HomeMy Public PortalAbout02 February 13, 2013 Commission"
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T I M E / D A T E :
L O C A T I O N :
R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
M E E T I N G A G E N D A
9 : 3 0 a . m . I W e d n e s d a y , F e b r u a r y 1 3 , 2 0 1 3
B O A R D R O O M
C o u n t y o f R i v e r s i d e A d m i n i s t r a t i v e C e n t e r
4 0 8 0 L e m o n S t r e e t , F i r s t F l o o r , R i v e r s i d e
l t J i a C O M M I S S I O N E R S . . . r .
C h a i r - K a r e n S p i e g e l
V i c e C h a i r - M a r i o n A s h l e y
S e c o n d V i c e C h a i r - D a r y l B u s c h
K e v i n J e f f r i e s , C o u n t y o f R i v e r s i d e
J o h n F . T a v a g l i o n e , C o u n t y o f R i v e r s i d e
J e f f S t o n e , C o u n t y o f R i v e r s i d e
J o h n J . B e n o i t , C o u n t y o f R i v e r s i d e
M a r i o n A s h l e y , C o u n t y o f R i v e r s i d e
B o b B o t t s I D e b o r a h F r a n k l i n , C i t y o f B a n n i n g
R o g e r B e r g I J e f f F o x , C i t y o f B e a u m o n t
J o s e p h D e C o n i n c k I T o B e A p p o i n t e d , C i t y o f B l y t h e
E l l a Z a n o w i c I J e f f H e w i t t , C i t y o f C a l i m e s a
M a r y C r a t o n I R a n d y B o n n e r , C i t y o f C a n y o n L a k e
G r e g P e t t i s I K a t h l e e n D e R o s a , C i t y o f C a t h e d r a l C i t y
S t e v e n H e r n a n d e z I E d u a r d o G a r c i a , C i t y o f C o a c h e l l a
K a r e n S p i e g e l I E u g e n e M o n t a n e z , C i t y o f C o r o n a
S c o t t M a t a s I Y v o n n e P a r k s , C i t y o f D e s e r t H o t S p r i n g s
A d a m R u s h I I k e B o o t s m a , C i t y o f E a s t v a l e
L a r r y S m i t h I R o b e r t Y o u s s e f , C i t y o f H e m e t
D o u g l a s H a n s o n I T y P e a b o d y , C i t y o f I n d i a n W e l l s
G l e n n M i l l e r I M i c h a e l W i l s o n , C i t y o f I n d i o
F r a n k J o h n s t o n I M i c h e a l G o o d l a n d , C i t y o f J u r u p a V a l l e y
T e r r y H e n d e r s o n I D o n A d o l p h , C i t y o f L a Q u i n t a
B o b M a g e e I T o B e A p p o i n t e d , C i t y o f L a k e E l s i n o r e
S c o t t M a n n I W a l l a c e E d g e r t o n , C i t y o f M e n i f e e
T o m O w i n g s I M a r c e l o C o , C i t y o f M o r e n o V a l l e y
R i c k G i b b s I K e l l y B e n n e t t , C i t y o f M u r r i e t a
B e r w i n H a n n a I K a t h y A z e v e d o , C i t y o f N o r c o
J a n H a r n i k I T o B e A p p o i n t e d , C i t y o f P a l m D e s e r t
G i n n y F o a t I S t e v e P o u g n e t , C i t y o f P a l m S p r i n g s
D a r y l B u s c h I A I L a n d e r s , C i t y o f P e r r i s
T e d W e i l l I S c o t t H i n e s , C i t y o f R a n c h o M i r a g e
S t e v e A d a m s I A n d y M e l e n d r e z , C i t y o f R i v e r s i d e
A n d r e w K o t y u k I S c o t t M i l l e r , C i t y o f S a n J a c i n t o
R o n R o b e r t s I J e f f C o m e r c h e r o , C i t y o f T e m e c u l a
B e n B e n o i t I T i m o t h y W a l k e r , C i t y o f W i l d o m a r
B a s e m M u a l l e m , G o v e r n o r ' s A p p o i n t e e
R E C O R D S
C o m m e n t s a r e w e l c o m e d b y t h e C o m m i s s i o n . I f y o u w i s h t o p r o v i d e c o m m e n t s t o t h e C o m m i s s i o n ,
p l e a s e c o m p l e t e a n d s u b m i t a S p e a k e r C a r d t o t h e C l e r k o f t h e B o a r d .
Tara Byerly
From:
Sent:
To:
Cc:
Subject:
Attachments:
Importance:
Tara Byerly
Wednesday, February 06, 2013 4:16 PM
Tara Byerly
Jennifer Harmon
RCTC February Commission Agenda -February 13, 2013
Conflict of Interest Form. pdf; Conflict of Interest Memo. pdf
High
Good afternoon Commissioners:
The February Commission Agenda for the meeting scheduled for Wednesday, February 1 3 @
9:30 a.m. is available. Please copy this link:
http://www.rctc.org/uploads/media items/february-13-2013.original.pdf
In addition for your review is the attached conflict of interest memo and the form. Please let
me know if you have any questions. Thank you.
Respectfully,
Tara S. Byerly
Senior Administrative Assistant
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
(951) 787-7141
1
Tara Byerly
From: Tara Byerly
Sent:
To:
Wednesday, February 06, 2013 4:26 PM
Tara Byerly
Subject: RCTC February Commission Agenda-February 13, 2013
Importance: High
Good Afternoon Commission Alternates:
The February Commission Agenda for the meeting scheduled for Wednesday, February 13 @ 9:30a.m.
is available. Please copy this link:
http://www. rctc.org/ uploads/media items/februa ry-13-2013 .origi na I. pdf
Thank you.
Respectfully,
TaraS. Byerly
Senior Administrative Assistant
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
(951) 787-7141
1
Riverside County Transportation Commission
TO: Riverside County Transportation Commission
FROM: Jennifer Harmon, Office and Board Services Manager
DATE: February 6, 2013
SUBJECT: Possible Conflicts of Interest -Riverside County Transportation
Commission Agenda of February 13, 2013
The February 13, 2013 agenda of the Riverside County Transportation Commission
includes items that may raise possible conflicts of interest. 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 1 2 months or
3 months following the conclusion from any entity or individual listed.
Agenda Item No. 7 A -Agreements for Trustee Services
Consultant(s): The Bank of New York Mellon Trust Company, N.A.
400 S. Hope Street, Suite 400
Los Angeles, CA 90071
Jose Matamoros, Vice President
Agenda Item No. 7E Agreement with TR Design Group for
Architectural/Engineering Services for the Modification of Existing Buildings
Required for the Construction of the State Route 91 Corridor Improvement Project
TR Design Group
7179 Magnolia Avenue
Riverside, CA 92504
Thomas Riggle, President
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R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
w w w . r e t e . o r g
A G E N D A *
* A c t i o n s m a y b e t a k e n o n a n y i t e m l i s t e d o n t h e a g e n d a
9 : 3 0 a . m .
W e d n e s d a y , F e b r u a r y 1 3 , 2 0 1 3
B O A R D R O O M
C o u n t y o f R i v e r s i d e A d m i n i s t r a t i v e C e n t e r
4 0 8 0 L e m o n S t r e e t , F i r s t F l o o r , R i v e r s i d e , C A
I n c o m p l i a n c e w i t h t h e B r o w n A c t a n d G o v e r n m e n t C o d e S e c t i o n 5 4 9 5 7 . 5 , a g e n d a m a t e r i a l s
d i s t r i b u t e d 7 2 h o u r s p r i o r t o t h e m e e t i n g , w h i c h a r e p u b l i c r e c o r d s r e l a t i n g t o o p e n s e s s i o n
a g e n d a i t e m s , w i l l b e a v a i l a b l e f o r i n s p e c t i o n b y m e m b e r s o f t h e p u b l i c p r i o r t o t h e m e e t i n g a t
t h e C o m m i s s i o n o f f i c e , 4 0 8 0 L e m o n S t r e e t , T h i r d F l o o r , R i v e r s i d e , C A , a n d o n t h e
C o m m i s s i o n ' s w e b s i t e , w w w . r c t c . o r g .
I n c o m p l i a n c e w i t h t h e A m e r i c a n s w i t h D i s a b i l i t i e s A c t a n d G o v e r n m e n t C o d e S e c t i o n 5 4 9 5 4 . 2 ,
i f s p e c i a l a s s i s t a n c e i s n e e d e d t o p a r t i c i p a t e i n a C o m m i s s i o n m e e t i n g , p l e a s e c o n t a c t t h e C l e r k
o f t h e B o a r d a t ( 9 5 1 ) 7 8 7 - 7 1 4 1 . N o t i f i c a t i o n o f a t l e a s t 4 8 h o u r s p r i o r t o m e e t i n g t i m e w i l l
a s s i s t s t a f f i n a s s u r i n g t h a t r e a s o n a b l e a r r a n g e m e n t s c a n b e m a d e t o p r o v i d e a c c e s s i b i l i t y a t t h e
m e e t i n g .
1 . C A L L T O O R D E R
2 . P L E D G E O F A L L E G I A N C E
3 . R O L L C A L L
4 . P U B L I C C O M M E N T S - E a c h i n d i v i d u a l s p e a k e r i s l i m i t e d t o s p e a k t h r e e ( 3 ) c o n t i n u o u s
m i n u t e s o r l e s s . T h e C o m m i s s i o n m a y , e i t h e r a t t h e d i r e c t i o n o f t h e C h a i r o r b y m a j o r i t y
v o t e o f t h e C o m m i s s i o n , w a i v e t h i s t h r e e m i n u t e t i m e l i m i t a t i o n . D e p e n d i n g o n t h e
n u m b e r o f i t e m s o n t h e A g e n d a a n d t h e n u m b e r o f s p e a k e r s , t h e C h a i r m a y , a t h i s / h e r
d i s c r e t i o n , r e d u c e t h e t i m e o f e a c h s p e a k e r t o t w o ( 2 ) c o n t i n u o u s m i n u t e s . I n a d d i t i o n ,
t h e m a x i m u m t i m e f o r p u b l i c c o m m e n t f o r a n y i n d i v i d u a l i t e m o r t o p i c i s t h i r t y ( 3 0 )
m i n u t e s . A l s o , t h e C o m m i s s i o n m a y t e r m i n a t e p u b l i c c o m m e n t s i f s u c h c o m m e n t s
b e c o m e r e p e t i t i o u s . S p e a k e r s m a y n o t y i e l d t h e i r t i m e t o o t h e r s w i t h o u t t h e c o n s e n t o f
t h e C h a i r . A n y w r i t t e n d o c u m e n t s t o b e d i s t r i b u t e d o r p r e s e n t e d t o t h e C o m m i s s i o n
s h a l l b e s u b m i t t e d t o t h e C l e r k o f t h e B o a r d . T h i s p o l i c y a p p l i e s t o P u b l i c C o m m e n t s a n d
c o m m e n t s o n A g e n d a I t e m s .
U n d e r t h e B r o w n A c t , t h e C o m m i s s i o n s h o u l d n o t t a k e a c t i o n o n o r d i s c u s s m a t t e r s
r a i s e d d u r i n g p u b l i c c o m m e n t p o r t i o n o f t h e a g e n d a t h a t a r e n o t l i s t e d o n t h e a g e n d a .
C o m m i s s i o n m e m b e r s m a y r e f e r s u c h m a t t e r s t o s t a f f f o r f a c t u a l i n f o r m a t i o n o r t o b e
p l a c e d o n t h e s u b s e q u e n t a g e n d a f o r c o n s i d e r a t i o n .
5.
Riverside County Transportation Commission Agenda
February 1 3, 201 3
Page 2
APPROVAL OF MINUTES-JANUARY 9, 2013
6. ADDITIONS I 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.
7. CONSENT CALENDAR -All matters on the Consent Calendar will be approved in a
single motion unless a Commissioner(s) requests separate action on specific item(s).
Items pulled from the Consent Calendar will be placed for discussion at the end of the
agenda.
7 A. AGREEMENT FOR TRUSTEE SERVICES
Page 1
Overview
This item is for the Commission to:
•
1) Award Agreement No. 13-31-063-00 to The Bank of New York •
Mellon Trust Company, N.A. (BNY Mellon) for trustee services on
the State Route 91 Corridor Improvement Project (SR-91 CIP) for a
five-year period with additional option periods in five-year
increments, in an amount of $12,000, plus a contingency amount of
$1,000, for a total amount not to exceed $13,000 for the initial
five-year term; and
2) Authorize the Chair or Executive Director, pursuant to legal counsel
review, to execute the agreement, including option years, on behalf
of the Commission.
78. QUARTERLY SALES TAX ANALYSIS
Page 21
Overview
This item is for the Commission to receive and file the sales tax analysis
for Quarter 3 (03) 2013.
7C. SINGLE SIGNATURE AUTHORITY REPORT
Page29
Overview
This item is for the Commission to .receive and file the Single Signature
Authority report for the second quarter ended December 31, 2012. •
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R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n A g e n d a
F e b r u a r y 1 3 , 2 0 1 3
P a g e 3
7 D . Q U A R T E R L Y I N V E S T M E N T R E P O R T
P a g e 3 1
O v e r v i e w
T h i s i t e m i s f o r t h e C o m m i s s i o n t o r e c e i v e a n d f i l e t h e Q u a r t e r l y .
I n v e s t m e n t R e p o r t f o r t h e q u a r t e r e n d e d D e c e m b e r 3 1 , 2 0 1 2 .
7 E . A G R E E M E N T W I T H T R D E S I G N G R O U P F O R
A R C H I T E C T U R A L / E N G I N E E R I N G S E R V I C E S F O R T H E M O D I F I C A T I O N O F
E X I S T I N G B U I L D I N G S R E Q U I R E D F O R T H E C O N S T R U C T I O N O F T H E
S T A T E R O U T E 9 1 C O R R I D O R I M P R O V E M E N T P R O J E C T
P a g e 4 7
O v e r v i e w
T h i s i t e m i s f o r t h e C o m m i s s i o n t o :
1 )
2 )
3 )
A p p r o v e A g r e e m e n t N o . 1 3 - 3 1 - 0 5 9 - 0 0 w i t h T R D e s i g n G r o u p
( T R D e s i g n ) f o r � a r c h i t e c t u r a l / e n g i n e e r i n g s e r v i c e s f o r t h e
m o d i f i c a t i o n o f e x i s t i n g b u i l d i n g s r e q u i r e d f o r t h e c o n s t r u c t i o n o f t h e
S t a t e R o u t e 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ( S R - 9 1 C I P ) i n a n
a m o u n t b a s e d o n a n e g o t i a t e d c o s t t o b e p r e s e n t e d a t t h e
C o m m i s s i o n m e e t i n g ;
A u t h o r i z e t h e C h a i r o r t h e E x e c u t i v e D i r e c t o r , p u r s u a n t t o l e g a l
c o u n s e l r e v i e w , t o e x e c u t e t h e a g r e e m e n t o n b e h a l f o f t h e
C o m m i s s i o n ; a n d
A u t h o r i z e t h e E x e c u t i v e D i r e c t o r , o r d e s i g n e e , t o a p p r o v e
c o n t i n g e n c y w o r k u p t o t h e t o t a l a m o u n t n o t t o e x c e e d a s m a y b e
r e q u i r e d f o r t h e w o r k .
7 F . A G R E E M E N T F O R T H E O P E R A T I O N O F T H E F R E E W A Y S E R V I C E P A T R O L
P R O G R A M I N R I V E R S I D E C O U N T Y
P a g e 9 8
O v e r v i e w
T h i s i t e m i s f o r t h e C o m m i s s i o n t o :
1 )
2 )
A p p r o v e A g r e e m e n t N o . � 1 3 - 4 5 - 0 7 5 - 0 0 w i t h t h e C a l i f o r n i a
D e p a r t m e n t o f T r a n s p o r t a t i o n ( C a l t r a n s ) f o r t h e o p e r a t i o n o f t h e
R i v e r s i d e C o u n t y F r e e w a y S e r v i c e P a t r o l ( F S P ) p r o g r a m i n t h e
a m o u n t o f $ 1 , 6 0 6 , 5 6 7 i n s t a t e f u n d i n g f o r F Y 2 0 1 2 / 1 3 ; a n d
A u t h o r i z e t h e C h a i r , p u r s u a n t t o l e g a l c o u n s e l r e v i e w , t o e x e c u t e t h e
a g r e e m e n t o n b e h a l f o f t h e C o m m i s s i o n .
Riverside County Transportation Commission Agenda
February 13, 2013
Page 4
7G. FUNDING AGREEMENT WITH THE DEPARTMENT OF CALIFORNIA •
HIGHWAY PATROL FOR FREEWAY SERVICE PATROL SUPERVISION
Page 108
Overview
This item is for the Commission to:
1) Approve Agreement No. 13-45-074-00 with the California Highway
Patrol (CHP) to provide overtime supervision and operation of a
Freeway Service Patrol (FSP) program in Riverside County in an
amount not to exceed $522,515; and
2) Authorize the Chair, pursuant to legal counsel review, to execute the
agreement on behalf of the Commission.
8. MEASURE A WESTERN COUNTY HIGHWAY AGREEMENT WITH CITY OF
MURRIETA FOR INTERSTATE 15/LOS ALAMOS ROAD BRIDGE
Page 118
Overview
This item is for the Commission to:
1) Approve Agreement No. 13-31-053-00 with the city of Murrieta for
Measure A funding of $2.9 million for the Interstate 15/Los Alamos Bridge
project; and
2) Authorize the Chair, pursuant to legal counsel review, to execute the
agreement on behalf of the Commission.
9. TRADE CORRIDOR IMPROVEMENT FUND PROJECTS-GRADE SEPARATIONS
Page 143
Overview
This item is for the Commission to:
1)
2)
Reprogram a total of $13,408,334 in Proposition 1 B Trade Corridor
Improvement Fund (TCIF) project savings to the following four grade
separation projects:
a) $5,065,324-Avenue 56/Airport Boulevard;
b) $746,613 -Clay Street;
c) $3,996,397 -Magnolia Avenue/BNSF;
d) $3,600,000-Riverside Avenue;
•
3)
Revise the funding distribution between federal Surface Transportation
Program (STP) and Congestion Mitigation and Air Quality (CMAQ) funds; •
Remove $2,626,968 in CMAQ funds and replace the same amount with
4)
STP funds for the Iowa A venue grade separation project; and
Program $4,349,603 in STP funds to the county of Riverside (County) for
the Magnolia Avenue/BNSF grade separation project.
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R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n A g e n d a
F e b r u a r y 1 3 , 2 0 1 3
P a g e 5
1 0 . I T E M ( S ) P U L L E D F R O M C O N S E N T C A L E N D A R A G E N D A
1 1 . C O M M I S S I O N E R S I E X E C U T I V E D I R E C T O R R E P O R T
O v e r v i e w
T h i s i t e m p r o v i d e s t h e o p p o r t u n i t y f o r t h e C o m m i s s i o n e r s a n d t h e
E x e c u t i v e D i r e c t o r t o r e p o r t o n a t t e n d e d m e e t i n g s / c o n f e r e n c e s a n d a n y o t h e r
i t e m s r e l a t e d t o C o m m i s s i o n a c t i v i t i e s .
1 2 . C L O S E D S E S S I O N
1 3 .
1 2 A . C O N F E R E N C E W I T H L E G A L C O U N S E L - E X I S T I N G L I T I G A T I O N
P u r s u a n t t o G o v e r n m e n t C o d e S e c t i o n 5 4 9 5 6 . 9 ( a )
C a s e N u m b e r ( s ) : R I C 1 1 1 3 8 9 6
A D J O U R N M E N T
T h e n e x t C o m m i s s i o n m e e t i n g a n d i s s c h e d u l e d t o b e h e l d a t 9 : 3 0 a . m . ,
W e d n e s d a y , M a r c h 1 3 , 2 0 1 3 , B o a r d C h a m b e r s , F i r s t F l o o r , C o u n t y
A d m i n i s t r a t i v e C e n t e r , 4 0 8 0 L e m o n S t r e e t , R i v e r s i d e .
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
COMMISSION WORKSHOP SIGN-IN SHEET
FEBRUARY 13, 2013
/1 NAME AGENCY E MAIL ADDRESS
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RIVERSIDE COUNTY TRANSPORTATION COMMISSION
ROLL CALL
FEBRUARY 13, 2013
County of Riverside, District I
County of Riverside, District II
County of Riverside, District Ill
County of Riverside, District IV
County of Riverside, District V
City of Banning
City of Beaumont
City of Blythe
City of Calimesa
City of Canyon Lake
City of Cathedral City
City of Coachella
City of Corona
City of Desert Hot Springs
City of Eastvale
City of Hemet
City of Indian Wells
City of Indio
City of Jurupa Valley
City of La Quinta
City of Lake Elsinore
City of Menifee
City of Moreno Valley
City of Murrieta
City of Norco
City of Palm Desert
City of Palm Springs
City of Perris
City of Rancho Mirage
City of Riverside
City of San Jacinto
City of Temecula
City of Wildomar
Governor's Appointee, Caltrans District 8
Absent
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Gateway to
NATIONAL
PROSPERITY
SAVE THE DATE
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Mark your calendars! We look forward to having you join us at our
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leas r <VC e 2<.19 updat<'<U013 02.06
i.
•
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AGENDA ITEM 5
MINUTES
.· ,·
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R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
M I N U T E S
W e d n e s d a y , J a n u a r y 9 , 2 0 1 3
1 . C A L L T O O R D E R
T h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n w a s c a l l e d t o o r d e r b y
C h a i r K a r e n S p i e g e l a t 9 : 3 2 a . m . i n t h e B o a r d R o o m a t t h e C o u n t y o f
R i v e r s i d e A d m i n i s t r a t i v e C e n t e r , 4 0 8 0 l e m o n S t r e e t , R i v e r s i d e , C a l i f o r n i a ,
9 2 5 0 1 .
2 . P L E D G E O F A L L E G I A N C E
A t t h i s t i m e , C o m m i s s i o n e r K e v i n J e f f r i e s l e d t h e C o m m i s s i o n 1 n a f l a g
s a l u t e .
3 . R O L L C A L L
4 .
C o m m i s s i o n e r s / A l t e r n a t e s P r e s e n t
S t e v e A d a m s
M a r i o n A s h l e y
R o g e r B e r g
B e n B e n o i t
J o h n J . B e n o i t
B o b B o t t s
D a r y l B u s c h
M a r y C r a t o n
J o s e p h D e C o n i n c k
R i c k G i b b s
B e r w i n H a n n a
D o u g l a s H a n s o n
J a n H a r n i k
T e r r y H e n d e r s o n
S t e v e n H e r n a n d e z
K e v i n J e f f r i e s
P U B L I C C O M M E N T S
F r a n k J o h n s t o n
A n d r e w K o t y u k
B o b M a g e e
S c o t t M a n n
S c o t t M a t a s
G l e n n M i l l e r
B a s e m M u a l l e m
T o m O w i n g s
A d a m R u s h
K a r e n S p i e g e l
J e f f S t o n e
J o h n F . T a v a g l i o n e
S a m T o l e s
T e d W e i l l
E l l a Z a n o w i c
C o m m i s s i o n e r s A b s e n t
G i n n y F o a t
R o n R o b e r t s
l a r r y S m i t h
C h a i r S p i e g e l i n t r o d u c e d a n d w e l c o m e d n e w C o m m i s s i o n e r s K e v i n J e f f r i e s ,
S c o t t M a n n , T o m O w i n g s , a n d T e d W e i l l .
Riverside County Transportation Commission Minutes
January 9, 2013
Page 2
At this time, Chair Spiegel presented Past Chair John Benoit with a plaque to
commemorate his tenure as Chair for 2012.
Anne Mayer, Executive Director, recognized and congratulated
Ruby Arellano, Administrative Assistant, for earning her Bachelor of Science
Degree in International Business with a minor in Finance.
5. APPROVAL OF MINUTES-DECEMBER 12, 2012
M/S/C (Ashley/G. Miller) to approve the minutes as submitted.
Abstain: Jeffries, Mann, Owings, and Toles
6. ADDITIONS I REVISIONS
There were no additions/revisions to the agenda.
7. CONSENT CALENDAR
•
Commissioner Adam Rush requested Agenda Item 7B, HLos Angeles -San •
Diego -San Luis Obispo Rail Corridor Agency Update and Revised Joint
Exercise of Powers AgreementH, be pulled for further discussion.
Commissioner Douglas Hanson requested Agenda Item 7 A, uList of
Pre-Qualified Firms and Agreements for On-Call Right of Way Environmental
Services';, and Agenda Item 7C, HRiverside Transit Agency's Fiscal Year
2012/13 Short Range Transit Plan Amendments", be pulled for further
discussion.
M/S/C (Gibbs/Rush) to approve the Consent Calendar items.
7D. FISCAL YEAR 2009110 APPROPRIATIONS -ALAMEDA CORRIDOR
EAST -RIVERSIDE AVENUE GRADE SEPARATION PROJECT
Reallocate $674,500 in federal funds to the city of Riverside
(Riverside) in support of the Riverside Avenue grade separation
project.
At this time, Commissioner J. Benoit stepped out of the meeting.
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R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n M i n u t e s
J a n u a r y 9 , 2 0 1 3
P a g e 3
8 . F I S C A l Y E A R 2 0 1 2 / 1 3 M I D - Y E A R R E V E N U E P R O J E C T I O N S
T h e r e s i a T r e v i n o , C h i e f F i n a n c i a l O f f i c e r , p r e s e n t e d A g e n d a I t e m s 8 a n d 9
c o n c u r r e n t l y , a n d d i s c u s s e d t h e f o l l o w i n g a r e a s :
" A n n u a l r e v e n u e p r o j e c t i o n s f o r F Y 2 0 1 2 ! 1 3 m i d . . : y e a r r e v i s i o n a n d
F Y 2 0 1 3 / 1 4 b u d g e t d e v e l o p m e n t ;
" R e v e n u e f o r e c a s t h i g h l i g h t s f o r e m p l o y m e n t , h o u s i n g , a n d s a l e s t a x ;
" M e a s u r e A t r e n d s ;
" A c t i v i t y b y e c o n o m i c c a t e g o r y a n d s e g m e n t s ;
" H i s t o r i c a l s a l e s t a x b y s e g m e n t ;
" M e a s u r e A t a x r e v e n u e s ;
" L o c a l T r a n s p o r t a t i o n F u n d ( L T F ) s a l e s t a x r e v e n u e s ;
" D i f f e r e n c e s w i t h M e a s u r e A a n d L T F t a x e s ;
" T r a n s p o r t a t i o n U n i f o r m M i t i g a t i o n F e e ( T U M F ) r e v e n u e s ; a n d
" N e x t s t e p s .
T h e r e s i a T r e v i n o c l a r i f i e d t h e T U M F r e v e n u e s h a v e i n c r e a s e d 1 8 p e r c e n t f o r
t h e f o u r m o n t h s e n d e d O c t o b e r 3 1 , c o m p a r e d t o t h e s a m e p e r i o d l a s t y e a r .
C o m m i s s i o n e r H a n s o n e x p r e s s e d a p p r e c i a t i o n f o r M s . T r e v i n o ' s p r e s e n t a t i o n
a n d s u g g e s t e d t h e r e s h o u l d b e a s e g r e g a t e d a l l o c a t i o n f o r r a i l a n d t r a n s i t a s
a r e s u l t o f a d e c i s i o n m a d e t o a l l o c a t e f u n d s f o r f u t u r e r a i l p r o j e c t s i n t h e
C o a c h e l l a V a l l e y .
A n n e M a y e r r e p l i e d s h e w a s n o t a w a r e t h e C o a c h e l l a V a l l e y A s s o c i a t i o n o f
G o v e r n m e n t s ( C V A G ) m a d e a f o r m a l d e c i s i o n t o s p l i t t h e L T F f u n d s . S h e
e x p l a i n e d w h e n a n d i f C V A G a p p r o v e s t h e s p l i t o f t h e L T F f u n d s b e t w e e n
r a i l a n d t r a n s i t , t h e n a f o r m a l d e c i s i o n f r o m C V A G w i l l b e f o r w a r d e d t o t h e
C o m m i s s i o n f o r a p p r o v a l .
I n r e s p o n s e t o C o m m i s s i o n e r H a n s o n ' s r e q u e s t f o r c l a r i f i c a t i o n t h a t C V A G
m a k e s t h e d e c i s i o n t o s p l i t t h e L T F f u n d s a n d t h e C o m m i s s i o n w i l l d o t h e
a l l o c a t i o n a s a r e s u l t o f C V A G ' s d e c i s i o n , A n n e M a y e r c o n c u r r e d . S h e
d i s c u s s e d t h e d i s t i n c t i o n b e t w e e n t h e t w o g e o g r a p h i c a l a r e a s i n t h e C o u n t y .
S h e s t a t e d s i n c e t h e r e i s c u r r e n t l y n o r a i l i n t h e C o a c h e l l a V a l l e y , a l l L T F
f u n d i n g i s a l l o c a t e d t o b u s t r a n s i t .
T o m K i r k , C V A G ' s E x e c u t i V e D i r e c t o r , e x p l a i n e d a t C V A G ' s T r a n s p o r t a t i o n
C o m m i t t e e m e e t i n g , s t a f f w a s d i r e c t e d t o e x p l o r e t h e c o n c e p t o f a l l o c a t i n g
o f L T F f u n d s i n t o a r a i l p r o g r a m . H e s t a t e d t h i s c o n c e p t i s s t i l l u n d e r w a y ,
a n d e x p e c t s t o r e p o r t i n t h e n e x t 3 0 - 6 0 d a y s a s C V A G e x p l o r e s t h e l e g a l a n d
f i n a n c i a l a s p e c t s o f s u c h a r e a l l o c a t i o n .
Riverside County Transportation Commission Minutes
January 9, 2013
Page 4
Commissioner Andrew Kotyuk expressed appreciation to Ms. Trevino for her
presentation and stated there has been an increase in sales tax, but· not in
other revenues. He discussed the importance of how the other revenues
may change direction.
Anne Mayer stated staff monitors revenues and trends on a monthly basis.
She discussed the concerns with Measure A and L TF revenues and their
predictability. She explained TUMF may take several more years to be able
to predict those revenues.
Commissioner Bob Magee referred to the SB 821 funds staff is
recommending roll into the next call for projects. He stated he understood
there was a procedure where the projects are ranked and if additional funds
become available, the projects ranked below the original allocation were
eligible for the new available funding. He asked why the Commission is not
funding those projects instead of requiring these jurisdictions go through the
process again.
At Anne Mayer's request, Robert Yates, Multimodal Services Director, stated
the next competitive cycle for the SB 821 program is April 2013.
Theresia Trevino stated staff typically adds the additional revenues into the
next cycle.
Anne Mayer stated staff can evaluate the approved SB 821 projects from
last year and for those projects just under the line, staff can check the status
of those projects with the respective jurisdiction.
Commissioner Magee expressed appreciation to Ms. Mayer for her
comments, however, he expressed concern the projects that ranked just
below the available funding would have to requalify only to possibly be
ranked further down the list when that project should receive funding now.
He requested staff report back to the Commission on this matter.
Anne Mayer concurred.
M/S/C (Kotyuk/Hanson) to:
1)
2)
Approve the mid-year revenue projections for FY 2012/13;
Approve the budget increase adjustments to Measure A
revenues of $9 million and expenditures of $3,827,000, to
reflect the revised Measure A projections;
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R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n M i n u t e s
J a n u a r y 9 , 2 0 1 3
P a g e 5
3 )
4 )
A p p r o v e t h e b u d g e t i n c r e a s e a d j u s t m e n t s t o l o c a l
T r a n s p o r t a t i o n F u n d ( l T F ) r e v e n u e s a n d t r a n s f e r s i n o f
$ 5 , 0 5 1 , 4 0 0 , a n d e x p e n d i t u r e s a n d t r a n s f e r s o u t o f $ 6 7 6 , 7 0 0
t o r e f l e c t t h e r e v i s e d l T F p r o j e c t i o n s ; a n d
A p p r o v e t h e b u d g e t i n c r e a s e a d j u s t m e n t s t o T r a n s p o r t a t i o n
U n i f o r m M i t i g a t i o n F e e ( T U M F ) r e v e n u e s o f $ 2 . 3 m i l l i o n t o
r e f l e c t t h e r e v i s e d T U M F p r o j e c t i o n s .
9 . F I S C A l Y E A R 2 0 1 3 / 1 4 R E V E N U E P R O J E C T I O N S
M / S / C ( K o t y u k / H a n s o n ) t o :
1 ) A p p r o v e t h e p r o j e c t i o n s o f t h e l o c a l T r a n s p o r t a t i o n F u n d ( l T F )
a p p o r t i o n m e n t f o r t h e W e s t e r n R i v e r s i d e C o u n t y , C o a c h e l l a
V a l l e y , a n d P a l o V e r d e V a l l e y a r e a s ;
2 ) A p p r o v e t h e p r o j e c t i o n s f o r M e a s u r e A ; a n d
3 ) A p p r o v e t h e p r o j e c t i o n s f o r T r a n s p o r t a t i o n U n i f o r m M i t i g a t i o n
F e e ( T U M F ) r e v e n u e s .
1 0 . C O U N T Y O F R I V E R S I D E R E Q U E S T F O R M E A S U R E A R E G I O N A l A R T E R I A l
F U N D S F O R S T A T E R O U T E 7 9 P H A S E 2 W I D E N I N G P R O J E C T
S h i r l e y M e d i n a , P r o g r a m m i n g a n d P l a n n i n g M a n a g e r , p r o v i d e d a b r i e f
o v e r v i e w f o r t h e c o u n t y o f R i v e r s i d e r e q u e s t f o r M e a s u r e A R e g i o n a l A r t e r i a l
( M A R A ) f u n d s f o r t h e S R - 7 9 P h a s e 2 w i d e n i n g p r o j e c t .
M / S / C ( H e n d e r s o n / C r a t o n ) t o :
1 ) A p p r o v e p r o g r a m m i n g $ 3 m i l l i o n o f 2 0 0 9 M e a s u r e A R e g i o n a l
A r t e r i a l ( M A R A ) W e s t e r n C o u n t y f u n d s f o r t h e S t a t e R o u t e 7 9
P h a s e 2 w i d e n i n g p r o j e c t f r o m T h o m p s o n R o a d t o S c o t t R o a d ;
2 ) A p p r o v e A g r e e m e n t N o . 1 3 - 7 2 - 0 7 6 - 0 0 w i t h t h e c o u n t y o f
R i v e r s i d e t o r e f l e c t $ 3 m i l l i o n o f M A R A f u n d i n g p a r t i c i p a t i o n f o r
t h e c o n s t r u c t i o n p h a s e o f t h e S R - 7 9 P h a s e 2 w i d e n i n g p r o j e c t ;
a n d
3 ) A u t h o r i z e t h e C h a i r o r E x e c u t i v e D i r e c t o r , p u r s u ~ n t t o l e g a l
c o u n s e l r e v i e w , t o e x e c u t e t h e a g r e e m e n t o n b e h a l f o f t h e
C o m m i s s i o n .
A n n e M a y e r e x p r e s s e d a p p r e c i a t i o n f o r t h e C o m m i s s i o n ' s s u p p o r t o f t h e
f u n d i n g a l l o c a t i o n t o t h e S R - 7 9 P h a s e 2 w i d e n i n g p r o j e c t . S h e d i s c u s s e d t h e
M A R A p r o g r a m i n W e s t e r n R i v e r s i d e C o u n t y a n d t h e C o m m i s s i o n ' s p o l i c y f o r
a c c e p t i n g r e q u e s t s f o r c o n s t r u c t i o n p u r p o s e s . A n n e M a y e r e x p l a i n e d t h e r e
h a s b e e n n o f o r m a l M A R A p r o g r a m i n W e s t e r n R i v e r s i d e C o u n t y a s t h e r e a r e
Riverside County Transportation Commission Minutes
January 9, 2013
Page 6
no revenues in that funding category to move projects forward. She stated
the sales tax measure funds are increasing and with the healthy revenue
projections, staff plans to do a call for projects on the Western County
MARA and Moving Ahead for Progress in the 21st Century (MAP-21) federal
funds. She discussed the prior Universal Call for Projects with the Transit
program, the funding sources, and why the SB 821 program is separate.
At this time, Commissioner J. Benoit rejoined the meeting.
11. ITEM(S) PULLED FROM CONSENT CALENDAR
7 A. LIST OF PRE-QUALIFIED FIRMS AND AGREEMENTS FOR ON-CALL
RIGHT OF WAY ENVIRONMENTAL SERVICES
Commissioner Hanson asked for the consultants' hourly or daily rate.
Will Von Klug, Right of Way Manager, replied it varies from company
to company. He explained the proposals were evaluated on the
qualifications of the firm. He stated when task orders are assigned,
staff receives valuation and costs from the individual firms and
determines the most advantageous cost proposal for the Commission .
Anne Mayer stated when on-call consultants are being used, the
purpose is to make sure there is a bench so when these services are
needed staff does not have to go out to procure a consultant on a
specific item. For on-call contracts, the price evaluation occurs at the
task order stage.
Commissioner Hanson requested the average rates for an on-call right
of way consultant.
Mr. Von Klug stated a right of way project manager averages $200 an
hour, and a senior right of way agent averages $125 per hour.
M/S/C (Ashley/Henderson) to:
1) Award the following agreements to provide on-call right
of way environmental services for a two-year term with
one option year, in an amount not to exceed an aggregate
value of $300,000;
a) Agreement No. 13-31-037-00 with Ninyo & Moore
Geotechnical Consultants (Ninyo & Moore);
b) Agreement No. 13-31-068-00 with Leighton
Consulting, Inc. (leighton);
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R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n M i n u t e s
J a n u a r y 9 , 2 0 1 3
P a g e 7
c )
d )
A g r e e m e n t N o . 1 3 - 3 1 - 0 6 9 - 0 0 w i t h K l e i n f e l d e r
W e s t , I n c . ( K i e i n f e l d e r ) ; a n d
A g r e e m e n t N o . 1 3 - 3 1 - 0 7 0 - 0 0 w i t h T e t r a T e c h ,
I n c . ( T e t r a T e c h ) ;
2 ) A u t h o r i z e t h e E x e c u t i v e D i r e c t o r , o r d e s i g n e e , t o e x e c u t e
t a s k o r d e r s a w a r d e d t o c o n t r a c t o r s u n d e r t h e t e r m s o f
t h e a g r e e m e n t s ; a n d
3 ) A u t h o r i z e t h e C h a i r o r E x e c u t i v e D i r e c t o r , p u r s u a n t t o
l e g a l c o u n s e l r e v i e w , t o e x e c u t e t h e a g r e e m e n t s ,
i n c l u d i n g o p t i o n y e a r s , o n b e h a l f o f t h e C o m m i s s i o n .
A b s t a i n : J e f f r i e s
7 B . l O S A N G E L E S - S A N D I E G O - S A N l U I S O B I S P O R A i l C O R R I D O R
A G E N C Y U P D A T E A N D R E V I S E D J O I N T E X E R C I S E O F P O W E R S
A G R E E M E N T
A t C o m m i s s i o n e r R u s h ' s r e q u e s t , S h e l d o n P e t e r s o n , R a i l M a n a g e r ,
d i s c u s s e d t h e d y n a m i c s o f t h e s t a t e f u n d i n g , f u n d i n g s o u r c e s ,
s a f e g u a r d s , a n d p o t e n t i a l r i s k s .
A n n e M a y e r d i s c u s s e d t h e c o n c e r n s o f t h e L O S S A N m e m b e r a g e n c i e s
t o b e s e t t l e d w i t h a f i n a n c i a l b u r d e n f o r m a i n t a i n i n g � t h e o n g o i n g
t r a n s i t s e r v i c e .
I n r e s p o n s e t o C o m m i s s i o n e r R u s h ' s q u e s t i o n r e g a r d i n g c o s t s , S h e l d o n
P e t e r s o n r e p l i e d t h e e s t i m a t e i s a b o u t $ 3 0 m i l l i o n i n s t a t e f u n d i n g t o
o p e r a t e t h e P a c i f i c S u r f L i n e r s . H e d i s c u s s e d t h e d i f f e r e n c e s b e t w e e n
t h i s s y s t e m a n d t h e M e t r o l i n k s y s t e m .
I n r e s p o n s e t o C h a i r S p i e g e l ' s q u e s t i o n s a b o u t t h e a m e n d e d j o i n t J P A
i f a l l p a r t i e s a r e p a r t i c i p a n t s , S h e l d o n P e t e r s o n p r o v i d e d t h e c u r r e n t
s t a t u s o f t h e o t h e r p a r t n e r a g e n c i e s .
M / S / C ( R u s h / H e n d e r s o n ) t o :
1 )
2 )
R e c e i v e a n u p d a t e o n S e n a t e B i l l 1 2 2 5 l e g i s l a t i o n a n d
i m p l e m e n t a t i o n e f f o r t ; a n d
A u t h o r i z e t h e C h a i r , p u r s u a n t t o l e g a l c o u n s e l r e v i e w , t o
e x e c u t e t h e 2 0 1 3 A m e n d e d J o i n t E x e r c i s e o f P o w e r s
A g r e e m e n t t h a t a l l o w s t h e C o m m i s s i o n t o b e i n c l u d e d a s
v o t i n g m e m b e r i n t h e l o s A n g e l e s - S a n D i e g o - S a n
l u i s O b i s p o ( l O S S A N ) R a i l C o r r i d o r A g e n c y .
Riverside County Transportation Commission Minutes
January 9, 2013
Page 8
7C. RIVERSIDE TRANSIT AGENCY'S FISCAL YEAR 2012/13 SHORT
RANGE TRANSIT PLAN AMENDMENTS
Commissioner Hanson clarified this is primarily Riverside Transit
Agency's (RTA) decision to reallocate funds and the Commission is
confirming RTA's decision. He then asked where the Twin Cities
Center is located.
Robert Yates, Multimodal Services Director, concurred and stated the
location will be determined as part of a feasibility study RT A is
performing.
Anne Mayer added the Twin Cities Transit Center will be located in
the vicinity of Murrieta/Temecula.
