless Consultant or the Services are
not subject to the Eight-Hour Law.
29.4 Employment of Apprentices. This Agreement shall not prevent the employment
of properly indentured apprentices in accordance with the California Labor Code, and no
employer or labor union shall refuse to accept otherwise qualified employees as indentured
apprentices on the work performed hereunder solely on the ground of race, creed, national origin,
ancestry, color or sex. Every qualified apprentice shall be paid the standard wage paid to
apprentices under the regulations of the craft or trade in which he or she is employed and shall be
employed only in the craft or trade to which he or she is registered.
If California Labor Code Section 1777.5 applies to the Services, Consultant and any
subcontractor hereunder who employs workers in any apprenticeable craft or trade shall apply to
the joint apprenticeship council administering applicable standards for a certificate approving
Consultant or any subconsultant for the employment and training of apprentices. Upon issuance
of this certificate, Consultant and any subconsultant shall employ the number of apprentices
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provided for therein, as well as contribute to the fund to administer the apprenticeship program in
each craft or trade in the area of the work hereunder.
The parties expressly understand that the responsibility for compliance with provisions of this
Section and with Sections 1777.5, 1777.6 and 1777.7 of the California Labor Code in regard to
all apprenticeable occupations lies with Consultant
30. Extra Work.
30.1 At any time during the term of this Agreement, Commission may request that
Consultant perform Extra Work. As used herein, "Extra Work" means any work which is
determined by Commission to be necessary for the proper completion of the Project, but which
the parties did not reasonably anticipate would be necessary at the execution of this Agreement.
30.2 Extra Work is permitted unless such work results in a “Cardinal Change.” A
Cardinal Change is a change which is “outside the scope” of the Agreement; in other words,
work which should not be regarded as having been fairly and reasonably within the
contemplation of the parties when the Agreement was entered into. An example of a change
which is not a Cardinal Change would be where, in a contract to construct a building there are
many changes in the materials used, but the size and layout of the building remains the same.
Cardinal Changes are not within the authority of this provision to order, and shall be processed
by the Commission as “sole source” procurements according to applicable law, including the
requirements of FTA Circular 4220.1F.
30.3 Consultant shall not perform, nor be compensated for any Extra Work without
written authorization from the Commission’s Executive Director as set forth herein. In the event
such written authorization is not issued and signed by the Commission’s Executive Director, or
designee, Consultant shall not provide such Extra Work.
31. Claims Filed by Contractor.
31.1 If claims are filed by the Construction Contractor relating to work performed by
Consultant’s personnel, and additional information or assistance from the Consultant’s personnel
is required by the Commission in order to evaluate or defend against such claims; Consultant
agrees to make reasonable efforts to make its personnel available for consultation with the
Commission’s construction contract administration and legal staff and for testimony, if
necessary, at depositions and at trial or arbitration proceedings.
31.2 Consultant’s personnel that the Commission considers essential to assist in
defending against Construction Contractor claims will be made available on reasonable notice
from the Commission. Consultation or testimony will be reimbursed at the same rates, including
travel costs that are being paid for the Consultant’s personnel services under this Agreement.
31.3 Services of the Consultant’s personnel and other support staff in connection with
Contractor claims will be performed pursuant to a written contract amendment, if necessary,
extending the termination date of this Agreement in order to finally resolve the claims.
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31.4 Nothing contained in this Section shall be construed to in any way limit
Consultant’s indemnification obligations contained in Section 26. In the case of any conflict
between this Section and Section 26, Section 26 shall govern. This Section is not intended to
obligate the Commission to reimburse Consultant for time spent by its personnel related to
Construction Contractor claims for which Consultant is required to indemnify and defend the
Commission pursuant to Section 26 of this Agreement.
32. Prohibited Interests.
32.1 Solicitation. Consultant maintains and warrants that it has not employed nor
retained any company or person, other than a bona fide employee working solely for Consultant,
to solicit or secure this Agreement. Further, Consultant warrants that it has not paid nor has it
agreed to pay any company or person, other than a bona fide employee working solely for
Consultant, any fee, commission, percentage, brokerage fee, gift or other consideration
contingent upon or resulting from the award or making of this Agreement. For breach or
violation of this warranty, the Commission shall have the right to rescind this Agreement without
liability.
32.2 Consultant Conflict of Interest.
(a) Consultant shall disclose any financial, business, or other
relationship with Commission that may have an impact upon the outcome of this Agreement, or
any ensuing Commission construction project. Consultant shall also list current clients who may
have a financial interest in the outcome of this Agreement, or any ensuing Commission
construction project, which will follow.
(b) Consultant hereby certifies that it does not now have, nor shall it
acquire any financial or business interest that would conflict with the performance of Services
under this Agreement.
(c) Any subcontract in excess of $25,000 entered into as a result of
this Agreement, shall contain all of the provisions of this Section.
(d) Consultant hereby certifies that neither Consultant, nor any firm
affiliated with Consultant will bid on any construction contract, or on any contract to provide
construction inspection for any construction project resulting from this Agreement. An affiliated
firm is one, which is subject to the control of the same persons through joint-ownership, or
otherwise.
(e) Except for subconsultants whose services are limited to providing
surveying or materials testing information, no subconsultant who has provided design services in
connection with this Agreement shall be eligible to bid on any construction contract, or on any
contract to provide construction inspection for any construction project resulting from this
Agreement.
32.3 Commission Conflict of Interest. For the term of this Agreement, no member,
officer or employee of the Commission, during the term of his or her service with the
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Commission, shall have any direct interest in this Agreement, or obtain any present or
anticipated material benefit arising therefrom.
32.4 Conflict of Employment. Employment by the Consultant of personnel currently
on the payroll of the Commission shall not be permitted in the performance of this Agreement,
even though such employment may occur outside of the employee’s regular working hours or on
weekends, holidays or vacation time. Further, the employment by the Consultant of personnel
who have been on the Commission payroll within one year prior to the date of execution of this
Agreement, where this employment is caused by and or dependent upon the Consultant securing
this or related Agreements with the Commission, is prohibited.
32.5 Covenant Against Contingent Fees. As may be required in connection with
funding provided hereunder, the Consultant warrants that he/she has not employed or retained
any company or person, other than a bona fide employee working for the Consultant, to solicit or
secure this Agreement, and that he/she has not paid or agreed to pay any company or person,
other than a bona fide employee, any fee, commission, percentage, brokerage fee, gift, or any
other consideration, contingent upon or resulting from the award or formation of this Agreement.
For breach or violation of this warranty, the Commission shall have the right to terminate this
Agreement without liability pursuant to the terms herein, or at its discretion to deduct from the
Agreement price or consideration, or otherwise recover, the full amount of such fee, commission,
percentage, brokerage fee, gift, or contingent fee.
32.6 Rebates, Kickbacks or Other Unlawful Consideration. Consultant warrants that
this Agreement was not obtained or secured through rebates kickbacks or other unlawful
consideration, either promised or paid to any Commission employee. For breach or violation of
this warranty, Commission shall have the right in its discretion; to terminate this Agreement
without liability; to pay only for the value of the work actually performed; or to deduct from the
contract price; or otherwise recover the full amount of such rebate, kickback or other unlawful
consideration.
32.7 Covenant Against Expenditure of Commission, State or Federal Funds for
Lobbying. The Consultant certifies that to the best of his/ her knowledge and belief no state,
federal or local agency appropriated funds have been paid, or will be paid by or on behalf of the
Consultant to any person for the purpose of influencing or attempting to influence an officer or
employee of any state or federal agency; a Member of the State Legislature or United States
Congress; an officer or employee of the Legislature or Congress; or any employee of a Member
of the Legislature or Congress, in connection with the award of any state or federal contract,
grant, loan, or cooperative agreement, or the extension, continuation, renewal, amendment, or
modification of any state or federal contract, grant, loan, or cooperative agreement.
(a) If any funds other than federal appropriated funds have been paid, or will be paid
to any person for the purpose of influencing or attempting to influence an officer or employee of
any federal agency; a Member of Congress; an officer or employee of Congress, or an employee
of a Member of Congress; in connection with this Agreement, the Consultant shall complete and
submit the Standard Form-LLL, “Disclosure Form to Report Lobbying.”
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(b) The Consultant’s certification provided in this Section is a material representation
of fact upon which reliance was placed when this Agreement was entered into, and is a
prerequisite for entering into this Agreement pursuant to Section 1352, Title 31, US. Code.
Failure to comply with the restrictions on expenditures, or the disclosure and certification
requirements set forth in Section 1352, Title 31, US. Code may result in a civil penalty of not
less than $10,000 and not more than $100,000 for each such failure.
(c) The Consultant also agrees by signing this Agreement that he/she shall require
that the language set forth in this Section be included in all Consultant subcontracts which
exceed $100,000, and that all such subcontractors shall certify and disclose accordingly.
32.8 Employment Adverse to the Commission. Consultant shall notify the
Commission, and shall obtain the Commission’s written consent, prior to accepting work to
assist with or participate in a third-party lawsuit or other legal or administrative proceeding
against the Commission during the term of this Agreement.
33. Final Acceptance. Upon determination by the Commission that Consultant has
satisfactorily completed the Services required under this Agreement and within the term herein,
the Commission shall give Consultant a written Notice of Final Acceptance. Upon receipt of
such notice, Consultant shall incur no further costs hereunder, unless otherwise specified in the
Notice of Final Acceptance. Consultant may request issuance of a Notice of Final Acceptance
when, in its opinion, it has satisfactorily completed all Services required under the terms of this
Agreement.
34. Laws and Regulations. Consultant shall keep itself fully informed of and in compliance
with all local, state and federal laws, rules and regulations in any manner affecting the
performance of the Project or the Services, including all Cal/OSHA requirements, and shall give
all notices required by law. For example, and not by way of limitation, Consultant shall keep
itself fully informed of and in compliance with all implementing regulations, design standards,
specifications, previous commitments that must be incorporated in the design of the Project, and
administrative controls including those of the United States Department of Transportation.
Compliance with Federal procedures may include completion of the applicable environmental
documents and approved by the United States Department of Transportation. For example, and
not by way of limitation, a signed Categorical Exclusion, Finding of No Significant Impact, or
published Record of Decision may be required to be approved and/or completed by the United
States Department of Transportation. Consultant shall be liable for all violations of such laws
and regulations in connection with Services. If the Consultant performs any work knowing it to
be contrary to such laws, rules and regulations and without giving written notice to the
Commission, Consultant shall be solely responsible for all costs arising therefrom. Consultant
shall defend, indemnify and hold Commission, its officials, directors, officers, employees and
agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any
claim or liability arising out of any failure or alleged failure to comply with such laws, rules or
regulations.
35. Equal Opportunity Employment. Consultant represents that it is an equal opportunity
employer and it shall not discriminate against any subcontractor, employee or applicant for
employment because of race, religion, color, national origin, ancestry, sex or age. Such non-
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discrimination shall include, but not be limited to, all activities related to initial employment,
upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination.
36. Right to Employ Other Consultants. Commission reserves the right to employ other
consultants in connection with the Project.
37. Governing Law. This Agreement shall be governed by and construed with the laws of the
State of California. Venue shall be in Riverside County.
38. Disputes; Attorneys’ Fees.
38.1 Prior to commencing any action hereunder, the Parties shall attempt in good faith
to resolve any dispute arising between them. The pendency of a dispute shall not excuse
Consultant from full and timely performance of the Services.
38.2 If the Parties are unable to resolve a dispute after attempting in good faith to do
so, the Parties may seek any other available remedy to resolve the dispute. If either Party
commences an action against the other Party, either legal, administrative or otherwise, arising out
of or in connection with this Agreement, the prevailing Party in such litigation shall be entitled to
have and recover from the losing Party reasonable attorneys’ fees and, all other costs of such
actions.
39. Time of Essence. Time is of the essence for each and every provision of this Agreement.
40. Headings. Section headings, paragraph captions or marginal headings contained in this
Agreement are for convenience only and shall have no effect in the construction or interpretation
of any provision herein.
40.1 Notices. All notices permitted or required under this Agreement shall be given to
the respective parties at the following address, or at such other address as the respective parties
may provide in writing for this purpose:
CONSULTANT: COMMISSION:
WSP USA INC. Riverside County Transportation Commission
826 E. Hospitality Lane, Suite 350 4080 Lemon Street, 3rd Floor 92408
Bernardino, CA 92408 Riverside, CA 92501
Attn: ______________________ Attn: Executive Director
Such notice shall be deemed made when personally delivered or when mailed, forty- eight (48)
hours after deposit in the U.S. mail, first class postage prepaid, and addressed to the Party at its
applicable address. Actual notice shall be deemed adequate notice on the date actual notice
occurred, regardless of the method of service.
41. Conflicting Provisions. In the event that provisions of any attached exhibits conflict in
any way with the provisions set forth in this Agreement, the language, terms and conditions
contained in this Agreement shall control the actions and obligations of the Parties and the
interpretation of the Parties’ understanding concerning the performance of the Services.
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42. Amendment or Modification. No supplement, modification, or amendment of this
Agreement shall be binding unless executed in writing and signed by both Parties.
43. Entire Agreement. This Agreement contains the entire agreement of the Parties relating to
the subject matter hereof and supersedes all prior negotiations, agreements or understandings.
44. Invalidity; Severability. If any portion of this Agreement is declared invalid, illegal, or
otherwise unenforceable by a court of competent jurisdiction, the remaining provisions shall
continue in full force and effect.
45. Provisions Applicable When Federal Department of Transportation Funds Are Involved.
When funding for the Services provided by this Agreement are provided, in whole or in part,
from the FHWA, Consultant shall also fully and adequately comply with the provisions included
in Exhibit “D” (Caltrans requirements) attached hereto and incorporated herein by reference.
46. Survival. All rights and obligations hereunder that by their nature are to continue after
any expiration or termination of this Agreement, including, but not limited to, the
indemnification and confidentiality obligations, shall survive any such expiration or termination.
47. No Third Party Beneficiaries. There are no intended third party beneficiaries of any right
or obligation assumed by the Parties.
48. Labor Certification. By its signature hereunder, Consultant certifies that it is aware of the
provisions of Section 3700 of the California Labor Code which require every employer to be
insured against liability for Workers’ Compensation or to undertake self-insurance in accordance
with the provisions of that Code, and agrees to comply with such provisions before commencing
the performance of the Services.
49. Counterparts. This Agreement may be signed in counterparts, each of which shall
constitute an original.
50. Subpoenas or Court Orders. Should Consultant receive a subpoena or court order related
to this Agreement, the Services or the Project, Consultant shall immediately provide written
notice of the subpoena or court order to the Commission. Consultant shall not respond to any
such subpoena or court order until notice to the Commission is provided as required herein, and
shall cooperate with the Commission in responding to the subpoena or court order.
51. Assignment or Transfer. Consultant shall not assign, hypothecate, or transfer, either
directly or by operation of law, this Agreement or any interest herein, without the prior written
consent of the Commission. Any attempt to do so shall be null and void, and any assignees,
hypothecates or transferees shall acquire no right or interest by reason of such attempted
assignment, hypothecation or transfer.
52. Successors and Assigns. This Agreement shall be binding on the successors and assigns
of the parties, and shall not be assigned by Consultant without the prior written consent of
Commission.
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53. Incorporation of Recitals. The recitals set forth above are true and correct and are
incorporated into this Agreement as though fully set forth herein.
54. No Waiver. Failure of Commission to insist on any one occasion upon strict compliance
with any of the terms, covenants or conditions hereof shall not be deemed a waiver of such term,
covenant or condition, nor shall any waiver or relinquishment of any rights or powers hereunder
at any one time or more times be deemed a waiver or relinquishment of such other right or power
at any other time or times.
[Signatures on following page]
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SIGNATURE PAGE TO
PROFESSIONAL SERVICES AGREEMENT
WITH FEDERAL FUNDING/ASSISTANCE
IN WITNESS WHEREOF, this Agreement was executed on the date first written above.
RIVERSIDE COUNTY
TRANSPORTATION COMMISSION
WSP USA INC.
By:
Anne Mayer, Executive Director
By:
Signature
Name
Approved as to Form:
Title
By:
Best, Best & Krieger LLP
General Counsel
ATTEST:
By:
Its:
* A corporation requires the signatures of two corporate officers.
One signature shall be that of the chairman of board, the president or any vice president and the
second signature (on the attest line) shall be that of the secretary, any assistant secretary, the
chief financial officer or any assistant treasurer of such corporation.
If the above persons are not the intended signators, evidence of signature authority shall be
provided to RCTC.
346
Exhibit A
17336.00000\33573562.5
EXHIBIT “A”
SCOPE OF SERVICES
[WSP SCOPE TO BE INSERTED]
347
Exhibit B
EXHIBIT “B”
PRELIMINARY MILESTONE SCHEDULE
[attached behind this page]
348
Exhibit C
17336.00000\33573562.5
EXHIBIT “C”
COMPENSATION PROVISIONS
[attached behind this page]
349
Exhibit D
17336.00000\33573562.5
EXHIBIT “D”
FHWA/CALTRANS REQUIREMENTS
1. STATEMENT OF COMPLIANCE.
A. Consultant’s signature affixed herein shall constitute a certification under penalty of perjury
under the laws of the State of California that CONSULTANT has, unless exempt, complied with,
the nondiscrimination program requirements of Government Code Section 12990 and Title 2,
California Administrative Code, Section 8103.
B. During the performance of this Agreement, Consultant and its subconsultants shall not
unlawfully discriminate, harass, or allow harassment against any employee or applicant for
employment because of sex, race, color, ancestry, religious creed, national origin, physical
disability (including HIV and AIDS), mental disability, medical condition (e.g., cancer), age
(over 40), marital status, and denial of family care leave. Consultant and subconsultants shall
insure that the evaluation and treatment of their employees and applicants for employment are
free from such discrimination and harassment. Consultant and subconsultants shall comply with
the provisions of the Fair Employment and Housing Act (Gov. Code §12990 (a-f) et seq.) and the
applicable regulations promulgated there under (California Code of Regulations, Title 2, Section
7285 et seq.). The applicable regulations of the Fair Employment and Housing Commission
implementing Government Code Section 12990 (a-f), set forth in Chapter 5 of Division 4 of Title
2 of the California Code of Regulations, are incorporated into this Agreement by reference and
made a part hereof as if set forth in full. Consultant and its subconsultants shall give written
notice of their obligations under this clause to labor organizations with which they have a
collective bargaining or other Agreement.
C. If this Agreement is federally funded, the Consultant shall comply with regulations
relative to Title VI (nondiscrimination in federally-assisted programs of the Department of
Transportation – Title 49 Code of Federal Regulations, Part 21 - Effectuation of Title VI of the
1964 Civil Rights Act). Title VI provides that the recipients of federal assistance will implement
and maintain a policy of nondiscrimination in which no person in the state of California shall, on
the basis of race, color, national origin, religion, sex, age, disability, be excluded from
participation in, denied the benefits of or subject to discrimination under any program or activity
by the recipients of federal assistance or their assignees and successors in interest.
D. If this Agreement is federally funded, the Consultant, with regard to the work performed by it
during the Agreement shall act in accordance with Title VI. Specifically, the Consultant shall not
discriminate on the basis of race, color, national origin, religion, sex, age, or disability in the
selection and retention of Subconsultants, including procurement of materials and leases of
equipment. The Consultant shall not participate either directly or indirectly in the discrimination
prohibited by Section 21.5 of the U.S. DOT’s Regulations, including employment practices when
the Agreement covers a program whose goal is employment.
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Exhibit D
17336.00000\33573562.5
2. DEBARMENT AND SUSPENSION CERTIFICATION
CONSULTANT’s signature affixed herein, shall constitute a certification under penalty of
perjury under the laws of the State of California, that CONSULTANT has complied with Title 2
CFR, Part 180, “OMB Guidelines to Agencies on Government wide Debarment and Suspension
(nonprocurement)”, which certifies that he/she or any person associated therewith in the capacity
of owner, partner, director, officer, or manager, is not currently under suspension, debarment,
voluntary exclusion, or determination of ineligibility by any federal agency; has not been
suspended, debarred, voluntarily excluded, or determined ineligible by any federal agency within
the past three (3) years; does not have a proposed debarment pending; and has not been indicted,
convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any
matter involving fraud or official misconduct within the past three (3) years. Any exceptions to
this certification must be disclosed to COMMISSION.
B. Exceptions will not necessarily result in denial of recommendation for award, but will be
considered in determining CONSULTANT responsibility. Disclosures must indicate to whom
exceptions apply, initiating agency, and dates of action.
C. Exceptions to the Federal Government Excluded Parties List System maintained by the
General Services Administration are to be determined by the Federal highway Administration.
3. DISCRIMINATION
The Commission shall not discriminate on the basis of race, color, national origin, or sex in the
award and performance of any DOT-assisted contract or in the implementation of the Caltrans
DBE program or the requirements of 49 CFR Part 26. The Commission shall take all necessary
and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in the award and
administration of DOT-assisted contracts.
Consultant or subcontractor shall not discriminate on the basis of race, color, national origin, of
sex in the performance of this Agreement. Consultant or subcontractor shall carry out applicable
requirements of 49 CFR Part 26 and the Caltrans DBE program in the award and administration
of DOT-assisted contracts, as further set forth below. Failure by the Consultant or subcontractor
to carry out these requirements is a material breach of this Agreement, which may result in the
termination of this Agreement or such other remedy, as the Commission deems appropriate.