M/S/C (Hanson/Gibbs) to:
1) Approve modifications to Riverside Transit Agency's
(RTA) FY 2012/13 Short Range Transit Plan (SRTP) and
capital budget to:
a) Redirect $4,560,975 of residual Transportation
Uniform Mitigation Fee (TUMF) from the Riverside
Transit Center to the Twin Cities Transit Center
project;
b) Redirect $1,329,592 of residual TUMF from the
Corona Transit Center to the Twin Cities Transit
Center project;
c) Redirect $2,501,000 in previously programmed
Federal Transit Administration (FTA) Section 5309
earmark funding from the Riverside Transit Center
to the Alternative Transit Center project;
d) Redirect $215,242 of previously programmed FTA
Section 5307 TE funding from the Riverside Transit
Center to the Alternative Transit Center project;
e) Program $585,084 of Local Transportation Funds
f)
g)
(L TF) as local match to the Alternative Transit
Center project federal funding;
Redirect $54,000 of residual previously
programmed State Transit Assistance (STA)
funding from the Riverside Transit Center to the
Alternative Transit Center project;
Redirect $2,736 in efficient energy grant funds
from the Corona Transit Center to the Alternative
Transit Center Project;
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R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n M i n u t e s
J a n u a r y 9 , 2 0 1 3
P a g e 9
h )
i )
j )
P r o g r a m $ 2 . 4 m i l l i o n o f F T A S e c t i o n 5 3 0 8 C l e a n
F u e l s G r a n t F u n d s t o w a r d t h e p u r c h a s e o f 4 0 - f o o t
c o m p r e s s e d n a t u r a l g a s ( C N G ) h e a v y d u t y b u s e s ;
R e d i r e c t $ 2 . 4 m i l l i o n i n l T F f r o m t h e p u r c h a s e o f
t h e 4 0 - f o o t h e a v y d u t y b u s e s t o w a r d t h e T w i n
C i t i e s T r a n s i t C e n t e r P r o j e c t ;
P r o g r a m $ 9 , 0 2 2 , 7 0 7 o f P r o p o s i t i o n 1 B P u b l i c
T r a n s p o r t a t i o n M o d e r n i z a t i o n , I m p r o v e m e n t , a n d
S e r v i c e E n h a n c e m e n t A c c o u n t ( P T M I S E A ) f u n d s
t o w a r d t h e p u r c h a s e o f 4 0 - f o o t h e a v y d u t y b u s e s ;
k ) P r o g r a m $ 1 , 4 9 0 , 1 3 2 m i l l i o n o f P r o p o s i t i o n 1 B
C a l i f o r n i a T r a n s i t S e c u r i t y G r a n t P r o g r a m - C a l i f o r n i a
T r a n s i t A s s i s t a n c e F u n d ( C T S G P - C T A F ) f u n d s f o r
s e c u r i t y i m p r o v e m e n t s a t v a r i o u s R T A f a c i l i t i e s ;
a n d
2 ) D i r e c t s t a f f t o w o r k w i t h t h e S o u t h e r n C a l i f o r n i a
A s s o c i a t i o n o f G o v e r n m e n t s ( S C A G ) t o e x e c u t e a n
a m e n d m e n t t o t h e F e d e r a l T r a n s p o r t a t i o n I m p r o v e m e n t
P l a n ( F T I P ) t o i n c o r p o r a t e t h e c h a n g e s f o r e a c h t r a n s i t
c e n t e r a n d t h e b u s p u r c h a s e .
1 2 . C O M M I S S I O N E R S / E X E C U T I V E D I R E C T O R ' S R E P O R T
1 2 A . C o m m i s s i o n e r H e r n a n d e z b r i e f e d t h e C o m m i s s i o n o n a n a c c i d e n t t h a t
o c c u r r e d o n t h e 8 6 E x p r e s s w a y . H e s t a t e d t h e 8 6 E x p r e s s w a y i s a
g o o d s m o v e m e n t c o r r i d o r a n d b e l i e v e s t h e C o m m i s s i o n n e e d s t o l o o k
a t a l l o c a t i n g f u n d s t o A v e n u e 5 0 a n d A v e n u e 5 2 .
1 2 8 . C o m m i s s i o n e r H e n d e r s o n e x p r e s s e d a p p r e c i a t i o n f o r t h e E x e c u t i v e
D i r e c t o r ' s r e s p o n s e r e c e i v e d a b o u t t h e t o l l r o a d s .
1 2 C . C o m m i s s i o n e r C r a t o n a n n o u n c e d :
" S e v e n t h A n n u a l C o m p a s s B l u e p r i n t R e c o g n i t i o n A w a r d
n o m i n a t i o n s a r e b e i n g a c c e p t e d u n t i l T u e s d a y , F e b r u a r y 1 9 a t
2 : 0 0 p . m . ; a n d
" F i s c a l Y e a r 2 0 1 3 / 1 4 T r a n s p o r t a t i o n P l a n n i n g G r a n t P r o g r a m s
W o r k s h o p w i l l b e h e l d J a n u a r y 3 1 a t S o u t h e r n C a l i f o r n i a
A s s o c i a t i o n o f G o v e r n m e n t s .
1 2 D . A n n e M a y e r :
" R e m i n d e d t h e C o m m i s s i o n e r s t h e A n n u a l C o m m i s s i o n
W o r k s h o p w i l l b e h e l d o n J a n u a r y 3 1 a n d F e b r u a r y 1 , 2 0 1 3 i n
L a Q u i n t a a n d t o s u b m i t t h e i r 2 0 1 3 A n n u a l W o r k s h o p f o r m s t o
J e n n i f e r H a r m o n ;
Riverside County Transportation Commission Minutes
January 9, 2013
Page 10
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Perris Valley Line bids were opened in December 2012, and six
bids were received;
Nominations are needed for the Citizens Advisory Committee;
and
Inland Empire 511 has a new page devoted to Veterans'
transportation options.
12E. Chair Spiegel expressed appreciation for the appointment requests and
asked any Commissioners interested in being appointed to an ad hoc
committee being formed to address Legislative issues to contact her.
She expressed appreciation to Commissioner Craton for serving on
SCAG and providing regular reports.
13. ADJOURNMENT
There being no further business for consideration by the Riverside County
Transportation Commission, the meeting was adjourned at 10:45 a.m. The
Commission will host its annual workshop scheduled for Thursday,
January 31 -Friday, February 1 . The next Commission meeting is
scheduled to be held at 9:00a.m., Friday, February 1, 2013, Embassy
Suites, La Quinta, CA.
Respectfully submitted,
Jennifer Harmon
Clerk of the Board
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AGENDA ITEM 7 A
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R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
D A T E : F e b r u a r y 1 3 , 2 0 1 3
T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
F R O M : T h e r e s i a T r e v i n o , C h i e f F i n a n c i a l O f f i c e r
T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r
S U B J E C T : A g r e e m e n t f o r T r u s t e e S e r v i c e s
S T A F F R E C O M M E N D A T I O N :
T h i s i t e m i s f o r t h e C o m m i s s i o n t o :
1 )
2 )
A w a r d A g r e e m e n t N o . 1 3 - 3 1 - 0 6 3 - 0 0 t o T h e B a n k o f N e w Y o r k M e l l o n T r u s t
C o m p a n y , N . A : ( B N Y M e l l o n ) f o r t r u s t e e s e r v i c e s o n t h e S t a t e R o u t e 9 1
C o r r i d o r I m p r o v e m e n t P r o j e c t ( S R - 9 1 C l P ) f o r a f i v e - y e a r p e r i o d w i t h
a d d i t i o n a l o p t i o n p e r i o d s i n f i v e - y e a r i n c r e m e n t s , i n a n a m o u n t o f $ 1 2 , 0 0 0 ,
p l u s a c o n t i n g e n c y a m o u n t o f $ 1 , 0 0 0 , f o r a t o t a l a m o u n t n o t t o e x c e e d
$ 1 3 , 0 0 0 f o r t h e i n i t i a l f i v e - y e a r t e r m ; a n d
A u t h o r i z e t h e C h a i r o r E x e c u t i v e D i r e c t o r , p u r s u a n t t o l ~ g a l c o u n s e l r e v i e w ,
t o e x e c u t e t h e a g r e e m e n t , i n c l u d i n g o p t i o n y e a r s , o n b e h a l f o f t h e
C o m m i s s i o n .
B A C K G R O U N D I N F O R M A T I O N :
I n c o n n e c t i o n w i t h t h e i s s u a n c e o f i n d e b t e d n e s s , t h e i s s u e r o f t h e d e b t a p p o i n t s a
t r u s t e e t o c a r r y o u t t h e a d m i n i s t r a t i v e f u n c t i o n s r e q u i r e d u n d e r t h e b o n d
d o c u m e n t s . T h e s e a d m i n i s t r a t i v e r e s p o n s i b i l i t i e s i n c l u d e e s t a b l i s h i n g t h e a c c o u n t s
a n d h o l d i n g t h e f u n d s r e l a t e d t o t h e d e b t i s s u e , a u t h e n t i c a t i n g t h e b o n d s ,
m a i n t a i n i n g a l i s t o f h o l d e r s o f t h e b o n d s , p a y i n g p r i n c i p a l a n d i n t e r e s t o n t h e d e b t ,
a n d r e p r e s e n t i n g t h e i n t e r e s t s o f t h e b o n d h o l d e r s i n t h e e v e n t o f d e f a u l t .
U . S . B a n k N a t i o n a l A s s o c i a t i o n ( U S B a n k ) i s t h e t r u s t e e f o r t h e C o m m i s s i o n ' s
M e a s u r e A s a l e s t a x - s u p p o r t e d d e b t , c o n s i s t i n g o f s a l e s t a x r e v e n u e b o n d s a n d
c o m m e r c i a l p a p e r n o t e s . A s a r e s u l t o f t h e t o l l r e v e n u e - s u p p o r t e d d e b t t o b e
i s s u e d l a t e r t h i s y e a r i n c o n n e c t i o n w i t h t h e S R - 9 1 C I P , t h e C o m m i s s i o n w i l l r e q u i r e
t h e s e r v i c e s o f a t r u s t e e f o r t h e t o l l � r e v e n u e b o n d s a n d 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 F i n a n c e a n d I n n o v a t i o n A c t l o a n . T h i s t r u s t e e w i l l a l s o b e
r e s p o n s i b l e f o r e s t a b l i s h i n g a n d h o l d i n g t h e c o n s t r u c t i o n f u n d s r e l a t e d t o t h e
p r o c e e d s o f t h e s a l e s t a x r e v e n u e b o n d s a l s o t o b e i s s u e d i n c o n n e c t i o n w i t h t h e
A g e n d a I t e m 7 A
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SR-91 CIP as well as Commission cash contributions. US Bank will continue to
intercept the Measure A sales tax revenues from the State Board of Equalization •
and service the Measure A sales tax-supported debt.
Procurement Process
A request for proposals (RFP) for trustee services for the SR-91 CIP was released
by staff and sent to seven qualified firms on December 5, 2012. Staff responded
to all questions submitted by potential proposers prior to the December 12, 2012
deadline date. Seven firms -BNY Mellon; Deutsche Bank Trust Company
Americas (Deutsche Bank); Union Bank N.A.; US Bank; Wells Fargo Bank, N.A.;
Wilmington Trust Company; and Zions First National Bank -submitted proposals
prior to the January 3, 2013, submittal deadline. All seven firms submitted
responsive and responsible proposals. Utilizing the evaluation criteria set forth in
the RFP, the seven firms were evaluated and scored by an evaluation committee
comprised of Commission staff and a representative from the Riverside County
Office of the Treasurer-Tax Collector.
Based on the evaluation committee's assessment of the written proposals and
pursuant to the terms·of the RFP, the evaluation committee short listed and invited
three firms to the interview phase of the evaluation and selection process.
Interviews of the short listed firms, BNY Mellon, Deutsche Bank, and US Bank, •
were conducted on January 16, 2013.
Pursuant to the terms of the RFP, the evaluation committee recommends an
agreement be awarded to BNY Mellon, as that firm earned the highest total
evaluation scores under the evaluation criteria terms of the RFP.
The recommended firm's fees were competitively established and considered fair
and reasonable based upon adequate price competition under the above referenced
procurement process. BNY Mellon offered the most advantageous combination of
experience, relevant qualifications, and pricing. Staff is confident that the
recommended firm will provide the Commission with quality service at the best
possible price.
Funding
The trustee fees for BNY Mellon during the construction period will be funded with
proceeds from the toll revenue bonds, and the fees following commencement of
toll operations with toll revenues.
Agenda Item 7 A
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" F i n a n c i a l I n f o r m a t i o n
I n F i s c a l Y e a r B u d g e t : J N / A I Y e a r : I F Y 2 0 1 3 / 1 4 + A m o u n t : I $ 1 3 , 0 0 0
s f F d I T o l l r e v e n u e b o n d p r o c e e d s , t o l l B u d g e t A d j u s t m e n t : I N / A o u r c e o u n s : r e v e n u e s
G L / P r o j e c t A c c o u n t i n g N o . : 0 0 3 0 2 8 6 5 5 2 0 2 6 2 3 1 6 5 5 2 0
F i s c a l P r o c e d u r e s A p p r o v e d : ~ ~ I D a t e : l 0 1 / 2 3 / 1 3
A t t a c h m e n t : A g r e e m e n t N o . 1 3 - 3 1 - 0 6 3 - 0 0
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A g e n d a I t e m 7 A
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A g r e e m e n t N o . 1 3 - 3 1 - 0 6 3 - 0 0
R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
A G R E E M E N T F O R T R U S T E E S E R V I C E S
W I T H T H E B A N K O F N E W Y O R K M E L L O N T R U S T C O M P A N Y , N . A .
1 . P A R T I E S A N D D A T E .
T h i s A g r e e m e n t i s m a d e a n d e n t e r e d i n t o t h i s _ d a y o f , 2 0 1 3 , b y a n d
b e t w e e n t h e R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N ( " t h e C o -
m m i s s i o n " ) a n d T H E B A N K O F N E W Y O R K M E L L O N T R U S T C O M P A N Y , N . A .
( " C o n s u l t a n t " ) , a N e w Y o r k C o r p o r a t i o n .
2 . R E C I T A L S .
2 . 1 C o n s u l t a n t d e s i r e s t o p e r f o r m a n d a s s u m e r e s p o n s i b i l i t y f o r t h e
p r o v i s i o n o f c e r t a i n p r o f e s s i o n a l c o n s u l t i n g s e r v i c e s r e q u i r e d b y C o m m i s s i o n o n t h e
t e r m s a n d c o n d i t i o n s s e t f o r t h i n t h i s A g r e e m e n t . C o n s u l t a n t r e p r e s e n t s t h a t i t i s a
p r o f e s s i o n a l c o n s u l t a n t , e x p e r i e n c e d i n p r o v i d i n g t r u s t e e s e r v i c e s , a n d i s f a m i l i a r w i t h
t h e p l a n s o f C o m m i s s i o n .
2 . 2 , C o m m i s s i o n d e s i r e s t o e n g a g e C o n s u l t a n t t o r e n d e r c e r t a i n t r u s t e e
s e r v i c e s r e l a t e d t o t h e t o l l r e v e n u e b o n d s ( B o n d s ) a n d U . S . D e p a r t m e n t o f
T r a n s p o r t a t i o n ' s 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 F i n a n c e a n d I n n o v a t i o n A c t l o a n ( L o a n )
f i n a n c i n g s i n c o n n e c t i o n w i t h t h e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ( " P r o j e c t " ) a s s e t
f o r t h h e r e i n .
3 . T E R M S .
3 . 1 G e n e r a l S c o p e o f S e r v i c e s . C o n s u l t a n t p r o m i s e s a n d a g r e e s t o
f u r n i s h t o C o m m i s s i o n a l l l a b o r m a t e r i a l s , t o o l s , e q u i p m e n t , s e r v i c e s , a n d i n c i d e n t a l a n d
c u s t o m a r y w o r k n e c e s s a r y t o f u l l y a n d a d e q u a t e l y p r o v i d e p r o f e s s i o n a l c o n s u l t i n g
s e r v i c e s a n d a d v i c e o n v a r i o u s i s s u e s a f f e c t i n g t h e d e c i s i o n s o f C o m m i s s i o n r e g a r d i n g
t h e P r o j e c t a n d o n o t h e r p r o g r a m s a n d m a t t e r s a f f e c t i n g C o m m i s s i o n , h e r e i n a f t e r
r e f e r r e d t o a s " S e r v i c e s " . T h e S e r v i c e s a r e m o r e p a r t i c u l a r l y d e s c r i b e d i n E x h i b i t " A "
a t t a c h e d h e r e t o a n d i n c o r p o r a t e d h e r e i n b y r e f e r e n c e . A l l S e r v i c e s s h a l l b e s u b j e c t t o ,
a n d p e r f o r m e d i n a c c o r d a n c e w i t h , t h i s A g r e e m e n t , t h e e x h i b i t s a t t a c h e d h e r e t o a n d
i n c o r p o r a t e d h e r e i n b y r e f e r e n c e , a n d a l l a p p l i c a b l e l o c a l , s t a t e , a n d f e d e r a l l a w s , r u l e s
a n d r e g u l a t i o n s .
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3.2 Term. The term of this Agreement shall commence upon the
issuance of the Bonds and closing of the Loan for an initial five year period, unless •
earlier terminated as provided herein. The Commission shall have the option, in its sole
discretion, to extend the term of the Agreement for additional periods in five year
increments until the maturities of the Bonds and Loan. 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 Scope of
Services 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 Schedule of Services.
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:
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3 . 7 C o m m i s s i o n ' s R e p r e s e n t a t i v e . C o m m i s s i o n h e r e b y d e s i g n a t e s
L _ I N S E R T N A M E O R T I T L E _ j , o r h i s o r h e r d e s i g n e e , t o a c t a s i t s r e p r e s e n t a t i v e
f o r t h e p e r f o r m a n c e o f t h i s A g r e e m e n t ( " C o m m i s s i o n ' s R e p r e s e n t a t i v e " ) . C o m m i s s i o n ' s
r e p r e s e n t a t i v e s h a l l h a v e t h e p o w e r t o a c t o n b e h a l f o f C o m m i s s i o n f o r a l l p u r p o s e s
u n d e r t h i s A g r e e m e n t . C o n s u l t a n t s h a l l n o t a c c e p t d i r e c t i o n f r o m a n y p e r s o n o t h e r t h a n
C o m m i s s i o n ' s R e p r e s e n t a t i v e o r h i s o r h e r d e s i g n e e .
3 . 8 C o n s u l t a n t ' s R e p r e s e n t a t i v e . C o n s u l t a n t h e r e b y d e s i g n a t e s
[ _ _ I N S E R T N A M E O R T I T L E _ j , o r h i s o r h e r d e s i g n e e , t o a c t a s i t s r e p r e s e n t a t i v e
f o r t h e p e r f o r m a n c e o f t h i s A g r e e m e n t ( " C o n s u l t a n t ' s R e p r e s e n t a t i v e " ) . C o n s u l t a n t ' s
R e p r e s e n t a t i v e s h a l l h a v e f u l l a u t h o r i t y t o r e p r e s e n t a n d a c t o n b e h a l f o f t h e C o n s u l t a n t
f o r a l l p u r p o s e s u n d e r t h i s A g r e e m e n t . T h e C o n s u l t a n f s R e p r e s e n t a t i v e s h a l l s u p e r v i s e
a n d d i r e c t t h e S e r v i c e s , u s i n g h i s o r h e r b e s t s k i l l a n d a t t e n t i o n , a n d s h a l l b e
r e s p o n s i b l e f o r a l l m e a n s , m e t h o d s , t e c h n i q u e s , s e q u e n c e s a n d p r o c e d u r e s a n d f o r t h e
s a t i s f a c t o r y c o o r d i n a t i o n o f a l l p o r t i o n s o f t h e S e r v i c e s u n d e r t h i s A g r e e m e n t .
3 . 9 C o o r d i n a t i o n o f S e r v i c e s . C o n s u l t a n t a g r e e s t o w o r k c l o s e l y w i t h
C o m m i s s i o n s t a f f i n t h e p e r f o r m a n c e o f S e r v i c e s a n d s h a l l b e a v a i l a b l e t o C o m m i s s i o n ' s
s t a f f , c o n s u l t a n t s a n d o t h e r s t a f f a t a l l r e a s o n a b l e t i m e s .
3 . 1 0 S t a n d a r d o f C a r e ; L i c e n s e s . C o n s u l t a n t s h a l l p e r f o r m t h e S e r v i c e s
u n d e r t h i s A g r e e m e n t i n a s k i l l f u l a n d c o m p e t e n t m a n n e r , c o n s i s t e n t w i t h t h e s t a n d a r d
g e n e r a l l y r e c o g n i z e d a s b e i n g e m p l o y e d b y p r o f e s s i o n a l s i n t h e s a m e d i s c i p l i n e i n t h e
S t a t e o f C a l i f o r n i a . C o n s u l t a n t r e p r e s e n t s a n d m a i n t a i n s t h a t i t i s s k i l l e d i n t h e
p r o f e s s i o n a l c a l l i n g n e c e s s a r y t o p e r f o r m t h e S e r v i c e s . C o n s u l t a n t w a r r a n t s t h a t a l l
e m p l o y e e s a n d s u b c o n t r a c t o r s s h a l l h a v e s u f f i c i e n t s k i l l a n d e x p e r i e n c e t o p e r f o r m t h e
S e r v i c e s a s s i g n e d t o t h e m . F i n a l l y , C o n s u l t a n t r e p r e s e n t s t h a t i t , i t s e m p l o y e e s a n d
s u b c o n t r a c t o r s h a v e a l l l i c e n s e s , p e r m i t s , q u a l i f i c a t i o n s a n d a p p r o v a l s o f w h a t e v e r
n a t u r e t h a t a r e l e g a l l y r e q u i r e d t o p e r f o r m t h e S e r v i c e s a n d t h a t s u c h l i c e n s e s a n d
a p p r o v a l s s h a l l b e m a i n t a i n e d t h r o u g h o u t t h e t e r m o f t h i s A g r e e m e n t . C o n s u l t a n t s h a l l
p e r f o r m , a t i t s o w n c o s t a n d e x p e n s e a n d w i t h o u t r e i m b u r s e m e n t f r o m C o m m i s s i o n , a n y
S e r v i c e s n e c e s s a r y t o c o r r e c t e r r o r s o r o m i s s i o n s w h i c h a r e c a u s e d b y t h e C o n s u l t a n t ' s
f a i l u r e t o c o m p l y w i t h t h e s t a n d a r d o f c a r e p r o v i d e d f o r h e r e i n , a n d s h a l l b e f u l l y
r e s p o n s i b l e t o t h e C o m m i s s i o n f o r a l l d a m a g e s a n d o t h e r l i a b i l i t i e s p r o v i d e d f o r i n t h e
i n d e m n i f i c a t i o n p r o v i s i o n s o f t h i s A g r e e m e n t a r i s i n g f r o m t h e C o n s u l t a n t ' s e r r o r s a n d
o m i s s i o n s .
3 . 1 1 L a w s a n d R e g u l a t i o n s . C o n s u l t a n t s h a l l k e e p i t s e l f f u l l y i n f o r m e d o f
a n d i n c o m p l i a n c e w i t h a l l l o c a l , s t a t e a n d f e d e r a l l a w s , r u l e s a n d r e g u l a t i o n s i n a n y
m a n n e r a f f e c t i n g t h e p e r f o r m a n c e o f t h e P r o j e c t o r t h e S e r v i c e s , i n c l u d i n g a l l G a l / O S H A
r e q u i r e m e n t s , a n d s h a l l g i v e a l l n o t i c e s r e q u i r e d b y l a w . C o n s u l t a n t s h a l l b e l i a b l e f o r a l l
v i o l a t i o n s o f s u c h l a w s a n d r e g u l a t i o n s i n c o n n e c t i o n w i t h S e r v i c e s . I f t h e C o n s u l t a n t
p e r f o r m s a n y w o r k k n o w i n g i t t o b e c o n t r a r y t o s u c h l a w s , r u l e s a n d r e g u l a t i o n s a n d
w i t h o u t g i v i n g w r i t t e n n o t i c e t o C o m m i s s i o n , C o n s u l t a n t s h a l l b e s o l e l y r e s p o n s i b l e f o r
a l l c o s t s a r i s i n g t h e r e f r o m . C o n s u l t a n t s h a l l d e f e n d , i n d e m n i f y a n d h o l d C o m m i s s i o n , i t s
o f f i c i a l s , d i r e c t o r s , o f f i c e r s , e m p l o y e e s a n d a g e n t s f r e e a n d h a r m l e s s , p u r s u a n t t o t h e
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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 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); (2)
Automobile Liability: Insurance Services Office Business Auto Coverage form number
CA 0001, code 1 (any auto); 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 {Reserved}
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. The general liability policy shall be
endorsed to state that: (1) the Commission, its directors, officials, officers, employees •
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a n d a g e n t s s h a l l b e c o v e r e d a s a d d i t i o n a l i n s u r e d s w i t h r e s p e c t t o t h e S e r v i c e s o r
o p e r a t i o n s p e r f o r m e d b y o r o n b e h a l f o f t h e C o n s u l t a n t , i n c l u d i n g m a t e r i a l s , p a r t s o r
� e q u i p m e n t f u r n i s h e d i n c o n n e c t i o n w i t h s u c h w o r k ; a n d ( 2 ) t h e i n s u r a n c e c o v e r a g e s h a l f
b e p r i m a r y i n s u r a n c e a s r e s p e c t s t h e C o m m i s s i o n , i t s d i r e c t o r s , o f f i c i a l s , o f f i c e r s ,
e m p l o y e e s a n d a g e n t s , o r i f e x c e s s , s h a l f s t a n d i n a n u n b r o k e n c h a i n o f c o v e r a g e
e x c e s s o f t h e C o n s u l t a n t ' s s c h e d u l e d u n d e r l y i n g c o v e r a g e . A n y i n s u r a n c e o r s e l f -
i n s u r a n c e m a i n t a i n e d b y t h e C o m m i s s i o n , i t s d i r e c t o r s , o f f i c i a l s , o f f i c e r s , e m p l o y e e s a n d
a g e n t s s h a l l b e e x c e s s o f t h e C o n s u l t a n t ' s i n s u r a n c e a n d s h a l f n o t b e c a l l e d u p o n t o
c o n t r i b u t e w i t h i t i n a n y w a y .
( B ) A u t o m o b i l e L i a b i l i t y . T h e a u t o m o b i l e l i a b i l i t y p o l i c y
s h a l l b e e n d o r s e d t o s t a t e t h a t : ( 1 ) t h e C o m m i s s i o n , i t s d i r e c t o r s , o f f i c i a l s , o f f i c e r s ,
e m p l o y e e s a n d a g e n t s s h a l l b e c o v e r e d a s a d d i t i o n a l i n s u r e d s w i t h r e s p e c t t o t h e
o w n e r s h i p , o p e r a t i o n , m a i n t e n a n c e , u s e , l o a d i n g o r u n l o a d i n g o f a n y a u t o o w n e d ,
l e a s e d , h i r e d o r b o r r o w e d b y t h e C o n s u l t a n t o r f o r w h i c h t h e C o n s u l t a n t i s r e s p o n s i b l e ;
a n d ( 2 ) t h e i n s u r a n c e c o v e r a g e s h a l l b e p r i m a r y i n s u r a n c e a s r e s p e c t s t h e C o m m i s s i o n ,
i t s d i r e c t o r s , o f f i c i a l s , o f f i c e r s , e m p l o y e e s a n d a g e n t s , o r i f e x c e s s , s h a l l s t a n d i n a n
u n b r o k e n c h a i n o f c o v e r a g e e x c e s s o f t h e C o n s u l t a n t ' s s c h e d u l e d u n d e r l y i n g c o v e r a g e .
A n y i n s u r a n c e o r s e l f - i n s u r a n c e m a i n t a i n e d b y t h e C o m m i s s i o n , i t s d i r e c t o r s , o f f i c i a l s ,
o f f i c e r s , e m p l o y e e s a n d a g e n t s s h a l f b e e x c e s s o f t h e C o n s u l t a n t ' s i n s u r a n c e a n d s h a l f
n o t b e c a l l e d u p o n t o c o n t r i b u t e w i t h i t i n a n y w a y .
( C ) W o r k e r s ' C o m p e n s a t i o n a n d E m p l o y e r s L i a b i l i t y
C o v e r a g e . T h e i n s u r e r s h a l l a g r e e t o w a i v e a l l r i g h t s o f s u b r o g a t i o n a g a i n s t t h e
C o m m i s s i o n , i t s d i r e c t o r s , o f f i c i a l s , o f f i c e r s , e m p l o y e e s a n d a g e n t s f o r l o s s e s p a i d
u n d e r t h e t e r m s o f t h e i n s u r a n c e p o l i c y w h i c h a r i s e f r o m w o r k p e r f o r m e d b y t h e
C o n s u l t a n t .
( D ) A l l C o v e r a g e s . E a c h i n s u r a n c e p o l i c y r e q u i r e d b y t h i s
A g r e e m e n t s h a l l b e e n d o r s e d t o s t a t e t h a t : ( A ) c o v e r a g e s h a l l n o t b e s u s p e n d e d ,
v o i d e d o r c a n c e l e d e x c e p t a f t e r t h i r t y ( 3 0 ) d a y s p r i o r w r i t t e n n o t i c e b y c e r t i f i e d m a i l ,
r e t u r n r e c e i p t r e q u e s t e d , h a s b e e n g i v e n t o t h e C o m m i s s i o n ; a n d , ( B ) a n y f a i l u r e t o
c o m p l y w i t h r e p o r t i n g o r o t h e r p r o v i s i o n s o f t h e p o l i c i e s , i n c l u d i n g b r e a c h e s o f
w a r r a n t i e s , s h a l l n o t a f f e c t c o v e r a g e p r o v i d e d t o t h e C o m m i s s i o n , i t s d i r e c t o r s , o f f i c i a l s ,
o f f i c e r s , e m p l o y e e s a n d a g e n t s .
3 . 1 2 . 5 D e d u c t i b l e s a n d S e l f - I n s u r a n c e R e t e n t i o n s . A n y d e d u c t i b l e s
o r s e l f - i n s u r e d r e t e n t i o n s m u s t b e d e c l a r e d t o a n d a p p r o v e d b y t h e C o m m i s s i o n . I f t h e
C o m m i s s i o n d o e s n o t a p p r o v e t h e d e d u c t i b l e s o r s e l f - i n s u r e d r e t e n t i o n s a s p r e s e n t e d ,
C o n s u l t a n t s h a l l g u a r a n t e e t h a t , a t t h e o p t i o n o f t h e C o m m i s s i o n , e i t h e r : ( 1 ) t h e i n s u r e r
s h a l l r e d u c e o r e l i m i n a t e s u c h d e d u c t i b l e s o r s e l f - i n s u r e d r e t e n t i o n s a s r e s p e c t s t h e
C o m m i s s i o n , i t s d i r e c t o r s , o f f i c i a l s , o f f i c e r s , e m p l o y e e s a n d a g e n t s ; o r , ( 2 ) t h e
C o n s u l t a n t s h a l l p r o c u r e a b o n d g u a r a n t e e i n g p a y m e n t o f l o s s e s a n d r e l a t e d
i n v e s t i g a t i o n c o s t s , c l a i m s a n d a d m i n i s t r a t i v e a n d d e f e n s e e x p e n s e s .
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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:VIIl, 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
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.
3.13 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 L_INSERT WRITTEN DOLLAR AMOUNT __l ($L_INSERT NUMERICAL
DOLLAR AMOUNT __l) 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
pay all approved charges thereon.
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3.14.3 Reimbursement for Expenses. Consultant shall not be
• reimbursed for any expenses unless authorized in writing by Commission.
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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 maturities of the toll revenue-supported debt issued and
related to 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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CONSULT ANT:
Attn: ______ _
COMMISSION:
Riverside County
Transportation Commission
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
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.
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
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C o n s u l t a n t u n d e r t h i s A g r e e m e n t a s w e l l a s a n y o t h e r s u c h I n t e l l e c t u a l P r o p e r t y
p r e p a r e d o r d e v e l o p e d b y o r o n b e h a l f o f C o n s u l t a n t u n d e r t h i s A g r e e m e n t .
T h e C o m m i s s i o n s h a l l h a v e a n d r e t a i n a l l r i g h t , t i t l e a n d i n t e r e s t i n
I n t e l l e c t u a l P r o p e r t y d e v e l o p e d o r m o d i f i e d u n d e r t h i s A g r e e m e n t w h e t h e r o r n o t p a i d
f o r w h o l l y o r i n p a r t b y C o m m i s s i o n , w h e t h e r o r n o t d e v e l o p e d i n c o n j u n c t i o n w i t h
C o n s u l t a n t , a n d w h e t h e r o r n o t d e v e l o p e d b y C o n s u l t a n t . C o n s u l t a n t w i l l e x e c u t e
s e p a r a t e w r i t t e n a s s i g n m e n t s o f a n y a n d a l l r i g h t s t o t h e a b o v e r e f e r e n c e d I n t e l l e c t u a l
P r o p e r t y u p o n r e q u e s t o f C o m m i s s i o n .
C o n s u l t a n t s h a l l a l s o b e r e s p o n s i b l e t o o b t a i n i n w r i t i n g s e p a r a t e
w r i t t e n a s s i g n m e n t s f r o m a n y s u b c o n t r a c t o r s o r a g e n t s o f C o n s u l t a n t o f a n y a n d a l l r i g h t
t o t h e a b o v e r e f e r e n c e d I n t e l l e c t u a l P r o p e r t y . S h o u l d C o n s u l t a n t , e i t h e r d u r i n g o r
f o l l o w i n g t e r m i n a t i o n o f t h i s A g r e e m e n t , d e s i r e t o u s e a n y o f t h e a b o v e - r e f e r e n c e d
I n t e l l e c t u a l P r o p e r t y , i t s h a l l f i r s t o b t a i n t h e w r i t t e n a p p r o v a l o f t h e C o m m i s s i o n .
A l l m a t e r i a l s a n d d o c u m e n t s w h i c h w e r e d e v e l o p e d o r p r e p a r e d b y
t h e C o n s u l t a n t f o r g e n e r a l u s e p r i o r t o t h e e x e c u t i o n o f t h i s A g r e e m e n t a n d w h i c h a r e
n o t t h e c o p y r i g h t o f a n y o t h e r p a r t y o r p u b l i c l y a v a i l a b l e a n d a n y o t h e r c o m p u t e r
a p p l i c a t i o n s , s h a l l c o n t i n u e t o b e t h e p r o p e r t y o f t h e C o n s u l t a n t . H o w e v e r , u n l e s s
o t h e r w i s e i d e n t i f i e d a n d s t a t e d p r i o r t o e x e c u t i o n o f t h i s A g r e e m e n t , C o n s u l t a n t
r e p r e s e n t s a n d w a r r a n t s t h a t i t h a s t h e r i g h t t o g r a n t t h e e x c l u s i v e a n d p e r p e t u a l l i c e n s e
f o r a l l s u c h I n t e l l e c t u a l P r o p e r t y a s p r o v i d e d h e r e i n .
C o m m i s s i o n f u r t h e r i s g r a n t e d b y C o n s u l t a n t a n o n - e x c l u s i v e a n d
p e r p e t u a l l i c e n s e t o c o p y , u s e , m o d i f y o r s u b - l i c e n s e a n y a n d a l l I n t e l l e c t u a l P r o p e r t y
o t h e r w i s e o w n e d b y C o n s u l t a n t w h i c h i s t h e b a s i s o r f o u n d a t i o n f o r a n y d e r i v a t i v e ,
c o l l e c t i v e , i n s u r r e c t i o n a l , o r s u p p l e m e n t a l w o r k c r e a t e d u n d e r t h i s A g r e e m e n t .
3 . 1 8 . 3 C o n f i d e n t i a l i t y . A l l i d e a s , m e m o r a n d a , s p e c i f i c a t i o n s , p l a n s ,
p r o c e d u r e s , d r a w i n g s , d e s c r i p t i o n s , c o m p u t e r p r o g r a m d a t a , i n p u t r e c o r d d a t a , w r i t t e n
i n f o r m a t i o n , a n d o t h e r D o c u m e n t s a n d D a t a e i t h e r c r e a t e d b y o r p r o v i d e d t o C o n s u l t a n t
i n c o n n e c t i o n w i t h t h e p e r f o r m a n c e o f t h i s A g r e e m e n t s h a l l b e h e l d c o n f i d e n t i a l b y
C o n s u l t a n t . S u c h m a t e r i a l s s h a l l n o t , w i t h o u t t h e p r i o r w r i t t e n c o n s e n t o f C o m m i s s i o n ,
b e u s e d b y C o n s u l t a n t f o r a n y p u r p o s e s o t h e r t h a n t h e p e r f o r m a n c e o f t h e S e r v i c e s .
N o r s h a l l s u c h m a t e r i a l s b e d i s c l o s e d t o a n y p e r s o n o r e n t i t y n o t c o n n e c t e d w i t h t h e
p e r f o r m a n c e o f t h e S e r v i c e s o r t h e P r o j e c t . N o t h i n g f u r n i s h e d t o C o n s u l t a n t w h i c h i s
o t h e r w i s e k n o w n t o C o n s u l t a n t o r i s g e n e r a l l y k n o w n , o r h a s b e c o m e k n o w n , t o t h e
r e l a t e d i n d u s t r y s h a l l b e d e e m e d c o n f i d e n t i a l . C o n s u l t a n t s h a l l n o t u s e C o m m i s s i o n ' s
n a m e o r i n s i g n i a , p h o t o g r a p h s o f t h e P r o j e c t , o r a n y p u b l i c i t y p e r t a i n i n g t o t h e S e r v i c e s
o r t h e P r o j e c t i n a n y m a g a z i n e , t r a d e p a p e r , n e w s p a p e r , t e l e v i s i o n o r r a d i o p r o d u c t i o n
o r o t h e r s i m i l a r m e d i u m w i t h o u t t h e p r i o r w r i t t e n c o n s e n t o f C o m m i s s i o n .
S h o u l d C o n s u l t a n t r e c e i v e a s u b p o e n a o r c o u r t o r d e r r e l a t e d t o t h i s
A g r e e m e n t , t h e S e r v i c e s o r t h e P r o j e c t , C o n s u l t a n t s h a l l i m m e d i a t e l y p r o v i d e w r i t t e n
n o t i c e o f t h e s u b p o e n a o r c o u r t o r d e r t o t h e C o m m i s s i o n i n o r d e r t o a l l o w t h e
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Commission to pursue legal remedies designed to limit any confidential information
required to be disclosed or to assure the confidential treatment of the information •
following disclosure. 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.
3.19 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 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 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
volunteers. Notwithstanding the foregoing, to the extent Consultant's Services are
subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent
required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to
the negligence, recklessness, or willful misconduct of the Consultant. 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
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n e g o t i a t i o n s , u n d e r s t a n d i n g s o r a g r e e m e n t s . T h i s A g r e e m e n t m a y o n l y b e m o d i f i e d b y
a w r i t i n g s i g n e d b y b o t h p a r t i e s .
3 . 2 3 G o v e r n i n g L a w . T h i s A g r e e m e n t s h a l l b e g o v e r n e d b y t h e l a w s o f
t h e S t a t e o f C a l i f o r n i a . V e n u e s h a l l b e i n R i v e r s i d e C o u n t y .
3 . 2 4 T i m e o f E s s e n c e . T i m e i s o f t h e e s s e n c e f o r e a c h a n d e v e r y
p r o v i s i o n o f t h i s A g r e e m e n t .
3 . 2 5 C o m m i s s i o n ' s R i g h t t o E m p l o y O t h e r C o n s u l t a n t s . T h e
C o m m i s s i o n r e s e r v e s t h e r i g h t t o e m p l o y o t h e r c o n s u l t a n t s i n c o n n e c t i o n w i t h t h i s
P r o j e c t .
3 . 2 6 S u c c e s s o r s a n d A s s i g n s . T h i s A g r e e m e n t s h a l l b e b i n d i n g o n t h e
s u c c e s s o r s a n d a s s i g n s o f t h e p a r t i e s , a n d s h a l l n o t b e a s s i g n e d b y C o n s u l t a n t w i t h o u t
t h e p r i o r w r i t t e n c o n s e n t o f C o m m i s s i o n .
3 . 2 7 P r o h i b i t e d I n t e r e s t s .
3 . 2 7 . 1 S o l i c i t a t i o n . C o n s u l t a n t m a i n t a i n s a n d w a r r a n t s t h a t i t h a s
n o t e m p l o y e d n o r r e t a i n e d a n y c o m p a n y o r p e r s o n , o t h e r t h a n a b o n a f i d e e m p l o y e e
w o r k i n g s o l e l y f o r C o n s u l t a n t , t o s o l i c i t o r s e c u r e t h i s A g r e e m e n t . F u r t h e r , C o n s u l t a n t
w a r r a n t s t h a t i t h a s n o t p a i d n o r h a s i t a g r e e d t o p a y a n y c o m p a n y o r p e r s o n , o t h e r t h a n
a b o n a f i d e e m p l o y e e w o r k i n g s o l e l y f o r C o n s u l t a n t , a n y f e e , c o m m i s s i o n , p e r c e n t a g e ,
b r o k e r a g e f e e , g i f t o r o t h e r c o n s i d e r a t i o n c o n t i n g e n t u p o n o r r e s u l t i n g f r o m t h e a w a r d o r
m a k i n g o f t h i s A g r e e m e n t . F o r b r e a c h o r v i o l a t i o n o f t h i s w a r r a n t y , C o m m i s s i o n s h a l l
h a v e t h e r i g h t t o r e s c i n d t h i s A g r e e m e n t w i t h o u t l i a b i l i t y .
3 . 2 7 . 2 C o n f l i c t o f I n t e r e s t . F o r � t h e . t e r m o f t h i s A g r e e m e n t , n o
m e m b e r , o f f i c e r o r e m p l o y e e o f C o m m i s s i o n , d u r i n g t h e t e r m o f h i s o r h e r s e r v i c e w i t h
C o m m i s s i o n , s h a l l h a v e a n y d i r e c t i n t e r e s t i n t h i s A g r e e m e n t , o r o b t a i n a n y p r e s e n t o r
a n t i c i p a t e d m a t e r i a l b e n e f i t a r i s i n g t h e r e f r o m .
3 . 2 8 E q u a l O p p o r t u n i t y E m p l o y m e n t . C o n s u l t a n t r e p r e s e n t s t h a t i t i s a n
e q u a l o p p o r t u n i t y e m p l o y e r a n d i t s h a l l n o t d i s c r i m i n a t e a g a i n s t a n y e m p l o y e e o r
a p p l i c a n t f o r e m p l o y m e n t b e c a u s e o f r a c e , r e l i g i o n , c o l o r , n a t i o n a l o r i g i n , a n c e s t r y , s e x
o r a g e . S u c h n o n - d i s c r i m i n a t i o n s h a l l i n c l u d e , b u t n o t b e l i m i t e d t o , a l l a c t i v i t i e s r e l a t e d
t o i n i t i a l e m p l o y m e n t , u p g r a d i n g , d e m o t i o n , t r a n s f e r , r e c r u i t m e n t o r r e c r u i t m e n t
a d v e r t i s i n g , l a y o f f o r t e r m i n a t i o n . C o n s u l t a n t s h a l l a l s o c o m p l y w i t h a l l r e l e v a n t p r o v i -
s i o n s o f C o m m i s s i o n ' s D i s a d v a n t a g e d B u s i n e s s E n t e r p r i s e p r o g r a m , A f f i r m a t i v e A c t i o n
P l a n o r o t h e r r e l a t e d C o m m i s s i o n p r o g r a m s o r g u i d e l i n e s c u r r e n t l y i n e f f e c t o r
h e r e i n a f t e r e n a c t e d .
3 . 2 9 S u b c o n t r a c t i n g . C o n s u l t a n t s h a l l n o t s u b c o n t r a c t a n y p o r t i o n o f t h e
w o r k o r S e r v i c e s r e q u i r e d b y t h i s A g r e e m e n t , e x c e p t a s e x p r e s s l y s t a t e d h e r e i n , w i t h o u t
1 1
1 4
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 Reserved.
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 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
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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.
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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.
[SIGNATURES ON FOLLOWING PAGE]
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SIGNATURE PAGE
TO
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
AGREEMENT FOR TRUSTEE SERVICES
WITH THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A.
IN WITNESS WHEREOF, this Agreement was executed on the date first written
above.