4. PROMPT PAYMENT
Consultant agrees to pay each subcontractor under this prime contract for satisfactory
performance of its contract no later than 10 days from the receipt of each payment the prime
contractor receives from the Commission. Any delay or postponement of payment from the
above referenced time frame may occur only for good cause following written approval of the
Commission. In the event that there is a good faith dispute over all or any portion of the amount
due on a progress payment from Consultant or subconsultant to a subconsultant, Consultant or
subconsultant may withhold no more than 150 percent of the disputed amount. Any violation of
351
Exhibit D
17336.00000\33573562.5
this requirement shall constitute a cause for disciplinary action and shall subject the
Consultant/subconsultant, as applicable, to a penalty, payable to the subconsultant, of 2 percent
of the amount due per month for every month that payment is not made. In any action for the
collection of funds wrongfully withheld, the prevailing party shall be entitled to his or her
attorney’s fees and costs. The sanctions authorized under this requirement shall be separate from,
and in addition to, all other remedies, either civil, administrative, or criminal. This clause applies
to both DBE and non-DBE subconsultants. This clause applies to both DBE and non-DBE
subcontractors.
5. RELEASE OF RETAINAGE
No retainage will be withheld by the Agency from progress payments due the prime consultant.
Retainage by the prime consultant or subconsultants is prohibited, and no retainage will be held
by the prime consultant from progress due subconsultants. Any violation of this provision shall
subject the violating prime consultant or subconsultants to the penalties, sanctions, and other
remedies specified in Section 7108.5 of the California Business and Professions Code. This
requirement shall not be construed to limit or impair any contractual, administrative, or judicial
remedies, otherwise available to the prime consultant or subconsultant in the event of a dispute
involving late payment or nonpayment by the prime consultant or deficient subconsultant
performance, or noncompliance by a subconsultant. This provision applies to both DBE and non-
DBE prime consultants and subconsultants.
6. LEGAL REMEDIES
In addition to those contract remedies set forth under relevant provisions of California law, either
Party to this Agreement may, where applicable, seek legal redress for violations of this
Agreement pursuant to the relevant provisions of 49 C.F.R. Parts 23 and 26, to the relevant
federal or state statutory provisions governing civil rights violations, and to the relevant federal
and state provisions governing false claims or “whistleblower” actions, as well as any and all
other applicable federal and state provisions of law.
The Consultant shall include a provision to this effect in each of its agreements with its
subcontractors.
7. DBE PARTICIPATION
Caltrans has developed a statewide DBE program pursuant to 49 C.F.R. Part 26. The
requirements and procedures, as applicable, of the Caltrans DBE program are hereby
incorporated by reference into this Agreement. Even if no DBE participation will be reported, if
requested by Commission, Consultant shall complete any DBE reporting forms in compliance
with the Caltrans DBE program. A DBE may be terminated only with prior written approval
from the Commission and only for the reasons specified in 49 CFR 26.53(f). Prior to requesting
Commission consent for the termination, the prime consultant must meet the procedural
requirements specified in 49 CFR 26.53(f).
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Exhibit D
17336.00000\33573562.5
Consultant or subconsultant will never exclude any person from participation in, deny any person
the benefits of, or otherwise discriminate against anyone in connection with the award and
performance of any contract covered by 49 CFR 26 on the basis of race, color, sex, or national
origin. In administering the Commission components of the DBE Program Plan, Consultant or
subconsultant will not, directly, or through contractual or other use criteria or methods of
administration that have the effect of defeating or substantially impairing accomplishment of the
objectives of the Caltrans DBE Program Plan with respect to individuals of a particular race,
color, sex, or national origin.
8. DBE CERTIFICATION AND DE-CERTIFICATION STATUS
If a DBE subcontractor is decertified during the life of the Agreement, the decertified
subcontractor shall notify the Contractor in writing with the date of de-certification. If a
subcontractor becomes a certified DBE during the life of the Agreement, the subcontractor shall
notify the Contractor in writing with the date of certification. Any changes should be reported to
the Commission’s Contract Administrator within 30 days.
9. DEBARMENT, SUSPENSION AND OTHER INELIGIBILITY AND VOLUNTARY
EXCLUSION
In accordance with 49 CFR Part 29, which by this reference is incorporated herein, Consultant’s
subconsultants completed and submitted the Certificate of subconsultant Regarding Debarment,
Suspension and Other Ineligibility and Voluntary Exclusion as part of the Consultant’s proposal.
If it is later determined that Consultant’s subconsultants knowingly rendered an erroneous
Certificate, the Commission may, among other remedies, terminate this Agreement.
10. ENVIRONMENTAL COMPLIANCE
A. Compliance with all applicable standards, orders, or requirements issued under section 306 of
the Clean Air Act (42 U.S.C. 1857(h)), section 508 of the Clean Water Act (33 U.S.C. 1368),
Executive Order 11738, and Environmental Protection Agency regulations (40 CFR part 15).
(Contracts, subcontracts, and subgrants of amounts in excess of $100,000).
B. Mandatory standards and policies relating to energy efficiency which are contained in the
state energy conservation plan issued in compliance with the Energy Policy and Conservation
Act (Pub. L. 94-163, 89 Stat. 871).
11. NATIONAL LABOR RELATIONS BOARD CERTIFICATION
In accordance with Public Contract Code Section 10296, and by signing this Agreement,
Consultant certifies under penalty of perjury that no more than one final unappealable finding of
contempt of court by a federal court has been issued against Consultant within the immediately
preceding two-year period, because of Consultant’s failure to comply with an order of a federal
court that orders Consultant to comply with an order of the National Labor Relations Board.
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08-RIV-15-7.9
Page 1 of 7 Minor Funds Contribution Agreement 2016_06_13
EA: 1L900
Project Number: 0821000012
Agreement 08 - 1741
Agreement No. 21-31-059-00
COOPERATIVE AGREEMENT
State SHOPP Minor Funds Contribution
This Agreement, effective on April 9, 2021, is between the State of California, acting
through its Department of Transportation, referred to as CALTRANS, and:
Riverside County Transportation Commission, a political subdivision of the State of California,
referred to hereinafter as RCTC.
RECITALS
1.PARTIES are authorized to enter into a cooperative agreement for improvements to the
State Highway System per the California Streets and Highways Code Sections 114 and
130.
2.The term AGREEMENT, as used herein, includes any attachments, exhibits, and
amendments.
3.This AGREEMENT shall have no force or effect until RCTC has obtained an
encroachment permit from CALTRANS.
4.RCTC intends to construct A new data collection and adaptive highway ramp metering
system on I-15 northbound from the San Diego county line to I-15/I-215 split. within the
State Highway System and is referred to herein as the PROJECT.
5.RCTC will follow the CALTRANS encroachment permit process in order to complete the
PROJECT.
6.CALTRANS will pay RCTC in the amount of $1,200,000 from SHOPP Minor funds
required for the PROJECT.
7.PARTIES hereby set forth the terms, covenants, and conditions for CALTRANS’
contribution toward the PROJECT.
ATTACHMENT 4
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SCOPE
8. RCTC is responsible for completing all work for the PROJECT.
9. At no cost to RCTC, CALTRANS will perform Quality Management to assure RCTC's
work is performed in accordance with CALTRANS’ current policies, procedures,
standards, and practices.
INVOICE & PAYMENT
10. RCTC will submit to CALTRANS monthly invoices for the prior month’s actual
expenditures.
11. CALTRANS will pay RCTC within 45 (forty-five) calendar days of receipt of invoices.
12. PARTIES agree that the total amount of SHOPP Minor funds paid out to RCTC will not
exceed $1,200,000.
13. After PARTIES agree that all work for the PROJECT is complete, RCTC will submit a
final accounting for all costs. Based on the final accounting, RCTC will refund or invoice
as necessary in order to satisfy the financial commitment of this AGREEMENT.
GENERAL CONDITIONS
14. All portions of this AGREEMENT, including the Recitals Section, are enforceable.
15. All obligations of CALTRANS under the terms of this AGREEMENT are subject to the
appropriation of resources by the Legislature, the State Budget Act authority, and the
allocation of funds by the California Transportation Commission.
16. If RCTC fails to complete the PROJECT for any reason, RCTC shall, at RCTC’s expense,
return the State Highway System right-of-way to its original condition or to a safe and
operable condition acceptable to CALTRANS. If RCTC fails to do so, CALTRANS
reserves the right to finish the work or place the PROJECT in a safe and operable
condition. CALTRANS will bill RCTC for all expenses incurred and RCTC agrees to pay
said bill within forty -five (45) days of receipt.
17. If RCTC fails to complete the PROJECT for any reason, RCTC will refund the full amount
of CALTRANS’ contribution.
18. RCTC will retain all PROJECT related records for three (3) years after the final voucher.
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19. HM-1 is hazardous material (including, but not limited to, hazardous waste) that may
require removal and disposal pursuant to federal or state law, whether it is disturbed by the
PROJECT or not.
HM-2 is hazardous material (including, but not limited to, hazardous waste) that may
require removal and disposal pursuant to federal or state law only if disturbed by the
PROJECT.
The management activities related to HM-1 and HM-2, including and without limitation,
any necessary manifest requirements and disposal facility designations are referred to
herein as HM-1 MANAGEMENT and HM-2 MANAGEMENT respectively.
20. If HM-1 or HM-2 is found during construction, RCTC will immediately notify
CALTRANS.
21. CALTRANS, independent of the PROJECT, is responsible for any HM-1 found within the
existing State Highway System right-of-way. CALTRANS will undertake, or cause to be
undertaken, HM-1 MANAGEMENT with minimum impact to the PROJECT schedule.
CALTRANS, independent of the PROJECT will pay, or cause to be paid, the cost of HM-1
MANAGEMENT related to HM-1 found within the existing State Highway System right-
of-way.
22. RCTC, independent of the PROJECT, is responsible for any HM-1 found within the
PROJECT limits and outside the existing State Highway System right-of-way. RCTC will
undertake or cause to be undertaken HM-1 MANAGEMENT with minimum impact to the
PROJECT schedule.
RCTC, independent of the PROJECT, will pay, or cause to be paid, the cost for HM-1
MANAGEMENT for HM-1 found within the PROJECT limits and outside of the existing
State Highway System right-of-way.
23. RCTC is responsible for HM-2 MANAGEMENT within the PROJECT limits.
24. HM-2 MANAGEMENT costs are PROJECT costs.
25. Neither RCTC nor any officer or employee thereof is responsible for any injury, damage,
or liability occurring by reason of anything done or omitted to be done by CALTRANS, its
contractors, sub-contractors, and/or its agents under or in connection with any work,
authority, or jurisdiction conferred upon CALTRANS under this AGREEMENT. It is
understood and agreed that CALTRANS, to the extent permitted by law, will defend,
indemnify, and save harmless RCTC and all of its officers and employees from all claims,
suits, or actions of every name, kind, and description brought forth under, but not limited
to, tortious, contractual, inverse condemnation, or other theories and assertions of liability
occurring by reason of anything done or omitted to be done by CALTRANS, its
contractors, sub-contractors, and/or its agents under this AGREEMENT.
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26. Neither CALTRANS nor any officer or employee thereof is responsible for any injury,
damage, or liability occurring by reason of anything done or omitted to be done by RCTC,
its contractors, sub-contractors, and/or its agents under or in connection with any work,
authority, or jurisdiction conferred upon RCTC under this AGREEMENT. It is understood
and agreed that RCTC, to the extent permitted by law, will defend, indemnify, and save
harmless CALTRANS and all of its officers and employees from all claims, suits, or
actions of every name, kind, and description brought forth under, but not limited to,
tortious, contractual, inverse condemnation, or other theories and assertions of liability
occurring by reason of anything done or omitted to be done by RCTC, its contractors, sub-
contractors, and/or its agents under this AGREEMENT.
27. If the work performed on this PROJECT is done under contract and falls within the Labor
Code section 1720(a)(1) definition of "public works" in that it is construction, alteration,
demolition, installation, or repair; or maintenance work under Labor Code section 1771
RCTC must conform to the provisions of Labor Code sections 1720 through 1815, and all
applicable provisions of California Code of Regulations found in Title 8, Chapter 8,
Subchapter 3, Articles 1-7. RCTC agrees to include prevailing wage requirements in its
contracts for public work. Work performed by RCTC's own forces is exempt from the
Labor Code's Prevailing Wage requirements.
RCTC shall require its contractors to include prevailing wage requirements in all
subcontracts funded by this AGREEMENT when the work to be performed by the
subcontractor is "public works" as defined in Labor Code Section 1720(a)(1) and Labor
Code Section 1771. Subcontracts shall include all prevailing wage requirements set forth in
RCTC contracts.
28. This AGREEMENT is intended to be PARTIES final expression and supersedes all prior
oral understandings pertaining to the PROJECT.
29. Unless otherwise documented in a maintenance agreement, RCTC will maintain all
PROJECT improvements.
30. This AGREEMENT will terminate upon CALTRANS’ acceptance of the PROJECT.
However, all indemnification and maintenance articles of this AGREEMENT will remain
in effect until terminated or modified in writing by mutual agreement.
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DEFINITIONS
PARTY – Any individual signatory party to AGREEMENT.
PARTIES – The term that collectively references all of the signatory agencies to
AGREEMENT.
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CONTACT INFORMATION
The information provided below indicates the primary contact information for each PARTY to this
AGREEMENT. PARTIES will notify each other in writing of any personnel or location changes.
Contact information changes do not require an amendment to this AGREEMENT.
The primary Agreement contact person for CALTRANS is:
Emad Makar, Project Manager
464 West Fourth Street
San Bernardino, CA 92401
Office Phone: (909) 383-4978
Mobile Phone: (909) 665-3469
Email: emad.makar@dot.ca.gov
The primary Agreement contact person for RCTC is:
Marlin Feenstra, Project Delivery Director
4080 Lemon Street 3rd Floor
Riverside, CA 92502
Office Phone: (951) 787-7141
Email: mfeenstra@rctc.org
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SIGNATURES
PARTIES are empowered by the law to enter into this AGREEMENT and have delegated to the
undersigned the authority to execute this AGREEMENT on behalf of the respective agencies and
covenants to have followed all the necessary legal requirements to validly execute this
AGREEMENT.
This AGREEMENT may be executed and delivered in counterparts, and by each PARTY in a
separate counterpart, each of which when so executed and delivered shall constitute an original
and all of which taken together shall constitute one and the same instrument.
The PARTIES acknowledge that executed copies of this AGREEMENT may be exchanged by
facsimile or email, and that such copies shall be deemed to be effective as originals.
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
RIVERSIDE COUNTY
TRANSPORTATION COMMISSION
Michael D. Beauchamp
District Director
Verification of funds and authority:
Anne Mayer
Executive Director
Approved as to form and procedure:
Corina Harriman
District Budget Manager
Steven C. DeBaun
Best Best & Krieger LP
General Counsel
, Diane Morales for
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AGENDA ITEM 8I
Agenda Item 8I
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM: Western Riverside County Programs and Projects Committee
Bryce Johnston, Capital Projects Manager
THROUGH: Anne Mayer, Executive Director
SUBJECT:
Amendment No. 1 to Cooperative Agreement No. 19-33-004-00 with Southern
California Regional Rail Authority for Construction of the Riverside Layover
Facility Improvement Project
WESTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS COMMITTEE AND STAFF
RECOMMENDATION:
This item is for the Commission to:
1) Approve Agreement No. 19-33-004-01, Amendment No. 1 to Agreement
No. 19-33-004-00, between the Commission and Southern California Regional Rail
Authority (SCRRA) for the construction of the Riverside Layover Facility Improvement
project (Project) in the amount of $99,999, plus a contingency amount of $10,000, for an
additional amount of $109,999, and a total amount not to exceed $281,999;
2) Authorize the Chair or Executive Director, pursuant to legal counsel review, to execute
the cooperative agreement on behalf of the Commission; and
3) Authorize the Executive Director or designee to approve the use of a contingency, as may
be required for these services.
BACKGROUND INFORMATION:
In December 2018 the Commission approved Cooperative Agreement No. 19-33-004-00 with
SCRRA (Metrolink) to provide construction support services for the expansion of the existing
Riverside−Downtown Metrolink Station Layover Facility from one storage track to three storage
tracks. This increased layover capacity is required for the storage and servicing of trains providing
existing Metrolink service. The Project is located at the north end of the existing
Riverside−Downtown Station on right of way owned by the Commission.
On June 12, 2020, the Commission approved the award of Agreement No. 19-33-029-00 for the
construction of the Riverside−Downtown Metrolink Station Layover Expansion Project to Reyes
Construction (Reyes). As part of the contract work, Reyes was to remove and reuse the existing
wayside power cabinet. Over the past year SCRRA has had issues with old cabinets of this type
and notified Commission staff that that the pre-existing wayside power cabinet must be replaced
to ensure reliable operations for the newly expanded layover facility. SCRRA was in the process
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Agenda Item 8I
of procuring similar units at a lower price than the Commission or Reyes could obtain; therefore,
it was determined that the most cost-effective solution would be for SCRRA to procure and install
the new cabinet. This would also preclude any delay claims from Reyes. The cost of the cabinet
and installation services is estimated to be $99,999. Staff recommends approval of the
amendment for $99,999 plus an additional $10,000 contingency for any unanticipated issues.
The additional costs will be funded by the same Federal Transit Administration (FTA) grant that
paid for the original contract amount.
The following is a summary of the Commission’s actions to date, including this amendment:
Commission Authorization
Amount Contingency Total
Original $ 156,200 $ 15,800 $ 172,000
Amendment No.
1 (proposed) 99,999 10,000 109,999
Total $ 256,199 $ 25,800 $ 281,999
Staff recommends authorization for the Chair or Executive Director, pursuant to legal counsel
review, to execute the agreement on behalf of the Commission and for the Executive Director or
designee to approve the use of a contingency, as may be required for these services.
FISCAL IMPACT:
Financial Information
In Fiscal Year Budget: Yes Year: FY 2020/21 Amount: $109,999
Source of Funds: FTA grant Budget Adjustment: No
GL/Project Accounting No.: 653822 81304 00000 0000 265 33 81301
Fiscal Procedures Approved: Date: 04/14/2021
Attachment: Draft Amendment No. 1 to Cooperative Agreement No. 19-33-004-00 with SCRRA
Approved by the Western Riverside County Programs and Projects Committee on
April 26, 2021
In Favor: 11 Abstain: 0 No: 0
362
17336.0601K\33855509.1
COOPERATIVE AGREEMENT NO. 19-33-004-01
-1-
AMENDMENT NO. 1
TO
COOPERATIVE AGREEMENT NO. 19-33-004-00
BETWEEN
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AND
SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY
FOR
CONSTRUCTION OF THE RIVERSIDE LAYOVER FACILITY IMPROVEMENT PROJECT
This “Amendment No. 1” to the February 12, 2019 Cooperative Agreement No. 19-33-004-00
(herein referred to as the "AGREEMENT") for the Construction of the Riverside Layover Facility
Improvement Project (herein referred to as the “PROJECT”) is made and entered into as of the
__________ day of __________, 2021, by and between the SOUTHERN CALIFORNIA
REGIONAL RAIL AUTHORITY, a joint powers authority existing under the laws of the State of
California (hereinafter referred to as "SCRRA"), to be addressed at 900 Wilshire Blvd., Suite 1500,
Los Angeles, CA 90017 and the RIVERSIDE COUNTY TRANSPORTATION COMMISSION, a
public agency, 4080 Lemon St, Riverside, California 92501 (hereinafter referred to as
“COMMISSION” or “RCTC”). CITY and SCRRA may be referred to singly as “PARTY” and
collectively as “PARTIES.”
RECITALS:
COMMISSION and SCRRA executed the AGREEMENT on February 12, 2019 which established
roles, responsibilities, funding and processes during construction of PROJECT located at the
north end of the existing Riverside-Downtown Station on right-of-way (ROW) owned by RCTC.
The existing North Layover Facility is located between railroad mileposts (MP) 9.75 and 9.92 on
Riverside Layover at Riverside Station.
Through further site investigations and project development, it has been determined that the pre-
existing Wayside Power Cabinet must be replaced to ensure reliable operations for the newly
expanded Layover Facility.
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COOPERATIVE AGREEMENT NO. 19-33-004-00
AMENDMENT NO. 1
-2-
17336.0601K\33855509.1
COMMISSION and SCRRA desire to amend the AGREEMENT to increase the funding for
SERVICES work to be performed by SCRRA and to update the estimated cost for said services
by Ninety-Nine Thousand Nine Hundred Ninety-Nine Dollars ($99,999).
NOW THEREFORE, the Parties hereto mutually agree as follows:
1. Article 5, Item S. is hereby added to read as follows:
S. To procure and install one (1) new wayside power cabinet, including modifications to
existing main switchboard as required.
2. Article 6 is hereby amended to read as follows:
Notwithstanding any provisions of this Agreement to the contrary, COMMISSION
and SCRRA mutually agree that COMMISSION’s maximum cumulative payment
obligation to SCRRA for the SERVICES (including SCRRA’S direct and indirect
costs) shall be Two Hundred Sixty-Nine Thousand Three Hundred Ninety-nine
Dollars ($269,399), unless otherwise agreed upon by the Parties pursuant to a
written amendment to this Agreement.
3. Article 9, Item N, Party’s Address and Addressee are hereby amended to read as follows:
To COMMISSION To SCRRA
Marlin Feenstra
Capital Project Manager
Justin Fornelli, P.E.