RIVERSIDE COUNTY
TRANSPORTATION COMMISSION
CONSULTANT
THE BANK OF NEW YORK MELLON
TRUST COMPANY, N.A.
By: ---------------------Anne Mayer
Executive Director
Approved as to Form:
By:
Best Best & Krieger LLP
General Counsel
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By: __________ _
Signature
Name
Title
Attest:
By: ________________ _
Its: Secretary
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E x h i b i t " A "
S c o p e o f S e r v i c e s
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S t a t e m e n t o f W o r k
T h e C o m m i s s i o n r e q u i r e s t h e s e r v i c e s o f a q u a l i f i e d f i n a n c i a l i n s t i t u t i o n t o p r o v i d e t r u s t e e s e r v i c e s i n
c o n n e c t i o n w i t h t h e C o m m i s s i o n ' s t o l l - r e v e n u e b a s e d f i n a n c i n g s f o r t h e P r o j e c t d e s c r i b e d i n S e c t i o n
1 . 1 . T h e i n d e n t u r e ( s ) f o r t h e b o n d s w i l l i n c l u d e m u l t i p l e a c c o u n t s c o n t a i n i n g i n v e s t m e n t s t h a t m u s t
c o m p l y w i t h t h e p e r m i t t e d i n v e s t m e n t l a n g u a g e o f t h e s p e c i f i c i n d e n t u r e a s w e l l a s t h e
C o m m i s s i o n ' s I n v e s t m e n t P o l i c y . T h e p r o c e e d s o f t h e t o l l r e v e n u e b o n d s w i l l b e m a i n t a i n e d i n
i n v e s t m e n t a c c o u n t s f o r , b u t n o t l i m i t e d t o , t h e C o m m i s s i o n ' s c o n s t r u c t i o n f u n d s , c a p i t a l i z e d i n t e r e s t
f u n d s , p r i n c i p a l a n d i n t e r e s t f u n d s , d e b t s e r v i c e r e s e r v e , c o s t o f i s s u a n c e f u n d , a n d o t h e r n e c e s s a r y
f u n d s i n a c c o r d a n c e w i t h t h e b o n d i n d e n t u r e ( s ) a n d T I F I A l o a n a g r e e m e n t . I n a d d i t i o n , t h e
p r o c e e d s o f t h e C o m m i s s i o n ' s s a l e s t a x r e v e n u e b o n d s f o r t h e P r o j e c t a n d c a s h c o n t r i b u t i o n s t o
c o n s t r u c t i o n c o s t s a r e e x p e c t e d t o b e d e p o s i t e d i n t h e c o n s t r u c t i o n f u n d s .
T h e s e r v i c e s r e q u e s t e d w i l l i n c l u d e t h e f o l l o w i n g :
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P e r f o r m c o m p l e t e t r u s t e e f u n c t i o n s f o r o n e o r m o r e b o n d i s s u e s .
A c t a s r e g i s t r a r , p a y i n g a g e n t , a n d t e n d e r a g e n t .
E s t a b l i s h a n d m a i n t a i n v a r i o u s f u n d s a s r e q u i r e d b y b o n d i n d e n t u r e ( s ) u p o n t h e
i s s u a n c e o f t o l l r e v e n u e b o n d s .
M a n a g e a l l f u n d s a n d a c c o u n t s a c c o r d i n g t o t h e p r o v i s i o n s o f t h e b o n d i n d e n t u r e ( s )
a n d i n c o m p l i a n c e w i t h f e d e r a l t a x l a w .
P r o c e s s s e c u r i t y t r a d e s p e r i n s t r u c t i o n s r e c e i v e d b y a u t h o r i z e d p e r s o n s .
P r o v i d e a s h o r t - t e r m i n v e s t m e n t v e h i c l e f o r u n i n v e s t e d b a l a n c e s i n t r u s t a c c o u n t s .
M o n i t o r r e s e r v e f u n d s t o e n s u r e t h a t a m o u n t s r e q u i r e d b y t h e b o n d i n d e n t u r e s a r e
m a i n t a i n e d .
P r o v i d e o n l i n e w e b a c c e s s t o a c c o u n t a n d i n v e s t m e n t i n f o r m a t i o n r e l a t e d t o
t r a n s a c t i o n s , b a l a n c e s , m a r k e t v a l u e s , e t c .
P r o v i d e m o n t h l y a c t i v i t y s t a t e m e n t s a n d r e p o r t s i n c l u d i n g t h e m a r k e t v a l u e o f a l l
p o r t f o l i o h o l d i n g s .
P r o v i d e d e t a i l e d m o n t h l y r e p o r t i n g o f a l l t r a n s a c t i o n s i n a l l f u n d s o r a c c o u n t s
i d e n t i f i e d t n t h e b o n d i n d e n t u r e ( s ) b y a c c o u n t , t o b e r e c e i v e d b y t h e 5 t h d a y o f t h e
f o l l o w i n g m o n t h , a n d p r e p a r e s u c h o t h e r r e p o r t s a s t h e C o m m i s s i o n m a y r e q u e s t .
" P r o v i d e d e t a i l e d r e p o r t s a s r e q u i r e d b y t h e U S D O T t o s u p p o r t t h e T I F I A l o a n .
" P a y o r t r a n s f e r f u n d s t o i s s u e r o r o t h e r s a s r e q u e s t e d b y t h e C o m m i s s i o n f o r c o s t s o f
i s s u a n c e , p r o j e c t c o s t s , a n d o t h e r e x p e n s e s p r o v i d e d f o r i n t h e b o n d i n d e n t u r e ( s ) .
" A t t e n d C o m m i s s i o n m e e t i n g s , i f a n d a s r e q u e s t e d .
O t h e r s e r v i c e s m a y b e r e q u i r e d b a s e d o n t h e e x e c u t e d b o n d i n d e n t u r e ( s ) a n d T I F I A l o a n
a g r e e m e n t .
E n d o f S t a t e m e n t o f W o r k
3 3
1 9
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"
"
E x h i b i t " B "
C o m p e n s a t i o n
L _ I N S E R T _ j
3 3
2 0
"
A G E N D A I T E M 7 8
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"
R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
D A T E : F e b r u a r y 1 3 , 2 0 1 3
T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
F R O M : T h e r e s i a T r e v i n o , C h i e f F i n a n c i a l O f f i c e r
T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r
S U B J E C T : Q u a r t e r l y S a l e s T a x A n a l y s i s
S T A F F R E C O M M E N D A T I O N :
T h i s i t e m i s f o r t h e C o m m i s s i o n t o r e c e i v e a n d f i l e t h e s a l e s t a x a n a l y s i s f o r
Q u a r t e r 3 ( Q 3 ) 2 0 1 3 .
B A C K G R O U N D I N F O R M A T / O N :
A t i t s D e c e m b e r 2 0 0 7 m e e t i n g , t h e C o m m i s s i o n a w a r d e d a n a g r e e m e n t t o
M u n i S e r v i c e s , L L C ( M u n i S e r v i c e s ) f o r q u a r t e r l y s a l e s t a x r e p o r t i n g s e r v i c e s p l u s
a d d i t i o n a l f e e s c o n t i n g e n t o n a d d i t i o n a l s a l e s t a x r e v e n u e g e n e r a t e d . f r o m t h e
t r a n s a c t i o n s a n d u s e t a x ( s a l e s t a x ) a u d i t s e r v i c e s . T h e s e r v i c e s p e r f o r m e d u n d e r
t h i s a g r e e m e n t p e r t a i n t o o n l y t h e M e a s u r e A s a l e s t a x r e v e n u e s .
S i n c e t h e c o m m e n c e m e n t o f t h e s e s e r v i c e s , M u n i S e r v i c e s s u b m i t t e d a n a u d i t
u p d a t e , w h i c h r e p o r t e d f i n d i n g s t h a t w e r e g e n e r a t e d a n d s u b m i t t e d t o t h e S t a t e
B o a r d o f E q u a l i z a t i o n ( S B O E ) f o r r e v i e w a n d d e t e r m i n a t i o n o f e r r o r s i n s a l e s t a x
r e p o r t i n g r e l a t e d t o 2 4 0 b u s i n e s s e s . T h r o u g h Q 2 2 0 1 2 f o r A p r i l t h r o u g h J u n e
2 0 1 2 ( Q 2 2 0 1 2 ) , t h e S B O E a p p r o v e d c o r r e c t i o n s f o r 1 6 8 o f t h e s e a c c o u n t s f o r a
t o t a l s a l e s t a x r e v e n u e r e c o v e r y o f $ 2 , 3 9 1 , 8 8 6 . U p d a t e d a m o u n t s t h r o u g h
Q 3 2 0 1 2 w i l l b e p r o v i d e d o n c e r e c e i v e d f r o m M u n i S e r v i c e s . I f t h e S B O E c o n c u r s
w i t h t h e e r r o r ( s ) f o r t h e r e m a i n i n g c l a i m s , t h e C o m m i s s i o n w i l l r e c e i v e a d d i t i o n a l
r e v e n u e s ; h o w e v e r , t h e m a g n i t u d e o f t h e v a l u e o f t h e r e m a i n i n g f i n d i n g s w a s n o t
a v a i l a b l e . I t i s i m p o r t a n t t o n o t e t h a t w h i l e t h e r e c o v e r i e s o f a d d i t i o n a l r e v e n u e s
w i l l b e t a n g i b l e , i t w i l l n o t b e s u f f i c i e n t t o a l t e r t h e o v e r a l l t r e n d o f s a l e s t a x
r e v e n u e s .
A d d i t i o n a l l y , M u n i S e r v i c e s p r o v i d e d t h e C o m m i s s i o n w i t h t h e q u a r t e r l y s a l e s t a x
s u m m a r y r e p o r t f o r t h e t h i r d q u a r t e r o f c a l e n d a r y e a r 2 0 1 2 f o r Q 3 2 0 1 2 . M o s t o f
t h e Q 3 2 0 1 2 M e a s u r e A s a l e s t a x r e v e n u e s w e r e r e c e i v e d b y t h e C o m m i s s i o n i n
t h e f o u r t h q u a r t e r o f c a l e n d a r 2 0 1 2 , d u r i n g O c t o b e r t h r o u g h D e c e m b e r 2 0 1 2 , d u e
t o a l a g i n t h e s a l e s t a x c a l e n d a r . T h e s u m m a r y s e c t i o n o f t h e 0 3 2 0 1 2 r e p o r t i s
a t t a c h e d a n d i n c l u d e s a n o v e r v i e w o f C a l i f o r n i a s a l e s t a x r e c e i p t s , l o c a l r e s u l t s ,
h i s t o r i c a l c a s h c o l l e c t i o n s a n a l y s i s , s u m m a r y o f t h e t o p 2 5 s a l e s t a x c o n t r i b u t o r s ,
A g e n d a I t e m 7 B
2 1
historical sales tax amounts, sales tax by business category, economic trends for •
significant business category (auto sales-new), and results. The following
observations were noted in the 03 2012 report:
• Sales tax receipts for Riverside County were 12.5 percent higher compared
to the 03 2011. This supports the previous quarterly reports' analyses that
an economic recovery statewide and locally is occurring; however, the
Commission should continue to be cautious as service stations are one of the
top three economic segments throughout the state leading this recovery. A
significant portion of this growth in this segment is attributable to the high
fuel prices.
• Taxable transactions for the top 25 tax contributors in Riverside County,
which generated 24 percent of the taxable sales for the year ended
03 2012, were slightly higher than the year ended 03 2011. The top 100
tax contributors generated 37 percent of the taxable sales in 03 2012 and
03 2011.
• Five of the six economic categories experienced increases in the 03 2012
benchmark year comparison to 03 2011. Construction had the largest
increase at 19.5 percent, which was primarily related to increases in the
building materials retail and wholesale economic segments. Some of these
increases may be a result of user taxes from energy companies. The other
top four economic categories had increases ranging from 6.1 percent to
14.8 percent.
General Retail: Apparel Stores, Department Stores •. Furniture/Appliances, Drug Stores, Recreation Products, Florist/Nurs~ry. and Misc. Retail
Food Products: Restaurants, FoodMar~ets! Liquor Stores, a~d Food ProcessingEquipment
Construction: Building Materials Retail and Building Materials Wholesale
Transportation: Auto Parts/Repair, Auto Sales-New, Auto Sales-Used, Service Stations, and Misc. Vehicle Sales
Busines.s to Business: Office Equip., Electronic Equip:, Business Services, Energy Sales~ Chemica~ Products, Heavy lndustry,Light Industry, and leasing
Miscellaneous: Health & Government, Miscellaneous Other, and Closed Account Adjustments
• Nine of the top ten segments (department stores, restaurants, auto
sales-new, miscellaneous retail, building materials-wholesale, apparel stores,
food markets, light industry, and building material-retail) sales taxes reached
a new high point during 03 2012. These nine segments represent
64 percent of the total sales tax receipts. The largest segment, service
Agenda Item 78
22
•
•
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s t a t i o n s t h a t r e p r e s e n t s 1 2 p e r c e n t , w a s s l i g h t l y b e l o w t h e h i g h p o i n t i n 0 1
2 0 1 2 . T h e t w o l a r g e s t g a i n s w e r e e x p e r i e n c e d i n t h e b u i l d i n g m a t e r i a l s -
w h o l e s a l e a n d a u t o s a l e s - n e w s e g m e n t s . T h e t w o l a r g e d e c l i n e s w e r e i n t h e
m i s c e l l a n e o u s o t h e r a n d f o o d p r o c e s s i n g e q u i p m e n t s e g m e n t s , w h i c h
r e p r e s e n t 1 p e r c e n t o f t h e s e g m e n t s .
S e r v i c e s t a t i o n s , d e p a r t m e n t s t o r e s , a n d r e s t a u r a n t s c o n t i n u e t o r e p r e s e n t
t h e t h r e e l a r g e s t e c o n o m i c s e g m e n t s f o r R i v e r s i d e C o u n t y , o r 3 4 p e r c e n t o f
t o t a l s a l e s t a x e s , w h i c h i s c o m p a r a b l e t o t h e 0 2 2 0 1 2 b e n c h m a r k y e a r .
A u t o s a l e s - n e w r e p r e s e n t s t h e f o u r t h l a r g e s t e c o n o m i c s e g m e n t a t
9 . 8 p e r c e n t o f t o t a l s a l e s t a x e s , w h i c h i s a l s o c o m p a r a b l e t o t h e 0 2 2 0 1 2
b e n c h m a r k y e a r .
D u r i n g t h e r e v i e w o f t h e 0 3 2 0 1 2 d e t a i l e d r e p o r t w i t h M u n i S e r v i c e s , i n f o r m a t i o n
r e g a r d i n g s a l e s t a x c o m p a r i s o n s b y c i t y a n d c h a n g e b y e c o n o m i c c a t e g o r y f r o m
0 3 2 0 1 1 t o 0 3 2 0 1 2 w a s p r o v i d e d . N e w l y i n c o r p o r a t e d c i t i e s s u c h a s
J u r u p a V a l l e y w i l l b e l i s t e d w h e n s u f f i c i e n t c o m p a r a t i v e i n f o r m a t i o n i s a v a i l a b l e .
S t a f f c o n t i n u e s t o m o n i t o r m o n t h l y s a l e s t a x r e c e i p t s a n d o t h e r a v a i l a b l e e c o n o m i c
d a t a t o d e t e r m i n e t h e n e e d f o r a n y a d j u s t m e n t t o t h e r e v e n u e p r o j e c t i o n s . S t a f f
w i l l u t i l i z e t h e f o r e c a s t s c e n a r i o s i n c l u d e d w i t h t h e c o m p l e t e r e p o r t a n d r e c e n t
t r e n d s i n a s s e s s i n g s u c h p r o j e c t i o n s .
A t t a c h m e n t s :
1 ) S a l e s T a x A n a l y s i s 0 3 2 0 1 2
2 ) S a l e s T a x C o m p a r i s o n b y C i t y f o r 0 3 2 0 1 1 t o 0 3 2 0 1 2
A g e n d a I t e m 7 8
2 3
"
"
"
R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
S a l e s T a x D i g e s t S u m m a r y
C o l l e c t i o n s t h r o u g h D e c e m b e r 2 0 1 2
S a l e s t h r o u g h S e p t e m b e r 2 0 1 2 ( 2 0 1 2 Q 3 )
C A L I F O R N I A ' S E C O N O M I C O U T L O O K
C a l i f o r n i a s a l e s t a x r e c e i p t s i n c r e a s e d b y 8 . 1 % o v e r t h e s a m e q u a r t e r f r o m t h e p r e v i o u s y e a r , w i t h
N o r t h e r n C a l i f o r n i a r e p o r t i n g a 7 . 4 % i n c r e a s e c o m p a r e d t o 8 . 6 % f o r S o u t h e r n C a l i f o r n i a . R e c e i p t s f o r t h e
R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n c h a n g e d b y 1 8 . 1 % o v e r t h e s a m e p e r i o d s .
A s t a t e w i d e l o o k a t e c o n o m i c p e r f o r m a n c e c o n t i n u e s t o i n d i c a t e u p w a r d m o v e m e n t , b u t a t a s l i g h t l y
s l o w e r p a c e . T h e b o o m i n t h e s a l e o f n e w v e h i c l e s c o n t i n u e s , w i t h s a l e s u p 3 5 % o v e r t h e p r i o r y e a r .
G a s o l i n e p r i c e s a r e a c t u a l l y p r e d i c t e d t o r i s e t h r o u g h t h e s u m m e r , b u t t o b e l o w e r t h a n t h e y a r e n o w b y
t h e e n d o f 2 0 1 3 . T h e r e s i d e n t i a l r e a l e s t a t e m a r k e t c o n t i n u e s t o s h o w s t e a d y p r o g r e s s . T h e n u m b e r o f
s i n g l e f a m i l y h o m e s s o l d w a s u p 2 . 3 % f r o m l a s t y e a r . T h e m e d i a n p r i c e r o s e 1 5 . 5 % , s h o w i n g a n i n c r e a s e
f o r t h e s e v e n t h m o n t h i n a r o w . T h e U n e m p l o y m e n t R a t e f o r N o v e m b e r w a s 9 . 8 % , d o w n 1 . 5 % f r o m t h e
p r e v i o u s y e a r . T h e b e s t j o b g r o w t h c o n t i n u e s t o b e i n C o m p u t e r r e l a t e d i n d u s t r i e s a n d S c i e n t i f i c
R e s e a r c h a n d D e v e l o p m e n t . H o l i d a y R e t a i l S a l e s w e r e w e a k e r t h a n e x p e c t e d a n d g r e w b y o n l y 0 . 7 % ,
d o w n f r o m 2 % a y e a r a g o .
l O C A l R E S U L T S
N e t C a s h R e c e i p t s A n a l y s i s
l o c a l C o l l e c t i o n s
S h a r e o f C o u n t y P o o l 0 . 0 %
S h a r e o f S t a t e P o o l 0 . 0 %
S B E N e t C o l l e c t i o n s
l e s s : A m o u n t D u e C o u n t y 0 . 0 %
l e s s : C o s t o f A d m i n i s t r a t i o n
N e t 3 0 2 0 1 2 R e c e i p t s
N e t 3 0 2 0 1 1 R e c e i p t s
A c t u a l P e r c e n t a g e C h a n g e
B u s i n e s s A c t i v i t y P e r f o r m a n c e A n a l y s i s
l o c a l C o l l e c t i o n s
l e s s : P a y m e n t s f o r P r i o r P e r i o d s
P r e l i m i n a r y 3 0 2 0 1 2 C o l l e c t i o n s
P r o j e c t e d 3 0 2 0 1 2 l a t e P a y m e n t s
P r o j e c t e d 3 0 2 0 1 2 F i n a l R e s u l t s
A c t u a l 3 0 2 0 1 1 R e s u l t s
P r o j e c t e d P e r c e n t a g e C h a n g e
w w w . M u n i S e r v i c e s . c o m ( 8 d t f ] 8 0 0 - 8 1 8 1
$ 3 6 , 7 5 4 , 2 7 8
0
0
3 6 , 7 5 4 , 2 7 8
. 0 0
( 3 4 7 , 7 1 0 )
3 6 , 4 0 6 , 5 6 8
3 0 , 8 2 0 , 5 3 7
1 8 . 1 %
$ 3 6 , 7 5 4 , 2 7 8
( 2 , 1 9 3 , 2 3 6 )
3 4 , 5 6 1 , 0 4 2
1 5 8 , 5 8 0
3 4 , 7 1 9 , 6 2 2
3 0 , 8 5 2 , 4 9 0
1 2 . 5 %
P a g e l
Riverside County Transportation Commission
HISTORICAL CASH COllECTIONS ANAlYSIS BY QUARTER
(in thousands of$)
$40,000 $400
$35,000 $350
$300
~
-;;_ $25,000 $250 ~ .. ·-.. .. ~
$200 c: ·-E
;_ $15,000 $150 "'0
<
$10,000 $100
$5,000 $50
$0 $0
2Q2010 3Q2010 4Q2010 1Q2011 2Q2011 3Q2011 4Q2011 1Q2012 2Q2012 3Q2012
I L_ ________________ --· [ -Net Receipts ~ SBOE Admin Fees Due
TOP 25 SALES/USE TAX CONTRIBUTORS
The following list identifies RCTC's Top 25 Sales/Use Tax contributors. The list is in alphabetical order
and represents sales from October 2011 to September 2012. The Top 25 Sales/Use Tax contributors
generate 23.6% ofRCTC's total sales and use tax revenue.
BEST BUY STORES
CARMAX THE AUTO SUPERSTORE
CHEVRON SERVICE STATIONS
CIRCLE K FOOD STORES
COSTCO WHOLESALE
DEPT OF MOTOR VEHICLES
DESERT SUNLIGHT
EDISON MATERIAL SUPPLY
GE PACKAGED POWER
HOME DEPOT
K MART STORES
KOHL'S DEPARTMENT STORES
LOWE'S HOME IMPROVEMENT
www.MuniServices.com
MACY'S DEPARTMENT STORE
RALPH'S GROCERY COMPANY
RITE AID DRUG STORES
ROSS STORES
SAM'S CLUB
SHELL SERVICE STATIONS
STATER BROS MARKETS
TARGET STORES
VERIZON WIRELESS
VONS SERVICE STATIONS
WAL MART STORES
WALGREEN'S DRUG STORES
Page2
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•
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R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
H I S T O R I C A l S A l E S T A X A M O U N T S
T h e f o l l o w i n g c h a r t s h o w s t h e s a l e s t a x l e v e l f r o m s a l e s t h r o u g h S e p t e m b e r 2 0 1 2 , t h e h i g h s , a n d t h e
l o w s f o r e a c h s e g m e n t o v e r t h e l a s t t w o y e a r s .
$ 1 8 , 0 0 0
$ 1 6 , 0 0 0
$ 1 4 , 0 0 0
$ 1 2 , 0 0 0
$ 1 0 , 0 0 0
$ 8 , 0 0 0
$ 6 , 0 0 0
$ 4 , 0 0 0
$ 2 , 0 0 0
$ 0
A N N U A L S A L E S T A X B Y B U S I N E S S C A T E G O R Y
( i n t h o u s a n d s o f $ ) B 3 Q 2 0 1 2
+ H i g h
" L o w
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - I
( i n t h o u s a n d s o C $ ) I
3 Q 2 0 1 2
2 Q 2 0 1 2
1 Q 2 0 1 2
4 Q 2 0 1 1
3 Q 2 0 1 1
2 Q 2 0 1 1
1 Q 2 0 1 1
3 Q 2 0 1 0
2 Q 2 0 1 0
$ 0 $ 2 0 , 0 0 0 $ 4 0 , 0 0 0 $ 6 0 , 0 0 0 $ 8 0 , 0 0 0 $ 1 0 0 , 0 0 0 $ 1 2 0 , 0 0 0 $ 1 4 0 , 0 0 0 $ 1 6 0 , 0 0 0 [ i i J ~ - - - ; ; J R . e ~ i l I I I I I F o . ; d P . _ : _ o d u c t ~ o _ ' i ; ~ = ; ~ ~ s i - ~ i l i t i _ " c " ~ m a 5 : ~ ~ ~ t ; : ~ - c t _ i ? , ; ; , : _ ~ - : B . ; i ~ i s s - : r : ~ ~ u i _ i ~ ~ s ~ - - . . - ~ ~ ~ ~ . . ~ ~ ~ i ~ _ _ _ _ j
w w w . M u n i S e r v i c e s . c o m { 8 ~ ~ 8 0 0 - 8 1 8 1 P a g e 3
Riverside County Transportation Commission
FIVE-YEAR ECONOMIC TREND: Auto Sales-New
(in thousands of$)
$5,000 .----------------------------------------,
$4,500
$4,000
$3,500
$3,000
' $2,500
$2,000
i $1,500
• $1,000
00 00 00 = = = = = = .... ...... ......
0 0 0 .... .... .....
FINAL RESULTS: April-June 2012 Sales
local Net Cash Collections
less: Pool Amounts
less: Prior Quarter Payments
Add: Late Payments
~ ,.. ,.. = = = = = = ...... ...... ......
0 0 0 ...... ....
Local Net Economic Collections after Adjustments
Percent Change from January-March 2011 Sales
MUNISERVICES' ON-GOING AUDIT RESULTS
This Quarter $174,055
Total to Date $2,476,391
www.MilniServices.com
"' = = = = ..... .... .... :::: = ;; ;; ;; = = = = = = = = = ...... ...... ...... ...... ...... ...... .... .... ...... .... .... ....
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$35,678,215
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UP BY 8.6%
Page4
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28 MuniServices, LLC
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A G E N D A I T E M 7 C
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R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
D A T E : F e b r u a r y 1 3 , 2 0 1 3
T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
F R O M : M a r l a M o d e l l , P r o c u r e m e n t A d m i n i s t r a t o r
M a t t W a l l a c e , P r o c u r e m e n t M a n a g e r
T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r
S U B J E C T : S i n g l e S i g n a t u r e A u t h o r i t y R e p o r t
S T A F F R E C O M M E N D A T I O N :
T h i s i t e m i s f o r t h e C o m m i s s i o n t o r e c e i v e a n d f i l e t h e S i n g l e S i g n a t u r e A u t h o r i t y
r e p o r t f o r t h e s e c o n d q u a r t e r e n d e d D e c e m b e r 3 1 , 2 0 1 2 .
B A C K G R O U N D I N F O R M A T I O N :
C e r t a i n c o n t r a c t s a r e e x e c u t e d u n d e r s i n g l e s i g n a t u r e a u t h o r i t y a s p e r m i t t e d i n t h e
C o m m i s s i o n ' s P r o c u r e m e n t P o l i c y M a n u a l a d o p t e d i n J u l y 2 0 1 2 , a n d a s r e v i s e d
a n d a p p r o v e d i n D e c e m b e r 2 0 1 2 . T h e E x e c u t i v e D i r e c t o r i s a u t h o r i z e d t o s i g n
s e r v i c e s c o n t r a c t s t h a t a r e l e s s t h a n $ 1 0 0 , 0 0 0 i n d i v i d u a l l y a n d i n a n a g g r e g a t e
a m o u n t n o t t o e x c e e d $ 1 m i l l i o n i n a n y g i v e n f i s c a l y e a r . A d d i t i o n a l l y , i n
a c c o r d a n c e w i t h P u b l i c U t i l i t i e s C o d e S e c t i o n 1 3 0 3 2 3 ( c ) , t h e E x e c u t i v e D i r e c t o r i s
a u t h o r i z e d t o s i g n c o n t r a c t s f o r s u p p l i e s , e q u i p m e n t , m a t e r i a l s , a n d c o n s t r u c t i o n o f
a l l f a c i l i t i e s a n d w o r k s u n d e r $ 5 0 , 0 0 0 i n d i v i d u a l l y .
T h e r e p o r t d e t a i l s a l l c o n t r a c t s e x e c u t e d f o r t h e s e c o n d q u a r t e r e n d e d
D e c e m b e r 3 1 , 2 0 1 2 , u n d e r t h e s i n g l e s i g n a t u r e a u t h o r i t y g r a n t e d t o t h e E x e c u t i v e
D i r e c t o r . T h e u n u s e d c a p a c i t y o f s i n g l e s i g n a t u r e a u t h o r i t y f o r s e r v i c e s a t
D e c e m b e r 3 1 , 2 0 1 2 , i s $ 6 2 5 , 5 2 8 .
A t t a c h m e n t : S i n g l e S i g n a t u r e A u t h o r i t y R e p o r t a s o f D e c e m b e r 3 1 , 2 0 1 2 .
A g e n d a i t e m 7 C
2 9
" " S I N G L E S I G N A T U R E A U T H O R I T Y A S O F D e c e m b e r 3 1 , 2 0 1 2 C O N S U L T A N T P R O F E S S I O N A L S E R V I C E S A M O U N T A V A I L A B L E J u l y 1 , 2 0 1 2 S o u t h s t a r E n g i n e e r i n g & C o n s u l t i n g C a l i f o r n i a H i g h w a y P a t r o l ( C H P ) T e m e c u l a A l v a r a d o S m i t h A r e l l a n o A s s o c i a t e s , L L C c a i ) l b ( i ~ $ 0 1 \ ! t l o i i s , ' i n c � . l < o f f & : A ~ ~ p c l " t e a t h ' e : ' l l ~ " n . c k e . . < : o m p a ' h y " A M O U N T U S E D D E S C R I P T I O N O F S E R V I C E S R O W M a n a g e m e n t S u p p o r t S e r v i c e s C O Z E E P f o r 1 - 2 1 5 ( P a r t 2 ) L e g a l R e p r e s e n t a t i o n D B E I S B E O u t r e a c h S e r v i c e s " � � " : ; / f o l l l ? r o g r a r r i l m p l e m e n t , ; n l o n S e r v i c e s , C ( . t & s l f l c a ! l o n ; b : o m p e n ~ ~ ! i o n . & B e n e f i t S t u d y \ , . . . � � � � � A m ' e n d m e n t N o . 3 r o r J ; : e d e r ( J A d ) i o \ t a c t S ' e / V f c e s A M O U N T R E M A I N I N G t h r o u g h D e c e m b e r 3 1 , 2 0 1 2 P U C S e c t i o n 1 3 0 3 2 3 ( c ) S u p p l i e s , E q u i p m e n t , a n d M a t e r i a l s C o n t r a c t s N o n e P U C S e c t i o n 1 3 0 3 2 3 ( c ) C o n s t r u c t i o n C o n t r a c t s N o n e M a r l a M o d e l l F > i e p a r e d b y T h e r e s i a T r e v i n o R e v i e w e c ( b y N o t e ' f . S h a d e d a r e a ' r e p r ~ n t s c , n e w c o n U i f c t ~ . J i s t t l d i n t h e s e c o n d , 9 u a r t e r , : ; - c < ~ W ~ ' \ l i ~ , J } i � ; \ : - , " \ " ' . ( J s t : : ~ , < < ~ > . , , " � ; � � , . , . : : ; < ; ~ f 4 i " < : ~ : � \ ; ~ ~ \ 3 0 O R I G I N A L C O N T R A C T A M O U N T $ 1 , 0 0 0 , 0 0 0 . 0 0 3 3 , 0 0 0 . 0 0 3 2 , 0 0 0 . 0 0 1 0 0 , 0 0 0 . 0 0 5 5 , 0 0 0 . 0 0 ' 1 o o ; o o o . o o ' 5 0 , 0 0 Q . Q O . , . 4 , 4 7 1 . 7 9 . 3 7 4 , 4 7 1 . 7 9 $ 6 2 5 , 5 2 8 . 2 1 P A I D A M O U N T 2 5 , 9 6 0 . 0 0 0 . 0 0 7 3 , 7 1 3 . 8 1 6 , 5 1 0 . 1 0 1 1 , 3 8 0 : 0 0 " . 0 . 0 0 4 , 4 7 1 . 7 9 ' R E M A I N I N G C O N T R A C T A M O U N T 7 , 0 4 0 . 0 0 3 2 , 0 0 0 . 0 0 2 6 , 2 8 6 . 1 9 4 8 , 4 8 9 . 9 0 8 8 , ~ 2 0 . 0 0 ' , S O , O Q Q , O O 0 . 0 0 " J � \ 2 0 1 3 \ 0 2 F e b r u a r y \ 7 C . A 1 . M M R C T C 0 2 S t n g l e S t g n . A t t 1
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A G E N D A I T E M 7 0
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:·,·· .. '~~
·· .... ,;,····· ':·''Ji.•:: '
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R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
D A T E : F e b r u a r y 1 3 , 2 0 1 3
T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
F R O M : A n n e H a l l b e r g , A c c o u n t i n g S u p e r v i s o r
T h e r e s i a T r e v i n o , C h i e f F i n a n c i a l O f f i c e r
T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r
S U B J E C T : Q u a r t e r l y I n v e s t m e n t R e p o r t
S T A F F R E C O M M E N D A T I O N :
T h i s i t e m i s f o r t h e C o m m i s s i o n t o r e c e i v e a n d f i l e t h e Q u a r t e r l y I n v e s t m e n t R e p o r t
f o r t h e q u a r t e r e n d e d D e c e m b e r 3 1 , 2 0 1 2 .
B A C K G R O U N D / N F O R M A T I O N :
A t t a c h e d a r e t h e q u a r t e r l y i n v e s t m e n t a n d c a s h f l o w r e p o r t s a s r e q u i r e d b y
C o m m i s s i o n p o l i c y . T h e c o u n t y o f R i v e r s i d e ' s I n v e s t m e n t R e p o r t f o r t h e m o n t h
e n d e d D e c e m b e r 3 1 , 2 0 1 2 , i s a l s o a t t a c h e d f o r r e v i e w .
A t t a c h m e n t s :
1 ) Q u a r t e r l y I n v e s t m e n t R e p o r t f o r t h e Q u a r t e r E n d e d D e c e m b e r 3 1 , 2 0 1 2
2 ) C o u n t y o f R i v e r s i d e I n v e s t m e n t R e p o r t f o r t h e M o n t h E n d e d
D e c e m b e r 3 1 , 2 0 1 2
A g e n d a I t e m 7 D
3 1
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"
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S t a t e m e n t o f C o m p l i a n c e
B o n d P r o j e c t s
1 . 5 2 %
O p e r a t i n g F u n d s
8 2 . 4 6 %
N a t u r e o f I n v e s t m e n t s
P o r t f o l i o _ M _ a _ t u _ r _ i t _ Y _ _ o t o 9 0 D a y s
1 0 0 %
P o r t f o l i o I n v e s t m e n t T y p e L A I F
0 . 6 8 % - - - - - .
A l l o f t h e a b o v e i n v e s t m e n t s a n d a n y i n v e s t m e n t d e c i s i o n s m a d e f o r t h e q u a r t e r e n d e d
D e c e m b e r 3 1 , 2 0 1 2 w e r e i n f u l l c o m p l i a n c e w i t h t h e C o m m i s s i o n ' s i n v e s t m e n t p o l i c y a s
a d o p t e d o n J u n e 7 , 2 0 1 2 .
T h e C o m m i s s i o n h a s a d e q u a t e c a s h f l o w s f o r s i x m o n t h s o f o p e r a t i o n s .
S i g n e d b y : ~ ~
C h i e f F i n a n c i a l O f f i c e r
3 2
" R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n I n v e s t m e n t P o r t f o l i o R e p o r t P e r i o d E n d e d : D e c e m b e r 3 1 , 2 0 1 2 O P E R A T I N G F U N D S C i t y N a t i o n a l B a n k D e p o s i t s C o u n t y T r e a s u r e r ' s P o o l e d I n v e s t m e n t F u n d L o c a l A g e n c y I n v e s t m e n t F u n d ( L A I F ) S u b t o t a l O p e r a t i n g F u n d s F U N D S H E L D I N T R U S T C o u n t y T r e a s u r e r ' s P o o l e d I n v e s t m e n t F u n d : L o c a l T r a n s p o r t a t i o n F u n d S u b t o t a l F u n d s H e l d i n T r u s t C O M M I S S I O N B O N D P R O J E C T F U N D S / D E B T R E S E R V E U S B a n k M o n e y M a r k e t I n v e s t m e n t A g r e e m e n t s C o u n t y o f R i v e r s i d e P o o l i n v e s t m e n t F i r s t A m e r i c a n G o v e r n m e n t O b l i g a t i o n F u n d S u b t o t a l B o n d P r o j e c t F u n d s / D e b t R e s e r v e . T O T A L A l l C a s h a n d I n v e s t m e n t s I n v e s t m e n t T r a n s a c t i o n s f o r t h e Q u a r t e r E n d e d D e c e m b e r 3 1 , 2 0 1 2 P u r c h a s e s : N o n e M a t u r i t i e s : N o n e P a r V a l u e a t M a t u r i t y M a t u r i t y D a t e " C o u p o n R a t e 3 3 " S U M M A R I Z E D I N V E S T M E N T T Y P E B a n k s 9 , 5 4 2 . 2 2 0 C o u n t y P o o l 5 0 9 , 6 3 3 , 7 5 5 C o u n t y p � a o l l n v e s t m e n t L A I F 3 , 6 1 2 , 8 7 2 M u t u a l F u n d s : C N I C h a r t e r U S B a n k M o n e y M a r k e t 1 0 F i r s t A m e r i c a n G o v e r n m e n t O b l i g a t i o n F u n d 9 , 3 3 9 , 3 3 4 S u b . T o t a l M u t u a l F u n d s 9 , 3 3 9 , 3 4 4 F e d e r a l A g e n c y s e c u r i t i e s C e r t i f i c a t e s o f D e p o s i t U . S . T r e a s u r y s e c u r i t i e s C o r p o r a t e N o t e / C o m m e r c i a l P a p e r I n v e s t m e n t A g r e e m e n t s T O T A L $ 5 3 2 , 1 2 8 , 1 9 1
2012
County of Riverside Decetnber
Treasurer's Pooled Inz1estnzent Fund
11Kicking the Can Down the Road"
Throughout the late hours of Decem-
ber 31st and into the early morning of January
151, the U.S. Senate passed by a vote of 89 to 9,
the bill designed from keeping the nation from
falling off of the fiscal cliff. The bill then
passed the House some 20 hours later by a 257
to 167 vote, and then was sent to the White
House to be signed by the President.
The bill averted the cliff at the abso-
lute last moment. However, did it really avert
the cliff or just kick the can down the road
until February 2013? The debt ceiling limit,
sequestration, and other spending cuts will be
coming back soon to visit us like a bad case of
acid reflux in the middle of the night.
This bill means an increase in taxes
for married couples earning more than
$'150,000 and $'100,000 for single filers; the
current top rate of 35% will rise to 39.6%.
tlvidends and capital gains will also increase
m 15% to 20% while estate taxes will also
se to 40% from 35% on estates over $5 mil-
lion. The bill also confronted a number of
additional issues that compounded the fiscal
cliff fiasco such as AMT relief, tax credits for
tuition and green energy. Perhaps the most
sweeping, affecting an estimated 160 million
workers is the 2% Social Security payroll tax
cut, which was eliminated.
What was not dealt with in this leg-
islation and is the 800-pound gorilla in the
room is the debt ceiling. The U.S. Treasury
Department claims that it can continue to pay
outstanding debt obligations and its other
commitments for only another two months,
and then there will need to be an all-new debt
ceiling battle beginning in February to allow
the nation to continuing making payments on
its enormous debt. This now brings us to se-
questration, the harsh cuts to the federal
budget scheduled to go into effect at the be-
ginning of the year. At a time when the nation
needs stability the most, our federal govern-
ment has created Fiscal Cliff, Part II.
Now that the New Year is here, we
hope that our leaders in Washington D.C. can
get back to the business of governing, leading,
and providing certainty to the lives of hun-
dreds of millions of Americans, and investors
alike. We will continue to monitor these and
other events closely and look forward to a
successful resolution.
Don Kent
Treasurer-Tax Collector
Capital Markets Team
Treasurer-Tax Collector
Don Kent
Asst. Treasurer-Tax Collector
Jon Christensen
Investment Manager
Giovane Pizano
Asst. Investment Manager
Angela Tressler
Investment Objectives
The primary objective
of the treasurer shall be to safe-
guard the principal of the funds
under the
treasurer's control, meet the li-
quidity needs of the depositor,
and achieve a return on the
Jimds under his or her control.
RIVERSIDE COUNTY TREASURER'S POOLED INVESTMENT FUND IS CURRENTLY RATED:
Aaa-bf BY MOODY'S INVESTOR'S SERVICE AND AAA/Vl BY FITCH RAI'INGS
The Treasurer's Pooled Investment Fund is comprised of the County, Schools, Special Districts,
and other Discretionary Depositors.
34
Current Market Data
Economic Indicators
/4/2013
Non-Farm Payrolls M/M Counts the number of paid employees working
change part-time or full-time in the nation's business and
government esta blishrnents.
Unemployment Measures the number of unemployed as a
percentage of the labor force.
12/21/2012 Durable Goods Orders-Reflects the new orders placed with domestic .:0.5%
MjM change manufacturers for immediate and future delivery
of factory hard goods.
12/21/2012 Real Gross Domestic The broadest measure of aggregate economic
Product-QJQ change activity and encompasses every sector of the
economy. GDP is the country's most
comprehensive economic scorecard.
Mea5.~res consumer attitudes .
con<I~ticms and expectations offutp.re
--\'' c. ' > -·.·
2.8%
Represents the dollar level of new orders for both 0.3%
Stock Indices
Dow 1o~g~ (DJIA)
S&P 500 Index
NASDAQ:·
Commodities
Nyme,("~mde · . $
Gold (USD/OZ) $
.. . . .. Price lndexis.a measure
;a,~erage price le~el of afi~ed,basket of
· ~~~vices purchased by consumers.
Value Change
13104.14 I c"
1,426.19
2)560.93
Value Change
89.51 $ 0.60
1,675.35 $ (39.45)
RIVERSIDE COUNTY 1REASURER-TAX COLLECTOR
3.1 °/tl
2
TIMMI
AAA Rated Prime Institutional
Money-Market Funds
if ~ 8it~:2tll~"~~ ~ ~ ~ ~~~ ~~ ~':: ~ "' '~'%<~ ~ ;: ~~~ =&y [ff1~ ~~ i ~~ ~· ~ f*::
" ~ ~ ¥:~t_,1 "~;{"t0~r,; M" ~" ~" "o0M''@t:\~" '\,t<>k, >LN. >tn~~,x~~~\~R w~ JJU"
Fidelity Prhne Insti~~b~al MMF''
Federated Prime Obligations Fund
Wells Fargo Adva#t~g~,Jier!t~g~ ,.
Morgan Stanley Institutional Prime
Liquidity Fund
BlackRockPrimeC~~rr·Filnd
1.00%
0.80%
0.60%
0.40%
0.20%
0.00%
POIXX 0.11%
W.RJXX .:0.13 %, ;
MPFXX 0.14%
;iB~lxx' · 1~.·. ·:.~.· .. 9%.~j,~;
-, •/ ~-~-' .·' ·-
The Treasurer's Institutional Money Market Index
(TIMMI) is compiled and reported by the Riverside
County Treasurer's Capital Markets division. It is a
composite index derived from five AAA rated prime
institutional money market funds. Similar to the
Treasurer's Office, prime money market funds invest
in a diversified portfolio of U.S. dollar denominated
money market instruments including U.S. Treasuries,
government agencies, commercial paper, certificates
of deposits, repurchase agreements, etc. TIMMI is
currently comprised of the five multi billion dollar
funds listed to the left.
-Pool Yield
"·····''"TIMMI
Dec-11 Feb-12 Apr-12 Jun-12 Aug-12 Oct-12 Dec-12
01/2013
/2013
03/2013
/2013
/2013
. /2013
07/2013
/2013
09/2013
lQ/2013
11/2013
841.00 851.75
1,3~91~0 821.9~
663.29 1,199.59
.·~~~~~;g:rlt· ::;lJ:i1:t!.19 ..
868.06 913.40
, 6~~Z,~~·· .· :~·~ifl7~29".?'.
675.66 752.21
862.54
:~61/f~K
710.00
(564.52)
(262~~5}?'
(10.75)
:,:~57.(},8
(536.30)
:jl(~24.65)'¥
(45.34)
::; )·('4· 8'fl'b'7f,::'. .
.;~,: ,,· :of/J',
(76.55)
;::'f13.6,26)
152.54
10.75
~P3.1z,:;'i',
45.34
48,67~~>
76.55
• ";:t"$:6.26)::;; ·.·
201.00
·.· •. $57.6~". 10~;30
21.38 477.99
.. ·),~$4:15~' ••.
175.09
>·in:so
220.00
.~.~t~i95,o.g{i:
152.54 104.60
TOTALS 10,085.42 10,854.99 (769.57) 1,551.11 3,945.61 4A42.69
25.88% 65.83% 74.12%
* All values reported in millions($) .
•
e Pooled Investment Fund cash flow requirements are based upon a 12 month historical cash flow model. Based
pon projected cash receipts and maturing investments, there are sufficient funds to meet future cash flow disburse-
ments over the next 12 months.
RIVERSIDE COUNTY TREASURER-TAX COLLECTOR 36 3
Asset Allocation
MMKT 440,000.00 440,000.00 440,000.00 100.00% 0.04% .003 .003
''' .. -~~
CAL TRUST FND 54,000.00 54,000.00 54,000.00 100.00% 0.32% .003 .003
DDA/PASSBK 400,000.00 400,000.00 400,000.00. 100.00% 0.08% .003 .003
LOCALAGCY 510.00 510.00 510.00 100.00% 0.89% 7.460 7.460
US TREAS BILLS 50,000.00 49,915.47 49,998.50 100.17% 0.19% .104 .104
US TREAS BONDS 655,000.00 655,276.36 655,303.75 100.00% 0.22% 1.015 1.015
100,000.00 99,828.54 99,973.00 100.14% 0.19% .329 .329
630,723.00 630,659.87 632,424.50: 100.28% 0.55% 1.444 1.913
50,000.00 49,921.13 49,968.75' 100.10% 0.18% .521-.521
804,337.00 804,628.92 805,967.71 i 100.17% 0.66% 1.220 2.976
190,000.00; 189,612.20 189,890.77 100.15% 0.20% .511 .511 ...
1,286,987.87 1,288,207.50 100.09% 0.34% .576 .680
........•
210,000.00 209,656.19 209,977.15 100.15% 0.19% .177 .177
261,062.22: 261,373.99 100.12% 0.43% 1.421. 1.440
'""' w"'
102,203.39 102,329.66 100.12% 0.57% .610· 2.349
100.00% 0.42%
•
1,000,000.00-++-+--+--
500,000.00
SCHEDULED PAR%
RIVERSIDE COUNTY TREASURER-TAX COLLECTOR 37 4
Maturity Distribution
MMKT 440,000.00
CAL TRUST FND 54,000.00
DDA/PASSBK 400,000.00
LOCALAGCY
US TREAS BILLS 50,000.00
USTREAS 10,000.00 230,000.00
FHLMCDISC 100,000.00
FHLMCBONDS 111,100.00
FNMADISC 50,000.00
FNMABONDS 110,000.00
FHLB DISC 190,000.00
FHLBBONDS 63,105.00 134,400.00 840,085.00
FFCB DISC 200,000.00 10,000.00
FFCBBONDS 5,000.00 125,000.00
FARMER MAC 37,500.00
MUNIBONDS _ . 39,515.00
•
YEAR IN MATURITY
•
RIVERSIDE COUNTY TREASURER-TAX COLLECTOR 38
415,000.00
192,000.00
55,000.00
161,000.00 •
65,995.00
5,000.00
22,105.00
510.00
312,623.00 15,000.00.
366,590.00 272,747.00
78,050.00 10,000.00
55,000.00
28,718.00
2,000.00
-REPOS·S<h<!duledPar
-MMKT ·Scheduled Par
-CAlTRUST FND • Scheduled Par
LOCALAGCY INVST FND ·Scheduled Par
-DDA/PASSBK • Scheduled Par
LOCAl AGCY OI!UG • Scheduled Par
-us TREAS lUllS· Scheduled Par
-US TREAS BONDS· Scheduled Par
-FHI.MC DISC NOTES· Sch<!cluled Pat
-f'Hit.tc BONDS· Scheduled Par
-FNMA DlSC NOTES· Scheduled Par
-FNMA BONDS-Scheduled Par
Flllll DISC NOTES· S<heduled Par
-FHl!l80t!DS ·Scheduled Pat
-FFCB DISC NOTES· Scheduled Par
-FFCB BONDS· Scheduled Par
-FARMER MAC· Scheduled Pu
-MUNI BONDS· Scheduled Par
-COMM PAPER· Scheduled Par
5
Credit Quality
Aa2
Aa3
NR
AA+
AA
4,792,110.00
5,000.00
7,140.00
131,115.00
193,000.00
865,578.00
MOODY'S
BOOK%
gAM-110'1\> -Mt•Oo/o -AII3·3~
·M·Oo/o lliJM2·2% -NR-14~
4,791,964.43
4,999.35
7,140.00
131,227.55
192,927.92
"'VV
4,116,229.05
139,239.81
4,285.00
RIVERSIDE COUNTY TREASURER-TAX COLLECTOR 39
4,797,527.05,
5,001.85
7,140.00
131,225.08
192,946.09
100.05%
100.00%
100.00%
100.01%
S&P
BOOK C¥o·
-MA-~ I.\\I!I/!IAit.-·0%
-M+··~ IIIIIIIM'l·~
-M-2%
0.14%
0.16%
•
•
•
6
vlonth End Portfolio Holdings
Matunty Maturity Par Book I\larket Market Unrealized Modified Years To
CUSIP Desaiption Date Coupon To Mat Value Value Pnce Value Gain{Loss Duration Maturity
EPOS
EPO
EPO
,(?;<.,
iMKT
UBS TRI PARTY REPO
U6S TRI PARTY REPO
ALTRUSTFND
01/02/2013
01(03(2013
.090
.090
.090
.090
170,000,000.00
230,000,000.00
170,000,000 00
230,000,000.00
LTR CAL TRUST SHT TERM FUND 01/01(2013 .323 .323 54,000,000.00 54,000,000.00
(/i/!.!JffPF' ,,;&:,;:;;~'f• \I?: ':h~n ;!J:' . '! •• \* .34'!:/':1,,.~;£:A.!'M#P;'!iJO.I)!lif?Jf •· :~#P;Mk'
::ICAL AGCY INVST FND
A.IF LAIF
.... :le~~-1-t ~, -~" ~, ;·--<~<,Jed~'::·,,·
DA/PASSBK
2828QZ6 U.S. TREASURY BOND
2828QK9 U.S. TREASURY BOND
2828QZ6 U.S. TREASURY BOND
2828QZ6 U.S. TREASURY BOND
2828QW3 U.S. TREASURY BOND
2828RK8 US. TREASURY BOND
2828RK8 U.S. TREASURY BOND
2828RK8 U.S. TREASURY BOND
2828S67 U.S. TREASURY BOND
2828S67 U.S. TREASURY BOND
2828RN2 U.S. TREASURY BOND
28285G6 U.S. TREASURY BOND
2828S87 U.S. TREASURY BOND
2828587 U.S. TREASURY BOND
2828SG6 U.S. TREASURY BOND
2828SG6 US. TREASURY BOND
2828RS1 U.S. TREASURY BOND
2828RN2 U.S. TREASURY BOND
2828RS1 U.S. TREASURY BOND
28285W1 U.S. TREASURY BOND
2828T AS U.S. TREASURY BOND
2. U.S. TREASURY BOND
2 U.S. TREASURY BOND
28 U.S. TREASURY BOND
282 U.S. TREASURY BOND
2828TA8 U.S. TREASURY BOND
2828567 U.S. TREASURY BOND
28285G6 U.S. TREASURY BOND
2828RW2 U.S. TREASURY BOND
2828RK8
?[ -~XtY ~t>>ii~:,
~LMC DJSC NOTES
3397DU2 FHLMC DISC NOTE
3397GE5
,,\s~:t;/ ·,, ... :-,_ ,~
nMCBONDS
37EACL1 FHLMC 3Yr
34G15GO FHLMC 3.5YrNc6MoE
37EACR8 FHLMC 3Yr
37EACR8 FHLMC 3Yr
34G2CL4 FHLMC 3Yr
37EACL1 FHLMC 3Yr
34G2FT4 FHLMC 2.25Yr
34G2U42 FHLMC 2Yr
37EACZO FHLMC 2Yr
34G36F6 FHLMC 2Yr
34G3EB2 FHLMC 3.5YrNc2YrE
34G3EN6 FHLMC 3.5YrNc2YrE
34G2U42 FHLMC 1.5Yr
34G3GG9 FHLMC 3YrNc1Yr6
34G3GZ7 FHLMC 2YrNc1YrE
34G3HD5 FHLMC 2YrNc1Yr6
34G3HD5 FHLMC 2YrNc1YrB
34G3HD5 FHLMC 2YrNc1YrB
34G3HA1 FHLMC 3YrNc1YrB
.34G3HA1 FHLMC 3YrNc1Yr6
34G3HA1 FHLMC3YrNc1YrB
34G3HA1 FHLMC 3YrNc1YrB
34G3MM9 FHLMC 2YrNc1YrE
34G3MM9 FHLMC 2YrNcJYrE
34G3LA6 FHLMC 2Yr
34G3LZ1 FHLMC 2YrNcl Yr6
34G3MY3 FHLMC 3.5YrNc2YrE
34. FHLMC 3.5YrNc2YrE
34 FHLMC 3YrNclYr6
34 FHLMC 3YrNc2YrE
34G · FHLMC 3YrNc2YrE
34G3NS5 FHLMC 2Yr
34G3QW3 FHLMC 3YrNc2YrE
34G3QW3 FHLMC 3YrNc2YrE
01/01/2013
05/31/2013
02/28/2013
05/31/2013
05/31/2013
07/31(2013
09/30/2013
09/30/2013
09/30/2013
01/31/2014
01/31/2014
10/31/2013
02/28/2014
01/31/2014
01/31/2014
02/28/2014
02/28/2014
11/30/2013
10/31/2013
ll/30/2013
05/31/2014
06/30/2014
02/28/2014
05/31/2014
12/31/2013
06/30/2014
06/30/2014
01/31/2014
02/28/2014
12/31/2013
09 30 2013
10/28/2013
03/03/2014
02/25/2014
02/25/2014
04/29/2014
10/28/2013
08/13/2013
10/15/2013
11/27/2013
12/23/2013
06/30/2015
06/30/2015
10/15/2013
01/09/2015
01/03/2014
01/24/2014
01/24/2014
01/24/2014
01/23/2015
01/23/2015
01/23/2015
01/23/2015
02/27/2014
02/27/2014
02/27/2014
02/21/2014
08/28/2015
08/28/2015
02j27j2015
02/24/2015
02/27/2015
03/21/2014
03/06/2015
03/06/2015
.355 .355 0.00
·o.oo .
.500 .181 1 0,000,000.00
.625 .176 10,000,000.00
.500 .243 15,000,000.00
.500 .249 15,000,000.00
.375 .251 25,000,000.00
.125 .196 20,000,000.00
.125 .1% 20,000,000.00
.125 .189 10,000,000.00
250 225 25,000,000.00
.250 .222 25,000,000.00
.250 .211 25,000,000.00
.250 .231 25,000,000.00
.250 .209 25,000,000.00
.250 .235 25,000,000.00
.250 .236 25,000,000.00
.250 .244 25,000,000.00
.250 .209 25,000,000.00
.250 .192 25,000,000.00
.250 .200 10,000,000.00
.250 .255 20,000,000 00
.250 .243 20,000,000.00
.250 .222 25,000,000.00
.250 .229 25,000,000.00
.125 .21 0 25,000,000.00
.250 .235 25,000,000.00
.250 .237 25,000,000.00
.250 .195 30,000,000.00
.250 .198 20,000,000.00
.125 .179 25,000,000.00
.125 .161 30,000,000.00
.875
1.250
1.375
1.375
1.350
.875
.875
.375
.375
.625
1.000
1.000
.375
.850
.500
.600
.600
.600
.875
.875
.875
.875
.400
.400
.375
.500
.650
.650
.550
.500
.550
.300
.625
.625
.937
1.250
1.375
1.465
1.160
.790
.611
.483
.580
.626
1.000
1.000
.400
.850
.500
.600
.600
.600
.875
.875
.875
.875
.400
.400
.394
.500
.650
.650
.567
.581
.594
.378
.625
.625
5,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
11,000,000.00
5,000,000.00
15,000,000.00
10,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
6,500,000.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
40
IVERISIDE COUNTY TREASURER-TAX COLLECTOR
0.00
400,000,000.00
10,042,187.50
10,047,265.63
15,044,531.25
15,043,359.38
25,033,200.00
19,983,593.75
19,983,593.75
9,992,578.13
25,008,789.06
25,009,765.63
25,010,742.19
25,006,835.95
25,013,671.88
25,004,882.81
25,004,882.81
25,001,953.13
25,010,742.19
25,013,671.88
10,005,078.13
19,998,437.50
20,002,343.75
25,008,78789
25,007,812.50
24,977,539.06
25,005,859.38
25,004,882.81
30,018,750.00
20,012,500.00
24,986,328.13
29,991,796.88
49,894,416.67
49,934,125.00
4,990,300.00
5,000,000.00
5,000,000.00
9,973,100.00
5,027,800.00
11,022,330.00
-5,028,775.00
14,%7,300.00
9,958,700.00
9,999,800.00
5,000,000.00
5,000,000.00
4,997,700.00
10,000,000.00
5,000,000 00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
6,500,000.00
5,000,000.00
5,000,000.00
9,996,000.00
5,000,000.00
5,000,000.00
5,000,000.00
4,997,500.00
4,988,000.00
4,993,500.00
9,984,000.00
5,000,000.00
5,000,000.00
100.00
100.00
• 100.00
170,000,000.00
230,000,000.00
100.00 54,000,000.00
.005 .005
.008 .008
.003 .003
0.00 .000 .003
400,000,000.00
100.00 49,998,500.00 83,034.72
100.16
IOO.D9
100.16
100.16
100.14
99.97
99.97
99.97
100.06
100.06
100.06
100.06
100.06
100.06
100.06
100.06
100.06
100.06
100.06
100.05
100.04
100.06
100.05
99.94
100.04
100.04
100.06
100.06
99.94
99.97
10,016,000.00
I 0,008,600.00
15,024,000.00
15,024,000.00
25,035,250.00
19,994,600.00
19,994,600.00
9,997,300.00
25,015,750.00
25,015,750.00
25,015,750.00
25,013,750.00
25,015,750.00
25,015,750.00
(26,187.50)
(38,665.63)
(20,531.25)
(19,359.38)
2,050.00
11,006.25
11,006.25
4,721.87
6,960.94
5,984.37
5,007.81
6,914.05
2,078.12
10,867.19
8,867.19
11,796.87
4,007.81
2,078.12
821.87
10,962.50
5,456.25
4,962.11
3,937.50
6,960.94
3,890.62
99.98 49,991.500.00 97,083.33
99.96 49,981,500.00 47,375.00
100.57
101.05
101.34
101.34
101.49
100.57
100.38
100.15
100.18
100.40
100.59
100.71
100.15
100.DI
100.00
100.02
100.D2
100.02
100.03
100.03
100.03
100.03
100.05
100.05
100.20
100.04
100.53
100.53
100.07
100.16
100.37
100.16
100.47
100.47
5,028,550.00
5,052,250.00
5,067,200.00
10,134,400.00
5,074,350.00
11,062,810.00
5,018,850.00
15,022,950.00
1 0,017,600.00
10,040,400.00
5,029,700.00
5,035,250.00
5,007,650.00
10,001,200.00
5,000,050.00
5,001,150.00
5,00],150.00
5,001,150.00
5,001,600.00
5,001,600.00
5,001,600.00
6,502,080.00
5,002,300.00
5,002,300.00
10,019,900.00
5,002,150.00
5,026,300.00
5,026,300.00
5,003,450.00
5,008,000.00
5,018,250.00
10,015,800.00
5,023,350.00
5,023,350.00
38,250.00
52,250.00
67,200.00
161,300.00
46,550.00
40,480.00
(9,925.00)
55,650.00
58,900.00
40,600.00
29,700.00
35,250.00
9,950.00
1,200.00
50.00
1,150.00
1,150.00
1,150.00
1,600.00
1,600.00
1,600.00
2,080.00
2,300.00
2,300.00
23,900.00
2,150.00
26,300.00
26,300.00
5,950.00
20,000.00
24,750.00
31,800.00
23,350.00
23,350.00
.413
.161
.413
.413
.582
.749
.749
.749
1.080
1.080
.832
1.163
1.080
1.080
1.163
1.163
.915
.832
.915
1.413
1.4%
1.164
1.413
.999
1.4%
1.4%
1.080
1.164
.999
.749
.249
.407
.819
1.156
1.132
1.131
1.310
.820
.613
.786
.902
.973
2.463
2.463
.786
1.993
.999
1.056
1.056
1.056
2.031
2.031
2.031
2.031
1.150
1.150
1.150
JJ32
2.634
2.634
.2.136
2.129
2.136
1.218
2.158
2.158
.003
.414
.162
.414
.414
.581
.748
.748
.748
1.085
1.085
.833
1.162
1.085
1.085
1.162
1.162
.915
.833
.915
1.414
1.4%
1.162
1.414
1.000
1.4%
1.4%
1.085
1.162
1.000
.748
.249
.408
.825
1.170
1.153
1.153
1.326
.825
.616
.789
.907
.978
2.4%
2.4%
.789
2.025
1.008
1.066
1.066
1.066
2.063
2.063
2063
2.063
1.159
1.159
1.159
1.142
2.658
2.658
2.159
2.151
2.159
1.219
2.178
2.178
vfonth End Portfolio Holdings
Maturity Maturity Par Book Market Market Unrealized Modified Years To
CUSIP Descnption Date Coupon To J\.fat Value Value Price Yalue GainfLoss Duration Matunty
34G3RP7 FHLMC 3YrNc2YrE
34G3SH4 FHLMC 5YrNc1YrB
34G3550 FHLMC 2.5YrNc1YrE
34G3QW3 FHLMC 3YrNc2YrE
34G3587 FHLMC 2Yr
34G2U42 FHLMC 19Mo
37EADD8 FHLMC 3Yr
37EADD8 FHLMC 3Yr
34G3587 FHLMC 2.16Yr
34G3)X9 FHLMC 3Yr
34G3TL4 FHLMC 3.5YrNc2YrB
34G3SB7 FHLMC 2Yr
34G35B7 FHLMC 2Yr
34G3SB7 FHLMC 2Yr
34G3SB7 FHLMC 2Yr
34G3UU2 FHLMC 3YrNc1YrE
34G3NSS FHLMC 2Yr
37EACX5 FHLMC 2Yr
37EACX5 FHLMC 2Yr
34G3LA6 FHLMC 2Yr
34G3ZA1 FHLMC 3.25Yr
34G3ZA1 FHLMC 3.25Yr
34G3ZA1 FHLMC 3.25Yr
34G3H78 FHLMC 2.25Yr
34G3L24 FHLMC 3YrNc1YrE
34G3)76 FHLMC 3Yr
34G3)76 FHLMC 3Yr
34G3)76 FHLMC 3Yr
34G3L24 FHLMC 3YrNc1YrE
34G3j76 FHLMC 3Yr
34G3)76 FHLMC 3Yr
34G3ZA1 FHLMC 3Yr
34G3ZA1 FHLMC 3Yr
34G3)76 FHLMC 3Yr
34G3H78 FHLMC 2Yr
34G3BF6 FHLMC 14 Mo
34G3H78 FHLMC 2Yr
34G3550 FHLMC 4Yr
34G3V23 FHLMC 3YrNc6MoE
34G3W71 FHLMC 2YrNc1YrE
34G3W71 FHLMC 2YrNc1YrE
34G3Y20 FHLMC 3YrNc1YrE
34G3Y20 FHLMC 3YrNc1YrE
34G3ZA1 FHLMC 3.25Yr
34G32E9 FHLMC 2Yr
34G3H78 FHLMC 2Yr
3589HP1 FNM A DISC NOTE
FNMA 3YrNc6MoE
36FPEL7 FNMA 3YrNc6MoE
36FPEL7 FNMA 3YrNc6MoE
36FPEL7 FNMA 3YrNc6MoE
36FPEL7 FNMA 3YrNc6MoE
36FPEL7 FNMA 3YrNc6MoE
36FPEX1 FNMA 3.25YrNc6MoE
398A3R1 FNMA 3.5YrNc6MoE
398A4H2 FNMA 3YrNc6MoE
398A4H2 FNMA 3YrNc6MoE
398A4H2 FNMA 3YrNc6MoE
398A5Z1 FNMA 3YrNc6MoE
398A5Z1 FNMA 3YrNc6MoE
36FP6XO FNMA 5Yr
398A3K6 FNMA 4Yr
398A5W8 FNMA 3Yr
398AVZ2 FNMA 5Yr
398A5Z1 FNMA 3Yr
35GOBR3 FNMA 2.25Yr
35GOBR3 FNMA 2Yr
398A5W8 FNMA 3Yr
35GOCU5 FNMA 3YrNc2YrE
35GOCU5 FNMA 3YrNc2YrE
35GOGC1 FNMA 3YrNc2YrE
35GOGM9 FNMA 3YrNc2YrE
35GOGM9 FNMA 3YrNc2YrE
36FTZP7 FNMA 5YrNc1YrB
36FTB65 FNMA 5YrNc1YrB
36FTL23 FNMA 3YrNc1YrE
36FTW62 FNMA 5YrNc1YrB
36FT2DO FNMA 5YrNc1YrB
36FT2K4 FNMA 5YrNc1YrB
36FT2K4 FNMA 5YrNc1YrB
36FT2K4 FNMA 5YrNc1YrB
35GO)BO FNMA 3YrNc1YrB
35GOHG1 FNMA 3Yr
35GOBR3 FNMA 1.4Yr
35GOJ)3 FNMA 3YrNc1YrB
35GO)U8 FNMA 3YrNc1YrB
35GOKD4 FNMA 3YrNc1YrE
35GO)YO FNMA 3YrNc1YrE
03/12/2015
03/28/2017
09/22/2014
03/06/2015
04/28/2014
10/15/2013
04/17/2015
04/17/2015
04/28/2014
01/30/2015
09/28/2015
04/28/2014
04/28/2014
04/28/2014
04/28/2014
05/22/2015
iB/21/2014
10/30/2013
10/30/2013
02/27/2014
08/28/20)5
08/28/2015
08/28/2015
12/05/2014
09/25/2015
09/04/2015
09/04/2015
09/04/2015
09/25/2015
09/04/2015
09/04/2015
08/28/2015
08/28/2015
09/04/2015
12/05/2014
12/23/2013
12/05/2014
11/01/2016
11/20/2015
11/26/2014
11/26/2014
11/27/2015
11/27/2015
08/28/2015
12/iB/2014
12/05/2014
09/03/2013
09/09/2013
09/09/2013
09/09/2013
09/09/2013
09/09/2013
12/17/2013
03/21/2014
10/08/2013
10/08/2013
10/08/2013
11/19/2013
11/19/2013
02/04/2016
03/14/2014
12/18/2013
03/13/2014
11/19/2013
08/09/2013
08/09/2013
12/18/2013
09/12/2014
09/12/2014
12/05/2014
12/23/2014
12/23/2014
01/30/2017
01/30/2017
02/13/2015
03/08/2017
03/22/2017
03/20/2017
03/20/2017
03/20/2017
03/13/2015
03/16/2015
08/09/2013
03/26/2015
04/17/2015
04/24/2015
04/23/2015
.650
1.050
.540
.625
.375
.375
.500
.500
.375
.650
.900
.375
375
.375
.375
.600
.300
375
.375
.375
.500
.500
.500
.350
.500
.450
.450
.450
.500
.450
.450
.500
.500
.450
.350
.625
.350
.625
.530
.350
.350
.500
.500
.500
.320
.350
.650
1.050
.540
.628
.427
.32.1
.611
.700
.460
.662
.900
.509
440
.452
.437
600
.345
.318
.320
.3m
.500
.506
.519
.350
.500
.428
.420
.420
.500
.424
.440
.430
.425
.425
.339
.233
.341
.647
.530
.350
.350
.500
.500
.417
.320
.320
1 0.000,000.00
5,000,000 00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
10,000,000 00
5,000,000.00
5,000,000 00
5,000,000. 00
10,000,000.00
5,000,000.00
5,000,000.00
12,000,000.00
5,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
15,000,000.00
15,000,000.00
15,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
15,000,000.00
10,000,000.00
15,000,000.00
25,000,000.00
5,000,000.00
5,250,000.00
10,000,000.00
5,000,000.00
10,100,000.00
10,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
.375 .197
.180
.180
.180 ..
1.050
1.050
1.050
1.050
1.050
1.050
l.125
1.350
J.J25
1.125
1.125
.800
.800
.343
1.250
.750
2.750
.800
.500
.500
.750
.625
.625
.850
.825
.825
1.000
1.000
.300
1.000
1.000
1.100
1.100
l.lOO
.700
.375
.500
.700
.750
.750
.700
180 25,000,000.00
.180 25,000,000.00
1.058
1.050
1.050
1.050
1.084
1.050
1.141
1.350
1.125
l.125
l.125
.800
.800
.374
1.278
1.194
1.128
.870
.580
.600
.480
.625
.625
.850
.825
.825
1.000
1.000
.300
1.000
1.000
1.100
1.104
1.100
.700
.550
330
.725
.750
.750
.700
5,000,000.00
5,000,000.00
5,000,000 00
5,000,000.00
5,000,00000
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
10,000,000 00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
4,740,000.00
5,425,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,600,000.00
5,000,000.00
4,400,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
41
IVERISIDE COUNTY TREASURER-TAX COLLECTOR
10,000,000.00
5,000,000.00
5,000,000 00
4,999,500.00
4,994,40000
5,004,183.00
9,966,500.00
9,939,900.00
4,991,050.00
4,998,250.00
5,000,000.00
9,972,500.00
4,993,250.00
4,992,015.05
11,984,880.00
5,000,000.00
9,992,000.00
10,007,600.00
10,007,200.00
10,011,600.00
15,000,000.00
14,997,150.00
14,991,300.00
10,000,000.00
10,000,000.00
10,006,520.00
10,008,800.00
15,013,200.00
10,000,000.00
15,011,481.90
25,007,250.00
5,010,265.00
5,261,412.50
10,007,260.00
5,001,182.30
10,146,965.00
10,001,900.00
9,991,200.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
24,%1,500.00
24,959,625.00
4,998,750.00
5,000,000.00
5,000,000.00
5,000,000.00
4,995,000.00
5,000,000.00
4,997,500.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
1 0,000,000.00
5,000,000.00
9,990,000.00
4,9%,000.00
4,941,950.00
10,454,500.00
4,991,250.00
9,983,000.00
9,979,200.00
1 0,063,305.58
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
4,740,000.00
5,425,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,600,000.00
4,999,000.00
4,400,000.00
5,000,000.00
4,973,800.00
5,011,850.00
4,9%,250.00
5,000,000.00
5,000,000.00
5,000,00000
100.51
100.24
100.10
100.47
100.20
100.15
100.41
100.41
100.20
100.44
100.84
100.20
100.20
100.20
100.20
100.15
100.16
100.15
100.15
100.20
100.33
100.33
100.33
100.09
100.14
100.19
100.19
100.19
100.14
100.19
100.19
100.33
100.33
100.19
100.09
100.40
100.09
100.04
100.12
99.99
99.99
100.13
100.13
100.33
100.04
10,050,500.00
5.012,100.00
5,004,750.00
5.023,350.00
5,009,900.00
5,007,650.00
10,040,900.00
1 0,040, 900.00
5,009,900.00
5,022,200.00
5,042,050.00
1 0,019,800.00
5,009,900.00
5,009,900.00
12,023,760.00
5,007,550.00
10,01 5,800.00
1 0,015,300.00
10,01 5,300.00
10,019,900.00
15,049,350.00
15,049,350.00
15,049,350.00
10,009,300.00
10,013,900.00
10,019,300.00
10,019,300.00
15,028,950.00
10,013,900.00
15,028,950.00
25,048,250.00
5,016,450.00
5,267,2n.50
10,019,300.00
5,004,650.00
10,140,804.00
1 0,009,300.00
10,004,100.00
5,006,100.00
4,999,700.00
4,999,700.00
5,006,300.00
99.94 24,985,000.00
99.94 24,983,750.00
~~,~t~. t·,~~91tJ~~vr&>J~~';9fjB,;ztm.JJ!%g,~
100.50
100.49
100.49
100.49
100.49
100.49
100.25
101.15
100.72
100.72
100.72
100.44
100.44
99.98
101.25
100.58
103.04
100.44
100.19
100.19
100.58
100.25
100.25
100.42
100.42
100.42
100.06
100.15
100.02
100.15
99.98
100.14
100.14
100.14
100.09
100.13
100.19
100.14
100.16
100.12
100.15
5,025,050.00
5,024,300.00
5,024,300.00
5,024,300.00
5,024,300.00
5,024,300.00
5,012,600.00
5,057,700.00
5,036,200.00
5,036,200.00
5,036,200.00
1 0,043, 900.00
5,021,950.00
9,997,700.00
5,062,400.00
5,028,800.00
1 0,3m,800.00
5,021,950.00
10,019,300.00
10,019,300.00
10,057,600.00
5,012,650.00
5,012,650.00
5,020,900.00
5,020,800.00
5,020,800.00
4,743,033.60
5,432,920.50
10,002.400.00
5,007,700.00
4,998,950.00
5,607,728.00
5,006,900.00
4,406,072.00
5,004,350.00
5,006,650.00
5,009,650.00
5,007,000.00
5,008,100.00
5,006,150.00
5,007,550.00
50,500.00
12,100.00
4,750.00
23,850.00
15,500.00
3,467.00
74,400.00
101,000.00
18,850.00
23,950.00
42,050.00
47,300.00
16,650.00
17,884.95
38,880.00
7,550.00
23,800.00
7,700.00
8,100.00
8,300.00
49,350.00
52,200.00
58,050.00
9,300.00
13,900.00
12,780.00
10,500.00.
15,750.00
13,900.00
17,468.10
41,000.00
6,185.00
5,860.00
12,040.00
3,467.70
(6,161.00)
7,400.00
12,900.00
6,100.00
(300.00)
(300.00)
6~100.00
6,300.00
10,981.73
23,500.00
24,125.00
26,300.00
24,300.00
24,300.00
24,300.00
29,300.00
24,300.00
15,100.00
57,700.00
36,200.00
36,200.00
36,200.00
43,900.00
21,950.00
7,700.00
66,400.00
86,850.00
(150,700.00)
30,700.00
36,300.00
40,100.00
(5,705.58)
12,650.00
12,650.00
20,900.00
20,800.00
20,800.00
3,033.60
7,920.50
2,400.00
7,700.00
(1,050.00)
7,728.00
7,900.00
6,072.00
4,350.00
32,850.00
(2,200.00)
10,750.00
8,100.00
6,150.00
7,550.00
2.174
4.127
1.712
2.158
1.319
.787
2.275
2.274
1.319
2.058
2.6%
1.319
1.319
1.319
1.319
·2.370
1.218
.831
.831
1.151
2.642
2.641
2.641
1.919
2.708
2.652
2.652
2.652
2.708
2.652
2.652
2.642
2.642
2.652
1.919
.975
1.919
3.778
2.859
1.894
1.894
2.880
2.880
2.569
1.916
2.195
4.241
1.726
2.178 • 2.293
1.323
2.082
2.742
1.323
1.323
1.323
1.323
2.389
1.219
.830
.830
1.159
2.658
2.658
2.658
1.929
2.734
2.677
2.677
2.677
2.734
2.677
2.677
2.658
2.658
2.677
1.929
.978
1.929
3.838
2.888
1.904
1.904
2.907
2.907
2.658
1.923
.497 .499
.541 .542
r=,;,~~'f,W:1i!'t,;,rtll!;
.666
.683
.683
.683
.683
.683
.953
1.204
.762
.762
.762
.878
.878
3.072
1.186
.956
1.173
.878
.603
.603
.%0
1.683
1.683
1.907
1.957
1.957
3.972
3.972
2.106
4.077
4.116
4.100
4.100
4.100
2.175
2.193
.&m
2.211
2.267
2.287
2.286
.674
.690
.690
.690
.690
.690
.%2
1.219
.770
.770
.770
.885
.885
3.0%
1.200
.964
1.197
.885
.605
.605
.964
1.699
1.699
1.929
1.978
1.978
4.085
4.085
2.121
4.186
4.225
4.219
4.219
4.219 • 2.293
2.312
2.310
vlonth End Portfolio Holdings
Maturity l\latunty Par Book Market Market UnreaJized Modtfted Years To
CUSIP DesGiption Date Coupon fo Mat \ alue \ alue Price Value GainfLoss Duration Maturity
35GOKL6 FNMA 25YrN<1YrE
35GOK51 FNMA 2.75YrNr1YrB
35GOKM4 FNMA 3Yr
35GOLG6 FNMA 3YrNc1YrE
36GOMZ1 FNMA 5YrNc1YrB
3. FNMA3Yr
3 FNMA 5YrNc1 YrB
3 FNMA 5YrNc1YrB
35GOML4 FNMA 3YrNc6MoB
35GOMQ3 FNMA 2YrNc1YrB
36GORTO FNMA 5YrNc1YrB
36GORW3 FNMA 5YrNc2YrB
36GORP8 FNMA 5YrNc1YrB
36GORP8 FNMA 5YrNc1YrB
35GOML4 FNMA 3YrNc6MoB
35GOML4 FNMA 3YrNc6MoB
35GOML4 FNMA 3YrNc6MoB
35GOMP5 FNMA 3YrNc1YrE
36GOUC3 FNMA 4YrNc1YrB
36GOTZ4 FNMA 5YrNc1YrB
36GOVZ1 FNMA 5YrNc1YrB
3380863 FNMA 5YrNc3MoB
36GOUX7 FNMA 5YrNc1 YrB
36GOVA6 FNMA 5YrNc1 YrB
35GOLN1 FNMA 2Yr
35GOLN1 FNMA 3Yr
35GONQ2 FNMA 3YrNc6Mo
35GON)8 FNMA 4YrNc6MoB
36GOUC3 FNMA 4YrNc1 YrB
35GONV1 FNMA 3Yr
36GOYU9 FNMA5YrNc1YrB
36GOA27 FNMA 5YrNc1YrB
36GOA27 FNMA 5YrNc1YrB
36GOB59 FNMA 5YrNc1 YrB
36GOE64 FNMA 5YrNc1 YrB
36GOE64 FNMA 5YrNc1 YrB
36GOB59 FNMA 5YrNc1YrB
35GONV1 FNMA 3Yr
36GOW49 FNMA 5YrNc1YrB
35GOQB2 FNMA 3YrNc1YrE
35GONV1 FNMA 3Yr
35GORS4 FNMA 3YrNc2YrE
35GORY1 FNMA 3YrNc2YrE
35GORX3 FNMA3YrNc1YrE
35GORZ8 FNMA 3.5YrNc2YrE
35GOSBO FNMA 3Yr
•
FNMA 4YrNc1YrB
FNMA 5YrNc6MoB
FNMA 3YrNc1 YrE
FNMA 5YrNc1YrB
35GOSBO FNMA 3Yr
35GOR54 FNMA 3YrNc1YrE
36Gl356 FNMA 5YrNc1 YrB
36G12F5 FNMA 5YrNc1YrB
36G12DO FNMA 5YrNc1 YrB
35GOSL8 FNMA 3YrNc1YrB
35GOST1 FNMA 3YrNc1YrB
35GOST1 FNMA 3YrNc1YrB
35GOST1 FNMA 3YrNc1 YrB
35GOST1 FNMA3YrNc1YrB
36C14Q9 FNMA5YrNc1YrB
35GOST1 FNMA 3YrNc1YrB
35GOSQ7 FNMA 2.5YrNc1YrB
35GOST1 FNMA 3YrNc1YrB
35GOST1 FNMA 3YrNc1YrB
35GOSTl FNMA 3YrNc1 YrB
35GOSBO FNMA 3Yr
36G16)3 FNMA 5YrNc1YrB
35GOSBO FNMA 3Yr
36G13S6 FNMA 5YrNc1YrB
36G17E3 FNMA 5YrNc1YrB
36G17 A1 FNMA 3YrNc1 YrB
36C1A66 FNMA 5YrNc1YrB
35GOST1
35GOSBO
FHLB3Yr
3370TA6 FHLB 3Yr
3370T84 FHLB 3Yr
3371PM2 FHLB2.6Yr
3371UC8 FHLB3.2Yr
33a2 FHLB4Yr
33 FHLB5Yr
33 FHLB3Yr
33 FHLB 2.5Yr
3373CZ3 FHLB 3Yr
3373F98 FHLB 2.25Yr
3373537 FHLB 2.25Yr
10/30/2014 .500 .500 10,000,000.00
02/10/2015 .560 .560 5,000,000.00
05/27/2015 500 533 5,000,000.00
05/29/2015 .650 .660 5,000,00000
06/28/2017 .750 .750 5,000,00000
07/02/2015 .500 .540 10,000,00000
07/26/2017 .875 .875 5,000,000.00
07/10/2017 .850 .850 4,980,000 00
07/16/2015 .650 .650 5,000,000.00
01/26/2015 .500 500 20,000,000.00
07/26/2017 1.150 1.150 5,000,000.00
07/25/2017 .750 .750 10,000,000.00
07/26/2017 .875 .875 10,000,000.00
07/26/2017 .875 .875 5,000,000.00
07/16/2015 .650 .650 5,000,000.00
07/16/2015 .650 .650 5,000,000.00
07/16/2015 .650 .650 4,740,000.00
07/17/2015 .600 .600 5,000,000.00
08/16/2016 .500 .500 5,000,000.00
08/15/2017 .750 .750 5,000,000.00
08/14/2017 .625 .625 5,000,000.00
08/16/2017 .625 .625 4,850,000.00
08/16/2017 .750 .750 5,000,00000
08/14/2017 .625 .635 10,000,000.00
07/02/2015 .500 .420 10,000,000.00
07/02/2015 .500 .449 10,000,000.00
08/20/2015 .600 .600 5,000,000.00
02/22/2016 .600 .600 5,000,000.00
08/16/2016 .500 .500 5,000,000.00
09/28/2015 .500 .528 10,000,000.00
08/28/2017 .750 .750 10,000,000.00
09/20/2017 .750 .750 5,000,000.00
09/20/2017 .750 .750 10,000,000.00
09/20/2017 .700 .700 5,000,000.00
09/27/2017 .700 .700 5,000,000.00
09/27/2017 .700 .700 5,000,000.00
09/20/2017 .700 .700 5,000,000.00
09/28/2015 .500 .440 15,000,000.00
11/08/2017 .700 .700 10,000,000.00
10/22/2015 .500 .489 5,000,000.00
09/28/2015 .500 .471 5,000,000.00
ll/06/2015 .500 .500 10,000,000.00
11/25/2015 .480 .480 10,000,000.00
11/27/2015 .500 .500 5,000,000.00
05/26/2016 .550 .550 5,000,000.00
12/21/2015 .375 .451 15,000,000.00
11/07/2016 .400 .400 5,000,000.00
11/07/2017 .600 .600 5,250,000.00
11/27/2015 .500 .500 5,000,000.00
12/18/2017 .750 .750 10,000,000.00
12/21/2015 .375 .450 10,000,000.00
11/06/2015 .500 .500 5,000,000.00
12/13/2017 .800 .800 5,000,000.00
12/18/2017 .750 .750 8,752,000.00
12/13/2017 .650 .650 5,000,000.00
12/24/2015 .520 .520 5,000,000.00
12/24/2015 .450 .450 5,000,000.00
12/24/2015 .450 .450 10,000,000.00
12/24/2015 .450 .457 10,000,000.00
12/24/2015 .450 .450 10,000,000.00
12/26/2017 .750 .750 10,000,000.00
12/24/2015 .450 .450 5,000,000.00
06/24/2015 .400 .404 11,850,000.00
12/24/2015 .450 .450 5,000,000.00
12/24/2015 .450 .450 10,000,000.00
12/24/2015 .450 .450 10,000,000.00
12/21/2015 .375 .414 10,000,000.00
12/27/2017 .625 .625 5,000,000.00
12/21/2015 .375 .410 10,000,000.00
12/13/2017 .800 .800 5,000,000.00
12/26/2017 .650 .650 8,750,000.00
12/30/2015 .450 .450 10,000,000.00
12/26/2017 .700 .700 10,000,000.00
12/24/2015 .450 .450 10,000,000.00
12 21 2015 .375 .453 15,000,000.00
06/07/2013 .200 .200 50,000,000.00
06/18/2013 .200 .200 50,000,000.00
06/27/2013 .220 .220 50,000,000.00
09 12 2013 .190 .190 40,000,000.00
06/14/2013
08/28/2013
07/29/2013
06/26/2013
12/27/2013
02/04/2015
06/18/2015
03/14/2014
09/26/2013
05/27/2014
08/15/2013
08/28/2013
1.625
.875
.850
.500
.875
.253
.885
2375
1.000
1.500
1.000
.750
1.198
.851
.840
.590
.934
.253
.219
1.404
1.000
1.500
1.000
.671
15,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
10,000,000.00
15,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
7,500,000.00
5,000))00.00
42
IVERISIDE COUNTY TREASURER-TAX COLLECTOR
10,000,000.00
5,000,000.00
4,995,000.00
4,998,500.00
5,000,000.00
9,988,000.00
5,000,000.00
4,980,000.00
5,000,000.00
20,000,000.00
5,000,000.00
10,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5))00,000 00
4,740,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
4,850,000.00
5,000,000.00
9,995,000.00
10,023,000.00
10,014,700.00
5,000,000.00
5,000,000.00
5,000,000.00
9,991,400.00
10,000,000.00
5,000,000.00
1 0,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
15,027,150.00
10,000,000.00
5,001,562.50
5,004,150.00
10,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
14,%5,050.00
5,000,000.00
5,250,000.00
5,000,000.00
1 0,000,000.00
9,977,160.00
5,000,000.00
5,000,000.00
8,752,000.00
5,000))00.00
5,000,000.00
5,000,000.00
10,000,000.00
9,998,000.00
10,000,000.00
10,000,000.00
5,000,000.00
11,848,815.00
5,000,000.00
10,000,000.00
10,000,000.00
9,988.380.00
5,000,000.00
9,989.500.00
5,000,000.00
8,750,000.00
10,000,000.00
10,000,000.00
10,000,000.00
14,%5,200.00
15,185,100.00
5,003.500.00
5,001,442.61
9,976.500.00
9,982,000.00
15,000,000.00
5,091.325.00
5,140,200.00
5,000,000.00
5,000,000.00
7,500,000.00
5;008,850.00
100.07
100.11
100.36
10014
100.32
100.35
100.38
100.38
100.02
100.03
100.36
100.68
100.38
100.38
100.02
100.02
100.02
100.16
100.12
100.22
100.27
99.93
100.25
100.22
100.35
100.35
100.05
100.06
100.12
100.32
100.40
100.32
100.32
100.21
100.25
100.25
100.21
100.32
100.21
100.13
100.32
100.10
100.09
100.10
99.94
99.88
100.02
100.14
100.10
99.89
99.88
100.10
100.15
99.89
100.01
100.04
99.94
99.94
99.94
99.94
99.69
99.94
100.01
99.94
99.94
99.94
99.88
99.57
99.88
100.15
99.82
100.06
100.13
99.94
99.88
99.%
99.95
100.67
100.46
100.39
100.17
100.68
99.93
101.28
10260
100.60
101.77
100.51
100.37
10,007,000.00 7,000.00 1.821
5,005,450.00 5.450.00 2.091
5,018,150.00 23,150.00 2.387
5,006,750.00 8,250.00 2.387
5,015,750.00 15,750.00 4.408
10,034,800.00 46,800.00 2.477
5,019,200.00 19,200.00 4.453
4,999,023.60 19,023.60 4.412
5,000,750.00 750.00 2.509
20,006,000.00 6,000.00 2.052
5,018,150.00 18,150.00 4.417
10,067,900.00 67,900.00 4.467
10,038,400.00 38,400.00 4.453
5,019,200.00 19,200.00 4.453
5,000,750.00 750.00 2.509
5,000,750.00 750.00 2.509
4,740,711.00 711.00 2.509
5,007,950.00 7,950.00 2.515
5,006,000.00 6,000.00 3.581
5,011,050.00 11,050.00 4.522
5,013,400.00 13,400.00 4.536
4,846,411.00 (3.589.00) 4.541
5,012,550.00 12,550.00 4.525
10,021,900.00 26,900.00 4.536
10,034,800.00 11,800.00 2.479
10,034,800.00 20,100.00 2.479
5,002,700.00 2,700.00 2.606
5,003,000.00 3,000.00 3.101
5,006,000.00 6,000.00 3.581
10,031,500.00 40,100.00 2.716
10,040,100.00 40,100.00 4.566
5,016,100.00 16,100.00 4.619
10,032,200.00 32,200.00 4.619
5,010,350.00 10,350.00 4.626
5,012,250.00 12,250.00 4.645
5,012,250.00 12.250.00 4.645
5,010,350.00 10,350.00 4.626
15,047,250.00 20,100.00 2.717
10,021,300.00 21,300.00 4.758
5,006,350.00 4,787.50 2.783
5,015,750.00 11,600.00 2.717
10,010,200.00 10,200.00 2.822
10,009,000.00 9,000.00 2.875
5,004,950.00 4,950.00 2.880
4,997,200.00 (2,800.00) 3.365
14,981,400.00. 16.350.00 2.952
5,001,150.00 1,150.00 3.815
5,257,455.00 7.455.00 4.769
5,004,950.00 4,950.00 2.880
9,988,900.00 (11,100.00) 4.862
9,987,600.00 10,440.00 2.952
5,005,100.00 5,100.00 2.822
5,007,350.00 7,350.00 4.842
8,742,285.28 (9,714.72) 4.862
5,000,500.00 500.00 4.862
5,001,900.00 1,900.00 2.953
4,996,850.00 (3,150.00) 2.957
9,993,700.00 (6,300.00) 2.957
9,993,700.00 (4.300.00) 2.957
9,993,700.00 (6,300.00) 2.957
9,968,900.00 (3],100.00) 4.885
4,996,850.00 (3.150.00) 2.957
11,850,592.50 1,m.5o 2.466
4,996,850.00 (3.1 50.00) 2.957
9,993,700.00 (6.300.00) 2.957
9,993,700.00 (6.300.00) 2.957
9,987,600.00 (780.00) 2.952
4,978,350.00 (21,650.00) 4.904
9,987,600.00 (1,900.00) 2.952
5,007,350.00 7,350.00 4.842
8,734,075.00 (15,925.00) 4.898
10,006,000.00 6,000.00 2.977
10,013,000.00 13,000.00 4.891
9,993,700.00 (6.300.00) 2.957
14,981,400.00 16,200.00 2.952
15,100,650.00
5,022,800.00
5,019,350.00
10,017,200.00
10,068,400.00
14,988,900,00
5,063,900.00
5,129,800.00
5,030,050.00
5,088,450.00
7,538,025.00
5,018,650.00
79.305.55 .432
(84,450.00)
19,300.00
17,907.39
40,700.00
86,400.00
(1 ],100.00)
(27,425.00)
(10,400.00)
30,050.00
88,450.00
38,025.00
9,800.00
.462
.486
.697
.449
662
.573
.483
.982
2.085
2.440
1.177
.730
1.384
.617
.663
1.830
2.112
2.403
2.408
4.493
2.501
4.570
4.526
2.540
2071
4.570
4.567
4.570
4.570
2.540
2.540
2.540
2.542
3.627
4.625
4.622
4.627
4.627
4.622
2.501
2.501
2.636
3.145
3.627
2.742
4.660
4.721
4.723
4.723
4.742
4.742
4.723
2.742
4.858
2.808
2.742
2.849
2.901
2.907
3.403
2.973
3.855
4.855
2.907
4.%7
2.973
2.849
4.953
4.%7
4.953
2.981
2.981
2.981
2.981
2.981
4.989
2981
2.479
2.981
2.981
2.981
2.973
4.992
2.973
4.953
4.989
2.997
4.989
2.981
2.973
.433
.463
.488
.699
.452
.658
.575
.485
.989
2.0%
2.463
1.200
.737
1.403
.622
.658
vlonth End Portfolio Holdings
Maturity Matunty Par Book Market Market Unrealized Modified Years To
CUSIP Descnptwn Date Coupon To Mat Value Yalue Price ,·atue GainjLoss Duration Maturity
3374FU9 FHLB 3Yr
3374N63 FHLB 2Yr
3374Y61 FHLB 2Yr
3374VY3 FHLB 1.5Yr
3374VY3 FHLB 1.2Yr
3374VY3 FHLB 1.2Yr
3374VY3 FHLB 1.2Yr
3376A47 FHLB 2Yr
3376CW3 FHLB l.5Yr
3376CW3 FHLB 1.5Yr
3376CW3 FHLB l.5Yr
3376CW3 FH LB l.5Y r
3376CW3 FHLB 1.5Yr·
3376CW3 FHLB 1.5Yr
33760E2 FHLB L5Yr
3376085 FHLB 18Mo
3376GK5 FHLB l.5Yr
3376C86 FHLB l.5Yr
3376)E6 FHLB L5Yr
3376)55 FHLB L5Yr
3376)Y2 FHLB 1.5Yr
3376)55 FHLB L5Yr
3376K)3 FHLB 18Mo
3376K)3 FHLB 18Mo
3376GT6 FHLB 1.5Yr
3376GT6 FHLB 1.5Yr
3376K)3 FHLB L5Yr
3376K)3 FHLB 1.5Yr
3374VY3 FHLB 13Mo
3376GT6 FHLB L5Yr
3376KL8 FHLB 1.5Yr
3376036 FHLB l.5Yr
3376P58 FHLB L5Yr
3376MZ5 FHLB 1Yr
3376)55 FHLB L5Yr
3376A% FHLB L5Yr
3376RHO FHLB L25Yr
3376UFO FHLB 2Yr
3376VB8 FHLB 2Yr
3376UY9 FHLB 1.5Yr
3376U78 FHLB 1Yr
3376TQ8 FHLB 1Yr
3376WM3 FHLB 1Yr
3376VB8 FHLB L5Yr
3376WM3 FHLB 1Yr
3376XA8 FHLB 1Yr
3376UY9 FHLB 1.5Yr
3378484 FHLB 1 Yr
3376UY9 FHLB 1.5Yr
33784T5 FHLB 1.5Yr
3376VB8 FHLB 1.5Yr
3378457 FHLB 1Yr
3378AC5 FHLB 3Yr
3378CE9 FHLB 1.2Yr
3378859 FHLB 1Yr
3378BT7 FHLB 1Yr
3378E09 FHLB 1.5Yr
3378301 FH LB 2Y rNc
3378H79 FHLB 1.5Yr
3376ZQ1 FHLB 3Yr
3378ED9 FHLB 1.5Yr
3378)N2 FHLB 1 Yr
3378)N2 FHLB 1Yr
3376ZQ1 FHLB 3Yr
3376YC3 FHLB 1Yr
3378L W9 FH LB L5Y r
3378FY2 FHLB 2.25Yr
3376TZ8 FHLB 1 Yr
3378BF7 FHLB 1Yr
3378)N2 FHLB 1Yr
3378TF8 FHLB 1Yr
3378TT8 FHLB 1.5Yr
3378U58 FHLB 3Yr
3376XWO FHLB 1.3Yr
33760E2 FHLB l.5Yr
3378K)9 FHLB 1Yr
3378X30 FHLB 1 Yr
3378YL9 FHLB 1 .5Yr
3378YN5 FHLB 1YrNc9MoE
3378YX3 FHLB L5Yr
3378LH2 FHLB 1 .5Yr
3378ZU8 FHLB 1 Yr
3378X55 FHLB 3YrNc2YrE
3376TZ8 FHLB 1Yr
3379A90 FHLB 1Yr
3379A66 FHLB 1Yr
3379A66 FHLB 1Yr
3379A82 FHLB 1YrNc9MoE
3379A82 FHLB 1YrNc9MoE
3379A82 FHLB 1YrNc9MoE
3379A82 FHLB 1YrNc9MoE
3379AK5 FHLB 2Yr
337%L8 FHLB L5Yr
3376036 FHLB 1 Yr
3378F71 FH LB 9Mo
07/07/2014
05/30/2013
08/28/2013
01/29/2013
01/29/2013
01/29/2013
01/29/2013
11/29/2013
05/21/2013
05/21/2013
05/21/2013
05/21/2013
05/21/2013
05/21/2013
05/28/2013
05/16/2013
06/03/2013
05/07/2013
05/30/2013
07/09/2013
06/19/2013
07/09/2013
06/21/2013
06/21/2013
05/30/2013
05/30/2013
06/21/2013
06/21/2013
01/29/2013
05/30/2013
06/21/2013
05/16/2013
06/28/2013
01/18/2013
07/09/2013
05/03/2013
04/12/2013
01/29/2014
07/30/2013
08/05/2013
02/01/2013
02/06/2013
02/08/2013
07/30/2013
02/08/2013
02/15/2013
08/05/2013
02/08/2013
08/05/2013
08/09/2013
07/30/2013
02/11/2013
05/22/2015
05/07/2013
02/28/2013
02/15/2013
09/09/2013
02/13/2014
09/09/2013
03/13/2015
09/09/2013
03/05/2013
03/05/2013
03/13/2015
02/06/2013
09/12/2013
05/30/2014
02/27/2013
02/28/2013
03/05/2013
03/27/2013
10/09/2013
05/04/2015
05/10/2013
05/28/2013
04/05/2013
04/16/2013
10/11/2013
05/07/2013
10/15/2013
09jl6/2013
04/18/2013
04/30/2015
02/27/2013
05/03/2013
05/03/2013
05/03/2013
05/22/2013
05/22/2013
05/22/2013
05/22/2013
04/30/2014
12/03/2013
05/16/2013
02/22/2013
.910
.500
.500
.375
.375
.375
.375
.450
.340
.340
.340
.340
.340
.340
.310
.340
.320
.300
.375
.375
.400
.375
.400
.400
.350
.350
.400
.400
.375
.350
.400
.300
.350
.200
.375
.370
.240
.375
.250
.250
.180
.170
.170
.250
.170
.170
.250
.170
.250
.250
.250
.170
.500
.260
.190
.190
.310
.300
.300
.375
.310
.125
.125
.375
.150
.280
.375
.170
.180
.125
.250
.400
.700
.200
.310
.230
.250
.350
.280 .