Chief, Program Delivery
Riverside County Transportation
Commission
Southern California Regional Rail Authority
4080 Lemon Street
Riverside, CA 92501
2558 Supply Street, Building A
Pomona, CA 91767
Tel: (951) 787-7963 Tel: (909) 593-4291
Email: mfeenstra@rctc.org Email: fornellij@scrra.net
4. Article 9, Item A. is hereby amended to read as follows:
Term of Agreement: This Agreement shall continue in full force and effect through
January 1, 2023, unless terminated earlier by mutual written consent by both Parties.
In the event ICAP charges have not been billed due to an unapproved rate and paid
by COMMISSION, this agreement shall be extended for one year.
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COOPERATIVE AGREEMENT NO. 19-33-004-00
AMENDMENT NO. 1
-3-
17336.0601K\33855509.1
’5. Exhibit “B” shall be replaced in its entirety with the included Exhibit “B” (Revision 1).
[SIGNATURES APPEAR ON THE FOLLOWING PAGE]
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COOPERATIVE AGREEMENT NO. 19-33-004-00
AMENDMENT NO. 1
-4-
17336.0601K\33855509.1
IN WITNESS WHEREOF, the parties have caused this AMENDMENT No. 1 to Agreement No.
19-33-004-00 to be executed and attested by their duly qualified and authorized officials.
SOUTHERN CALIFORNIA REGIONAL RIVERSIDE COUNTY
RAIL AUTHORITY TRANSPORTATION COMMISSION
By: ________________________________ By: ______________________________
Stephanie N. Wiggins Anne Mayer
Chief Executive Officer Executive Director
Date: ________________________________ Date: ______________________________
APPROVED AS TO FORM: APPROVED AS TO FORM:
Best Best & Krieger LLP
By: ______________________________ By:____________________________
Don O. Del Rio Steve DeBaun
General Counsel General Counsel
Date: _____________________________ Date: _____________________________
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COOPERATIVE AGREEMENT NO. 19-33-004-00
AMENDMENT NO. 1
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17336.0601K\33855509.1
EXHIBIT "B" (REVISION 1)
BUDGETED SCHEDULE AND COST
No. of
Months
Meeting
per
Month
Hours No. of
Persons
Total
Hours
A
1 Meetings /Admin 11 2 4 1 88 HR $250.00 $22,000.00
2 General Coordination / PM Work 11 1 6 1 66 HR $250.00 $16,500.00
Inter-Departmental Meetings 11 0.25 2 4 22 HR $250.00 $5,500.00
3
Document Reviews (Work Windows, SSWP,
Construction Staging)
2 16 HR $250.00 $4,000.00
4 Material Procurement (SCRRA Staff)16 HR $250.00 $4,000.00
Sub-Total 192 $52,000.00
B
1 Track Inspection (track in/out service)1 LS $5,000.00 $5,000.00
Sub-Total $5,000.00
C
1 C&S Maintenance Contractor Support 1 LS $5,000.00 $5,000.00
Sub-Total $5,000.00
D
1 133 RE Relay Rail (does not include transport)
5,000 LF $10.00 $50,000.00
Sub-Total $50,000.00
E
1 Safety Training by SCRRA Consultant 4 EA $1,000.00 $4,000.00
2 SCRRA Cable Markings (includes refresh)6 EA $500.00 $3,000.00
3 Flagging Services 20 Days $1,750.00 $35,000.00
Sub-Total $42,000.00
Sub-Total (Items A-F)$154,000.00
$15,400.00
F
1 Wayside Power Cabinet & Hookup to MSB 1 LS $99,999.00 $99,999.00
$269,399.00
Notes:
1
2
Contingency (10%)
The cost of the SCRRA services shown is an estimate only and RCTC will reimburse SCRRA on the basis of actual costs and expenses.
RCTC shall reimburse SCRRA the actual costs and expenses incurred by SCRRA and its contractors and consultants for all services and work
performed in connection with this project, including an allocated overhead representing SCRRA’s costs for administration and management.
TOTAL ESTIMATED COST
NO.ITEM
Track Support Services
Permit Processing
Communication & Signal Support Services
Project Management
SCRRA Provided Material
Power Cabinet
Date
Cooperative Agreement
SCRRA Project No.
Project Name
Schedule
419003
19-33-004-00
25-Mar-21
QUANTITY
UNIT UNIT COST TOTAL COST
11 Months Construction
Riverside Layover Facility-Construction
367
AGENDA ITEM 8J
Agenda Item 8J
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM: Budget and Implementation Committee
Marlin Feenstra, Project Delivery Director
THROUGH: Anne Mayer, Executive Director
SUBJECT: Quarterly Reporting of Contract Change Order for Construction Contracts
BUDGET AND IMPLEMENTATION COMMITTEE AND STAFF RECOMMENDATION:
This item is for the Commission to receive and file the Quarterly Report of Contract Change
Orders for Construction Contracts for the past three months ending March 31, 2021.
BACKGROUND INFORMATION:
During the past quarter, January to March 2021, the Commission has had the following projects
under construction:
1. Mid County Parkway Placentia project
2. I-15 Railroad Canyon Interchange project
3. SR-91 Pachappa Underpass project
4. SR-60 Truck Lanes project
5. Downtown Riverside Station Layover Facility project
6. I-15 Express Lanes project
7. SR-91 Corridor Operations project
In addition to the projects under construction, the Commission also had on-going Toll operations
contracts.
1. I-15 Express Lanes project – Toll Services Provider (Kapsch)
2. I-15 / SR-91 Express Lanes Connector – Toll Services Provider (Kapsch)
DISCUSSION:
At the direction of the Executive Committee at its March 2021 meeting, a report will be filed each
quarter listing the construction contract change orders that were issued in the previous quarter.
The following table summarizes the Contract Changes Orders that occurred in the last quarter (3rd
quarter of FY 2020/2021).
368
Agenda Item 8J
369
Agenda Item 8J
Approved by the Budget and Implementation Committee on April 26, 2021
In Favor: 11 Abstain: 0 No: 0
370
AGENDA ITEM 8K
Agenda Item 8K
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM: Western Riverside County Programs and Projects Committee
Sheldon Peterson, Rail Manager
THROUGH: Anne Mayer, Executive Director
SUBJECT: Low Carbon Transit Operations Program Resolution
WESTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS COMMITTEE AND STAFF
RECOMMENDATION
This item is for the Commission to adopt Resolution No. 21-005, “Resolution of the Riverside
County Transportation Commission Regarding Authorization for the Execution of the
Certifications and Assurances and Authorized Agent Forms for the Low Carbon Transit Operations
Program for the Expanded Perris Valley Line Operations Project Fiscal Year 2022 Funds in the
Amount of $864,540”.
BACKGROUND INFORMATION:
The Commission’s Commuter Rail Program applies for various federal and state funds that are
necessary to fund rail projects within Riverside County. There is also the need for grants to meet
the Commission’s annual funding responsibility related to rail operations and capital projects.
The Commuter Rail Program is currently seeking approval to obtain Low Carbon Transit
Operations Program (LCTOP) grant funding which is available through the California Department
of Transportation in the amount of $864,540. This project would be for the Expanded Perris
Valley Line (PVL) Operations FY 2021/22 that will continue to fund the previously added weekend
service. This is an eligible project since it reduces GHG emissions and supports Metrolink’s effort
to increase mode share.
As required by the LCTOP grant guidelines, Resolution No. 21-005 is needed to authorize use of
the funds on PVL operations and authorize the Executive Director to execute the certifications
and assurances and authorized agent forms. The resolution is required to submit and file the
grant; therefore, staff recommends approval of the resolution related to the FY 2021/22 LCTOP
grant.
FISCAL IMPACT:
Funding received from this grant is included in the FY 2021/22 budget and will be reflected in
Commission’s FY 2021/22 Short Range Transit Plan.
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Agenda Item 8K
Financial Information
In Fiscal Year Budget: Yes Year: FY 2021/22 Amount: $864,540
Source of Funds: LCTOP Budget Adjustment: No
GL/Project Accounting No.: 034198 415 41511 0000 103 25 41501
Fiscal Procedures Approved: Date: 04/13/2021
Attachment: Resolution No. 21-005
Approved by the Western Riverside County Programs and Projects Committee on
April 26, 2021
In Favor: 11 Abstain: 0 No: 0
372
RESOLUTION NO. 21-005
RESOLUTION OF THE RIVERSIDE COUNTY TRANSPORTATION COMMISSION
REGARDING AUTHORIZATION FOR THE EXECUTION OF THE
CERTIFICATIONS AND ASSURANCES AND AUTHORIZED AGENT FORMS
FOR THE LOW CARBON TRANSIT OPERATIONS PROGRAM FOR THE
EXPANDED PERRIS VALLEY LINE OPERATIONS PROJECT FISCAL YEAR 2022
FUNDS IN THE AMOUNT OF $864,540
WHEREAS, the Riverside County Transportation Commission is an eligible project
sponsor and may receive state funding from the Low Carbon Transit Operations Program
(LCTOP) for transit projects; and
WHEREAS, the statutes related to state-funded transit projects require a local or regional
implementing agency to abide by various regulations; and
WHEREAS, Senate Bill 862 (2014) named the Department of Transportation
(Department) as the administrative agency for the LCTOP; and
WHEREAS, the Department has developed guidelines for the purpose of administering
and distributing LCTOP funds to eligible project sponsors (local agencies); and
WHEREAS, the Riverside County Transportation Commission wishes to delegate
authorization to execute these documents and any amendments thereto to Anne Mayer,
Executive Director; and
WHEREAS, the Riverside County Transportation Commission wishes to implement the
LCTOP project listed above,
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 and the
Authorized Agent documents and applicable statutes, regulations and guidelines for all
LCTOP funded transit projects.
NOW THEREFORE, BE IT FURTHER RESOLVED that Anne Mayer, Executive Director
be authorized to execute all required documents of the LCTOP program and any
Amendments thereto with the California Department of Transportation.
NOW, THEREFORE, BE IT RESOLVED by the Board of Commissioners of the Riverside
County Transportation Commission that it hereby authorizes the submittal of the following
project nomination and allocation request to the Department in FY 2020-21 LCTOP funds:
373
List project(s), including the following information:
Project Name: Expanded Perris Valley Line Operations FY 2022
Amount of LCTOP funds requested: $864,540
Short description of project:
Funding will be used for operating costs associated to expand the commuter rail Perris
Valley Line.
Contributing Sponsor: Not applicable
APPROVED AND ADOPTED this 12th day of May 2021.