.350
.280
.230
.650
.170
.230
.220
.220
.250
.250
.250
.250
.340
.290
.300
.190
IVERISIDE COUNTY TREASURER-TAX COLLECTOR
910
.500
.567
.250
.315
.310
.315
.470
.343
.343
.340
.340
.340
.340
.310
.340
.320
.340
.375
.375
.400
.375
.400
.380
.344
.344
.348
.371
.203
.330
.361
.290
.350
.203
.350
.293
.243
.375
.268
.250
.180
.183
.183
.288
.165
.173
.285
.170
.250
.250
.266
.170
.500
.260
.219
.219
.310
.379
.300
.551
.291
.228
.213
.689
.250
.348
.468
.240
.240
.254
.258
.400
.700
.268
.262
.243
.250
.350
.280
.350
.310
.253
.650
.204
.230
.233
.233
.250
.250
.250
.250
.340
.290
.233
.190
10,000,000.00
10,000,000.00
10,000,000 00
5,000,000.00
20,000,000.00
7,750,000.00
1 0,000,000.00
5,000,000.00
10,000,000.00
10,000,000.00
15,000,000.00
15,000,000.00
10,000,000.00
5,000,000.00
15,000,000.00
15,000,000.00
15,000,000.00
10,000,000.00
15,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
15,000,000.00
15,000,000.00
15,000,000.00
8,000,000.00
10,355,000.00
5,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
10,085,000.00
10,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
15,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
9,900,000.00
10,000,000.00
5,000,000.00
10,000,000.00
15,000,000.00
15,000,000.00
20,000,000.00
14,500,000.00
5,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
7,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
10,000,000.00
15,000,000.00
43
10,000,000.00
10,000,000.00
9,986,100.00
5,008,800.00
20,015,866.20
7,756,634.00
10,007,870.00
4,997,944.55
9,999,500.00
9,999,500.00
15,000,000.00
15,000,000.00
10,000,000.00
5,000,000.00
15,000,000.00
15,000,000.00
15,000,000.00
9,994,300.00
15,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
10,002,988.60
15,001,381.80
15,001,350.00
15,011,550.00
8,003,520.00
1 0,375,399.35
5,001,450.00
10,005,900.00
10,001,400.00
10,000,000.00
9,999,670.00
10,088,810.82
10,01 0,200.00
9, 999,629.90
5,000,000.00
4,998,690.00
5,000,000.00
5,000,000.00
4,999,350.00
4,999,355.00
4,997,191.10
5,000,250.00
9, 999,700.00
4,997,372.74
5,000,000.00
5,000,000.00
5,000,000.00
4,998,800.00
5,000,000.00
5,000,000.00
15,000,000.00
4,998,550.00
4,998,550.00
10,000,000.00
4,992,300.00
5,000,000.00
4,973,550.00
5,001,450.00
4,994,955.00
4,995,700.00
4,953,525.00
9,991,100.00
4,994,950 00
4,990,014.15
9,893,565.00
9,994,400.00
4,993,850.00
9,999,164.00
15,000,000.00
15,000,000.00
19,985,000.00
14,507,830.00
4,999,350.00
5,000,000 00
5,000,000.00
1 0,000,000.00
5,000,000.00
4,997,850.00
4,998,850.00
5,000,000.00
6,997,970.00
5,000,000.00
9,998,680.00
4,999,340.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
10,006,980.00
15,000,000.00
100.99
10016
100.21
100.02
10002
100.02
100.02
100.25
100.09
100.09
100.09
100.09
100.09
100.09
100.08
100.08
100.08
100.06
100.11
100.11
100.10
100.11
100.11
100.11
100.09
100.09
100.1l
100.11
100.02
100.09
100.12
100.07
100.10
100.00
100.11
100.08
100.03
100.20
100.04
100.04
100.01
100.01
100.Dl
100.04
100.01
100.01
100.04
100.01
100.04
100.04
100.04
100.01
100.36
100.05
100.01
100.QJ
100.09
100.12
100.08
100.10
100.09
100.00
100.00
100.10
100.00
100.07
100.19
100.01
100.01
100.00
100.03
100.17
100.83
100.03
100.08
100.03
100.04
100.13
100.01
100.13
100.07
100.03
100.54
100.01
100.04
100.03
100.03
100.02
100.02
100.02
100.02
100.15
100.10
100.07
100.01
10,099,400.00
10.015,600.00
10,021,000.00
5,000,950.00
20,003,800.00
7,751,472.50
10,001,900.00
5,012,250 00
10,008,500.00
1 0,008,500.00
15,012,750.00
15,012,750.00
10,008,500.00
5,004,250.00
15,011,550.00
15,012,300.00
15.012,450.00
10,006,300.00
15,015,750.00
1 0,011,300.00
10,009,800.00
10,011,300.00
10,01 0,800.00
10,010,800.00
15,014,1 00.00
15,014,100.00
15,016,200.00
8,008,640.00
10,356,967.45
5,004,700.00
10,012,200.00
10,006,700.00
10,009,900.00
10,000,400.00
10,0%,3%.05
10,008,400.00
10,003,300.00
5,009,850.00
5,002,100.00
5,002,050.00
5,000,250.00
5,000,250.00
5,000,250.00
5,002,100.00
5,000,250.00
I 0,000,600.00
5,002,050.00
5,000,250.00
5,002,050.00
5,002,100.00
5,002,100.00
5,000,250.00
5,017,950.00
15,007,350.00
5,000,550.00
5,000,400.00
I 0,008, 900.00
5,005,750.00
5,004,100.00
5,004,950.00
5,004,450.00
5,000,050.00
5,000,050.00
5,004,950.00
10,000,300.00
5,003,450.00
5,009,700.00
9,900,79200
10,000,900.00
5,000,050.00
10,003,1 00.00
15,025,350.00
15,124,350.00
20,005,600.00
14,511,165.00
5,001,400.00
5,001,850.00
5,006,600.00
10,001,000.00
5,006,650.00
5,003,500.00
5,001,600.00
5,026,950.00
7,000,560.00
5,()01,850.00
10,003,300.00
5,001,650.00
5,001,150.00
5,001,150.00
10,002,300.00
5.001.150.00
5,007,550.00
m01 0.1 oo.oo
10,006,700.00
15,001.500.00
99,400.00
15,600.00
34,900.00
(7,850.00)
(12,066.20)
(5,161.50)
(5,970.00)
14,305.45
9,000.00
9,000.00
12,750.00
12,750.00
8,500.00
4,250.00
11,550.00
12,300.00
12,450.00
12,000.00
15,750.00
11,300.00
9,800.00
11,300.00
10,800.00
7,811.40
12,718.20
12,750.00
4,650.00
5,120.00
(18,431.90)
3,250.00
6,300.00
5,300.00
9,900.00
730.00
7,585.23
(1,800.00)
3,670.10
9,850.00
3,410.00
2,050.00
250.00
900.00
895.00
4,908.90
900.00
4,677.26
250.00
2,050.00
2,100.00
3,300.00
250.00
17,950.00
7,350.00
2,000.00
1,850.00
8,900.00
13,450.00
4,100.00
31,400.00
3,000.00
5,095.00
4,350.00
51,425.00
9,200.00
8,500.00
19,685.85
7,227.00
6,500.00
6,200.00
3,936.00
25,350.00
124,350.00
20,600.00
3,335.00
2,050.00
1,850.00
6,600.00
1,000.00
6,650.00
5,650.00
2,750.00
26,950.00
2,590.00
1,850.00
4,620.00
2,310.00
1,150.00
1,150.00
2,300.00
1,150.00
7,550.00
10,100.00
(280.00)
1,500.00
1.4%
410
.664
.079
079
.079
.079
.908
.385
.385
.385
.385
.385
.385
405
.372
.421
.347
.410
.520
.465
.520
.470
.470
.410
.410
.470
.470
.079
.410
.470
.372
.489
.049
.520
.336
.279
1.073
.579
.593
.088
.101
.107
.579
.107
. 126
.593
.107
.593
.604
.579
.115
2.373
.347
.161
.126
.687
1.112
.687
2.185
.687
.175
.175
2.183
.101
695
1.408
.159
.161
.175
.235
.770
2.316
.355
.405
.260
.290
.776
.347
.787
.707
.295
2.310
.159
.336
.336
.336
.388
.388
.388
.388
1.329
.920
.372
.145
1.515
.411
658
.079 • .912
.386
.386
386
.386
.386
.386
.405
373
.422
.348
.411
.521
.466
.521
.471
.471
.411
.411
.471
.471
.079
.411
.471
.373
.490
.049
.521
.337
.279
1.079
.578
.595
.088
.101
.107
.578
.107 • .605
.578
.115
2.389
.348
.162
.126
.690
1.121
.690
2.197
.690
.175
.175
2.197
.101
.699
1.411
.159
.162
.175
.236
.773
2.340
.356
.405
.260
.290
.778
.348
.789
.710
.2%
2.329
.159
.337
.337
.337 • 1.329
.923
.373
.145
vlonth End Portfolio Holdings
Matunty i\latunty Par Book !\.larket Market Unrealized \lodJfied Years To
CUSIP Description Date Coupon 1o Mat Yalue Value Pnce Value GainjLoss Duration !\Iatunty
3378BT7
33796L8
3379BZI
3379BZI
~3.79FL8
;3
3379JD2
3379PX1
3379QW2
3379(?85
3379YQ6
3379YR4
3379YZ6
3379YZ6
33803M7
33803E5
33803E5
3380LS4
3380HF7
3380F)l
3380648
3380F44
3380HU4.
3378LH2
3380QX8
3380UF2
3380YF8
3380U%
3379N54
33762C8
3381 F67
3381H24
33805TO
3380W52
3380GB?
33805Q6
3381KS3
33803M7
3380
3313BX5
reB
FHLB 9Mo
FHLB 18Mo
FHLB 1Yr
FHLB 12Mo
FHLB 2Yr
FHLB 181vlo
FHLB 1Yr
FHLB 2Yr
FHLB 1YrNc9MoE
FHLB 1Yr
FHLB 1Yr
FHLB 1Yr
FHLB 1Yr
FHLB 1Yr
FHLB 1Yr
FHLB 1Yr
FHLB 1.5Yr
FHLB 1Yr
FHLB 1Yr
FHLB 1Yr
FHLB 2YrNc6MoB
FHLB 1.75YrNc9MoB
FHLB 1Yr
FHLB 2.5YrNc6MoB
FHLB 1Yr
FHLB 1Yr
FHLB9Mo
FHLB 5YrNc3MoB
FHLB 1Yr
FHLB 3YrNc3MoA
FHLB 1Yr
FHLB1Yr
FHLB 1YrNc6MoB
FHLB3Yr
FHLB 1Yr
FHLB10Mo
FHLB 2YrNc6MoB
FHLB 1.5 Yr
FHLB3Yr
FHLB 1.5Yr
FFCB DISC NOTE
FFCB DISC NOTE
FFCB DISC NOTE
FFCB DISC NOTE
FFCB DISC NOTE
331JQUO FFCB 3Yr
331)6A6 FFCB 3Yr
331)6A6 FFCB 3Yr
331)6A6 FFCB 3Yr
331 KET3 FFCB 2.5Yr
331 KHV5 FFCB 5Yr
331 KQU7 FFCB L5Yr
331KPD6 FFCB2.5Yr
331 KZJ2 FFCB 2Yr
331K882 FFCB 2Yr
331 K5K2 FFCB 2Yr
33EACJ5 FFCB 1 .5YrNc3MoE
33EADY1 FFCB 2YrNc1YrA
33EAHP6 FFCB 3Yr
33EALT3 FFCB 1.5Yr
33EALN6 FFCB 1Yr
33EALN6 FFCB 1 Yr
33EAC)5 FFCB L5YrNc3MoA
33EAC)5 FFCB 1.5YrNc3MoA
33EAKT4 FFCB L75Yr
33EANJ3 FFCB 3Yr
33EAPK8 FFCB 16MoNc3MoA
33EASH2 FFCB 1 Yr
33EATQ1 FFCB 1Yr
33EA2K3 FFCB 3YrNc3MoA
33EA5S3 FFCB 1Yr
33EAW38 FFCB L75Yr
33EC2X1 FFCB 2Yr
33EC2X1 FFCB 2Yr
33EC4P6 FFCB 1 Yr
33ECB52 FFCB L5Yr
33ECB)2 FFCB 3Yr
33ECBA1 FFCB 2.5Yr
33ECAV6
\RMERMAC
31.P FAMCA2Yr
31 FAMCA2Yr
31 FAMCA 2Yr
315 FAMCA L5Yr
315PQK8 FAMCA 3Yr
315PUK3 FAMCA 4YrNc6MoB
315PVR7 FAMCA 3YrNc1Yr.B
02(15/2013
12/03/2013
05/17/2013
05/17/2013
05/19/2014
11/15/2013
05/17/2013
05/19/2014
06/13/2013
05/29/2013
06/14/2013
06/04/2013
07/01/2013
07/02/2013
07/03/2013
07/03/2013
OJ /23/2014
07/17/2013
07/17/2013
08/28/2013
08/28/2014
05/28/2014
07/25/2013
02/27/2015
08/20/2013
09/16/2013
06/17/2013
10/10/2017
10/18/2013
10/16/2015
11/25/2013
11/27/2013
12/23/2013
01/16/2015
01/23/2014
10/01/2013
08/28/2014
01/23/2014
12/14/2015
01/23/2014
OJ 23 2014
.190
.290
.220
220
.350
.300
.230
.350
.280
.240
.240
.230
.250
.250
.270
270
.300
.250
.250
.230
.380
.300
.125
.400
.125
.280
.180
.625
.190
.500
.300
.375
.250
.250
.270
.125
.400
.260
.370
.300
02/15/2013 .180
02/15/2013 .190
03/04/2013 .190
03/04/2013 190
02/25/2013 .180
03/04/2013 .190
08 29 2013 .190
06/03/2013
12/23/2013
12/23/2013
12/23/2013
09/23/2013
04/20/2016
01/07/2013
11/20/2013
09/23/2013
10/03/2013
Ol/03/2014
08/07/2013
02/21/2014
03/16/2015
11/18/2013
04/16/2013
04/16/2013
08/07/2013
08/07/2013
12/23/2013
05/01/2015
09/09/2013
06/04/2013
06/11/2013
09/28/2015
10/22/2013
07/17/2014
11/19/2014
11/19/2014
02/26/2014
07/28/2014
11/16/2015
07/24/2015
12 24 2014
05/10/2013
05/10/2013
05/10/2013
04/25/2013
07/02/2015
09/0l/2016
09/25/2015
1.600
1.300
1.300
1.300
.980
.281
.400
.625
.350
.350
.400
.180
.330
.520
300
.220
.220
.180
.180
.300
.500
.270
.220
.220
.450
.200
.250
270
.270
.200
.250
.430
.760
.760.
.760
.400
.550
.600
.470
IVERISIDE COUNTY TREASURER-TAX COLLECTOR
.204
.300
.233
.233
.350
.302
.235
350
.280
.240
.240
.233
284
.258
.270
.270
.316
.250
.250
.230
.385
.300
.202
.404
.197
.213
.182
.625
.203
.502
.228
.213
.250
.307
.233
.177
.382
.193
.180
.190
.190
.190
.180
.190
.752
1.300
1.300
1.184
1.029
.296
.400
.700
.400
.400
.420
.240
.380
.598
.300
.228
.253
.302
.271
.302
.520
.270
.233
.228
.484
.215
302
.292
.306
.208
.267
.452
.760
.760
.750
.400
.587
.600
.495
7,500,000.00
5,000,000.00
20,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
15,000,000.00
5,000,000.00
20,000,000.00
10,000,000.00
10,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
25,000,000.00
5,000,000. 00
5,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
10,000,000.00
7,750,000.00
10,000,000.00
10,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
11,000,000.00
1 0,000,000.00
5,000,000.00
1,000,000.00
9,000,000.00
5,000,000.00
20,000,000.00
5,300,000.00
15,000,000.00
25,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
6,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000. 00
10,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
5,000,000.00
4,995,000.00
10,000,000.00
25,000,000.00
15,000,000.00
25,000,000.00
5,000,000.00
5,000,000.00
12.500,000.00
15,000,000.00
10,000,000.00
5,000,000.00
5,000,000.00
44
7.499,158.95 100.01 7.500,600.00 1,441 05
4,999,250.00 100.10 5,005,050.00 5,800.00
19,997.400.00 100.04 20,007.40000 10,000.00
4,999,345.00 100.04 5,001.850.00 2,505.00
5,000,000.00 100.16 5,008,050.00 8,050.00
4,999,850.00 100.10 5,005,200.00 5,350.00
14,999,250.00 100.04 15,006,150.00 6,900.00
5,000,000.00 100.16 5,008,050.00 8,050.00
20,000,000.00 100.03 20,006,200.00 6,200.00
10,000,000.00 100.05 10,004,900.00 4,900.00
10,000,000.00 100.05 10,004,800.00 4,800.00
4,999)!50.00 100.05 5,002,250.00 2.400.00
9,9%,620.00 100.05 10,005,000.00 8.380.00
4,999.580.00 100.05 5,002,500.00 2,920.00
10,000,000.00 100.06 10,006,000.00 6,000.00
5,000,000.00 100.06 5,003,000.00 3,000.00
24,994,000.00 100.10 25,024,000.00 30,000.00
5,000,000.00 100.05 5,002,300.00 2,300.00
5,000,000.00 100.05 5,002.300.00 2,300.00
10,000,000.00 100.03 10,003,300.00 3,300.00
9,999,000.00 100.03 10,003,200.00 4,200.00
10,000,000.00 100.05 10,005,300.00 5.300.00
9,992,980.00 99.97 9,997,300.00 4,320.00
7,749,225.00 100.01 7,750,465.00 1,240.00
9,993,130.00 99.97 9,9%,500.00 3.370.00
10,006.780.00 100.07 10,007,000.00 220.00
4,999,925.00 100.02 5,001,000.00 1,075.00
10,000,000.00 100.01 10,001,300.00 1,300.00
4,999.365.00 100.01 5,000.400.00 1.035.00
4,999,750.00 100.02 5,000,750.00 1,000.00
5,003,885.00 100.11 5,005,350.00 1,465.00
11,018,106.00 100.18 11.019,360.00 1,254.00
10,000,000.00 100.01 10,001.200.00 1.200.00
4,994,000.00 99.93 4,9%,500.00 2,500.00
1,000.410.00 100.09 1,000,860.00 450.00
8,9%,202.00 99.96 8,9%,310.00 108.00
5,001,509.95 100.04 5,00].750.00 240.05
20,014,720.00 100.08 20,015,000.00 280.00
5,294,965.00 99.90 5,294,541.00 (424.00)
15,017,550.00 100.10 15,014,400.00 (3,150.00)
25,015,200.00 100.08 25,018,750.00 3,550.00
24.%0.500.00
49,917,930.56
24,956,854.17
24,956,854.17
24,%0,000.00
49,922,944.44
9,981,105.56
10,211,890.00
5,000,000.00
5,000,000.00
5,015.550.00
9,988,000.00
9,995,000.00
5,000,000.00
4,991,100.00
9,990,100.00
4,995,050.00
5,997,600.00
4,995,500.00
4,995,000.00
4,988.430.00
5,000,000.00
4,999,600.00
4,998.337.45
9,984,000.00
5,000,000.00
5,000,000.00
12,502,375.00
15,000,000.00
9,989,000.00
5,000,000.00
4,9%,250.00
100.00
100.00
99.99
99.99
99.99
99.99
24,998,750.00
49,997,500.00
24,997,750.00
24,997,750.00
24,998,500.00
49,995,500.00
9,991,400.00
38.250.00
79,569.44
40.895.83
40.895.83
38.500.00
72.555.56
10,294.44
100.62 10,062,000.00 (149.890.00)
101.09 5,054,500.00 54,500.00
101.09 5,054,500.00 54,500.00
101.09 5,054,500.00 38,950.00
100.58 10,057,900.00 69,900.00
100.02 10,002,300.00 7 0100.00
100.00 5,000,200.00 200.00
100.39 5,019,650.00 28,550.00
100.12 10,012,300.00 22,200.00
100.13 5,006,400.00 11,350.00
100.22 6,013,140.00 15,540.00
100.00 4,999,950.00 4.450.00
100.03 5,001,600.00 6,600.00
100.42 5,021,000.00 32,570.00
100.11 5,005,250.00 5,250.00
100.03 5,001.450.00 1,850.00
100.03 5,001,450.00 3,112.55
100.00 9,999,900.00 15,900.00
100 00 4,999,950.00 5,850.00
100.12 10,011.700.00 12,100.00
100.36 5,017,850.00 20,850.00
100.00 5,000,100.00 100.00
100.04 5,002,050.00 2,700.00
100.04 5,002,000.00 2,400.00
100.00 5,000,150.00 5,150.00
100.02 10,001,600.00 3,100.00
99.99 4,999,700.00 4,200.00
99.97 4,998,300.00 500.00
99.97 4,998,300.00 1,870.00
100.00 4,994,900.10 399.60
99.99 9,998,900.00 1,600.00
100.01 25,003,500.00 18,925.00
100.01 15,000,750.00 4,688.25
99.91 24,976.250.00 4,500.00
100.15
100.15
100.15
100.09
100.20
100.10
100.11
5,007,650.00
5,007,650.00
12,519,125.00
1 5,013,200.00
10,019,900.00
5,004,750.00
5,005,450.00
7,650.00
7,650.00
16,750.00
13,200.00
30,900.00
4,750.00
9,200.00
126
.920
375
.375
1.378
.870
.375
1.378
.448
.407
.451
.424
.501
.502
.504
.504
1.057
.543
.543
.665
1.658
1.405
.566
2.141
.635
.707
.460
4.691
.796
2.766
.898
.904
.976
2.032
1.058
.749
1.658
1.058
2.933
1.058
1.058
.126
.126
.172
.172
.153
.172
.126
.923
.375
.375
1.381
.874
.375
1.381
.449
.408
.452
.425
.499
.501
.504
.504
1.063
.542
.542
.658
1.658
1.405
.564
2.159
.636
.710
.460
4.778
.797
2.792
.901
.907
.978
2.044
1.063
.751
1.658
1.063
2.953
1.063
1.063
.126
.126
.173
.173
.153
.173
.420 .422
.%8 .978
.968 .978
.%9 .978
.722 .729
3.286 3.304
.019 .019
.881 .888
.725 .729
.753 .756
1.000 1.008
.599 .600
1.134 1.142
2.189 2.205
.878 .882
.290 .290
.290 .290
.599 .600
.599 .600
.976 .978
2.315 2.332
.687 .690
.424 .425
.443 .444
2.718 2.742
.807 .808
1.540 1.542
1.877 1.885
1.876 1.885
1.151 1.156
1.571 1.573
2.854 2.877
2.555 2.562
1.974 1.981
.355
.355
.355
.314
2.475
3.614
2.709
.356
.356
.356
.315
2.501
3.671
2.734
vlonth End Portfolio Holdings
l\latunty Maturity Par Book Market Market Unrealized Mod1f1ed Years To
CUSIP Description Date Coupon To Mat Value \·aim~ Pnce \ aJue Gam/Loss DuratiOn Maturity
315PVR7 FAMCA 3YrNc1YrB 09/25/2015 .470 .487 2.568_000.00 2.566.716.00 100.11 2,570,799.12 4,003.12 2.709 2.734
315PWX3 FAMCA SYrNc6MoB 11/03/2017 .700 .700 10,000,000.00 10,000,00000 100.10 I 0,009,900.00 9,900.00 4.745 4.844
315PWR6 FAMCA 3YrNc6MoB 11/03/2015 .300 .300 11.150,000.00 11.150,00000 100.00 11.149,665.50 (334.50) 2.823 2.841
02/19/2014 .250 .265 5,000,000 00 4,999,050.00 100.06 5,002,850.00 3,600.00 1.130 1.137
05/01/2013 .740 .740 5,140,000.00 5,140,000.00 100.00 5.]40,000.00 .330
7521LH7 OHIOSTATECO 05/01/2014 }.}90 1.190 2.000,00000 2,000,000.00 100.00 2,000,000.00 1.317 1.332
:608UNXO OREGON 5T ATE 11/01/2013 .480 .480 3.595,000.00 3.595,000.00 100.00 3.595,000.00 .830 .836
:608UNZS OREGON STATE 05/01/2013 .380 .380 6.565,000.00 6.565,000.00 100.00 6.565,000.00 .331 .332
>052AXCS MAIN5TCO 06/01/2013 2.000 .401 1.500,000.00 1,526,895.00 101.79 1,526,895.00 .415 .416
146107P6 MICHIGAN 5T CO 05/15/2013 .450 .450 4,285,000.00 4,285,000.00 100.00 4,285,000.00 .369 .370
1772)EDO CONNECTICUT 5T 04/15/2014 .448 .448 2,000,000.00 2,000,000.00 100.00 2,000,000.00 1.283 1.288
1772)EE8 CONNECTICUT 5T 04/15/2015 .672 .672 2,000,000.00 2,000,000.00 100.00 2,000,000.00 2.265 2.288
1772)EC2 CONNECTICUT 5T 04/15/2013 .250 .284 8.300,000.00 8,297,261.00 99.97 8.297,261.00 .287 .288
>052AXC5 MAIN5TCO 06/01/2013 2.000 .370 3,500,000.00 3,556,980.00 101.63 3,556,980.00 .415 .416
;IJ52AXE1 06/01/2013 1.000 .390 6,630,000.00 6.669,647.40 !00.60 6,669,647.40 .415 .416
04 OJ 2014 .300 .300 18,105,000.00 18,105,000.00 100.00 18,His 000.00 1.246 1.249
;~{% J<~-> -"~"' :<:¥'; A;\\'1>3.62j)Jl!l!j.ll()4fti' . \~i140~Jtt'. ~?"' ;:&A!iil~filll~g~I!Il:' . ,,}~St~~~;~hfJt§.~
>959HNFO CE CAPITAL CORP 01/15/2013 .130 .130 50,000,000.00 49,981,222.22 99.99 49,996,111.JJ 14,888.89 .041 .041
i959HNFO GECAPITALCORP 01/15/2013 .ISO .ISO 9,700,000.00 9,6%,362.50 99.99 9,699,245.56 2.883.06 .041 .041
>959HPD3 GE CAPITAL CORP 02/13/2013 .170 .170 45,000,000.00 44,980,875.00 99.98 44,989,250.00 8,375.00 .120 .121
>959HQ59 GE CAPITAL CORP 03/05/2013 .160 .160 50,000,000.00 49,980,000.00 99.% 49,978,125.00 (1,875.00) .175 .175
>959HQK6 GECAPJTALCORP 03/19/2013 .120 .120 26,000,000.00 25,992,200.00 99.95 25,986,097.22 (6,102.78) .213 .214
IJJ4ENN3 01/22/2013 .100 .100 100,000,000.00 99,990,556.00 99.99 99,988,333.33 (2,222.67) .060 .060
OJ 22 2013 .110 .110 15,200,000.00 15,198,467.33 99.99 15.]98,226.67 240.66 .060 .060
•
•
45
IVERISIDE COUNTY TREASURER-TAX COLLECTOR
Full Compliance
~he Treasurer's Pooled Investment Fund was in FULL
.01\riPLIANCE with the Treasurer's Statement of Investment Policy.
The County's Investment Policy is more restrictive than the California
Government Code. This policy is reviewed annually by the County's
Investment Oversight Committee and approved by the County Board
of Supervisors.
100% NA
30% NA
20%
NA
40%. A1/Pl/Fl.
1 YEAR 25% A1/P1/F1
Combined
DAYSf\;j 40X>':~ax, A1jP:Ji'}6f1
·.• 25% iJ1iterm
repoover7
10% NA
20% AA/ Aa2j
1.0%
2,0%.:
AA
NA
AAA,!?.y2·
OfS~ .
. ) •• ,.; RA)?lNGS
NA
J Mutual Funds maturity may be interpreted as weighted average maturity not exceeding 60 days .
• r must have an investment advisor with not less than 5 years experience and with assets under management of$500,000,000.
THIS COMPLETES THE REPORT REQUIREMENTS OF CALIFORNIA GOVERNMENT CODE 53646
RIVERSIDE COUNTY TREASURER-TAX COLLECTOR 46 13
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� A G E N D A I T E M 7 E
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/
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"
R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
D A T E : F e b r u a r y 1 3 , 2 0 1 3
T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
F R O M : D a v i d T h o m a s , T o l l P r o j e c t M a n a g e r
T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r
A g r e e m e n t w i t h T R D e s i g n G r o u p f o r A r c h i t e c t u r a l / E n g i n e e r i n g
S U B J E C T : S e r v i c e s f o r t h e M o d i f i c a t i o n o f E x i s t i n g B u i l d i n g s R e q u i r e d f o r t h e
C o n s t r u c t i o n o f t h e S t a t e R o u t e 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t
S T A F F R E C O M M E N D A T I O N :
T h i s i t e m i s f o r t h e C o m m i s s i o n t o :
1 )
2 )
3 )
A p p r o v e A g r e e m e n t N o . 1 3 - 3 1 - 0 5 9 - 0 0 w i t h T R D e s i g n G r o u p ( T R D e s i g n )
f o r a r c h i t e c t u r a l / e n g i n e e r i n g s e r v i c e s f o r t h e m o d i f i c a t i o n o f e x i s t i n g
b u i l d i n g s r e q u i r e d f o r t h e c o n s t r u c t i o n o f t h e S t a t e R o u t e 9 1 C o r r i d o r
I m p r o v e m e n t P r o j e c t ( S R - 9 1 C I P ) i n a n a m o u n t b a s e d o n a n e g o t i a t e d c o s t t o
b e p r e s e n t e d a t t h e C o m m i s s i o n m e e t i n g ;
A u t h o r i z e t h e C h a i r o r t h e E x e c u t i v e D i r e c t o r , p u r s u a n t t o l e g a l c o u n s e l
r e v i e w , t o e x e c u t e t h e a g r e e m e n t o n b e h a l f o f t h e C o m m i s s i o n ; a n d
A u t h o r i z e t h e E x e c u t i v e D i r e c t o r , o r d e s i g n e e , t o a p p r o v e c o n t i n g e n c y w o r k
u p t o t h e t o t a l a m o u n t n o t t o e x c e e d a s m a y b e r e q u i r e d f o r t h e w o r k .
B A C K G R O U N D I N F O R M A T J O N :
O v e r t h e p a s t f i v e y e a r s , s t a f f a n d i t s c o n s u l t a n t s h a v e b e e n w o r k i n g o n t h e
d e v e l o p m e n t o f p r e l i m i n a r y e n g i n e e r i n g p l a n s t o w i d e n t h e S R - 9 1 t h r o u g h C o r o n a
a n d e x t e n d t h e 9 1 E x p r e s s L a n e s i n t o R i v e r s i d e C o u n t y . D u r i n g t h a t t i m e p e r i o d , i t
w a s i d e n t i f i e d t h a t t h e p r e f e r r e d a l t e r n a t i v e i n c l u d e d i n t h e a p p r o v e d e n v i r o n m e n t a l
d o c u m e n t w o u l d h a v e p o t e n t i a l i m p a c t s t o e x i s t i n g b u s i n e s s e s a n d b u i l d i n g s
a d j a c e n t t o t h e f r e e w a y . O v e r t h e p a s t y e a r , s t a f f d e t e r m i n e d t h e r e i s a n i m p a c t t o
1 2 b u s i n e s s e s t h a t w i l l r e q u i r e m a j o r m o d i f i c a t i o n s t o t h e b u i l d i n g s t o a l l o w f o r t h e
e x p a n s i o n o f t h e f r e e w a y , r e l o c a t i o n o f f r o n t a g e r o a d s , a n d s t i l l a c c o m m o d a t e a
v i a b l e b u s i n e s s . D u r i n g t h i s s a m e t i m e p e r i o d , s t a f f h a s b e e n w o r k i n g w i t h t h e
1 2 p r o p e r t y o w n e r s a n d b u s i n e s s e s t o c o m e t o a m u t u a l a g r e e m e n t o n c o n c e p t u a l
d e s i g n s / m o d i f i c a t i o n s o f t h e b u i l d i n g s l o c a t e d o n t h e i r p r o p e r t i e s . T h e s e b u i l d i n g
m o d i f i c a t i o n s a r e n e e d e d i n a d v a n c e o f t h e f r e e w a y c o n s t r u c t i o n t o b e p e r f o r m e d
u n d e r t h e S R - 9 1 C I P d e s i g n - b u i l d c o n t r a c t . C o m m i s s i o n s t a f f a n d i t s c o n s u l t a n t s
a r e t a k i n g t h e l e a d r o l e i n t h i s e n d e a v o r t o m a k e s u r e t h e s e m o d i f i c a t i o n s a r e
c o m p l e t e d i n a t i m e l y m a n n e r .
A g e n d a I t e m 7 E
4 7
Selection Process
A request for qualification (RFO) for architectural and engineering services to
prepare plans, specifications and estimates for the modification of existing buildings
impacted by the SR-91 CIP was issued on November 27, 2012, with consultant
statement of qualifications (SOO) due December 20, 2012. The Commission
received a total of two SOOs from TR Design and Pettit, Inc. Both submittals were
found to be responsive.
An evaluation committee comprised of representatives from Commission staff,
Bechtel, and the city of Corona was appointed to review the SOOs. Based on the
committee's evaluation of the written SOO submittals, and pursuant to the RFO,
the committee shortlisted and invited one firm, TR Design, to the interview portion
of the evaluation and selection process.
The interview with TR Design was conducted on January 10, 2013, and, after final
scoring by the evaluation committee, TR Design was ranked the most qualified firm
under the terms of the RFO.
Staff is currently negotiating with TR Design the project cost, scope, and schedule.
A pre-award audit will be conducted following the determination of a preliminary
project cost.
Financial Information
In Fiscal Year Budget: Yes Year: FY 2012!13 Amount: TBD
N/A FY 2013!14 TBD
2009 Measure A Western County No Source of Funds: Highway, Commercial Paper Budget Adjustment: N/A Proceeds
GL/Project Accounting No.: 003028 81102 00000 0000 262 31 81101
Fiscal Procedures Approved: ~~ I Date: I 01/22/13
Attachment: Agreement No. 13-31-059-00
Agenda Item 7E
48
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A G R E E M E N T N O . 1 3 - 3 1 - 0 5 9 - 0 0
M O D E L P R O F E S S I O N A L S E R V I C E S A G R E E M E N T
W I T H F H W A F U N D I N G / A S S I S T A N C E
R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
A G R E E M E N T W I T H
T R D E S I G N G R O U P
F O R
A R C H I T E C T U R A L A N D E N G I N E E R I N G S E R V I C E S
F O R
R I G H T O F W A Y C O N S T R U C T I O N M I T I G A T I O N A N D
C O N S T R U C T I O N D O C U M E N T S
1 . P A R T I E S A N D D A T E .
T h i s A g r e e m e n t i s m a d e a n d e n t e r e d i n t o t h i s _ d a y o f , 2 0 1 3 ,
b y a n d b e t w e e n t h e R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N ( " t h e
C o m m i s s i o n " ) a n d T R D E S I G N G R O U P ( " C o n s u l t a n t " ) .
2 . R E C I T A L S .
2 . 1 O n N o v e m b e r 8 , 1 9 8 8 t h e V o t e r s o f R i v e r s i d e C o u n t y a p p r o v e d
M e a s u r e A a u t h o r i z i n g t h e c o l l e c t i o n o f a o n e - h a l f p e r c e n t ( 1 / 2 % ) r e t a i l t r a n s a c t i o n s
a n d u s e t a x ( t h e " t a x " ) t o f u n d t r a n s p o r t a t i o n p r o g r a m s a n d i m p r o v e m e n t s w i t h i n t h e
C o u n t y o f R i v e r s i d e , a n d a d o p t i n g t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n I m p r o v e m e n t
P l a n ( t h e " P l a n " ) .
2 . 2 P u r s u a n t t o P u b l i c U t i l i t y C o d e S e c t i o n s 2 4 0 0 0 0 e t s e q . , t h e
C o m m i s s i o n i s a u t h o r i z e d t o a l l o c a t e t h e p r o c e e d s o f t h e T a x i n f u r t h e r a n c e o f t h e P l a n .
2 . 3 O n N o v e m b e r 5 , 2 0 0 2 , t h e v o t e r s o f R i v e r s i d e C o u n t y a p p r o v e d a n
e x t e n s i o n o f t h e M e a s u r e A t a x f o r a n a d d i t i o n a l t h i r t y ( 3 0 ) y e a r s f o r t h e c o n t i n . u e d
f u n d i n g o f t r a n s p o r t a t i o n a n d i m p r o v e m e n t s w i t h i n t h e C o u n t y o f R i v e r s i d e .
A s o u r c e o f f u n d i n g f o r p a y m e n t f o r p r o f e s s i o n a l s e r v i c e s p r o v i d e d u n d e r
t h i s A g r e e m e n t i s f e d e r a l f u n d s f r o m t h e U n i t e d S t a t e s D e p a r t m e n t o f T r a n s p o r t a t i o n
p u r s u a n t t o t h e f o l l o w i n g p r o j e c t / p r o g r a m [ I N S E R T N A M E O F F E D E R A L P R O G R A M ] .
T h i s A g r e e m e n t s h a l l n o t b e d e e m e d t o b e a p p r o v e d b y t h e C o m m i s s i o n u n t i l t h e
c e r t i f i c a t i o n s s h o w n i n E x h i b i t s " D " a n d " F ' ' a t t a c h e d h e r e t o a n d i n c o r p o r a t e d h e r e i n b y
r e f e r e n c e , a r e e x e c u t e d a n d i n c o r p o r a t e d i n t h i s A g r e e m e n t .
4 9
2.4 Consultant desires to perform and assume responsibility for the •
provision of certain professional services required by the Commission on the terms and
conditions set forth in this Agreement. Consultant represents that it is experienced in
providing [__INSERT TYPE OF SERVICES__j services to public clients, is licensed
in the State of California (if necessary), and is familiar with the plans of the Commission.
2.5 The Commission desires to engage Consultant to render such
services for the [__INSERT NAME OF PROJECT __j project ("Project"), as set forth
in this Agreement.
3. TERMS.
3.1 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 professional [__INSERT TYPE OF SERVICES__j services
necessary forthe Project ("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.
3.2 Commencement of Services. L_USE THIS PARAGRAPH IF
NOTICE TO PROCEED ·oR LIMITED NOTICE TO PROCEED HAS BEEN
ISSUED __j Commission has authorized Consultant to commence performance of the
Services by a "Notice to Proceed" or "Limited Notice to Proceed" dated
______ . Consultant agrees that Services already performed pursuant to the
"Notice to Proceed" or "Limited Notice to Proceed" shall be governed by all the
provisions of this Agreement, including all indemnification and insurance provisions.
j
L_USE THIS SENTENCE IF NO NOTICE TO PROCEED OR LIMITED
NOTICE TO PROCEED HAS BEEN ISSUED__j The Consultant shall commence
work upon receipt of a written "Notice to Proceed" or "Limited Notice to Proceed" from
Commission.
•
3.2.1. 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 Federal 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 facilitate Federal and State process reviews. In addition, the applicable federal •
2
50
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"
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a g e n c y , o r C a l t r a n s a c t i n g i n b e h a l f o f a f e d e r a l a g e n c y , m a y r e q u i r e t h a t p r i o r t o
p e r f o r m a n c e o f a n y w o r k f o r w h i c h F e d e r a l r e i m b u r s e m e n t i s r e q u e s t e d a n d p r o v i d e d ,
t h a t s a i d f e d e r a l a g e n c y o r C a l t r a n s m u s t g i v e t o C o m m i s s i o n a n " A u t h o r i z a t i o n t o
P r o c e e d " .
3 . 2 . 2 P o s t - A w a r d A u d i t . I n t h e e v e n t t h a t C a l t r a n s a u t h o r i z e s t h e
C o m m i s s i o n t o i s s u e a " L i m i t e d N o t i c e t o P r o c e e d " , C o n s u l t a n t ' s c o s t p r o p o s a l , s e t f o r t h
i n t h e a t t a c h e d E x h i b i t " C " , w i l l b e s u b j e c t t o a p o s t - a w a r d a u d i t b y C a l t r a n s .
C o n s u l t a n t ' s f i l e s s h a l l b e m a i n t a i n e d i n a m a n n e r t o f a c i l i t a t e F e d e r a l a n d S t a t e
p r o c e s s r e v i e w s . I f a n y p o s t - a w a r d a u d i t r e c o m m e n d a t i o n s a r e r e c e i v e d b y
C o m m i s s i o n f r o m C a l t r a n s , E x h i b i t " C " s h a l l b e a d j u s t e d b y C o n s u l t a n t a n d a p p r o v e d b y
C o m m i s s i o n t o c o n f o r m t o t h e a u d i t r e c o m m e n d a t i o n s . C o n s u l t a n t a g r e e s t h a t
i n d i v i d u a l i t e m s o f c o s t m a y b e i n c o r p o r a t e d i n t o t h e a t t a c h e d E x h i b i t " C " , b a s e d o n t h e
i n t e r i m o r p o s t - a w a r d a u d i t r e c o m m e n d a t i o n s o f C a l t r a n s , a t C o m m i s s i o n ' s s o l e
d i s c r e t i o n . R e f u s a l b y C o n s u l t a n t t o i n c o r p o r a t e t h e i n t e r i m a u d i t o r p o s t - a w a r d
r e c o m m e n d a t i o n s o f C a l t r a n s w i l l b e c o n s i d e r e d a b r e a c h o f t h i s A g r e e m e n t a n d c a u s e
f o r t e r m i n a t i o n .
3 . 3 T e r m . T h e t e r m o f t h i s A g r e e m e n t s h a l l b e f r o m t h e d a t e f i r s t
s p e c i f i e d a b o v e o r t h e d a t e o f i s s u a n c e o f t h e N o t i c e t o P r o c e e d b y t h e C o m m i s s i o n ,
w h i c h e v e r o c c u r s f i r s t , t o L _ J N S E R T E N D I N G D A T E _ _ j , u n l e s s e a r l i e r t e r m i n a t e d a s
p r o v i d e d h e r e i n . C o n s u l t a n t s h a l l c o m p l e t e t h e S e r v i c e s w i t h i n t h e t e r m o f t h i s
A g r e e m e n t , a n d s h a l l m e e t a n y o t h e r e s t a b l i s h e d s c h e d u l e s a n d d e a d l i n e s . A l l
a p p l i c a b l e i n d e m n i f i c a t i o o p r o v i s i o n s o f t h i s A g r e e m e n t s h a l l r e m a i n i n e f f e c t f o l l o w i n g
t h e t e r m i n a t i o n o f t h i s A g r e e m e n t .
3 . 4 C o m m i s s i o n ' s R e p r e s e n t a t i v e . T h e C o m m i s s i o n h e r e b y d e s i g n a t e s
t h e C o m m i s s i o n ' s E x e c u t i v e D i r e c t o r , o r h i s o r h e r d e s i g n e e , t o a c t a s i t s
R e p r e s e n t a t i v e f o r t h e p e r f o r m a n c e o f t h i s A g r e e m e n t ( " C o m m i s s i o n ' s
R e p r e s e n t a t i v e " ) . C o m m i s s i o n ' s R e p r e s e n t a t i v e s h a l l h a v e t h e a u t h o r i t y t o a c t o n
b e h a l f o f t h e C o m m i s s i o n f o r a l l p u r p o s e s u n d e r t h i s A g r e e m e n t . C o m m i s s i o n ' s
R e p r e s e n t a t i v e s h a l l a l s o r e v i e w a n d g i v e a p p r o v a l , a s n e e d e d , t o t h e d e t a i l s o f
C o n s u l t a n t ' s w o r k a s i t p r o g r e s s e s . C o n s u l t a n t s h a l l n o t a c c e p t d i r e c t i o n o r o r d e r s f r o m
a n y p e r s o n o t h e r t h a n t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e o r h i s o r h e r d e s i g n e e .
3 . 5 C o n s u l t a n t ' s R e p r e s e n t a t i v e . C o n s u l t a n t h e r e b y d e s i g n a t e s
L _ I N S E R T N A M E O R T I T L E _ _ j t o a c t a s i t s R e p r e s e n t a t i v e f o r t h e p e r f o r m a n c e o f
t h i s A g r e e m e n t ( " C o n s u l t a n t ' s R e p r e s e n t a t i v e " ) . C o n s u l t a n t ' s R e p r e s e n t a t i v e s h a l l h a v e
f u l l a u t h o r i t y t o a c t o n b e h a l f o f C o n s u l t a n t f o r a l l p u r p o s e s u n d e r t h i s A g r e e m e n t . T h e
C o n s u l t a n t ' s R e p r e s e n t a t i v e s h a l l s u p e r v i s e a n d d i r e c t t h e S e r v i c e s , u s i n g h i s o r h e r
p r o f e s s i o n a l s k i l l a n d a t t e n t i o n , a n d s h a l l b e r e s p o n s i b l e f o r a l l m e a n s , m e t h o d s ,
t e c h n i q u e s , s e q u e n c e s a n d p r o c e d u r e s a n d f o r t h e s a t i s f a c t o r y c o o r d i n a t i o n o f a l l
p o r t i o n s o f t h e S e r v i c e s u n d e r t h i s A g r e e m e n t . C o n s u l t a n t s h a l l w o r k c l o s e l y a n d
c o o p e r a t e f u l l y w i t h C o m m i s s i o n ' s R e p r e s e n t a t i v e a n d a n y o t h e r a g e n c i e s w h i c h m a y
h a v e j u r i s d i c t i o n o v e r , o r a n i n t e r e s t i n , t h e S e r v i c e s . C o n s u l t a n t ' s R e p r e s e n t a t i v e s h a l l
b e a v a i l a b l e t o t h e C o m m i s s i o n s t a f f a t a l l r e a s o n a b l e t i m e s . A n y s u b s t i t u t i o n i n
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Consultant's Representative shall be approved 1n writing by Commission's •
Representative.
3.6 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 of Section 3.14. The key
personnel for performance of this Agreement are: L_LIST NAMES AND TITLES__].
3.7 Preliminarv 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 Representative 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 Representative, in his sole discretion, determines the formally submitted
work product to be not in accordance with the standard of care established under this
contract, Commission's Representative may require Consultant to revise and resubmit
the work at no cost to the Commission.
3.8 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.
3.9 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 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 •
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l i a b i l i t i e s p r o v i d e d f o r i n t h e i n d e m n i f i c a t i o n p r o v i s i o n s o f t h i s A g r e e m e n t a r i s i n g f r o m
t h e C o n s u l t a n t ' s e r r o r s a n d o m i s s i o n s . A n y e m p l o y e e o f C o n s u l t a n t o r i t s s u b -
c o n s u l t a n t s w h o i s d e t e r m i n e d b y t h e C o m m i s s i o n t o b e u n c o o p e r a t i v e , i n c o m p e t e n t , a
t h r e a t t o t h e a d e q u a t e o r t i m e l y c o m p l e t i o n o f t h e P r o j e c t , a t h r e a t t o t h e s a f e t y o f
p e r s o n s o r p r o p e r t y , o r a n y e m p l o y e e w h o f a i l s o r r e f u s e s t o p e r f o r m t h e S e r v i c e s i n a
m a n n e r a c c e p t a b l e t o t h e C o m m i s s i o n , s h a l l b e p r o m p t l y r e m o v e d f r o m t h e P r o j e c t b y
t h e C o n s u l t a n t a n d s h a l l n o t b e r e - e m p l o y e d t o p e r f o r m a n y o f t h e S e r v i c e s o r t o w o r k
o n t h e P r o j e c t .
3 . 1 0 O p p o r t u n i t y t o C u r e . C o m m i s s i o n m a y p r o v i d e C o n s u l t a n t a n
o p p o r t u n i t y t o c u r e , a t C o n s u l t a n t ' s e x p e n s e , a l l e r r o r s a n d o m i s s i o n s w h i c h m a y b e
d i s c l o s e d d u r i n g P r o j e c t i m p l e m e n t a t i o n . S h o u l d C o n s u l t a n t f a i l t o m a k e s u c h
c o r r e c t i o n i n a t i m e l y m a n n e r , s u c h c o r r e c t i o n m a y b e m a d e b y t h e C o m m i s s i o n , a n d
t h e c o s t t h e r e o f c h a r g e d t o C o n s u l t a n t .
3 . 1 1 I n s p e c t i o n o f W o r k . C o n s u l t a n t s h a l l a l l o w t h e C o m m i s s i o n ' s
R e p r e s e n t a t i v e t o i n s p e c t o r r e v i e w C o n s u l t a n t ' s w o r k i n p r o g r e s s a t a n y r e a s o n a b l e
t i m e .
3 . 1 2 F i n a l A c c e p t a n c e . U p o n d e t e r m i n a t i o n b y t h e C o m m i s s i o n t h a t
C o n s u l t a n t h a s s a t i s f a c t o r i l y c o m p l e t e d t h e S e r v i c e s r e q u i r e d u n d e r t h i s A g r e e m e n t a n d
w i t h i n t h e t e r m s e t f o r t h i n S e c t i o n 3 . 3 , t h e C o m m i s s i o n s h a l l g i v e C o n s u l t a n t a w r i t t e n
N o t i c e o f F i n a l A c c e p t a n c e . U p o n r e c e i p t o f s u c h n o t i c e , C o n s u l t a n t s h a l l i n c u r n o
f u r t h e r c o s t s h e r e u n d e r , u n l e s s o t h e r w i s e s p e c i f i e d i n t h e N o t i c e o f F i n a l A c c e p t a n c e .
C o n s u l t a n t m a y r e q u e s t i s s u a n c e o f a N o t i c e o f F i n a l A c c e p t a n c e w h e n , i n i t s o p i n i o n , i t
h a s s a t i s f a c t o r i l y c o m p l e t e d a l l S e r v i c e s r e q u i r e d u n d e r t h e t e r m s o f t h i s A g r e e m e n t . I n
t h e e v e n t c o p y r i g h t s a r e p e r m i t t e d u n d e r t h i s A g r e e m e n t , t h e n i n c o n n e c t i o n w i t h
F e d e r a l f u n d i n g , i t i s h e r e b y a c k n o w l e d g e d a n d a g r e e d t h a t t h e U n i t e d S t a t e s
D e p a r t m e n t o f T r a n s p o r t a t i o n s h a l l h a v e t h e r o y a l t y - f r e e n o n - e x c l u s i v e a n d i r r e v o c a b l e
r i g h t t o r e p r o d u c e , p u b l i s h , o r o t h e r w i s e u s e , a n d t o a u t h o r i z e o t h e r s t o u s e , t h e w o r k
f o r g o v e r n m e n t a l p u r p o s e s .
3 . 1 3 L a w s a n d R e g u l a t i o n s . C o n s u l t a n t s h a l l k e e p i t s e l f f u l l y i n f o r m e d o f
a n d i n c o m p l i a n c e w i t h a l l l o c a l , s t a t e a n d f e d e r a l l a w s , r u l e s a n d r e g u l a t i o n s i n a n y
m a n n e r a f f e c t i n g t h e p e r f o r m a n c e o f t h e P r o j e c t o r t h e S e r v i c e s , i n c l u d i n g a l l G a l / O S H A
r e q u i r e m e n t s , a n d s h a l l g i v e a l l n o t i c e s r e q u i r e d b y l a w . F o r e x a m p l e , a n d n o t b y w a y
o f l i m i t a t i o n , C o n s u l t a n t s h a l l k e e p i t s e l f f u l l y i n f o r m e d o f a n d i n c o m p l i a n c e w i t h a l l
i m p l e m e n t i n g r e g u l a t i o n s , d e s i g n s t a n d a r d s , s p e c i f i c a t i o n s , p r e v i o u s c o m m i t m e n t s t h a t
m u s t b e i n c o r p o r a t e d i n t h e d e s i g n o f t h e P r o j e c t , a n d a d m i n i s t r a t i v e c o n t r o l s i n c l u d i n g
t h o s e o f t h e U n i t e d S t a t e s D e p a r t m e n t o f T r a n s p o r t a t i o n . C o m p l i a n c e w i t h F e d e r a l
p r o c e d u r e s m a y i n c l u d e c o m p l e t i o n o f t h e a p p l i c a b l e e n v i r o n m e n t a l d o c u m e n t s a n d
a p p r o v e d b y t h e U n i t e d S t a t e s D e p a r t m e n t o f T r a n s p o r t a t i o n . F o r e x a m p l e , a n d n o t b y
w a y o f l i m i t a t i o n , a s i g n e d C a t e g o r i c a l E x c l u s i o n , F i n d i n g o f N o S i g n i f i c a n t I m p a c t , o r
p u b l i s h e d R e c o r d o f D e c i s i o n m a y b e r e q u i r e d t o b e a p p r o v e d a n d / o r c o m p l e t e d b y t h e
U n i t e d S t a t e s D e p a r t m e n t o f T r a n s p o r t a t i o n . F o r C o n s u l t a n t s h a l l b e l i a b l e f o r a l l
v i o l a t i o n s o f s u c h l a w s a n d r e g u l a t i o n s i n c o n n e c t i o n w i t h S e r v i c e s . I f t h e C o n s u l t a n t
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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.
3.14 Termination.
3.14.1 Notice; Reason. Commission may, by written notice to
Consultant, terminate this Agreement, in whole or in part, at any time by giving written
notice to Consultant of such termination, and specifying the effective date thereof
("Notice of Termination"). Such termination may be for Commission's convenience or
because of Consultant's failure to perform its duties and obligations under this
Agreement, including, but not limited to, the failure of Consultant to timely perform
Services pursuant to the Schedule of Services described in Section 3.15 of this
Agreement. Consultant may not terminate this Agreement except for cause.
3.14.2 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.
3.14.3 Effect of Termination For Convenience. If the termination is
to be for the convenience of the Commission, the Commission shall compensate
Consultant for Services fully and adequately provided through the effective date of
termination. Such payment 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 Representative 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.
3.14.4 Effect of Termination for Cause. If the termination is for
cause, Consultant shall be compensated for those Services which have been fully and
adequately completed and accepted by the Commission as of the date the Commission
provides the Notice of Termination. In such case, the Commission may take over the
work and prosecute the same to completion by contract or otherwise. Further,
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 in Section 3.9. 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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3 . 1 4 . 5 C u m u l a t i v e R e m e d i e s . T h e r i g h t s a n d r e m e d i e s o f t h e
P a r t i e s p r o v i d e d i n t h i s S e c t i o n a r e i n a d d i t i o n t o a n y o t h e r r i g h t s a n d r e m e d i e s
p r o v i d e d b y l a w o r u n d e r t h i s A g r e e m e n t .
3 . 1 4 . 6 P r o c u r e m e n t o f S i m i l a r S e r v i c e s . I n t h e e v e n t t h i s
A g r e e m e n t i s t e r m i n a t e d , i n w h o l e o r i n p a r t , a s p r o v i d e d b y t h i s S e c t i o n , t h e
C o m m i s s i o n m a y p r o c u r e , u p o n s u c h t e r m s a n d i n s u c h m a n n e r a s i t d e e m s
a p p r o p r i a t e , s e r v i c e s s i m i l a r t o t h o s e t e r m i n a t e d .
3 . 1 4 . 7 W a i v e r s . C o n s u l t a n t , i n e x e c u t i n g t h i s A g r e e m e n t , s h a l l b e
d e e m e d t o h a v e w a i v e d a n y a n d a l l c l a i m s f o r d a m a g e s w h i c h m a y o t h e r w i s e a r i s e f r o m
t h e C o m m i s s i o n ' s t e r m i n a t i o n o f t h i s A g r e e m e n t , f o r c o n v e n i e n c e o r c a u s e , a s p r o v i d e d
i n t h i s S e c t i o n .
3 . 1 5 S c h e d u l e a n d P r o g r e s s o f S e r v i c e s .
3 . 1 5 . 1 S c h e d u l e o f S e r v i c e s . C o n s u l t a n t s h a l l p e r f o r m t h e S e r v i c e s
e x p e d i t i o u s l y , w i t h i n t h e t e r m o f t h i s A g r e e m e n t , a n d i n a c c o r d a n c e w i t h t h e S c h e d u l e o f
S e r v i c e s s e t f o r t h i n E x h i b i t " B " � a t t a c h e d h e r e t o a n d i n c o r p o r a t e d h e r e i n b y r e f e r e n c e .
C o n s u l t a n t r e p r e s e n t s t h a t i t h a s t h e p r o f e s s i o n a l a n d t e c h n i c a l p e r s o n n e l t o p e r f o r m
t h e S e r v i c e s i n c o n f o r m a n c e w i t h s u c h c o n d i t i o n s . I n o r d e r t o f a c i l i t a t e C o n s u l t a n t ' s
c o n f o r m a n c e w i t h t h e S c h e d u l e , t h e C o m m i s s i o n s h a l l r e s p o n d t o C o n s u l t a n t ' s
s u b m i t t a l s i n a t i m e l y m a n n e r . U p o n r e q u e s t o f C o m m i s s i o n ' s R e p r e s e n t a t i v e ,
C o n s u l t a n t s h a l l p r o v i d e a m o r e d e t a i l e d s c h e d u l e o f a n t i c i p a t e d p e r f o r m a n c e t o m e e t
t h e S c h e d u l e o f S e r v i c e s .
3 . 1 5 . 2 M o d i f i c a t i o n o f t h e S c h e d u l e . C o n s u l t a n t s h a l l r e g u l a r l y
r e p o r t t o t h e C o m m i s s i o n , t h r o u g h c o r r e s p o n d e n c e o r p r o g r e s s r e p o r t s , i t s p r o g r e s s i n
p r o v i d i n g r e q u i r e d S e r v i c e s w i t h i n t h e s c h e d u l e d t i m e p e r i o d s . C o m m i s s i o n s h a l l b e
p r o m p t l y i n f o r m e d o f a l l a n t i c i p a t e d d e l a y s . I n t h e e v e n t t h a t C o n s u l t a n t d e t e r m i n e s t h a t
a s c h e d u l e m o d i f i c a t i o n i s n e c e s s a r y , C o n s u l t a n t s h a l l p r o m p t l y s u b m i t a r e v i s e d
S c h e d u l e o f S e r v i c e s f o r a p p r o v a l b y C o m m i s s i o n ' s R e p r e s e n t a t i v e .
3 . 1 5 . 3 T r e n d M e e t i n g s . C o n s u l t a n t s h a l l c o n d u c t t r e n d m e e t i n g s
w i t h t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e a n d o t h e r i n t e r e s t e d p a r t i e s , a s r e q u e s t e d b y t h e
C o m m i s s i o n , o n a b i - w e e k l y b a s i s o r a s m a y b e m u t u a l l y s c h e d u l e d b y t h e P a r t i e s a t a
s t a n d a r d d a y a n d t i m e . T h e s e t r e n d m e e t i n g s w i l l e n c o m p a s s f o c u s e d a n d i n f o r m a l
d i s c u s s i o n s c o n c e r n i n g s c o p e , s c h e d u l e , a n d c u r r e n t p r o g r e s s o f S e r v i c e s , r e l e v a n t
c o s t i s s u e s , a n d f u t u r e P r o j e c t o b j e c t i v e s . C o n s u l t a n t s h a l l b e r e s p o n s i b l e f o r t h e
p r e p a r a t i o n a n d d i s t r i b u t i o n o f m e e t i n g a g e n d a s t o b e r e c e i v e d b y t h e C o m m i s s i o n a n d
o t h e r a t t e n d e e s n o l a t e r t h a n t h r e e ( 3 ) w o r k i n g d a y s p r i o r t o t h e m e e t i n g .
3 . 1 5 . 4 P r o g r e s s R e p o r t s . A s p a r t o f i t s m o n t h l y i n v o i c e , C o n s u l t a n t
s h a l l s u b m i t a p r o g r e s s r e p o r t , i n a f o r m d e t e r m i n e d b y t h e C o m m i s s i o n , w h i c h w i l l
i n d i c a t e t h e p r o g r e s s a c h i e v e d d u r i n g t h e p r e v i o u s m o n t h i n r e l a t i o n t o t h e S c h e d u l e o f
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Services. Submission of such progress report by Consultant shall be a condition •
precedent to receipt of payment from the Commission for each monthly invoice
submitted.
3.16 Delay in Performance.
3.16.1 Excusable Delays. 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 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, epidemics, quarantine restrictions, strikes, freight embargoes or
unusually severe weather, performance of such act shall be excused for the period of
such delay.
3.16.2 Written Notice. If Consultant believes it is entitled to an
extension of time due to conditions set forth in subsection 3.1.6.1, 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.
3.16.3 Mutual Agreement. Performance of any Services under this
Agreement may be delayed upon mutual agreement of the Parties. Upon such •
agreement, Consultant's Schedule of Services shall be extended as necessary by the
Commission. Consultant shall take all reasonable steps to minimize delay in
completion, and additional costs, resulting from any such extension.
3.17 Status of ConsultanUSubconsultants.
3.17.1 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.
3.17 .2 Prevailing Wages. By its execution of this Agreement,
Consultant certifies that it is aware of the requirements of California Labor Code •
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S e c t i o n s 1 7 2 0 e t s e q . a n d 1 7 7 0 e t s e q . , a s w e l l a s C a l i f o r n i a C o d e o f R e g u l a t i o n s , T i t l e
8 , S e c t i o n 1 6 0 0 0 e t ~ ( " P r e v a i l i n g W a g e L a w s " ) , w h i c h r e q u i r e t h e p a y m e n t o f
p r e v a i l i n g w a g e r a t e s a n d t h e p e r f o r m a n c e o f o t h e r r e q u i r e m e n t s o n c e r t a i n " p u b l i c
w o r k s " a n d " m a i n t e n a n c e " p r o j e c t s . I f t h e S e r v i c e s a r e b e i n g p e r f o r m e d a s p a r t o f a n
a p p l i c a b l e " p u b l i c w o r k s " o r " m a i n t e n a n c e " p r o j e c t , a s d e f i n e d b y t h e P r e v a i l i n g W a g e
L a w s , a n d i f t h e t o t a l c o m p e n s a t i o n i s $ 1 , 0 0 0 o r m o r e , C o n s u l t a n t a g r e e s t o f u l l y
c o m p l y w i t h s u c h P r e v a i l i n g W a g e L a w s . C o p i e s o f t h e p r e v a i l i n g r a t e o f p e r d i e m
w a g e s i n e f f e c t a t c o m m e n c e m e n t o f t h i s A g r e e m e n t a r e o n f i l e a t t h e C o m m i s s i o n ' s
o f f i c e s . C o n s u l t a n t s h a l l m a k e c o p i e s o f t h e p r e v a i l i n g r a t e s o f p e r d i e m w a g e s f o r e a c h
c r a f t , c l a s s i f i c a t i o n o r t y p e o f w o r k e r n e e d e d t o e x e c u t e t h e S e r v i c e s a v a i l a b l e t o
i n t e r e s t e d p a r t i e s u p o n r e q u e s t , a n d s h a l l p o s t c o p i e s a t t h e C o n s u l t a n t ' s p r i n c i p a l p l a c e
o f b u s i n e s s a n d a t t h e p r o j e c t s i t e . C o n s u l t a n t s h a l l d e f e n d , i n d e m n i f y a n d h o l d t h e
C o m m i s s i o n , i t s e l e c t e d o f f i c i a l s , o f f i c e r s , e m p l o y e e s a n d a g e n t s f r e e a n d h a r m l e s s
f r o m a n y c l a i m s , l i a b i l i t i e s , c o s t s , p e n a l t i e s o r i n t e r e s t a r i s i n g o u t o f a n y f a i l u r e o r
a l l e g e d f a i l u r e t o c o m p l y w i t h t h e P r e v a i l i n g W a g e L a w s .
3 . 1 7 . 3 E i g h t - H o u r L a w . . P u r s u a n t t o t h e p r o v i s i o n s o f t h e C a l i f o r n i a
L a b o r C o d e , e i g h t h o u r s o f l a b o r s h a l l c o n s t i t u t e a l e g a l d a y ' s w o r k , a n d t h e t i m e o f
s e r v i c e o f a n y w o r k e r e m p l o y e d o n t h e w o r k s h a l l b e l i m i t e d a n d r e s t r i c t e d t o e i g h t
h o u r s d u r i n g a n y o n e c a l e n d a r d a y , a n d f o r t y h o u r s i n a n y o n e c a l e n d a r w e e k , e x c e p t
w h e n p a y m e n t f o r o v e r t i m e i s m a d e a t n o t l e s s t h a n o n e a n d o n e - h a l f t h e b a s i c r a t e f o r
a l l h o u r s w o r k e d i n e x c e s s o f e i g h t h o u r s p e r d a y ( " E i g h t - H o u r L a w " ) , u n l e s s C o n s u l t a n t
o r t h e S e r v i c e s a r e n o t s u b j e c t t o t h e E i g h t - H o u r L a w . C o n s u l t a n t s h a l l f o r f e i t t o
C o m m i s s i o n a s a , p e n a l t y , $ 5 0 . 0 0 f o r e a c h w o r k e r e m p l o y e d i n t h e e x e c u t i o n o f t h i s
A g r e e m e n t b y h i m , o r b y a n y s u b - c o n s u l t a n t u n d e r h i m , f o r e a c h c a l e n d a r d a y d u r i n g
w h i c h s u c h w o r k m a n i s r e q u i r e d o r p e r m i t t e d t o w o r k m o r e t h a n e i g h t h o u r s i n a n y
c a l e n d a r d a y a n d f o r t y h o u r s i n a n y o n e c a l e n d a r w e e k w i t h o u t s u c h c o m p e n s a t i o n f o r
o v e r t i m e v i o l a t i o n o f t h e p r o v i s i o n s o f t h e C a l i f o r n i a L a b o r C o d e , u n l e s s C o n s u l t a n t o r
t h e S e r v i c e s a r e n o t s u b j e c t t o t h e E i g h t - H o u r L a w .
3 . 1 7 . 4 A s s i g n m e n t o r T r a n s f e r . C o n s u l t a n t s h a l l n o t a s s i g n ,
h y p o t h e c a t e , o r t r a n s f e r , e i t h e r d i r e c t l y o r b y o p e r a t i o n o f l a w , t h i s A g r e e m e n t o r a n y
i n t e r e s t h e r e i n , w i t h o u t t h e p r i o r w r i t t e n c o n s e n t o f t h e C o m m i s s i o n . A n y a t t e m p t t o d o
s o s h a l l b e n u l l a n d v o i d , a n d a n y a s s i g n e e s , h y p o t h e c a t e s o r t r a n s f e r e e s s h a l l a c q u i r e
n o r i g h t o r i n t e r e s t b y r e a s o n o f s u c h a t t e m p t e d a s s i g n m e n t , h y p o t h e c a t i o n o r t r a n s f e r .
3 . 1 7 . 5 S u b c o n t r a c t i n g . C o n s u l t a n t s h a l l n o t s u b c o n t r a c t a n y
p o r t i o n o f t h e w o r k o r S e r v i c e s r e q u i r e d b y t h i s A g r e e m e n t , e x c e p t a s e x p r e s s l y s t a t e d
h e r e i n , w i t h o u t p r i o r w r i t t e n a p p r o v a l o f t h e C o m m i s s i o n . S u b c o n t r a c t s , i f a n y , s h a l l
c o n t a i n a p r o v i s i o n m a k i n g t h e m s u b j e c t t o a l l p r o v i s i o n s s t i p u l a t e d i n t h i s A g r e e m e n t .
C o n s u l t a n t h a s , a s p a r t o f i t s p r o p o s a l , i d e n t i f i e d c e r t a i n
c o m p a n i e s / f i r m s t h a t w i l l b e s u b c o n s u l t a n t s u t i l i z e d b y C o n s u l t a n t ( " S u b c o n s u l t a n t s " ) f o r
P r o j e c t d e l i v e r y . A l i s t o f s a i d S u b c o n s u l t a n t s m a y b e a t t a c h e d h e r e t o a s E x h i b i t " C "
P a r t 2 a n d m a d e a p a r t h e r e o f . T h e C o m m i s s i o n h e r e b y a p p r o v e s t h e u s e b y
C o n s u l t a n t o f t h e S u b c o n s u l t a n t s i d e n t i f i e d i n E x h i b i t " C " P a r t 2 . I n t h e e v e n t a n d p r i o r
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to the replacement of any Subconsultant approved herein, the Consultant shall seek
and obtain the Commission's written approval. Exhibit "C" Part 2 also sets 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" Part 1 shall be the same for both the Consultant and all
subconsultants, unless otherwise identified in Exhibit "C" Part 2.
Consultant acknowledges that approval of Consultant's utilization of
the identified Subconsultants together with the incorporation of Subconsultants' rate
schedules and cost proposals into this Agreement shall in no way be construed to
create any contractual relationship between any Subconsultant and the Commission.
The Subconsultant rate schedules and cost proposals contained herein are for
accounting purposes only. In the event that any Subconsultant shall bring any action,
claim or proceeding purporting to enforce any right purportedly arising under this
Agreement, the Consultant shall be responsible for the Commission's reasonable legal
fees without regard to the merits of any such claim.
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.
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 •
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b u t n o t l i m i t e d t o , p h y s i c a l d r a w i n g s o r o t h e r d a t a m a g n e t i c a l l y o r o t h e r w i s e r e c o r d e d o n
c o m p u t e r m e d i a ( " I n t e l l e c t u a l P r o p e r t y " ) p r e p a r e d o r d e v e l o p e d b y o r o n b e h a l f o f
C o n s u l t a n t u n d e r t h i s A g r e e m e n t a s w e l l a s a n y o t h e r s u c h I n t e l l e c t u a l P r o p e r t y
p r e p a r e d o r d e v e l o p e d b y o r o n b e h a l f o f C o n s u l t a n t u n d e r t h i s A g r e e m e n t .
T h e C o m m i s s i o n s h a l l h a v e a n d r e t a i n a l l r i g h t , t i t l e a n d i n t e r e s t i n
I n t e l l e c t u a l P r o p e r t y d e v e l o p e d o r m o d i f i e d u n d e r t h i s A g r e e m e n t w h e t h e r o r n o t p a i d
f o r w h o l l y o r i n p a r t b y C o m m i s s i o n , w h e t h e r o r n o t d e v e l o p e d i n c o n j u n c t i o n w i t h
C o n s u l t a n t , a n d w h e t h e r o r n o t d e v e l o p e d b y C o n s u l t a n t . C o n s u l t a n t w i l l e x e c u t e
s e p a r a t e w r i t t e n a s s i g n m e n t s o f a n y a n d a l l r i g h t s t o t h e a b o v e r e f e r e n c e d I n t e l l e c t u a l
P r o p e r t y u p o n r e q u e s t o f C o m m i s s i o n .
C o n s u l t a n t s h a l l a l s o b e r e s p o n s i b l e t o o b t a i n i n w r i t i n g s e p a r a t e
w r i t t e n a s s i g n m e n t s f r o m a n y s u b c o n t r a c t o r s o r a g e n t s o f C o n s u l t a n t o f a n y a n d a l l r i g h t
t o t h e a b o v e r e f e r e n c e d I n t e l l e c t u a l P r o p e r t y . S h o u l d C o n s u l t a n t , e i t h e r d u r i n g o r
f o l l o w i n g t e r m i n a t i o n o f t h i s A g r e e m e n t , d e s i r e t o u s e a n y o f t h e a b o v e - r e f e r e n c e d
I n t e l l e c t u a l P r o p e r t y , i t s h a l l f i r s t o b t a i n t h e w r i t t e n a p p r o v a l o f t h e C o m m i s s i o n .
A l l m a t e r i a l s a n d d o c u m e n t s w h i c h w e r e d e v e l o p e d o r p r e p a r e d b y
t h e C o n s u l t a n t f o r g e n e r a l u s e p r i o r t o t h e e x e c u t i o n o f t h i s A g r e e m e n t a n d w h i c h a r e
n o t t h e c o p y r i g h t o f a n y o t h e r p a r t y o r p u b l i c l y a v a i l a b l e a n d a n y o t h e r c o m p u t e r
a p p l i c a t i o n s , s h a l l c o n t i n u e t o b e t h e p r o p e r t y o f t h e C o n s u l t a n t . H o w e v e r , u n l e s s
o t h e r w i s e i d e n t i f i e d a n d s t a t e d p r i o r t o e x e c u t i o n o f t h i s A g r e e m e n t , C o n s u l t a n t
r e p r e s e n t s a n d w a r r a n t s t h a t i t h a s t h e r i g h t t o g r a n t t h e e x c l u s i v e a n d p e r p e t u a l l i c e n s e
f o r a l l s u c h I n t e l l e c t u a l P r o p e r t y a s p r o v i d e d h e r e i n .
C o m m i s s i o n f u r t h e r i s g r a n t e d b y C o n s u l t a n t a n o n - e x c l u s i v e a n d
p e r p e t u a l l i c e n s e t o c o p y , u s e , m o d i f y o r s u b - l i c e n s e a n y a n d a l l I n t e l l e c t u a l P r o p e r t y
o t h e r w i s e o w n e d b y C o n s u l t a n t w h i c h i s t h e b a s i s o r f o u n d a t i o n f o r a n y d e r i v a t i v e ,
c o l l e c t i v e , i n s u r r e c t i o n a l , o r s u p p l e m e n t a l w o r k c r e a t e d u n d e r t h i s A g r e e m e n t .
3 . 1 8 . 3 C o n f i d e n t i a l i t y . A l l i d e a s , m e m o r a n d a , s p e c i f i c a t i o n s , p l a n s ,
p r o c e d u r e s , d r a w i n g s , d e s c r i p t i o n s , c o m p u t e r p r o g r a m _ d a t a , i n p u t r e c o r d d a t a , w r i t t e n
i n f o r m a t i o n , a n d o t h e r D o c u m e n t s a n d D a t a e i t h e r c r e a t e d b y o r p r o v i d e d t o C o n s u l t a n t
i n c o n n e c t i o n w i t h t h e p e r f o r m a n c e o f t h i s A g r e e m e n t s h a l l b e h e l d c o n f i d e n t i a l b y
C o n s u l t a n t . S u c h m a t e r i a l s s h a l l n o t , w i t h o u t t h e p r i o r w r i t t e n c o n s e n t o f C o m m i s s i o n ,
b e u s e d b y C o n s u l t a n t f o r a n y p u r p o s e s o t h e r t h a n t h e p e r f o r m a n c e o f t h e S e r v i c e s .