Jan C. Harnik
Riverside County Transportation Commission
ATTEST:
Lisa Mobley, Clerk of the Board
Riverside County Transportation Commission
374
AGENDA ITEM 9
Agenda Item 9
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM:
Western Riverside County Programs and Projects Committee
Monica M. Morales, Senior Management Analyst
Lorelle Moe-Luna, Multimodal Services Director
THROUGH: Anne Mayer, Executive Director
SUBJECT: Measure A Specialized Transit Award Recommendations for Fiscal Years
2021/22 – 2023/24
WSTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS COMMITTEE AND STAFF
RECOMMENDATION:
This item is for the Commission to:
1) Approve the staff recommendations for the Measure A Western Riverside County
Specialized Transit Program Fiscal Year (FY) 2021/22 - 2023/24 Call for Projects totaling
$8,951,257;
2) Approve an allocation of $150,000 for a specialized transit pilot program for the city of
Menifee (City);
3) Direct staff to prepare agreements with the award recipients to outline the scope, project
schedules, and local funding commitments; and
4) Authorize the Chair or Executive Director to execute the agreements with the award
recipients, pursuant to legal counsel review.
BACKGROUND INFORMATION:
The 2009 Measure A Expenditure Plan allocates approximately 11.6 percent of the annual
revenues from the 2009 Measure A Western County program to public transit. The public transit
allocation is then distributed among five programs, namely: specialized transit services,
specialized transit-consolidated transportation service agency operations, commuter rail,
intercity bus, and commuter services. The Measure A Specialized Transit Program receives about
1.9 percent of the 2009 Measure A Western County program revenues, or a 16.4 percent share
of the 11.6 percent for public transit. The program provides funding to benefit older adults,
persons with disabilities, and/or those that are most vulnerable and truly needy in Western
County. In Western County, this funding has been distributed through a competitive process to
a wide array of non-profit and community organizations that serve these constituencies for
specialized transit services for persons with disabilities and older adults.
375
Agenda Item 9
The goals of the Measure A Specialized Transit Program for western Riverside County are to:
• Support directly operated services that expand or extend existing services, which, if not
funded by Measure A funds, would leave an area and/or special population without
alternate service options;
• Support existing services that offer an improved level of service coordination with the
existing transportation network;
• Expand new services that leverage other revenue sources, can be administered in a cost-
effective manner, and will not require long-term support from Measure A funding; and
• Support new and expansion of existing services including transportation for veterans and
shuttles including, but not limited to, nutrition and medical services.
Projects that are eligible under the program include operating and capital projects such as senior
transportation shuttles, non-emergency medical transportation services, bus pass/voucher
programs, mileage reimbursement programs, travel training, vehicle and maintenance
equipment, communications and dispatch equipment, and mobility management.
Providing funding to non-profit providers of transit services for persons with disabilities, low
income, and senior citizens has long been a priority of the Commission. The voter-approved 1989
and 2009 Measure A Expenditure Plans specify funding allocations for the provision of this type
of service provided by transit operators and non-profit agencies.
DISCUSSION:
The fifth program cycle is set to expire on June 30, 2021. At its January 2021 meeting, the
Commission directed staff to release the program guidelines and application for the FYs 2021/22
– 2023/24 Measure A Western Riverside County Specialized Transit Call for Projects and
approved the funding allocation. The Call for Projects was released to the public on January 13,
2021 and applications were due February 17, 2021. The following table is a summary of the total
available funds covering FYs 2021/22 through 2023/24.
FISCAL YEARS 2021/22-2023/24
Funding Source Fiscal Year Total
2009 Measure A 2022 $2,891,000
2009 Measure A 2023 $2,920,000
2009 Measure A 2024 $2,949,000
TOTAL $8,760,000
A total of 19 operations and capital project proposals were received from 16 agencies, totaling
$9,717,000 in requests. To evaluate and score the projects, one staff member from the San
Bernardino County Transportation Authority, Riverside Transit Agency, and SunLine Transit
Agency participated on the evaluation panel. Additionally, three Commission staff members
376
Agenda Item 9
evaluated applications, for a total of six evaluators. The scoring criteria outlined in the approved
program guidelines were used by the evaluation committee.
After final scores and analysis, staff determined that some applications exceeded the maximum
amount allowable per project and/or included non-eligible expenses. Upon final negotiations
with applicants, it was determined that the 3-year program would be oversubscribed by
$191,257; however, staff determined that the funding for this Call for Projects could be increased
by $191,257 due to available fund balance. Staff recommends the approval of the awards
summarized in Attachment 1 for a total allocation of $8,951,257 for this Call for Projects.
In addition, staff recommends an award of $150,000 to the City for a specialized transit pilot
project. The City submitted an application in the Call for Projects for a Dial-A-Ride Voucher
Program; however, it was determined that the request was not consistent with the Specialized
Transit goals since it would create new Dial-A-Ride trips rather than mitigating growth on the
more costly service. The City hoped, that through this voucher program, it would be able to
gather information to develop a more robust specialized transit service for its residents in the
future. Commission staff recognizes that the City has a need to address the specialized
transportation population given the large senior community in Sun City. In discussion with City
staff, the City opted to rescind its application and it was recommended that a more detailed
analysis be completed prior to the deployment of a new program or service. Staff recommends
that a capacity building pilot project commencing with a market study be completed in
collaboration with the City to do the following:
• Conduct a tailored city-level market analysis of its seniors/disabled/low-income
population, including surveys, community meetings, and outreach with local social service
agencies;
• Provide education and outreach on the existing resources such as the Transportation
Reimbursement and Information Project (TRIP), a volunteer driver mileage
reimbursement program and others that already exist;
• Conduct a mini symposium and bring in other small non-profit providers in the Measure
A network to share best practices, experiences, and project development ideas;
• Conduct other market research in which a subsidy program with a transportation network
company such as Uber or Lyft might be an option; and
• Provide practical recommendations that the City may take to deploy a pilot program.
Funding for this study will be led by the Commission and will be included in the FY 2021/22
budget. Staff recommends that the Commission approve $150,000 of Measure A Specialized
Transit funds for a pilot project pending the recommendations of the study. The pilot project is
consistent with the program goals and strategies to build capacity for expanded transportation
options and can also be used as a model for other cities and communities in the county who
require similar services.
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Agenda Item 9
There is no financial impact on the FY 2020/21 budget. Measure A Specialized Transit funds for
the recommended awards are included in the proposed FY 2021/22 budget and will be budgeted
for in FYs 2022/23 and 2023/24 through the regular budget process.
Financial Information
In Fiscal Year Budget: Yes
N/A Year: FY 2021/22
FY 2022/23+ Amount: $3,500,000
$5,601,257
Source of Funds: 2009 Measure A Western County
Specialized Transit Budget Adjustment: No
N/A
GL/Project Accounting No.: 260 26 86101 $8,733,887 Specialized Transit Operating
260 26 86102 $367,370 Specialized Transit Capital
Fiscal Procedures Approved: Date: 04/14/2021
Attachment: FY 2021/22 – 2023/24 Measure A Specialized Transit Call for Projects Award
Recommendations
Approved by the Western Riverside County Programs and Projects Committee on
April 26, 2021
In Favor: 11 Abstain: 0 No: 0
378
Attachment 1
FY2022-2024 PROJECT REQUEST AND RECOMMENDATION FUNDING SUMMARY
Project Type Project Name
Me
a
n
S
c
o
r
e
Total 3 Year
Project Cost
Total 3 Year
Measure A
Award
Required
Match
1 Care A Van Directly Operated
Transportation Service Care A Van Transit 85 1,510,430$ 996,884$ 513,546$
2 Independent Living
Partnership Mileage Reimbursement TRIP Western Riverside 84 3,631,716$ 1,519,752$ 2,111,964$
3 Friends of Moreno Valley Directly Operated
Transportation Service Mo-Van 84 528,085$ 297,585$ 230,500$
4 Boys & Girls Club Southwest
County
Directly Operated
Transportation Service
Before & After School ST
program 82 908,050$ 599,313$ 308,737$
5 Exceed Directly Operated
Transportation Service Hemet Transportation 80 664,860$ 244,860$ 420,000$
6 Boys & Girls Menifee Valley Directly Operated
Transportation Service Ride to Success 80 599,307$ 395,543$ 203,764$
7 US Vets Directly Operated
Transportation Service
Initiative Transportation
Riverside 79 230,644$ 152,225$ 78,419$
8 RUHS - Medical Center Directly Operated
Transportation Service MC Transportation Program 77 2,764,838$ 1,576,860$ 1,187,978$
9 Voices for Children Mileage Reimbursement Mileage Reimbursement
Program 77 588,151$ 388,180$ 199,971$
10 Forest Folk Directly Operated
Transportation Service Idyllwild Area Shuttle Service 76 254,848$ 167,848$ 87,000$
11 City of Norco Directly Operated
Transportation Service
Seniors on the Move Transp
Program 76 382,818$ 252,661$ 130,157$
12 Operation SafeHouse Directly Operated
Transportation Service
Main St. Transitional Living &
Permanent Supportive Housing
Program
74 171,710$ 113,329$ 58,381$
13 Care Connexxus Directly Operated
Transportation Service Specialized Transportation 74 1,210,806$ 799,132$ 411,674$
14 Care Connexxus Capital Capital Vehicle Purchase
(3 Buses)Specialized Transportation 72 225,000$ 112,500$ 112,500$
15 RUHS - Behavorial Health
Capital
Capital Vehicle Purchase
(2 Vans, 2 Sedans)Transportation Change 70 144,000$ 72,000$ 72,000$
16 RUHS - Medical Center
Capital
Capital Vehicle Lease (3
Vans)Transportation Program 69 365,740$ 182,870$ 182,870$
17 RUHS - Behavorial Health Directly Operated
Transportation Service Transportation Change 68 1,589,245$ 1,048,901$ 540,343$
18 Michelle's Place Travel Training/
Assistance
Treatment Travel Assistance
Program 55 46,690$ 30,815$ 15,875$
15,816,937$ 8,951,257$ 6,865,680$
367,370 Capital
8,583,887 Operating
Applicant
379
MEASURE A SPECIALIZED TRANSIT PROGRAM
Fiscal Year Awards 2021/22 –2023/24
Monica Morales, Sr. Management Analyst -Transit
1
FY2021/22 –2023/24 Measure A Specialized Transit Awards
Call for Projects Applications
2
Call released
01/13/21
Applications
due 02/17/21
Total available
$8.76 million
16
Agencies
submitted
FY2021/22 –2023/24 Measure A Specialized Transit Awards
Measure A Awards
3
Voices for Children MR 388,180$
Independent Living Partnership MR 1,519,752$
RUHS - Behavorial Health Capital Cap 72,000$
Care Connexxus Capital Cap 112,500$
RUHS - Medical Center Capital Cap 182,870$
Total Award $8.95 million
Michelle's Place Ops 30,815$
Operation SafeHouse Ops 113,329$
US Vets Ops 152,225$
Forest Folk Ops 167,848$
Exceed Ops 244,860$
City of Norco Ops 252,661$
Friends of Moreno Valley Ops 297,585$
Boys & Girls Menifee Valley Ops 395,543$
Boys & Girls Club Southwest County Ops 599,313$
Care Connexxus Ops 799,132$
Care A Van Ops 996,884$
RUHS - Behavorial Health Ops 1,048,901$
RUHS - Medical Center Ops 1,576,860$
FY2021/22 –2023/24 Measure A Specialized Transit Awards
Measure A Pilot Project
4
Recommendations for a pilot
program
City-level market analysis of
seniors/disabled/low-income
Education and outreach
Best Practices from other Measure A
recipients
FY2021/22 –2023/24 Measure A Specialized Transit Awards
Recommendations
5
1) Approve $8,951,257 in Measure A Specialized Transit Programs
2) Approve $150,000 Specialized Transit Pilot Program for the City of Menifee
3) Direct staff to prepare agreements with award recipients to outline the scope, project,
schedules and local funding commitments; and
4) Authorize the Chair or Executive Director to execute the agreements with the award
recipients pursuant to legal counsel review.
QUESTIONS?
6
AGENDA ITEM 10
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: May 12, 2021
TO: Riverside County Transportation Commission
FROM: Sheldon Peterson, Rail Manager
Lorelle Moe-Luna, Multimodal Services Director
THROUGH: Anne Mayer, Executive Director
SUBJECT: Coachella Valley-San Gorgonio Pass Rail Corridor Tier 1 Program Draft
Environmental Impact Statement/Environmental Impact Report
STAFF RECOMMENDATION:
This item is for the Commission to receive and file an update on the Coachella Valley-San
Gorgonio Pass Rail Corridor Service Planning Study with the imminent release of the Draft Tier 1
Program Draft Environmental Impact Statement/Environmental Impact Report.
BACKGROUND INFORMATION:
In October 2013, the Commission approved Resolution No. 13-042, “Resolution of Support to
Establish Daily Intercity Rail Service from Los Angeles to the Coachella Valley Via the Pass Area,”
in which the Commission committed to overseeing preparation of a Service Development Plan
(SDP) in coordination with the Caltrans Division of Rail and Mass Transit and the Federal Railroad
Administration (FRA) as the next step toward establishing daily rail service between Los Angeles
and the Coachella Valley.
In May 2014, following a competitive procurement process, the Commission awarded a contract
to HDR to prepare a full SDP starting with an Alternatives Analysis (AA), followed by an SDP and
program-level Environmental Impact Statement (EIS)/Environmental Impact Report (EIR).
In July 2016, the AA was completed and accepted by the Commission and FRA with the
recommendation of a preferred route to be carried forward for analysis in an SDP and Tier 1
EIS/EIR. The preferred route, as shown in Figure 1 below, would run from Los Angeles Union
Station, through Fullerton, Riverside, and the San Gorgonio Pass, to Indio or Coachella, operating
primarily over tracks owned by the BNSF Railway (BNSF) from Los Angeles to Colton, and tracks
owned by the Union Pacific Railroad (UP) between Colton and Indio or Coachella. Included in the
AA was a market analysis that identified a projected 47 percent increase in travel over the next
20 years between Los Angeles and Coachella Valley and a projected 23 percent population
increase by 2035 for the four counties comprising the corridor (Los Angeles, Orange, Riverside,
and San Bernardino). Additionally, the analysis found that Coachella Valley is expected to double
its population and the San Gorgonio Pass Area is projected to increase 134 percent by 2035.
Since the commencement of the EIS/EIR and SDP, public project scoping has been completed, a
comprehensive operational model of the rail corridor has been developed, conceptual
engineering and service operations plan have been completed, and technical studies have been
380Agenda Item 10
prepared to evaluate the impacts of implementing the service; now the program-level
environmental document is complete and will soon be released for public review and comment.
Figure 1: Proposed Coachella Valley – San Gorgonio Pass Rail Corridor
Tier 1 EIS / Program EIR
Tiered/Programmatic Environmental Process
The environmental analysis currently being conducted is a Tier 1 Program Environmental Impact
Statement/Environmental Impact Report (EIS/EIR), in accordance with the National
Environmental Policy Act (NEPA) and the California Environmental Quality Act (CEQA). Tiering is
a staged environmental review process used for complex transportation projects. The Tier 1
Program EIS/EIR evaluates a reasonable range of alternatives and will recommend a preferred
alternative within the study area. To make sure the freight and passenger trains can run on time,
the build alternatives anticipate additional track infrastructure improvements along the route.
Alternatives and Service Options Being Studied
The Tier 1 Program EIS/EIR analyzes the impacts of a No Build Alternative (no new passenger
rail service) and a Build Alternative with three service options:
Build Alternative Service Options
Option Daily Train Trips
Eastern
Terminus
# Stations
east of Colton New Third Track in Eastern Section
#1 Two round trips daily Coachella 6 Colton to Coachella
#2 Two round trips daily Indio 5 Colton to Indio
#3 Two round trips daily
Indio 5
Colton to approx. mid-Coachella
Valley
Tiered Environmental Analysis
The Tier 1 Program EIS/EIR environmental analysis identifies potential impacts caused by
operating the service and constructing infrastructure (primarily tracks and stations). Specific
381Agenda Item 10
station locations and track designs will not be identified at this stage of the project. Tier 1 address
broad questions and environmental effects of the overall project; however, it will not address
location-specific details. Subsequent Tier 2 Project-level environmental studies would be needed
to analyze site-specific impacts based on the infrastructure improvements and station sites
identified in later studies.
Environmental topics analyzed in the Tier 1 Program Draft EIS/EIR:
o Land Use and Planning
o Transportation
o Visual Quality and
Aesthetics
o Air Quality and
Greenhouse Gases
o Noise and Vibration
o Jurisdictional Waters and
Wetland Resources
o Biological Resources
o Floodplains, Hydrology,
and Water Quality
o Geology, Soils, Seismicity,
and Paleontological
Resources
o Hazards and Hazardous
Materials
o Public Utilities and Energy
o Cultural Resources
o Parklands and Community
Services
o Safety and Security
o Socioeconomics and
Communities Affected
o Cumulative Effects
o Environmental Justice Effects
o Section 4(f)/6(f)
EIS/EIR Public Review Process
The Draft EIS/EIR is anticipated to be released for public review on May 21 for 45 days with virtual
public hearings scheduled for Tuesday June 22 and Saturday June 26. The Notice of
Determination will be issued following action by the RCTC Commission to adopt the Program EIR.
Release Draft EIS/EIR for Public Review May 21, 2021
Virtual Public Hearing #1 June 22, 2021
Virtual Public Hearing #2 June 26, 2021
End of Public Review Period July 6, 2021
Prepare Response to Comments Summer/Fall 2021
Record of Decision (EIS) November 2021
Notice of Determination (EIR) December 2021
Service Development Plan
Progress continues on the Service Development Plan as well. The plan will analyze the service to
determine the infrastructure needs, routing, connections, and stations. It will develop costs,
equipment needs, ridership and revenue forecasts, benefit-cost and economic Impact and
382Agenda Item 10
implementation and phasing. Operational modeling is also included to determine the most
effective infrastructure needed to have both passenger and freight trains run on schedule with
minimal delays. The target is for the complete Service Development Plan to be finalized and
approved at the same time as the Commission adopts the Program EIR in December 2021.
FISCAL IMPACT:
This update has no fiscal impact.
Attachment: Project Fact Sheet
383Agenda Item 10
Project Highlights
Connecting Coachella Valley and Los Angeles:
Approximately 144 miles on an existing rail corridor,
mostly parallel to I-5, Route 91, and I-10
Serving the Counties of: Los Angeles, Orange,
Riverside and San Bernardino
Eastern Endpoint: Cities of Indio or Coachella in
Riverside County
Western Endpoint: Los Angeles Union Station in
Los Angeles County
Approximate trip time: 3 hours and 15 minutes
People traveling through San Gorgonio Pass:
Approximately 160,000 per day
Proposed Service: Two daily round-trips
Stations: Enhance access to four existing stations
and potential to add ve new passenger rail stations
over time
Adding: Tracks at selected locations to enhance train
travel speeds, minimize delays, and maintain safety
Program Overview
The proposed Coachella Valley-San Gorgonio
Pass Rail Corridor (Coachella Valley Rail) extends
approximately 144 miles between downtown
Los Angeles and the Coachella Valley. The
Riverside County Transportation Commission
(RCTC), in coordination with the California
Department of Transportation (Caltrans) and the
Federal Railroad Administration (FRA), is working
to bring passenger rail service as an alternate
mode of travel across Southern California,
connecting desert communities and attractions
with Los Angeles, Orange County, and the
Inland Empire.
The program proposes operating two daily
round-trips between Los Angeles Union Station
and Indio or Coachella, with morning and
evening departures from each end. Passenger
service is expected to take about 3 hours and
15 minutes, which is comparable to trips made
by cars on congested highways connecting these
communities, such as I-5, Route 91, and I-10.
Spring 2021
Environmental Milestones
Agency Partners
Milestones
Prepare Tier 1/Program Level Draft EIS/EIR
Notice of Availability/Notice of Completion
Release of Tier 1/Program Level Draft EIS/EIR
Prepare Tier 1/Program Level Final EIS/EIR
Record of Decision/Notice of Determination
Timeline
Winter 2020/21
Spring 2021
Spring 2021
Fall 2021
December 2021
•
•
•
•
•
•
•
•
•
Coachella Valley–San Gorgonio Pass Rail Corridor Service
Program Environmental Document
and Service Development Plan
384
Project-Level
Environmental
Document &
Preliminary
Engineering
Phased Final
Design &
Construction
We Are Here
Alternatives
Analysis
Program
Environmental
Document &
Service
Development
Plan
Environmental Process
The environmental analysis currently being
conducted is a Tier 1/Program Environmental
Impact Statement/Environmental Impact Report
(EIS/EIR), in accordance with the National
Environmental Policy Act (NEPA) and the
California Environmental Quality Act (CEQA).
The Tier 1/Program Draft EIS/EIR is anticipated
to be released for public review in spring 2021
for 45 days with virtual public hearings. Future
Tier 2/Project NEPA/CEQA documents will be
prepared when funding is identied. RCTC is
actively seeking funding opportunities to
advance the program.
The Tier 1/Program Draft EIS/EIR identies
potential impacts caused by operating the
service and constructing infrastructure (primarily
tracks and stations). Specic station locations
and track designs will not be identied at this
stage of the program. The Tier 1/Program will
address broad questions and environmental
effects of the overall program; however, it will
not address location-specic details or
authorize construction.
The Tier 1/Program Draft EIS/EIR analyzes 18
environmental resource topics and reects
comments received during the 2016 public
scoping process. Concurrently, a Service
Development Plan (SDP) is being nalized to
provide a high-level conceptual operations
plan. Modeling is being conducted so that
passenger and freight rail operations can
perform efciently.