N o r s h a l l s u c h m a t e r i a l s b e d i s c l o s e d t o a n y p e r s o n o r e n t i t y n o t c o n n e c t e d w i t h t h e
p e r f o r m a n c e o f t h e S e r v i c e s o r t h e P r o j e c t . N o t h i n g f u r n i s h e d t o C o n s u l t a n t w h i c h i s
o t h e r w i s e k n o w n t o C o n s u l t a n t o r i s g e n e r a l l y k n o w n , o r h a s b e c o m e k n o w n , t o t h e
r e l a t e d i n d u s t r y s h a l l b e d e e m e d c o n f i d e n t i a l . C o n s u l t a n t s h a l l n o t u s e C o m m i s s i o n ' s
n a m e o r i n s i g n i a , p h o t o g r a p h s o f t h e P r o j e c t , o r a n y p u b l i c i t y p e r t a i n i n g t o t h e S e r v i c e s
o r t h e P r o j e c t i n a n y m a g a z i n e , t r a d e p a p e r , n e w s p a p e r , t e l e v i s i o n o r r a d i o p r o d u c t i o n
o r o t h e r s i m i l a r m e d i u m w i t h o u t t h e p r i o r w r i t t e n c o n s e n t o f C o m m i s s i o n .
1 1
5 9
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 in order to allow the
Commission to pursue legal remedies designed to limit any confidential information
required to be disclosed or to assure the confidential treatment of the information
following disclosure. 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.
3.19 Indemnification. To the fullest extent permitted by law, Consultant
shall defend, 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
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 consequential damages, expert
witness fees, and 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 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. Notwithstanding the
foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8,
the above indemnity shall be limited, to the extent required by Civil Code Section
2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness,
or willful misconduct of the Consultant. Consultant's obligations as set forth in this
Section 3.19 shall survive expiration or termination of this Agreement.
3.20 Insurance.
3.20.1 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 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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3 . 2 0 . 2 M i n i m u m R e q u i r e m e n t s . C o n s u l t a n t s h a l l , a t i t s e x p e n s e ,
p r o c u r e a n d m a i n t a i n f o r t h e d u r a t i o n o f t h e A g r e e m e n t i n s u r a n c e a g a i n s t c l a i m s f o r
i n j u r i e s t o p e r s o n s o r d a m a g e s t o p r o p e r t y w h i c h m a y a r i s e f r o m o r i n c o n n e c t i o n w i t h
t h e p e r f o r m a n c e o f t h e A g r e e m e n t b y t h e C o n s u l t a n t , i t s a g e n t s , r e p r e s e n t a t i v e s ,
e m p l o y e e s o r s u b c o n t r a c t o r s . C o n s u l t a n t s h a l l a l s o r e q u i r e a l l o f i t s s u b c o n t r a c t o r s t o
p r o c u r e a n d m a i n t a i n t h e s a m e i n s u r a n c e f o r t h e d u r a t i o n o f t h e A g r e e m e n t . S u c h
i n s u r a n c e s h a l l m e e t a t l e a s t t h e f o l l o w i n g m i n i m u m l e v e l s o f c o v e r a g e :
( A ) M i n i m u m S c o p e o f I n s u r a n c e . C o v e r a g e s h a l l b e a t
l e a s t a s b r o a d a s t h e l a t e s t v e r s i o n o f t h e f o l l o w i n g : ( 1 ) G e n e r a l L i a b ; J i t y : I n s u r a n c e
S e r v i c e s O f f i c e C o m m e r c i a l G e n e r a l L i a b i l i t y c o v e r a g e ( o c c u r r e n c e f o r m C G 0 0 0 1 ) ; ( 2 )
A u t o m o b i l e L i a b i l i t y I n s u r a n c e S e r v i c e s O f f i c e B u s i n e s s A u t o C o v e r a g e f o r m n u m b e r
C A 0 0 0 1 , c o d e 1 ( a n y a u t o ) ; a n d ( 3 ) i f C o n s u l t a n t h a s e m p l o y e e s , W o r k e r s '
C o m p e n s a t i o n a n d E m p l o y e r ' s L i a b i l i t y : W o r k e r s ' C o m - p e n s a t i o n i n s u r a n c e a s r e q u i r e d
b y t h e S t a t e o f C a l i f o r n i a a n d E m p l o y e r ' s L i a b i l i t y I n s u r a n c e .
( B ) M i n i m u m L i m i t s o f I n s u r a n c e . C o n s u l t a n t s h a l l
m a i n t a i n l i m i t s n o l e s s t h a n : ( 1 ) G e n e r a l L i a b i l i t y : $ 2 , 0 0 0 , 0 0 0 p e r o c c u r r e n c e f o r b o d i l y
i n j u r y , p e r s o n a l i n j u r y a n d p r o p e r t y d a m a g e . I f C o m m e r c i a l G e n e r a l L i a b i l i t y I n s u r a n c e
o r o t h e r f o r m w i t h g e n e r a l a g g r e g a t e l i m i t i s u s e d , e i t h e r t h e g e n e r a l a g g r e g a t e l i m i t
s h a l l a p p l y s e p a r a t e l y t o t h i s A g r e e m e n t / l o c a t i o n o r t h e g e n e r a l a g g r e g a t e l i m i t s h a l l b e
t w i c e t h e r e q u i r e d o c c u r r e n c e l i m i t ; ( 2 ) A u t o m o b i l e L i a b i l i t y : $ 1 , 0 0 0 , 0 0 0 p e r a c c i d e n t f o r
b o d i l y i n j u r y a n d p r o p e r t y d a m a g e ; a n d ( 3 ) W o r k e r s ' C o m p e n s a t i o n a n d E m p l o y e r ' s
L i a b i l i t y : W o r k e r s ' C o m p e n s a t i o n l i m i t s a s r e q u i r e d b y t h e L a b o r C o d e o f t h e S t a t e o f
C a l i f o r n i a . E m p l o y e r ' s L i a b i l i t y l i m i t s o f $ 1 , 0 0 0 , 0 0 0 p e r a c c i d e n t f o r b o d i l y i n j u r y o r
d i s e a s e .
3 . 2 0 . 3 P r o f e s s i o n a l L i a b i l i t y . C o n s u l t a n t s h a l l p r o c u r e a n d
m a i n t a i n , a n d r e q u i r e i t s s u b - c o n s u l t a n t s t o p r o c u r e a n d m a i n t a i n , f o r a p e r i o d o f f i v e ( 5 )
y e a r s f o l l o w i n g c o m p l e t i o n o f t h e P r o j e c t , e r r o r s a n d o m i s s i o n s l i a b i l i t y i n s u r a n c e
a p p r o p r i a t e t o t h e i r p r o f e s s i o n . S u c h i n s u r a n c e s h a l l b e i n a n a m o u n t n o t l e s s t h a n
$ 2 , 0 0 0 , 0 0 0 L _ I N C R E A S E I F N E C E S S A R Y - O T H E R W I S E L E A V E A S I S A N D
D E L E T E T H I S N O T E _ _ ] p e r c l a i m .
3 . 2 0 . 4 A i r c r a f t L i a b i l i t y I n s u r a n c e . [ I f a p p l i c a b l e ] P r i o r t o t h e d i r e c t
o r i n d i r e c t u s e o f a n y c i v i l a i r c r a f t t o p r o v i d e S e r v i c e s u n d e r t h i s A g r e e m e n t , C o n s u l t a n t
s h a l l p r o c u r e a n d m a i n t a i n , o r c a u s e t o b e p r o c u r e d a n d m a i n t a i n e d , a i r c r a f t l i a b i l i t y
i n s u r a n c e o r e q u i v a l e n t f o r m , w i t h a s i n g l e l i m i t o f n o t l e s s t h a n $ 5 , 0 0 0 , 0 0 0 p e r e a c h
o c c u r r e n c e . S u c h i n s u r a n c e s h a l l i n c l u d e c o v e r a g e f o r o w n e d , h i r e d a n d n o n - o w n e d
a i r c r a f t a n d p a s s e n g e r s , a n d s h a l l n a m e , o r b e e n d o r s e d t o n a m e , t h e C o m m i s s i o n , i t s
d i r e c t o r s , o f f i c i a l s , o f f i c e r s , e m p l o y e e s c o n s u l t a n t s a n d a g e n t s a s a d d i t i o n a l i n s u r e d s
w i t h r e s p e c t t o t h e S e r v i c e s o r o p e r a t i o n s p e r f o r m e d b y o r o n b e h a l f o f t h e C o n s u l t a n t .
3 . 2 0 . 5 I n s u r a n c e E n d o r s e m e n t s . T h e i n s u r a n c e p o l i c i e s s h a l l
c o n t a i n t h e f o l l o w i n g p r o v i s i o n s , o r C o n s u l t a n t s h a l l p r o v i d e e n d o r s e m e n t s o n f o r m s
a p p r o v e d b y t h e C o m m i s s i o n t o a d d t h e f o l l o w i n g p r o v i s i o n s t o t h e i n s u r a n c e p o l i c i e s :
1 3
6 1
(A) General Liability. The general 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 Services or
operations performed by or on behalf of the Consultant, including materials, parts or
equipment furnished in connection with such work; 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.
(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. •
(C) Workers' Compensation and Employers Liability
Coverage. 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. Each insurance policy required by this
Agreement shall be endorsed to state that: (A) coverage shall not be suspended,
voided or canceled except after thirty (30) days prior written notice by certified mail,
return receipt requested, has been given to the Commission; and (B) any failure to
comply with reporting or other provisions of the policies, including breaches of
warranties, shall not affect coverage provided to the Commission, its directors; officials,
officers, employees and agents.
3.20.6 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
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C o n s u l t a n t s h a l l p r o c u r e a b o n d g u a r a n t e e i n g p a y m e n t o f l o s s e s a n d r e l a t e d
i n v e s t i g a t i o n c o s t s , c l a i m s a n d a d m i n i s t r a t i v e a n d d e f e n s e e x p e n s e s .
3 . 2 0 . 7 S e p a r a t i o n o f I n s u r e d s ; N o S p e c i a l L i m i t a t i o n s . A l l
i n s u r a n c e r e q u i r e d b y t h i s S e c t i o n s h a l l c o n t a i n s t a n d a r d s e p a r a t i o n o f i n s u r e d s
p r o v i s i o n s . I n a d d i t i o n , s u c h i n s u r a n c e s h a l l n o t c o n t a i n a n y s p e c i a l l i m i t a t i o n s o n t h e
s c o p e o f p r o t e c t i o n a f f o r d e d t o t h e C o m m i s s i o n , i t s d i r e c t o r s , o f f i c i a l s , o f f i c e r s ,
e m p l o y e e s , a n d a g e n t s .
3 . 2 0 . 8 A c c e p t a b i l i t y o f I n s u r e r s . I n s u r a n c e i s t o b e p l a c e d w i t h
i n s u r e r s w i t h a c u r r e n t A . M . B e s t ' s r a t i n g n o l e s s t h a n A : V I I I , l i c e n s e d t o d o b u s i n e s s i n
C a l i f o r n i a , a n d s a t i s f a c t o r y t o t h e C o m m i s s i o n .
3 . 2 0 . 9 V e r i f i c a t i o n o f C o v e r a g e . C o n s u l t a n t s h a l l f u r n i s h
C o m m i s s i o n w i t h o r i g i n a l c e r t i f i c a t e s o f i n s u r a n c e a n d e n d o r s e m e n t s e f f e c t i n g c o v e r a g e
r e q u i r e d b y t h i s A g r e e m e n t o n f o r m s s a t i s f a c t o r y t o t h e C o m m i s s i o n . T h e c e r t i f i c a t e s
a n d e n d o r s e m e n t s f o r e a c h i n s u r a n c e p o l i c y s h a l l b e s i g n e d b y a p e r s o n a u t h o r i z e d b y
t h a t i n s u r e r t o b i n d c o v e r a g e o n i t s b e h a l f . A l l c e r t i f i c a t e s a n d e n d o r s e m e n t s m u s t b e
r e c e i v e d a n d a p p r o v e d b y t h e C o m m i s s i o n b e f o r e w o r k c o m m e n c e s . T h e C o m m i s s i o n
r e s e r v e s t h e r i g h t t o r e q u i r e c o m p l e t e , c e r t i f i e d c o p i e s o f a l l r e q u i r e d i n s u r a n c e p o l i c i e s ,
a t a n y t i m e .
3 . 2 0 . 1 0 O t h e r I n s u r a n c e . A t i t s o p t i o n , t h e C o m m i s s i o n m a y
r e q u t r e s u c h a d d i t i o n a l c o v e r a g e ( s ) , l i m i t s a n d / o r t h e r e d u c t i o n o f d e d u c t i b l e s o r
r e t e n t i o n s i t c o n s i d e r s r e a s o n a b l e a n d p r u d e n t b a s e d u p o n r i s k f a c t o r s t h a t m a y d i r e c t l y
o r i n d i r e c t l y i m p a c t t h e P r o j e c t . I n r e t a i n i n g t h i s o p t i o n C o m m i s s i o n d o e s n o t w a r r a n t
C o n s u l t a n t ' s i n s u r a n c e p r o g r a m t o b e a d e q u a t e . C o n s u l t a n t s h a l l h a v e t h e r i g h t t o
p u r c h a s e i n s u r a n c e i n a d d i t i o n t o t h e i n s u r a n c e r e q u i r e d i n t h i s S e c t i o n .
3 . 2 1 S a f e t y . C o n s u l t a n t s h a l l e x e c u t e a n d m a i n t a i n i t s w o r k s o a s t o
a v o i d i n j u r y o r d a m a g e t o a n y p e r s o n o r p r o p e r t y . I n c a r r y i n g o u t i t s S e r v i c e s , t h e
C o n s u l t a n t s h a l l a t a l l t i m e s b e i n c o m p l i a n c e w i t h a l l a p p l i c a b l e l o c a l , s t a t e a n d f e d e r a l
l a w s , r u l e s a n d r e g u l a t i o n s , a n d s h a l l e x e r c i s e a l l n e c e s s a r y p r e c a u t i o n s f o r t h e s a f e t y
o f e m p l o y e e s a p p r o p r i a t e t o t h e n a t u r e o f t h e w o r k a n d t h e c o n d i t i o n s u n d e r w h i c h t h e
w o r k i s t o b e p e r f o r m e d . S a f e t y p r e c a u t i o n s a s a p p l i c a b l e s h a l l i n c l u d e , b u t s h a l l n o t b e
l i m i t e d t o : ( A ) a d e q u a t e l i f e p r o t e c t i o n a n d l i f e s a v i n g e q u i p m e n t a n d p r o c e d u r e s ; ( B )
i n s t r u c t i o n s i n a c c i d e n t p r e v e n t i o n f o r a l l e m p l o y e e s a n d s u b c o n t r a c t o r s , s u c h a s s a f e
w a l k w a y s , s c a f f o l d s , f a l l p r o t e c t i o n l a d d e r s , b r i d g e s , g a n g p l a n k s , c o n f i n e d s p a c e
p r o c e d u r e s , t r e n c h i n g a n d s h o r i n g , e q u i p m e n t a n d o t h e r s a f e t y d e v i c e s , e q u i p m e n t a n d
w e a r i n g a p p a r e l a s a r e n e c e s s a r y o r l a w f u l l y r e q u i r e d t o p r e v e n t a c c i d e n t s o r i n j u r i e s ;
a n d ( C ) a d e q u a t e f a c i l i t i e s f o r t h e p r o p e r i n s p e c t i o n a n d m a i n t e n a n c e o f a l l s a f e t y
m e a s u r e s .
3 . 2 2 F e e s a n d P a y m e n t .
1 5
6 3
3.22.1 Compensation. Consultant shall receive compensation,
including authorized reimbursements, for all Services rendered under this Agreement at •
the rates set forth in Exhibit "C" attached hereto and incorporated herein by reference.
The total compensation shall be on the basis of direct costs plus a fixed fee as further
set forth in Exhibit "C" and shall not exceed the maximum amount of [__INSERT
WRITTEN DOLLAR AMOUNT __j ($L_INSE:RT NUMERICAL DOLLAR
AMOUNT__j) without written approval of Commission's Executive Director ("Total
Compensation").
3.22.2 Payment of Compensation. Consultant shall submit a
monthly itemized 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. Charges
specific to each Milestone listed in the Schedule of Services shall be listed separately
on an attachment to each statement. Each statement shall be accompanied by a
monthly progress report and spreadsheets showing hours expended for each task for
each month and the total Project to date. Each statement shall include a cover sheet
bearing a certification as to the accuracy of the statement signed by the Consultant's
Project Manager or other authorized officer.
3.22.3 Additional Work. Any work or activities that are in addition
to, or otherwise outside of, the Services to be performed pursuant to this Agreement
shall only be performed pursuant to a separate agreement between the parties. •
Notwithstanding the foregoing, the Commission's Executive Director may make a
change to the Agreement, other than a Cardinal Change. For purposes of this
Agreement, 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 4220.1 D, paragraph 9(f).
(a) In addition to the changes authorized above, a
modification which is signed by Consultant and the Commission's Executive Director,
other than a Cardinal Change, may be made in order to: (1) make a negotiated
equitable adjustment to the Agreement price, delivery schedule and other terms
resulting from the issuance of a Change Order, (2) reflect definitive letter contracts, and
(3) reflect other agreements of the parties modifying the terms of this Agreement
("Bilateral Contract Modification").
(b) Consultant shall not perform, nor be compensated for
any change, without written authorization from the Commission's Executive Director as •
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set forth herein. In the event such a change authorization is not issued and signed by
• the Commission's Executive Director, Consultant shall not provide such change.
•
•
3.22.4 Reimbursement for Expenses. Consultant shall not be
reimbursed for any expenses unless authorized in writing by the Commission's
Representative.
3.23 Prohibited Interests.
3.23.1 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.
3.23.2 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 Commission, shall have any direct interest in this Agreement, or obtain any
present or anticipated material benefit arising therefrom.
3.23.3 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.
3.23.4 Covenant Against Contingent Fees. As required in
connection with federal funding, 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 Section 3.14, 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.
3.23.5 Covenant Against Expenditure of Local Agency, State or
Federal Funds for Lobbying. [__INCLUDE ONLY IF FEDERAL FUNDING WILL
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EXCEED $100,000, OTHERWISE DELETE THIS SECTION·3.23.5] 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
attached Exhibit "E", Standard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with the attached instructions.
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 3.23.5 be included in all
Consultant subcontracts which exceed $100,000, and that all such subcontractors shall
certify and disclose accordingly.
3.24 Accounting Records. Consultant shall maintain complete and
accurate records with respect to all costs and expenses incurred and fees charged
under this Agreement. As required in connection with federal funding, the Federal
Acquisition Regulations in Title 48, CFR 31 shall be the governing factors regarding
allowable elements of cost. All such records shall be clearly identifiable. Consultant
shall allow a representative of the Commission, the State, the State Auditor, or any duly
authorized representative of the Federal government having jurisdiction under Federal
laws or regulations (including the basis of Federal funding in whole or in part) during
normal business hours to examine, audit, and make transcripts or copies of any and all
ledgers and books of account, invoices, vouchers, canceled checks, and any other
records or documents created pursuant to this Agreement. All such information shall be
retained by Consultant for at least three (3) years following termination of this
Agreement. Following final settlement of the contract accounts with the United States
Department of Transportation under this Agreement, such records and documents may •
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b e m i c r o f i l m e d a t t h e o p t i o n o f t h e C o m m i s s i o n , b u t i n a n y e v e n t s h a l l b e r e t a i n e d f o r
s a i d t h r e e ( 3 ) y e a r p e r i o d a f t e r p r o c e s s i n g o f t h e f i n a l v o u c h e r b y t h e U n i t e d S t a t e s
D e p a r t m e n t o f T r a n s p o r t a t i o n .
a ) T h e C o n s u l t a n t a l s o a g r e e s t o c o m p l y w i t h F e d e r a l p r o c e d u r e s i n
a c c o r d a n c e w i t h 4 9 C F R , P a r t 1 8 , U n i f o r m A d m i n i s t r a t i v e R e q u i r e m e n t s f o r G r a n t s a n d
C o o p e r a t i v e A g r e e m e n t s t o S t a t e a n d L o c a l G o v e r n m e n t s .
b ) A n y c o s t s f o r w h i c h p a y m e n t h a s b e e n m a d e t o t h e C o n s u l t a n t t h a t
a r e d e t e r m i n e d b y s u b s e q u e n t a u d i t t o b e u n a l l o w a b l e u n d e r 4 8 C F R , F e d e r a l
A c q u i s i t i o n R e g u l a t i o n s S y s t e m , C h a p t e r 1 , P a r t 3 1 e t s e q . o r u n d e r 4 9 C F R , P a r t 1 8 ,
U n i f o r m A d m i n i s t r a t i v e R e q u i r e m e n t s f o r G r a n t s a n d C o o p e r a t i v e A g r e e m e n t s t o S t a t e
a n d L o c a l G o v e r n m e n t s , a r e s u b j e c t t o r e p a y m e n t b y t h e C o n s u l t a n t t o t h e
C o m m i s s i o n .
3 . 2 5 E q u a l O p p o r t u n i t y E m p l o y m e n t . C o n s u l t a n t r e p r e s e n t s t h a t i t i s a n
e q u a l o p p o r t u n i t y e m p l o y e r a n d i t s h a l l n o t � d i s c r i m i n a t e a g a i n s t a n y s u b c o n t r a c t o r ,
e m p l o y e e o r a p p l i c a n t f o r e m p l o y m e n t b e c a u s e o f r a c e , r e l i g i o n , c o l o r , n a t i o n a l o r i g i n ,
a n c e s t r y , s e x o r a g e . S u c h n o n - d i s c r i m i n a t i o n s h a l l i n c l u d e , b u t n o t b e l i m i t e d t o , a l l
a c t i v i t i e s r e l a t e d t o i n i t i a l e m p l o y m e n t , u p g r a d i n g , d e m o t i o n , t r a n s f e r , r e c r u i t m e n t o r
r e c r u i t m e n t a d v e r t i s i n g , l a y o f f o r t e r m i n a t i o n .
3 . 2 6 R i g h t t o E m o l o v O t h e r C o n s u l t a n t s . C o m m i s s i o n r e s e r v e s t h e r i g h t
t o e m p l o y o t h e r c o n s u l t a n t s i n c o n n e c t i o n w i t h t h e P r o j e c t .
3 . 2 7 G o v e r n i n g L a w . T h i s A g r e e m e n t s h a l l b e g o v e r n e d b y a n d
c o n s t r u e d w i t h t h e l a w s o f t h e S t a t e o f C a l i f o r n i a . V e n u e s h a l l b e i n R i v e r s i d e C o u n t y .
3 . 2 8 A t t o r n e y s ' F e e s . I f e i t h e r p a r t y c o m m e n c e s a n a c t i o n a g a i n s t t h e
o t h e r p a r t y , e i t h e r l e g a l , a d m i n i s t r a t i v e o r o t h e r w i s e , a r i s i n g o u t o f o r i n c o n n e c t i o n w i t h
t h i s A g r e e m e n t , t h e p r e v a i l i n g p a r t y i n s u c h l i t i g a t i o n s h a l l b e e n t i t l e d t o h a v e a n d
r e c o v e r f r o m t h e l o s i n g p a r t y r e a s o n a b l e a t t o r n e y s ' f e e s a n d , a l l o t h e r c o s t s o f s u c h
a c t i o n s .
3 . 2 9 T i m e o f E s s e n c e . T i m e i s o f t h e e s s e n c e f o r e a c h a n d e v e r y
p r o v i s i o n o f t h i s A g r e e m e n t .
3 . 3 0 H e a d i n g s . A r t i c l e a n d S e c t i o n H e a d i n g s , p a r a g r a p h c a p t i o n s o r
m a r g i n a l h e a d i n g s c o n t a i n e d i n t h i s A g r e e m e n t a r e f o r c o n v e n i e n c e o n l y a n d s h a l l h a v e
n o e f f e c t i n t h e c o n s t r u c t i o n o r i n t e r p r e t a t i o n o f a n y p r o v i s i o n h e r e i n .
3 . 3 1 N o t i c e s . A l l n o t i c e s p e r m i t t e d o r r e q u i r e d u n d e r t h i s A g r e e m e n t
s h a l l b e g i v e n t o t h e r e s p e c t i v e p a r t i e s a t t h e f o l l o w i n g a d d r e s s , o r a t s u c h o t h e r
a d d r e s s a s t h e r e s p e c t i v e p a r t i e s m a y p r o v i d e i n w r i t i n g f o r t h i s p u r p o s e :
C O N S U L T A N T : C O M M I S S I O N :
1 9
6 7
TR Design Group
7179 Magnolia Avenue
Riverside, CA 92504
Attn: Thomas Riggle
Riverside County
Transportation Commission
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
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.
3.32 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.
3.33 Amendment or Modification. No supplement, modification, or
amendment of this Agreement shall be binding unless executed in writing and signed by
both Parties.
3.34 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.
3.35 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.
3.36 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 sub-consultant for the
employment and training of apprentices. Upon issuance of this certificate, Consultant
and any sub-consultant shall employ the number of apprentices 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. •
20
68
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T h e p a r t i e s e x p r e s s l y u n d e r s t a n d t h a t t h e r e s p o n s i b i l i t y f o r c o m p l i a n c e
w i t h p r o v i s i o n s o f t h i s S e c t i o n a n d w i t h S e c t i o n s 1 7 7 7 . 5 , 1 7 7 7 . 6 a n d 1 7 7 7 . 7 o f t h e
C a l i f o r n i a L a b o r C o d e i n r e g a r d t o a l l a p p r e n t i c e a b l e o c c u p a t i o n s l i e s w i t h C o n s u l t a n t
3 . 3 7 P r o v i s i o n s A p p l i c a b l e W h e n F e d e r a l D e p a r t m e n t o f T r a n s p o r t a t i o n
F u n d s A r e I n v o l v e d . W h e n f u n d i n g f o r t h e S e r v i c e s p r o v i d e d b y t h i s A g r e e m e n t a r e
p r o v i d e d , i n w h o l e o r i n p a r t , f r o m t h e U n i t e d S t a t e s D e p a r t m e n t o f T r a n s p o r t a t i o n ,
C o n s u l t a n t s h a l l a l s o f u l l y a n d a d e q u a t e l y c o m p l y w i t h t h e p r o v i s i o n s i n c l u d e d i n E x h i b i t
" D " ( F e d e r a l D e p a r t m e n t o f T r a n s p o r t a t i o n R e q u i r e m e n t s a n d C a l i f o r n i a D e p a r t m e n t o f
T r a n s p o r t a t i o n ( C a l t r a n s ) D B E p r o g r a m r e q u i r e m e n t s ) a t t a c h e d h e r e t o a n d i n c o r p o r a t e d
h e r e i n b y r e f e r e n c e .
3 . 3 8 S u r v i v a l . A l l r i g h t s a n d o b l i g a t i o n s h e r e u n d e r t h a t b y t h e i r n a t u r e
a r e t o c o n t i n u e a f t e r a n y e x p i r a t i o n o r t e r m i n a t i o n o f t h i s A g r e e m e n t , i n c l u d i n g , b u t n o t
l i m i t e d t o , t h e i n d e m n i f i c a t i o n a n d c o n f i d e n t i a l i t y o b l i g a t i o n s , s h a l l s u r v i v e a n y s u c h
e x p i r a t i o n o r t e r m i n a t i o n .
3 . 3 9 N o T h i r d P a r t y B e n e f i c i a r i e s . T h e r e a r e n o i n t e n d e d t h i r d p a r t y
b e n e f i c i a r i e s o f a n y r i g h t o r o b l i g a t i o n a s s u m e d b y t h e P a r t i e s .
3 . 4 0 L a b o r C e r t i f i c a t i o n . B y i t s s i g n a t u r e h e r e u n d e r , C o n s u l t a n t c e r t i f i e s
t h a t i t i s a w a r e o f t h e p r o v i s i o n s o f S e c t i o n 3 7 0 0 o f t h e C a l i f o r n i a L a b o r C o d e w h i c h
r e q u i r e e v e r y e m p l o y e r t o b e i n s u r e d a g a i n s t l i a b i l i t y f o r W o r k e r s ' C o m p e n s a t i o n o r t o
u n d e r t a k e s e l f - i n s u r a n c e i n a c c o r d a n c e w i t h t h e p r o v i s i o n s o f t h a t C o d e , a n d a g r e e s t o
c o m p l y w i t h s u c h p r o v i s i o n s b e f o r e c o m m e n c i n g t h e p e r f o r m a n c e o f t h e S e r v i c e s .
3 . 4 1 C o u - n t e r p a r t s . T h i s A g r e e m e n t m a y b e s i g n e d i n c o u n t e r p a r t s ,
e a c h o f w h i c h s h a l l c o n s t i t u t e a n o r i g i n a l .
3 . 4 2 I n c o r p o r a t i o n o f R e c i t a l s . T h e r e c i t a l s s e t f o r t h a b o v e a r e t r u e a n d
c o r r e c t a n d a r e i n c o r p o r a t e d i n t o t h i s A g r e e m e n t a s t h o u g h f u l l y s e t f o r t h h e r e i n .
3 . 4 3 N o W a i v e r . F a i l u r e o f C o m m i s s i o n t o i n s i s t o n a n y o n e o c c a s i o n
u p o n s t r i c t c o m p l i a n c e w i t h a n y o f t h e t e r m s , c o v e n a n t s o r c o n d i t i o n s h e r e o f s h a l l n o t
b e d e e m e d a w a i v e r o f s u c h t e r m , c o v e n a n t o r c o n d i t i o n , n o r s h a l l a n y w a i v e r o r
r e l i n q u i s h m e n t o f a n y r i g h t s o r p o w e r s h e r e u n d e r a t a n y o n e t i m e o r m o r e t i m e s b e
d e e m e d a w a i v e r o r r e l i n q u i s h m e n t o f s u c h o t h e r r i g h t o r p o w e r a t a n y o t h e r t i m e o r
t i m e s .
[ S i g n a t u r e s o n f o l l o w i n g p a g e ]
2 1
6 9
SIGNATURE PAGE
TO
PROFESSIONAL SERVICES AGREEMENT
WITH FHWA FUNDING/ASSISTANCE
IN WITNESS WHEREOF, this Agreement was executed on the date first written
above.
RIVERSIDE COUNTY CONSULTANT
TRANSPORTATION COMMISSION TR DESIGN GROUP
By: By:
[INSERT NAME] Signature
Chair
Name
[NOT NEEDED IF APPROVED BY
COMMISSION]
Title
By:
Anne Mayer
Executive Director
Approved as to Form: ATTEST:
By: By:
Best, Best & Krieger LLP
General Counsel Its: Secretary
22
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M O D E L P R O F E S S I O N A L S E R V I C E S A G R E E M E N T - E X H I B I T " A "
S C O P E O F S E R V I C E S
L _ I N S E R T _ j
A - 1
7 1
MODEL PROFESSIONAL SERVICES AGREEMENT -EXHIBIT "8"
SCHEDULE OF SERVICES
L_INSERT__j
B-1
72
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M O D E L A G R E E M E N T - E X H I B I T " C "
C O M P E N S A T I O N A N D P A Y M E N T
F o r t h e s a t i s f a c t o r y p e r f o r m a n c e a n d c o m p l e t i o n o f t h e S e r v i c e s u n d e r t h i s A g r e e m e n t ,
t h e C o m m i s s i o n w i l l p a y t h e C o n s u l t a n t c o m p e n s a t i o n a s s e t f o r t h h e r e i n .
1 . E L E M E N T S O F C O M P E N S A T I O N .
C o m p e n s a t i o n f o r t h e S e r v i c e s w i l l b e c o m p r i s e d o f t h e f o l l o w i n g e l e m e n t s :
1 . 1 D i r e c t L a b o r C o s t s ; 1 . 2 F i x e d F e e ; a n d 1 . 3 A d d i t i o n a l D i r e c t C o s t s .
1 . 1 D I R E C T L A B O R C O S T S .
D i r e c t L a b o r c o s t s s h a l l b e p a i d i n a n a m o u n t e q u a l t o t h e p r o d u c t o f t h e
D i r e c t S a l a r y C o s t s a n d t h e M u l t i p l i e r w h i c h t e r m s a r e d e f i n e d a s f o l l o w s :
1 . 1 . 1 D I R E C T S A L A R Y C O S T S
D i r e c t S a l a r y C o s t s a r e t h e b a s e s a l a r i e s a n d w a g e s a c t u a l l y p a i d t o t h e
C o n s u l t a n t ' s p e r s o n n e l d i r e c t l y e n g a g e d i n p e r f o r m a n c e o f t h e S e r v i c e s
u n d e r t h e A g r e e m e n t . ( T h e r a n g e o f h o u r l y r a t e s p a i d t o t h e C o n s u l t a n t ' s
p e r s o n n e l a p p e a r s i n S e c t i o n 2 , b e l o w . )
1 . 1 . 2 M U L T I P L I E R
T h e T o t a l M u l t i p l i e r t o b e a p p l i e d t o t h e D i r e c t S a l a r y C o s t s t o d e t e r m i n e
t h e D i r e c t L a b o r C o s t s i s d e t e r m i n e d a s f o l l o w s :
1 . 1 . 2 . 1 D i r e c t S a l a r y C o s t s ( O S )
D i r e c t S a l a r y C o s t s a r e t h e b a s e s a l a r i e s a n d w a g e s a c t u a l l y p a i d
t o t h e C o n s u l t a n t ' s p e r s o n n e l d i r e c t l y e n g a g e d i n t h e p e r f o r m a n c e
o f t h e S e r v i c e s d e s c r i b e d I t h e A g r e e m e n t . ( T h e r a n g e o f h o u r l y
r a t e s p a i d t o t h e C o n s u l t a n t ' s p e r s o n n e l a p p e a r s i n s e c t i o n 2 ,
b e l o w . )
1 . 1 . 2 . 2 P a y r o l l A d d i t i v e s ( P A )
P a y r o l l A d d i t i v e s i n c l u d e a l l e m p l o y e e b e n e f i t s , a l l o w a n c e s f o r
v a c a t i o n , s i c k l e a v e , a n d h o l i d a y s , a n d c o m p a n y p o r t i o n o f �
e m p l o y e e i n s u r a n c e a n d s o c i a l a n d r e t i r e m e n t b e n e f i t s , a l l f e d e r a l
a n d s t a t e p a y r o l l t a x e s , p r e m i u m s f o r i n s u r a n c e w h i c h a r e
m e a s u r e d b y p a y r o l l c o s t s , a n d o t h e r c o n t r i b u t i o n s a n d b e n e f i t s
i m p o s e d b y a p p l i c a b l e l a w s a n d r e g u l a t i o n s . ( T h i s e n t r y i s t h e
d e c i m a l r a t i o o f P a y r o l l A d d i t i v e s t o D i r e c t S a l a r y C o s t s . )
C - 1
7 3
1.1.2.3 Overhead Costs (OC)
Allowable Overhead Costs include general, administrative and
overhead costs of maintaining and operating established offices,
and consistent with established firm policies, and as defined in the
Federal Acquisitions Regulations, Part 31.2. (This entry is the
decimal ratio of allowable Overhead Costs to Direct Salary costs.)
1.1.2.4 Profit (P)
Profit is a decimal multiplier applied to the sum of Direct Salary
Costs, the Payroll Additive Costs, and Overhead Costs.
Total Multiplier
This is the sum of the Direct Salary Costs, the Payroll Additive
Costs, and the Overhead Costs multiplied by the Profit multiplier.
Direct Labor Cost =
DS+PA+OC + P(DS+PA+OC) = (1+P)(DS+PA+OC)
1.2 FIXED FEE.
•
1.2.1 The Fixed Fee is the Profit as determined in Section 1.1.2.4. The
Maximum Fixed Fee under this Agreement shall not exceed •
$ without written approval of the Commission's Executive
Director.
1.2.2 A pro-rata share of the Fixed Fee shall be applied to the total Direct
Labor Costs expended for services each month, and shall be
included on each monthly invoice.
1.3 ADDITIONAL DIRECT COSTS.
Additional Direct Costs directly identifiable to the performance of the
Services shall be reimbursed at the rates below, or at actual invoiced cost.
(example)
Per Diem
Car Mileage
Rental Car
Travel
Photocopies (B&W)
Photocopies (Color)
Photographs/Reprographics
C-2
74
Reimbursement Rate
Actual Cost
Current IRS Rate
Actual Cost
Actual Cost
$/copy
$/copy
Actual Cost •
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P o s t a g e / s h i p p i n g
C o u r i e r S e r v i c e
O t h e r R e n t a l s , s u p p l i e s , p u r c h a s e s
A c t u a l C o s t
A c t u a l C o s t
A c t u a l C o s t
( T r a v e l b y a i r a n d t r a v e l i n e x c e s s o f 1 0 0 m i l e s f r o m t h e C o n s u l t a n t ' s
o f f i c e n e a r e s t t o t h e C o m m i s s i o n s o f f i c e m u s t h a v e t h e C o m m i s s i o n ' s
p r i o r w r i t t e n a p p r o v a l t o b e r e i m b u r s e d p e r t h i s A g r e e m e n t .
2 . D I R E C T S A L A R Y R A T E S .
D i r e c t S a l a r y R a t e s , u s e d i n d e t e r m i n i n g D i r e c t L a b o r C o s t s i n S e c t i o n 1 . 1
a b o v e , a r e p r o v i d e d b e l o w a n d a r e s u b j e c t t o t h e f o l l o w i n g :
2 . 1 D i r e c t S a l a r y R a t e s s h a l l b e a p p l i c a b l e t o b o t h s t r a i g h t t i m e a n d o v e r t i m e
w o r k , u n l e s s p a y m e n t o f a p r e m i u m f o r o v e r t i m e w o r k i s r e q u i r e d b y l a w ,
r e g u l a t i o n o r c r a f t a g r e e m e n t , o r i s o t h e r w i s e s p e c i f i e d i n t h i s A g r e e m e n t .
I n s u c h e v e n t , t h e p r e m i u m p o r t i o n o f D i r e c t S a l a r y C o s t s w i l l n o t b e
s u b j e c t t o t h e M u l t i p l i e r d e f i n e d i n p a r a g r a p h 1 . 1 . 2 a b o v e .
2 . 2 D i r e c t S a l a r y R a t e s s h o w n h e r e i n o r l i s t e d i n t h e a p p r o v e d c o s t p r o p o s a l
f o r s u b c o n s u l t a n t s a r e i n e f f e c t f o r o n e y e a r f o l l o w i n g t h e e f f e c t i v e d a t e o f
t h e A g r e e m e n t . T h e r e a f t e r , t h e y m a y b e a d j u s t e d a n n u a l l y t o r e f l e c t t h e
C o n s u l t a n t ' s a d j u s t m e n t s t o i n d i v i d u a l c o m p e n s a t i o n p r o v i d e d t h a t
p a y m e n t r a t e a d j u s t m e n t s f o r t h i s a g r e e m e n t s h a l l b e c o n f i r m e d i n w r i t i n g
b y t h e C o m m i s s i o n ' s r e p r e s e n t a t i v e . T h e C o n s u l t a n t s h a l l n o t i f y t h e
C o m m i s s i o n i n w r i t i n g p r i o r t o a r e q u e s t e d c h a n g e i n t h e r a n g e o f r a t e s
p r i o r t o e a c h s u b s e q u e n t c h a n g e .
2 ; 3 P o s i t i o n o r C l a s s i f i c a t i o n
( s a m p l e )
P r i n c i p a l
P r o j e c t M a n a g e r / R e s i d e n t E n g i n e e r
E n g i n e e r
S e c r e t a r y
R a n g e o f H o u r l y R a t e s
$ x . x x - $ y . y y / h o u r
$ x . x x - $ y . y y / h o u r
$ x . x x - $ y . y y / h o u r
$ x . x x - $ y . y y / h o u r
2 . 4 T h e a b o v e r a t e s a r e f o r t h e C o n s u l t a n t o n l y . A l l r a t e s f o r s u b c o n s u l t a n t s
t o t h e C o n s u l t a n t w i l l b e i n a c c o r d a n c e w i t h C o n s u l t a n t ' s c o s t p r o p o s a l .
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3. INVOICING.
3.1 Each month the Consultant shall submit an invoice for Services performed
during the preceding month. The original invoice shall be submitted to the
Commission's Executive Director with two (2) copies to the Commission's
Construction Manager.
3.2 Charges shall be billed in accordance with the terms and rates included
herein, unless otherwise agreed 1n writing by the Commission's
Representative.
3.3 Base Work and Extra Work shall be charged separately, and the charges
for each task listed in the Scope of Services, shall be listed separately.
The charges for each individual assigned by the Consultant under this
Agreement shall be listed separately on an attachment to the invoice.
3.4 A charge of $500 or more for any one item of Cost of Other Direct Costs
shall be accompanied by substantiating documentation satisfactory to the
Commission such as invoices, telephone logs, etc.
3.5 Each copy of each invoice shall be accompanied by a Monthly Progress
Report and spreadsheets showing hours expended by task for each
month and total project to date.
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3.6 Each invoice shall indicate payments to DBE subconsultants or supplies •
by dollar amount and as a percentage of the total invoice.
3. 7 Each invoice shall include a certificate signed by the Consultant's
Representative or an officer of the firm which reads as follows:
I hereby certify that the hours and salary rates charged in this invoice are
the actual hours and rates worked and paid to the employees listed.
Signed
Title
Date
Invoice No.
4. PAYMENT.
4.1 The Commission will pay the Consultant within four to six weeks after
receipt by the Commission of an original invoice. Should the Commission
contest any portion of an invoice, that portion shall be held for resolution,
without interest, but the uncontested balance will be paid.
4.2 The final payment for Services under this Agreement will be made only
after the Consultant has executed a Release and Certificate of Final •
Payment.
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MODEL AGREEMENT -EXHIBIT "D"
CERTIFICATE OF COMMISSION
I HEREBY CERTIFY that I am the of the
RIVERSIDE COUNTY TRANSPORTATION COMMISSION, and that the consulting firm
of or its representative has not been required
(except as herein expressly stated}, directly or indirectly, as an express or implied
condition in connection with obtaining or carrying out this Agreement to:
(a) employ, retain, agree to employ or retain, any firm or person; or
(b) pay or agree to pay, to any firm, person or organization, any fee,
contribution, donation, or consideration of any kind.
acknowledge that this Certificate is to be made available to the California
Department of Transportation (Caltrans) in connection with this Agreement involving
participation of federal-aid Highway funds, and is subject to applicable State and
Federal laws, both criminal and civil.
By:
Signature
Name
Title
Date
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M O D E L A G R E E M E N T - E X H I B I T " E "
F E D E R A L D E P A R T M E N T O F T R A N S P O R T A T I O N
F H W A A N D C A L T R A N S R E Q U I R E M E N T S
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FEDERAL DEPARTMENT OF TRANSPORTATION
FHWA AND CAL TRANS REQUIREMENTS
Notwithstanding anything to the contrary contained in the Agreement, including the
other Exhibits attached thereto, the following provisions shall apply if funding for the
Services is provided, in whole or in part, from the United States Department of
Transportation:
1. 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 contract. Consultant 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.
2. 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. This clause applies to both DBE and non-DBE
subcontractors.
3. RELEASE OF RETAINAGE
The Commission shall hold retainage from the prime contractor and shall make prompt
and regular incremental acceptances of portions, as determined by the Commission of
the contract work and pay retainage to prime contractors based on these acceptances.