Project Milestones
Project History
1991
Initial Feasibility Studies: Evaluated one
or two daily long-distance rail round-trips
between Los Angeles and Indio
2010-2013
Additional Feasibility Studies
2013-2016
Market Assessment/Alternatives Analysis:
Evaluated ve alternatives to determine
the preferred alignment
July 2016
Finalized Alternatives Analysis/Preferred
Route Advances for Environmental
Studies: Proceeded with preferred route
through Fullerton and Riverside to be
carried forward for analysis in the Service
Development Plan and Tier 1/Program
EIS/EIR
Fall 2016 – Spring 2021
Tier 1/Program EIS/EIR: Held public
scoping meetings and completed
studies for Draft EIS/EIR for public review
2013-2016 2016 -2021 TBD TBD
Feasibility
Studies
1990-2013
Coachella Valley–San Gorgonio Pass Rail Corridor Service
385
Coachella Valley–San Gorgonio Pass Rail Corridor Service
Topics Being Evaluated
Geology, Soils, Seismicity, and Paleontological
Resources (including mineral resources)
Hazards and Hazardous Materials
Public Utilities and Energy
Cultural Resources
Parklands and Community Services
Safety and Security
Socioeconomics and Communities Aected
Cumulative Eects
Section 4(f)/6(f) Resources
The Tier 1/Program Draft EIS/EIR evaluates the impacts and benets of the program including:
Land Use and Planning (including agricultural and
forestry resources)
Transportation
Visual Quality and Aesthetics
Air Quality and Greenhouse Gases
Noise and Vibration
Jurisdictional Waters and Wetland Resources
Biological Resources
Floodplains, Hydrology, and Water Quality (including
watersheds)
Environmental Justice Eects
•
•
•
•
•
•
•
The Corridor at a Glance
Western End Eastern End
The western end of the corridor will connect riders to
Los Angeles Union Station, the largest railroad passenger
terminal in the western United States. Passengers can
also access revitalized Downtown Fullerton and other
attractions and concert venues in Orange County as well as
Riverside’s bustling downtown area that oers museums,
theaters and the historic Mission Inn Hotel & Spa.
The eastern end of the corridor will give access to the
growing communities of Banning and Beaumont and
the vibrant city of Palm Springs. Travelers will also be
connected to the heart of the Coachella Valley, home to
premier golf courses and dining as well as the cities of
Indio and Coachella near world-renowned music festivals
and events.
•
•
•
•
•
•
•
•
•
•
•
386
Coachella Valley–San Gorgonio Pass Rail Corridor Service
How to Participate
RCTC, Caltrans, and the FRA encourage your
participation in the environmental review process.
The Tier 1 Program/Draft EIS/EIR for the Coachella
Valley-San Gorgonio Pass Rail Corridor Service is
anticipated for release in spring 2021.
Contact Us
Please contact us to stay informed and share your
thoughts on this proposed project.
951-787-7141
CVRail@rctc.org
CVRailProject
RCTC.org/cvrail
Virtual public hearings will be held to solicit
comments about the Tier 1/Program Draft EIS/EIR.
Please watch for dates of these public hearings
and how to submit comments during the 45-day
public review period.
387
Coachella Valley-San Gorgonio Pass Rail Corridor Service
Presentation to Riverside County Transportation Commission
May 12, 2021
��V i d e o I n t r o d u c t i o n
��P r o j e c t P u r p o s e & N e e d
��P r o j e c t P r o c e s s
��P r o g r a m - L e v e l ( T i e r 1 ) E I S / E I R O v e r v i e w
��R a i l S e r v i c e O p t i o n s S t u d i e d
��N e x t S t e p s a n d U p c o m i n g P r o j e c t P h a s e s
P r e s e n t a t i o n A g e n d a
Project Video Preview
Coachella Valley Passenger Rail Project
4
Passenger Rail Service Studied
Two round trips per day between Los Angeles and Coachella Valley
Up to six potential stations east of Colton
��P u r p o s e : P r o v i d e c o n v e n i e n t a n d c o m p e t i t i v e p u b l i c t r a n s p o r t a t i o n
b e t w e e n t h e C o a c h e l l a V a l l e y - S a n G o r g o n i o P a s s R a i l C o r r i d o r a n d t h e
L o s A n g e l e s B a s i n
��N e e d :
��R e g i o n a l p o p u l a t i o n a n d e m p l o y m e n t g r o w t h
��L i m i t e d a n d c o n s t r a i n e d
t r a v e l o p t i o n s
��S e r v e d i s a d v a n t a g e d
c o m m u n i t i e s
��H e l p c o n f o r m t o a i r
q u a l i t y r e g u l a t i o n s
C V R a i l : P u r p o s e a n d N e e d
Project Process Overview
20
1
6
Alternatives
Analysis
Cu
r
r
e
n
t
Program-Level
(Tier 1) EIS/EIR
& Service
Development
Plan
Fu
t
u
r
e
Conceptual
Engineering &
Project-Level
(Tier 2)
Environmental
Documents
Fu
t
u
r
e
Final Design &
Construction
& Operations
CURRENT PHASE
What will be prepared?
•Service Development Plan (SDP)
•Program-Level (Tier 1) EIS/EIR
��P r o g r a m - l e v e l ( T i e r 1 ) p r o c e s s w i l l s a t i s f y b o t h f e d e r a l a n d
s t a t e e n v i r o n m e n t a l r e q u i r e m e n t s ( E I S + E I R )
��E v a l u a t e s e f f e c t s o f i m p l e m e n t i n g s e r v i c e ( r e g i o n a l c o n t e x t )
��I d e n t i f i e s b r o a d a r e a s o f p o t e n t i a l e n v i r o n m e n t a l e f f e c t s a n d t h e
r e s o u r c e s t h a t c o u l d b e p o t e n t i a l l y a f f e c t e d i n t h e s t u d y a r e a b y :
��T r a i n o p e r a t i o n s
��I n f r a s t r u c t u r e i m p r o v e m e n t s a n d c o n s t r u c t i o n
��P r o j e c t - l e v e l ( T i e r 2 ) e n v i r o n m e n t a l p r o c e s s f o r
i n f r a s t r u c t u r e i m p r o v e m e n t s t o f o l l o w p r o g r a m - l e v e l E I S / E I R
��T i e r 2 w o u l d a n a l y z e s i t e - s p e c i f i c i m p a c t s b a s e d o n t h e
i n f r a s t r u c t u r e i m p r o v e m e n t s i d e n t i f i e d i n t h e S D P
P r o g r a m - L e v e l ( T i e r 1 ) D r a f t E I S / E I R O v e r v i e w
W E A R E H E R E
Passenger Rail Options Studied
8
Daily Train Trips Eastern
Terminus
# Stations east
of Colton
New Third Track in Eastern
Section
No Build ----
Option #1 Two round trips Coachella 6 Colton to Coachella
Option #2 Two round trips Indio 5 Colton to Indio
Option #3 Two round trips Indio 5 Colton to approx. Mid Valley
Two terminus options
Outreach prior to release of Draft EIS/EIR:
Technical Advisory Committee meeting: May 4
Presentation to RCTC Commission: May 12
Presentation to SBCTA Valley Study Committee: May 13
Draft EIS/EIR public release: May 21
Next Steps in Program-Level (Tier 1) EIS/EIR
PROGRAM-LEVEL (TIER 1) DRAFT EIS/EIR
Public comment opportunities: May 21 –July 6, 2021
Virtual Public Hearings on Draft EIS/EIR: June 22 and 26, 2021
Selection of preferred alternative based on analysis and public
comments
Preparation of Tier 1/Program Final EIS/EIR
Record of Decision: Late 2021
SERVICE DEVELOPMENT PLAN
Work ongoing. Planned completion date: November 2021
Upcoming Project Phases
��D r a f t E I S / E I R w i l l b e a v a i l a b l e f o r r e v i e w o n t h e R C T C
p r o j e c t w e b s i t e a n d a t l o c a l l i b r a r i e s a l o n g t h e p r o j e c t
c o r r i d o r
��P u b l i c c o m m e n t s a c c e p t e d M a y 2 1 J u l y 6 , 2 0 2 1
��E l e c t r o n i c c o m m e n t s t o t h e C V R a i l p a g e o n t h e
r e g u l a t i o n s . g o v w e b s i t e
��B y r e g u l a r m a i l t o F R A
��A s v e r b a l c o m m e n t s d u r i n g t h e v i r t u a l p u b l i c h e a r i n g s i n J u n e
P r o g r a m - L e v e l ( T i e r 1 ) E I S / E I R P u b l i c C o m m e n t
Questions?
TO: Riverside County Transportation Commission
FROM: Lisa Mobley, Clerk of the Board
DATE: May 5, 2021
SUBJECT: G.C. 84308 Compliance – Potential Conflict of Interest
California Government Code 84308 states a Commissioner may not participate in any discussion or
action concerning a contract or amendment if a campaign contribution of more than $250 is
received in the past 12 months or 3 months following the conclusion from a bidder or bidder’s agent.
This prohibition does not apply to the awarding of contracts that are competitively bid. The
Commission’s procurement division asks potential vendors to disclose any contributions made to
the campaigns of any Commissioner as part of their submitted bid packets. As an additional
precaution, those entities are included below in an effort to give Commissioners opportunity to
review their campaign statements for potential conflicts. Please note the entities listed in this
memo are not encompassing of all potential conflicts and are in addition to any personal conflicts
of interest such as those disclosed on Statement of Economic Interests – Form 700 or prohibited
by Government Code Section 1090. Please contact me should you have any questions.
Agenda Item No. 8C – Agreements for Audit and Attestation Services
Consultant(s): BCA Watson Rice LLP
Michael de Castro, Managing Partner
2355 Crenshaw Boulevard, Suite 150
Torrance, CA 90505
Brown Armstrong Accountancy Corporation
Eric H. Xin, Partner and Ryan L. Nielsen, Partner
4200 Truxtun Avenue, Suite 300
Bakersfield, CA 93309
Conrad LLP
Andrea Jayasekara, Partner
23161 Lake Center Drive, Suite 200
Lake Forest, CA 92630
Eide Bailly LLP
Roger Alfaro, Partner
19340 Jesse Lane, Suite 260
Riverside, CA 92508
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
ROLL CALL
MAY 12, 2021
Present Absent
County of Riverside, District I X
County of Riverside, District II X
County of Riverside, District III X
County of Riverside, District IV X
County of Riverside, District V X
City of Banning X
City of Beaumont X
City of Blythe X
City of Calimesa X
City of Canyon Lake X
City of Cathedral City X
City of Coachella X
City of Corona X
City of Desert Hot Springs X
City of Eastvale X
City of Hemet X
City of Indian Wells X
City of Indio X
City of Jurupa Valley X
City of La Quinta X
City of Lake Elsinore X
City of Menifee X
City of Moreno Valley X
City of Murrieta X
City of Norco X
City of Palm Desert X
City of Palm Springs X
City of Perris X
City of Rancho Mirage X
City of Riverside X
City of San Jacinto X
City of Temecula X
City of Wildomar X
Governor’s Appointee, Caltrans District 8 X