The prime contractor or subcontractor shall return all monies withheld in retention from
a subcontractor within 30 days after receiving payment for work satisfactorily completed
and accepted including incremental acceptances of portions of the contract work by the
Commission. Federal regulations (49 CFR 26.29) require that any delay or
postponement of payment over 30 days may take place only for good cause and with
the Commission's prior written approval. Any violation of this provision shall subject the
violating prime contractor or subcontractor to the penalties, sanctions, and other
remedies specified in Section 7108.5 of the California Business and Professions Code.
These requirements shall not be construed to limit or impair any contractual,
administrative, or judicial remedies otherwise available to the prime contractor or
subcontractor in the event of a dispute involving late payment or nonpayment by the
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p r i m e c o n t r a c t o r , d e f i c i e n t s u b c o n t r a c t p e r f o r m a n c e , o r n o n c o m p l i a n c e b y a
s u b c o n t r a c t o r . T h i s p r o v i s i o n a p p l i e s t o b o t h D B E a n d n o n - D B E p r i m e c o n t r a c t o r s a n d
s u b c o n t r a c t o r s .
4 . L E G A L R E M E D I E S
I n a d d i t i o n t o t h o s e c o n t r a c t r e m e d i e s s e t f o r t h u n d e r r e l e v a n t p r o v i s i o n s o f C a l i f o r n i a
l a w , e i t h e r p a r t y t o t h i s A g r e e m e n t m a y , w h e r e a p p l i c a b l e , s e e k l e g a l r e d r e s s f o r
v i o l a t i o n s o f t h i s A g r e e m e n t p u r s u a n t t o t h e r e l e v a n t p r o v i s i o n s o f 4 9 C . F . R . P a r t s 2 3
a n d 2 6 , t o t h e r e l e v a n t f e d e r a l o r s t a t e s t a t u t o r y p r o v i s i o n s g o v e r n i n g c i v i l r i g h t s
v i o l a t i o n s , a n d t o t h e r e l e v a n t f e d e r a l a n d s t a t e p r o v i s i o n s g o v e r n i n g f a l s e c l a i m s o r
" w h i s t l e b l o w e r " a c t i o n s , a s w e l l a s a n y a n d a l l o t h e r a p p l i c a b l e f e d e r a l a n d s t a t e
p r o v i s i o n s o f l a w .
T h e C o n s u l t a n t s h a l l i n c l u d e a p r o v i s i o n t o t h i s e f f e c t i n e a c h o f i t s a g r e e m e n t s w i t h i t s
s u b c o n t r a c t o r s .
5 . D B E P A R T I C I P A T I O N .
C a l t r a n s h a s d e v e l o p e d a r e v i s e d s t a t e w i d e D B E p r o g r a m p u r s u a n t t o 4 9 C . F . R . P a r t
2 6 . T h e r e q u i r e m e n t s a n d p r o c e d u r e s , a s a p p l i c a b l e , o f t h e C a l t r a n s D B E p r o g r a m a r e
h e r e b y i n c o r p o r a t e d b y r e f e r e n c e i n t o t h i s A g r e e m e n t . E v e n i f n o D B E p a r t i c i p a t i o n w i l l
b e r e p o r t e d , C o n s u l t a n t s h a l l c o m p l e t e t h e f o r m s i n c l u d e d i n E x h i b i t " H " o f t h i s R F Q i n
c o m p l i a n c e w i t h t h e C a l t r a n s D B E p r o g r a m . A s p a r t o f t h e r e v i s e d p r o g r a m , C a l t r a n s
h a s a d o p t e d a m a n d a t o r y r a c e c o n s c i o u s D B E G o a l i n a d d i t i o n t o t h e r a c e - n e u t r a l g o a l .
A T h i s A g r e e m e n t i s s u b j e c t t o T i t l e 4 9 , P a r t 2 6 o f t h e C o d e o f F e d e r a l R e g u l a t i o n s
e n t i t l e d " P a r t i c i p a t i o n b y D i s a d v a n t a g e d B u s i n e s s E n t e r p r i s e s i n D e p a r t m e n t o f
T r a n s p o r t a t i o n F i n a n c i a l A s s i s t a n c e P r o g r a m s . " C o n s u l t a n t s w h o o b t a i n D B E
p a r t i c i p a t i o n o n t h i s c o n t r a c t w i l l a s s i s t t h e C o m m i s s i o n i n m e e t i n g i t s o v e r a l l D B E
p r o j e c t g o a l .
B . I f t h e A g r e e m e n t h a s a D B E g o a l , t h e C o n s u l t a n t m u s t m e e t t h e D B E g o a l b y
u s i n g D B E s a s a s u b c o n t r a c t o r o r d o c u m e n t a g o o d f a i t h e f f o r t t o m e e t t h e g o a l . I f a
D B E s u b c o n t r a c t o r i s u n a b l e t o p e r f o r m , t h e C o n s u l t a n t m u s t m a k e a g o o d f a i t h e f f o r t t o
r e p l a c e h i m / h e r w i t h a n o t h e r D B E s u b c o n t r a c t o r i f t h e g o a l i s n o t o t h e r w i s e m e t . A D B E
i s a f i r m m e e t i n g t h e d e f i n i t i o n o f a D B E a s s p e c i f i e d i n 4 9 C F R P a r t 2 6 a n d i s o n e o f
t h e f o l l o w i n g g r o u p s :
1 . B l a c k A m e r i c a n
2 . A s i a n - P a c i f i c A m e r i c a n
3 . N a t i v e A m e r i c a n
4 . H i s p a n i c A m e r i c a n
5 . S u b c o n t i n e n t A s i a n A m e r i c a n
6 . W o m e n
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C. DBE and other small businesses (SB), as defined in Title 49 CFR, Part 26 are
encouraged to participate in the performance of agreements financed in whole or in part •
with federal funds. The Consultant or subconsultant shall not discriminate on the basis
of race, color, national origin, or sex in the performance of this Agreement. The
Consultant shall carry out applicable requirements of 49 CFR, Part 26 in the award and
administration of US DOT-assisted agreements. Failure by the contractor 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 or the
Department of Transportation deems appropriate.
D. Any subcontract entered into as a result of this Agreement shall contain all of the
provisions of this section.
6. DBE PARTICIPATION GENERAL INFORMATION.
It is Consultant's responsibility to be fully informed regarding the requirements of 49
CFR, Part 26, and the Caltrans DBE program. Particular attention is directed to the
following:
A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be
certified through the California Unified Certification Program (CUCP).
B. A certified DBE may participate as a prime contractor, subcontractor, joint
venture partner, as a vendor of material or supplies, or as a trucking company. •
C. A DBE joint-venture partner must be responsible for specific contract items of
work or clearly defined portions thereof. Responsibility means actually performing,
managing and supervising the work with its own forces. The DBE joint venture partner
must share in the capital contribution, control, management, risks and profits of the
joint-venture commensurate with its ownership interest.
D. A DBE must perform a commercially useful function, pursuant to 49 CFR 26.55.
that is, must be responsible for the execution of a distinct element of the work and must
carry out its responsibility by actually performing, managing and supervising the work,
as more fully described in section 8 below.
E. The Consultant shall list only one subcontractor for each portion of work as
defined in the Consultant's bid/proposal and all DBE subcontractors should be listed in
the Consultant's bid/cost proposal list of subcontractors.
F. A Consultant who is a certified DBE is eligible to claim all of the work in the
Agreement toward the DBE participation except that portion of the work to be performed
by non-DBE subcontractors.
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" 7 . C O M M E R C I A L L Y U S E F U L F U N C T I O N .
A . A D B E p e r f o r m s a c o m m e r c i a l l y u s e f u l f u n c t i o n w h e n i t i s r e s p o n s i b l e f o r
e x e c u t i o n o f t h e w o r k o f t h e A g r e e m e n t a n d i s c a r r y i n g o u t i t s r e s p o n s i b i l i t i e s b y a c t u a l l y
p e r f o r m i n g , m a n a g i n g , a n d s u p e r v i s i n g t h e w o r k i n v o l v e d . T o p e r f o r m a c o m m e r c i a l l y
u s e f u l f u n c t i o n , t h e D B E m u s t a l s o b e r e s p o n s i b l e w i t h r e s p e c t t o m a t e r i a l s a n d
s u p p l i e s u s e d o n t h e A g r e e m e n t , f o r n e g o t i a t i n g p r i c e , d e t e r m i n i n g q u a l i t y a n d q u a n t i t y ,
o r d e r i n g t h e m a t e r i a l , a n d i n s t a l l i n g ( w h e r e a p p l i c a b l e ) a n d p a y i n g f o r t h e m a t e r i a l i t s e l f .
T o d e t e r m i n e w h e t h e r a D B E i s p e r f o r m i n g a c o m m e r c i a l l y u s e f u l f u n c t i o n , e v a l u a t e t h e
a m o u n t o f w o r k s u b c o n t r a c t e d , i n d u s t r y p r a c t i c e s ; w h e t h e r t h e a m o u n t t h e f i r m i s t o b e
p a i d u n d e r t h e A g r e e m e n t i s c o m m e n s u r a t e w i t h t h e w o r k i t i s a c t u a l l y p e r f o r m i n g , a n d
o t h e r r e l e v a n t f a c t o r s .
B . A D B E d o e s n o t p e r f o r m a c o m m e r c i a l l y u s e f u l f u n c t i o n i f i t s r o l e i s l i m i t e d t o t h a t
o f a n e x t r a p a r t i c i p a n t i n a t r a n s a c t i o n , A g r e e m e n t , o r p r o j e c t t h r o u g h w h i c h f u n d s a r e
p a s s e d i n o r d e r t o o b t a i n t h e a p p e a r a n c e o f D B E p a r t i c i p a t i o n . I n d e t e r m i n i n g w h e t h e r a
D B E i s s u c h a n e x t r a p a r t i c i p a n t , e x a m i n e s i m i l a r t r a n s a c t i o n s , p a r t i c u l a r l y t h o s e i n
w h i c h D B E s d o n o t p a r t i c i p a t e .
C . I f a D B E d o e s n o t p e r f o r m o r e x e r c i s e r e s p o n s i b i l i t y f o r a t l e a s t t h i r t y p e r c e n t o f
t h e t o t a l c o s t o f i t s A g r e e m e n t w i t h i t s o w n w o r k f o r c e , o r t h e D B E s u b c o n t r a c t s a
g r e a t e r p o r t i o n o f t h e w o r k o f t h e A g r e e m e n t t h a n w o u l d b e e x p e c t e d o n t h e b a s i s o f
n o r m a l i n d u s t r y p r a c t i c e f o r t h e t y p e o f w o r k i n v o l v e d , i t w i l l b e p r e s u m e d t h a t i t i s n o t
" p e r f o r m i n g a c o m m e r c i a l l y u s e f u l f u n c t i o n .
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8 . D B E C E R T I F I C A T I O N A N D D E - C E R T I F I C A T I O N S T A T U S .
I f a D B E s u b c o n t r a c t o r i s d e c e r t i f i e d d u r i n g t h e l i f e o f t h e A g r e e m e n t , t h e d e c e r t i f i e d
s u b c o n t r a c t o r s h a l l n o t i f y t h e C o n s u l t a n t i n w r i t i n g w i t h t h e d a t e o f d e - c e r t i f i c a t i o n . I f a
s u b c o n t r a c t o r b e c o m e s a c e r t i f i e d D B E d u r i n g t h e l i f e o f t h e A g r e e m e n t , t h e
s u b c o n t r a c t o r s h a l l n o t i f y t h e C o n s u l t a n t i n w r i t i n g w i t h t h e d a t e o f c e r t i f i c a t i o n . A n y
c h a n g e s s h o u l d b e r e p o r t e d t o t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e w i t h i n 3 0 d a y s .
9 . D B E R E C O R D S .
A . T h e C o n s u l t a n t s h a l l m a i n t a i n r e c o r d s o f m a t e r i a l s p u r c h a s e d a n d / o r s u p p l i e d
f r o m a l l s u b c o n t r a c t s e n t e r e d i n t o w i t h c e r t i f i e d D B E s . T h e r e c o r d s s h a l l s h o w t h e n a m e
a n d b u s i n e s s a d d r e s s o f e a c h D B E o r v e n d o r a n d t h e t o t a l d o l l a r a m o u n t a c t u a l l y p a i d
e a c h D B E o r v e n d o r , r e g a r d l e s s o f t i e r . T h e r e c o r d s s h a l l s h o w t h e d a t e o f p a y m e n t a n d
t h e t o t a l d o l l a r f i g u r e p a i d t o a l l f i r m s . D B E p r i m e C o n s u l t a n t s s h a l l a l s o s h o w t h e d a t e
o f w o r k p e r f o r m e d b y t h e i r o w n f o r c e s a l o n g w i t h t h e c o r r e s p o n d i n g d o l l a r v a l u e o f t h e
w o r k .
B . U p o n c o m p l e t i o n o f t h e A g r e e m e n t , a s u m m a r y o f t h e s e r e c o r d s s h a l l b e
p r e p a r e d a n d s u b m i t t e d o n t h e f o r m e n t i t l e d , " F i n a l R e p o r t - U t i l i z a t i o n o f D i s a d v a n t a g e d
B u s i n e s s E n , t e r p r i s e s ( D B E ) , " C E M - 2 4 0 2 F ( E x h i b i t 1 7 - F i n C h a p t e r 1 7 o f t h e L A P ) ,
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certified correct by the Consultant or the Consultant's authorized representative and
shall be furnished to the Commission's Representative with the final invoice. Failure to •
provide the summary of DBE payments with the final invoice will result in twenty-five
percent (25%) of the dollar value of the invoice being withheld from payment until the
form is submitted. The amount will be returned to the Consultant when a satisfactory
"Final Report Utilization of Disadvantaged Business Enterprises (DBE)"is submitted to
the Commission's Representative.
C. Prior to the fifteenth of each month, the Consultant shall submit documentation to
the Commission's Representative showing the amount paid to DBE trucking companies.
The Consultant shall also obtain and submit documentation to the Commission's
Representative showing the amount paid by DBE trucking companies to all firms,
including owner-operators, for the leasing of trucks. If the DBE leases trucks from a
non-DBE, the Consultant may count only the fee or commission the DBE receives as a
result of the lease arrangement.
D. The Consultant shall also submit to the Commission's Representative
documentation showing the truck number, name of owner, California Highway Patrol CA
number, and if applicable, the DBE certification number of the truck owner for all trucks
used during that month. This documentation shall be submitted on the Caltrans
"Monthly DBE Trucking Verification", CEM-2404(F) form provided to the Contractor by
the Commission's Representative.
10. REPORTING MATERIAL OR SUPPLIES PURCHASED FROM DBEs.
When Reporting DBE Participation, Material or Supplies purchased from DBEs may
count as follows:
A. If the materials or supplies are obtained from a DBE manufacturer, 100 % of the
cost of the materials or supplies will count toward the DBE participation. A DBE
manufacturer is a firm that operates or maintains a factory or establishment that
produces on the premises, the materials, supplies, articles, or equipment required under
the Agreement and of the general character described by the specifications.
B. If the materials or supplies purchased from a DBE regular dealer, count 60 % of
the cost of the materials or supplies toward DBE goals. A DBE regular dealer is a firm
that owns, operates or maintains a store, warehouse, or other establishment in which
the materials, supplies, articles or equipment of the general character described by the
specifications and required under the Agreement, are bought, kept in stock, and
regularly sold or leased to the public in the usual course of business. To be a DBE
regular dealer, the firm must be an established, regular business that engages, as its
principal business and under its own name, in the purchase and sale or lease of the
products in question. A person may be a DBE regular dealer in such bulk items as
petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or
maintaining a place of business provided in this section.
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C . I f t h e p e r s o n b o t h o w n s a n d o p e r a t e s d i s t r i b u t i o n e q u i p m e n t f o r t h e p r o d u c t s , a n y
s u p p l e m e n t i n g o f r e g u l a r d e a l e r s ' o w n d i s t r i b u t i o n e q u i p m e n t , s h a l l b e b y a l o n g - t e r m
l e a s e a g r e e m e n t a n d n o t a n a d h o c o r A g r e e m e n t - b y - A g r e e m e n t b a s i s . P a c k a g e r s ,
b r o k e r s , m a n u f a c t u r e r s ' r e p r e s e n t a t i v e s , o r o t h e r p e r s o n s w h o a r r a n g e o r e x p e d i t e
t r a n s a c t i o n s a r e n o t D B E r e g u l a r d e a l e r s w i t h i n t h e m e a n i n g o f t h i s s e c t i o n .
D . M a t e r i a l s o r s u p p l i e s p u r c h a s e d f r o m a D B E , w h i c h i s n e i t h e r a m a n u f a c t u r e r n o r
a r e g u l a r d e a l e r , w i l l b e l i m i t e d t o t h e e n t i r e a m o u n t o f f e e s o r c o m m i s s i o n s c h a r g e d f o r
a s s i s t a n c e i n t h e p r o c u r e m e n t o f t h e m a t e r i a l s a n d s u p p l i e s , o r f e e s o r t r a n s p o r t a t i o n
c h a r g e s f o r t h e d e l i v e r y o f m a t e r i a l s o r s u p p l i e s r e q u i r e d o n t h e j o b s i t e , p r o v i d e d t h e
f e e s a r e r e a s o n a b l e a n d n o t e x c e s s i v e a s c o m p a r e d w i t h f e e s c h a r g e d f o r s i m i l a r
s e r v i c e s .
1 1 . R E P O R T I N G P A R T I C I P A T I O N O F D B E T R U C K I N G C O M P A N I E S .
W h e n R e p o r t i n g D B E P a r t i c i p a t i o n , P a r t i c i p a t i o n o f D B E t r u c k i n g c o m p a n i e s m a y c o u n t
a s f o l l o w s :
A . T h e D B E m u s t b e r e s p o n s i b l e f o r t h e m a n a g e m e n t a n d s u p e r v i s i o n o f t h e e n t i r e
t r u c k i n g o p e r a t i o n f o r w h i c h i t i s r e s p o n s i b l e .
B . T h e D B E m u s t i t s e l f o w n a n d o p e r a t e a t l e a s t o n e f u l l y l i c e n s e d , i n s u r e , a n d
o p e r a t i o n a l t r u c k u s e d o n t h e A g r e e m e n t .
C . T h e D B E r e c e i v e s c r e d i t f o r t h e t o t a l v a l u e o f t h e t r a n s p o r t a t i o n s e r v i c e s i t
p r o v i d e s o n t h e A g r e e m e n t u s i n g t r u c k s i t o w n s , i n s u r e s , a n d o p e r a t e s u s i n g d r i v e r s i t
e m p l o y s .
D . T h e D B E m a y l e a s e t r u c k s f r o m a n o t h e r D B E f i r m i n c l u d i n g a n o w n e r - o p e r a t o r
w h o i s c e r t i f i e d a s a D B E . T h e D B E w h o l e a s e s t r u c k s f r o m a n o t h e r D B E r e c e i v e s c r e d i t
f o r t h e t o t a l v a l u e o f t h e t r a n s p o r t a t i o n s e r v i c e s t h e J e s s e e D B E p r o v i d e s o n t h e
A g r e e m e n t .
E . T h e D B E m a y a l s o l e a s e t r u c k s f r o m a n o n - D B E f i r m , i n c l u d i n g a n o w n e r -
o p e r a t o r . T h e D B E w h o l e a s e s t r u c k s f r o m a n o n - D B E i s e n t i t l e d t o c r e d i t o n l y f o r t h e
f e e o r c o m m i s s i o n i t r e c e i v e s a s a r e s u l t o f t h e l e a s e a r r a n g e m e n t . T h e D B E d o e s n o t
r e c e i v e c r e d i t f o r t h e t o t a l v a l u e o f t h e t r a n s p o r t a t i o n s e r v i c e s p r o v i d e d b y t h e J e s s e e ,
s i n c e t h e s e s e r v i c e s a r e n o t p r o v i d e d b y t h e D B E .
F . F o r t h e p u r p o s e s o f t h i s s e c t i o n , a l e a s e m u s t i n d i c a t e t h a t t h e D B E h a s
e x c l u s i v e u s e a n d c o n t r o l o v e r t h e t r u c k . T h i s d o e s n o t p r e c l u d e t h e l e a s e d t r u c k f r o m
w o r k i n g f o r o t h e r s d u r i n g t h e t e r m o f t h e l e a s e w i t h t h e c o n s e n t o f t h e D B E , a s l o n g a s
t h e l e a s e g i v e s t h e D B E a b s o l u t e p r i o r i t y f o r u s e o f t h e l e a s e d t r u c k . L e a s e d t r u c k s
m u s t d i s p l a y t h e n a m e a n d i d e n t i f i c a t i o n n u m b e r o f t h e D B E .
E - 7
8 5
12. 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 Sub Consultant
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.
E-8
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a u t h o r i z e d r e p r e s e n t a t i v e o f t h e f i r m o f - - - - - - - - - - - - - - - - -
w h o s e a d d r e s s i s
a n d t h a t , e x c e p t a s h e r e b y e x p r e s s l y s t a t e d , n e i t h e r I n o r t h e a b o v e f i r m t h a t I r e p r e s e n t
h a v e :
( a ) e m p l o y e d o r r e t a i n e d f o r a c o m m r s s r o n , p e r c e n t a g e , b r o k e r a g e ,
c o n t i n g e n t f e e , o r o t h e r c o n s i d e r a t i o n , a n y f i r m o r p e r s o n ( o t h e r t h a n a
b o n a f i d e e m p l o y e e w o r k i n g s o l e l y f o r m e o r t h e a b o v e c o n s u l t a n t ) t o
s o l i c i t o r s e c u r e t h i s a g r e e m e n t ; n o r
( b ) a g r e e d , a s a n e x p r e s s o r i m p l i e d c o n d i t i o n f o r o b t a i n i n g t h i s c o n t r a c t , t o
e m p l o y o r r e t a i n t h e s e r v i c e s o f a n y f i r m o r p e r s o n i n c o n n e c t i o n w i t h
c a r r y i n g o u t t h e a g r e e m e n t ; n o r
( c ) p a i d , o r a g r e e d t o p a y , t o a n y f i r m , o r g a n i z a t i o n o r p e r s o n ( o t h e r t h a n a
b o n a f i d e e m p l o y e e w o r k i n g s o l e l y f o r m e o r t h e a b o v e c o n s u l t a n t ) a n y
f e e , c o n t r i b u t i o n , d o n a t i o n , o r c o n s i d e r a t i o n o f a n y k i n d f o r , o r i n
c o n n e c t i o n w i t h , p r o c u r i n g o r c a r r y i n g o u t t h i s a g r e e m e n t .
a c k n o w l e d g e t h a t t h i s C e r t i f i c a t e i s t o b e m a d e a v a i l a b l e t o t h e C a l i f o r n i a
D e p a r t m e n t o f T r a n s p o r t a t i o n ( C a l t r a n s ) i n c o n n e c t i o n w i t h t h i s a g r e e m e n t i n v o l v i n g
p a r t i c i p a t i o n o f F e d e r a l - a i d H i g h w a y f u n d s , a n d i s s u b j e c t t o a p p l i c a b l e S t a t e a n d
F e d e r a l l a w s , b o t h c r i m i n a l a n d c i v i l .
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P u r s u a n t t o 4 0 C F R P a r t 3 4 ( w h i c h i s b y t h i s r e f e r e n c e i n c o r p o r a t e d h e r e i n ) , t h e
u n d e r s i g n e d c e r t i f i e s , t o t h e b e s t o f h i s o r h e r k n o w l e d g e a n d b e l i e f , t h a t :
( 1 ) N o F e d e r a l a p p r o p r i a t e d f u n d s h a v e b e e n p a i d o r w i l l b e p a i d , b y o r o n b e h a l f o f t h e
u n d e r s i g n e d , t o a n y p e r s o n f o r i n f l u e n c i n g o r a t t e m p t i n g t o i n f l u e n c e a n o f f i c e r o r
e m p l o y e e o f a n a g e n c y , a M e m b e r o f C o n g r e s s , a n o f f i c e r o r e m p l o y e e o f
C o n g r e s s , o r a n e m p l o y e e o f a M e m b e r o f C o n g r e s s i n c o n n e c t i o n w i t h t h e
a w a r d i n g o f a n y F e d e r a l c o n t r a c t , t h e m a k i n g o f a n y F e d e r a l g r a n t , t h e m a k i n g o f
a n y F e d e r a l l o a n , t h e e n t e r i n g i n t o o f a n y c o o p e r a t i v e a g r e e m e n t , a n d t h e
e x t e n s i o n , c o n t i n u a t i o n , r e n e w a l , a m e n d m e n t , o r m o d i f i c a t i o n o f a n y F e d e r a l
c o n t r a c t , g r a n t , l o a n , o r c o o p e r a t i v e a g r e e m e n t .
( 2 ) I f a n y f u n d s o t h e r t h a n F e d e r a l a p p r o p r i a t e d f u n d s h a v e b e e n p a i d o r w i l l b e p a i d
t o a n y p e r s o n f o r i n f l u e n c i n g o r a t t e m p t i n g t o i n f l u e n c e a n o f f i c e r o r e m p l o y e e o f
a n y a g e n c y , a M e m b e r o f C o n g r e s s , a n o f f i c e r o r e m p l o y e e o f C o n g r e s s , o r a n
e m p l o y e e o f a M e m b e r o f C o n g r e s s i n c o n n e c t i o n w i t h t h i s F e d e r a l c o n t r a c t ,
g r a n t , l o a n , o r c o o p e r a t i v e a g r e e m e n t , t h e u n d e r s i g n e d s h a l l c o m p l e t e a n d
s u b m i t S t a n d a r d F o r m - L L L , " D i s c l o s u r e F o r m t o R e p o r t L o b b y i n g , " i n
a c c o r d a n c e w i t h i t s i n s t r u c t i o n s .
( 3 ) T h e u n d e r s i g n e d s h a l l r e q u i r e t h a t t h e l a n g u a g e o f t h i s c e r t i f i c a t i o n b e i n c l u d e d i n
t h e a w a r d d o c u m e n t s f o r a l l s u b a w a r d s a t a l l t i e r s ( i n c l u d i n g s u b c o n t r a c t s , s u b
g r a n t s , a n d c o n t r a c t s u n d e r g r a n t s , l o a n s , a n d c o o p e r a t i v e a g r e e m e n t s ) a n d t h a t
a l l s u b r e c i p i e n t s s h a l l c e r t i f y a n d d i s c l o s e a c c o r d i n g l y . T h i s c e r t i f i c a t i o n i s a
m a t e r i a l r e p r e s e n t a t i o n o f f a c t u p o n w h i c h r e l i a n c e w a s p l a c e d w h e n t h i s
t r a n s a c t i o n w a s m a d e o r e n t e r e d i n t o . S u b m i s s i o n o f t h i s c e r t i f i c a t i o n i s a
p r e r e q u i s i t e f o r m a k i n g o r e n t e r i n g i n t o t h i s t r a n s a c t i o n i m p o s e d b y S e c t i o n 1 3 5 2 ,
t i t l e 3 1 , U . S . C o d e . A n y p e r s o n w h o f a i l s t o f i l e t h e r e q u i r e d c e r t i f i c a t i o n s h a l l b e
s u b j e c t t o a c i v i l p e n a l t y o f n o t l e s s t h a n $ 1 0 , 0 0 0 a n d n o t m o r e t h a n $ 1 0 0 , 0 0 0 f o r
e a c h s u c h f a i l u r e .
C o n t r a c t o r :
B y : B y :
( S i g n a t u r e ) ( S i g n a t u r e )
( P r i n t N a m e ) ( P r i n t N a m e )
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C o m p l e t e t h i s f o r m t o d i s c l o s e l o b b y i n g a c t i v i t i e s p u r s u a n t t o 3 1 U . S . C . 1 3 5 2
( S ' d f b l " b d d . I ) e e r e v e r s e s 1 e o r p u I C u r e n 1 s c o s u r e
1 . T y p e o f F e d e r a l a c t i o n : 2 . S t a t u s o f F e d e r a l a c t i o n : 3 . R e p o r t t y p e :
a . C o n t r a c t a . B i d / o f f e r a p p l i c a t i o n a . I n i t i a l f i l i n g
b . G r a n t b . I n i t i a l a w a r d b . M a t e r i a l c h a n g e s
c . C o o p e r a t i v e a g r e e m e n t c . P o s t - a w a r d F o r m a t e r i a l c h a n g e o n l y : d . L o a n
L o a n g u a r a n t e e Y e a r - - Q u a r t e r e . D a t e o f l a s t r e p o r t f . L o a n i n s u r a n c e
4 . N a m e a n d a d d r e s s o f r e p o r t i n g e n t i t y : 5 . I f r e p o r t i n g e n t i t y i n N o . 4 i s S u b a w a r d e e , e n t e r
P r i m e S u b a w a r d e e n a m e a n d a d d r e s s o f P r i m e :
T i e r I i f k n o w n :
C o n g r e s s i o n a l D i s t r i c t , i f k n o w n : C o n g r e s s i o n a l D i s t r i c t , i f k n o w n :
6 . F e d e r a l d e p a r t m e n t / a g e n c y 7 . F e d e r a l p r o g r a m n a m e / d e s c r i p t i o n :
C F D A n u m b e r , i f a p p l i c a b l e :
8 . F e d e r a l A c t i o n N u m b e r , i f k n o w n 9 . A w a r d a m o u n t , i f k n o w n
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1 0 a . N a m e a n d a d d r e s s o f l o b b y i n g e n t i t y 1 O b . I n d i v i d u a l s p e r f o r m i n g s e r v i c e s ( i n c l u d i n g
( I f i n d i v i d u a l : l a s t n a m e , f i r s t n a m e , m i d d l e a d d r e s s i f d i f f e r e n t f r o m N o . 1 O a ) ( l a s t n a m e ,
i n i t i a l ) f i r s t n a m e , m i d d l e i n i t i a l )
( A t t a c h C o n t i n u a t i o n S h e e t ( s ) S F - L L L - A i f n e c e s s a r y )
1 1 . A m o u n t o f p a y m e n t ( c h e c k a l l t h a t a p p l y ) : 1 3 . T y p e o f p a y m e n t ( c h e c k a l l t h a t a p p l y ) :
a . R e t a i n e r
$ A c t u a l 0 P l a n n e d 0 b . O n e - t i m e f e e
1 2 . F o r u m o f p a y m e n t ( c h e c k a l l t h a t a p p l y ) : C . C o m m i s s i o n
C a s h d . C o n t i n g e n t f e e a . D e f e r r e d b . I n - k i n d , s p e c i f y N a t u r e : e .
V a l u e : f . O t h e r , s p e c i f y :
1 4 . B r i e f d e s c r i p t i o n o f s e r v i c e s p e r f o r m e d o r t o b e p e r f o r m e d a n d d a t e ( s ) o f s e r v i c e i n c l u d i n g o f f i c e r ( s } ,
e m p l o y e e ( s ) o r M e m b e r ( s ) c o n t r a c t e d f o r p a y m e n t i n d i c a t e d i n i t e m 1 1 :
( A t t a c h C o n t i n u a t i o n S h e e t ( s ) S F ~ L L L - A i f n e c e s s a r y )
1 5 . C o n t i n u a t i o n S h e e t ( _ s l S F - L L L - A a t t a c h e d : Y e s 0 N o 0
1 6 . I n f o r m a t i o n r e q u e s t e d t h r o u g h t h i s f o r m i s a u t h o r i z e d b y
C o d e 3 1 U . S . C . S e c t i o n 1 3 5 2 . T h i s d i s c l o s u r e o f l o b b y i n g S i g n a t u r e : a c t i v i t i e s i s a m a t e r i a l r e p r e s e n t a t i o n o f f a c t u p o n w h i c h
r e l i a n c e w a s p l a c e d b y t h e t i e r a b o v e w h e n t h i s
t r a n s a c t i o n w a s m a d e o r e n t e r e d i n t o . T h i s d i s c l o s u r e i s P r i n t N a m e :
r e q u i r e d p u r s u a n t t o 3 1 U . S . C . 1 3 5 2 . T h i s i n f o r m a t i o n w i l l
b e r e p o r t e d t o t h e C o n g r e s s s e m i - a n n u a l l y a n d w i l l b e T i t l e : a v a i l a b l e f o r p u b l i c i n s p e c t i o n . A n y p e r s o n w h o f a i l s t o f i l e
t h e r e q u i r e d d i s c l o s u r e s h a l l b e s u b j e c t t o a c i v i l p e n a l t y o f
T e l e p h o n e N o . n o t l e s s t h a n $ 1 0 , 0 0 0 . 0 0 a n d n o t m o r e t h a n $ 1 0 0 , 0 0 0 . 0 0
f o r e a c h s u c h f a i l u r e .
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T h i s D I S C L O S U R E F O R M s h a l l b e c o m p l e t e d b y t h e r e p o r t i n g e n t i t y , w h e t h e r
S u b a w a r d e e o r p r i m e F e d e r a l r e c i p i e n t , a t t h e i n i t i a t i o n o r r e c e i p t o f a c o v e r e d F e d e r a l
a c t i o n , o r a m a t e r i a l c h a n g e t o a p r e v i o u s f i l i n g , p u r s u a n t t o t i t l e 3 1 U . S . C . s e c t i o n 1 3 5 2 .
T h e f i l i n g o f a f o r m i s r e q u i r e d f o r e a c h p a y m e n t o r a g r e e m e n t t o m a k e p a y m e n t t o a n y
l o b b y i n g e n t i t y f o r i n f l u e n c i n g o r a t t e m p t i n g t o i n f l u e n c e a n o f f i c e r o r e m p l o y e e o f a n y
a g e n c y , a M e m b e r o f C o n g r e s s , a n o f f i c e r o r e m p l o y e e o f C o n g r e s s , o r a n e m p l o y e e o f
a M e m b e r o f C o n g r e s s i n c o n n e c t i o n w i t h a c o v e r e d F e d e r a l a c t i o n . U s e t h e S F - L L L - A
C o n t i n u a t i o n S h e e t f o r a d d i t i o n a l i n f o r m a t i o n i f t h e s p a c e o n t h e f o r m i s i n a d e q u a t e .
C o m p l e t e a l l i t e m s t h a t a p p l y f o r b o t h t h e i n i t i a l f i l i n g a n d m a t e r i a l c h a n g e r e p o r t s .
R e f e r t o t h e i m p l e m e n t i n g g u i d a n c e p u b l i s h e d b y t h e O f f i c e o f M a n a g e m e n t a n d B u d g e t
f o r a d d i t i o n a l i n f o r m a t i o n .
1 . I d e n t i f y t h e t y p e o f c o v e r e d F e d e r a l a c t i o n f o r w h i c h l o b b y i n g a c t i v i t y i s a n d / o r
h a s b e e n s e c u r e d t o i n f l u e n c e t h e o u t c o m e o f a c o v e r e d F e d e r a l a c t i o n .
2 . I d e n t i f y t h e s t a t u s o f t h e c o v e r e d F e d e r a l a c t i o n .
3 . I d e n t i f y t h e a p p r o p r i a t e c l a s s i f i c a t i o n o f t h i s r e p o r t . I f t h i s i s a f o l l o w - u p r e p o r t
c a u s e d b y a m a t e r i a l c h a n g e t o t h e i n f o r m a t i o n p r e v i o u s l y r e p o r t e d , e n t e r t h e
y e a r a n d q u a r t e r i n w h i c h t h e c h a n g e o c c u r r e d . E n t e r t h e d a t e o f t h e l a s t
p r e v i o u s l y s u b m i t t e d r e p o r t b y t h i s r e p o r t i n g e n t i t y f o r t h i s c o v e r e d F e d e r a l
a c t i o n .
4 . E n t e r t h e f u l l n a m e , a d d r e s s , c i t y , s t a t e a n d z i p c o d e o f t h e r e p o r t i n g e n t i t y .
I n c l u d e C o n g r e s s i o n a l D i s t r i c t , i f k n o w n . C h e c k t h e a p p r o p r i a t e c l a s s i f i c a t i o n o f
t h e r e p o r t i n g e n t i t y t h a t d e s i g n a t e s i f i t i s , o r e x p e c t s t o b e a p r i m e o r s u b a w a r d
r e c i p i e n t . I d e n t i f y t h e t i e r o f t h e s u b a w a r d e e , e . g . , t h e f i r s t s u b a w a r d e e o f t h e
p r i m e i s t h e f i r s t t i e r . S u b a w a r d s i n c l u d e b u t a r e n o t l i m i t e d t o s u b c o n t r a c t s ,
s u b g r a n t s a n d c o n t r a c t a w a r d s u n d e r g r a n t s .
5 . I f t h e o r g a n i z a t i o n f i l i n g t h e r e p o r t i n i t e m 4 c h e c k s " S u b a w a r d e e " t h e n e n t e r t h e
f u l l n a m e , a d d r e s s , c i t y , s t a t e a n d z i p c o d e o f t h e p r i m e F e d e r a l r e c i p i e n t .
I n c l u d e C o n g r e s s i o n a l D i s t r i c t .
6 . E n t e r t h e n a m e o f t h e F e d e r a l a g e n c y m a k i n g t h e a w a r d o r l o a n c o m m i t m e n t .
I n c l u d e a t l e a s t o n e o r g a n i z a t i o n a l l e v e l b e l o w a g e n c y , n a m e i f k n o w n . F o r
e x a m p l e , D e p a r t m e n t o f T r a n s p o r t a t i o n , U n i t e d S t a t e s C o a s t G u a r d .
7 . E n t e r t h e F e d e r a l p r o g r a m n a m e f o r d e s c r i p t i o n o f t h e c o v e r e d F e d e r a l a c t i o n
( i t e m 1 ) . I f k n o w n , e n t e r t h e f u l l C a t a l o g o f F e d e r a l D o m e s t i c A s s i s t a n c e ( C F D A )
n u m b e r f o r g r a n t s , c o o p e r a t i v e a g r e e m e n t s , l o a n s , a n d l o a n c o m m i t m e n t s .
8 . E n t e r t h e m o s t a p p r o p r i a t e F e d e r a l i d e n t i f y i n g n u m b e r a v a i l a b l e f o r t h e F e d e r a l
a c t i o n i d e n t i f i e d i n i t e m 1 ( e . g . , R e q u e s t f o r P r o p o s a l ( R F P ) n u m b e r , I n v i t a t i o n f o r
G - 4
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Bid (IFB) number, grant announcement number, the contract, grant, or loan •
award number, the application/proposal control number assigned by the Federal
agency). Include prefixes, e.g., "IFB P0194R DE-90-001."
9. For a covered Federal action where there has been an award or loan
commitment by the Federal agency, enter the Federal amount of the award/loan
commitment for the prime entity identified in items 4 or 5.
10. (a) Enter the full name, address, city, state and zip code of the lobbying entity
engaged by the reporting entity identified in item 4 to influence the
covered Federal action.
(b) Enter the full names of the individual(s) performing services, and include
full address if different from 1 O(a). Enter last name, first name, and middle
initial.
11. Enter the amount of compensation paid or reasonably expected to be paid by the
reporting entity (item 4) to the lobbying entity (item 1 0). Indicate whether the
payment has been made (actual) or will be made (planned). Check all boxes that
apply. If this is a material change report, enter the cumulative amount of
payment made or planned to be made.
12. Check the appropriate box(es). Check all boxes that apply. If payment is made
through an in-kind contribution, specify the nature and value· of the in-kind •
payment.
13. Check the appropriate box(es). Check all boxes that apply. If other, specify
nature.
14. Provide a specific and detailed description of the services that the lobbyist has
performed, or will be expected to perform, and the date(s) of any services
rendered. Include all preparatory and related activity, not just the time spent in
actual contact with Federal officials. Identify the Federal official(s) or
employee(s) contacted or the officer(s), employee(s), or Member(s) of Congress
that were contacted.
15. Check whether or not a SF-LLL-Acontinuation Sheet(s) is attached.
16. The certifying official shall sign and date the form, print his/her name, title and
telephone number.
Public reporting burden for this collection for information is estimate to average 30 minutes per response,
including time for reviewing instructions, searching existing data sources, gathering and maintaining the
data needed, and completing and reviewing the collection of information. Send comments regarding the
burden estimate or any other aspect of this collection of information, including suggestions for reducing
the burden, to the Office of Management and Budget Paperwork Reduction Project (0348-0446),
Washington, D.C. 20503.
G-5
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E x h i b i t H
E X H I B I T " H "
N O T I C E T O O F F E R O R S
D I S A D V A N T A G E D B U S I N E S S E N T E R P R I S E I N F O R M A T I O N
H - 1
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VERIFICATION/DECLARATION:
Offeror understands, acknowledges and agrees that the DBE participation goal for
this Project is Seven Point One Percent (7.1%). Offeror also understands,
acknowledges and agrees that it must carefully examine all DBE provisions
associated with this Project, and Offeror warrants that it has complied with this
requirement.
I declare under penalty of perjury under the laws of the State of California that the
foregoing declarations are true and correct:
Executed , 20 __ . ----------------------
By:
Type or Print Name
Signature
Title
Subscribed and sworn before me
This __ day of _______ , 20 __
Notary Public in and for
the State of California
Exhibit H H-2
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E X H I B I T 1 5 - G L O C A L A G E N C Y B I D D E R D B E C O M M I T M E N T ( C O N S T R U C T I O N C O N T R A C T S )
N O T E : P L E A S E R E F E R T O I N S T R U C T I O N S O N T H E R E V E R S E S I D E O F T H I S F O R M
L O C A L A G E N C Y : L O C A T I O N :
P R O J E C T D E S C R I P T I O N :
T O T A L C O N T R A C T A M O U N T : $
B I D D A T E :
B I D D E R ' S N A M E :
C O N T R A C T D B E G O A L :
C O N T R A C T I T E M O F W O R K A N D D B E C E R T N O . N A M E O F E A C H D B E D O L L A R A M O U N T
I T E M N O . D E S C R I P T I O N O R S E R V I C E S T O A N D E X P J R A T l O N M u s t b e c e r t i f i e d o n t h e d a t e D B E
B E S U B C O N T R A C T E D O R D A T E b i d s a r e o p e n e d - i n c l u d e
M A T E R I A L S T O B E P R O V I D E D ( o r D B E a d d r e s s a n d p h o n e
c o n t r a c t e d i f t h e b i d d e r i s a D B E ) n u m b e r )
F o r L o c a l A g e n c y t o C o m p l e t e :
T o t a l C l a i m e d D B E $ L o c a l A g e n c y C o n t r a c t N u m b e r : P a r t i c i p a t i o n
F e d e r a l - a i d P r o j e c t N u m b e r : %
F e d e r a l S h a r e :
C o n t r a c t A w a r d D a t e :
L o c a l A g e n c y c e r t i f i e s t h a t a l l D B E c e r t i f i c a t i o n s h a v e b e e n v e r i f i e d a n d S i g n a t u r e o f B i d d e r
i n f o r m a t i o n i s c o m p l e t e a n d a c c u r a t e .
D a t e ( A r e a C o d e ) T e l . N o .
P r i n t N a m e S i g n a t u r e D a t e
L o c a l A g e n c y R e p r e s e n t a t i v e
P e r s o n t o C o n t a c t ( P l e a s e T y p e o r P r i n t )
( A r e a C o d e ) T e l e p h o n e N u m b e r : L o c a l A g e n c y B i d d e r D B E C o m m i t m e n t ( C o n s t r u c t i o n
C o n t r a c t s )
( R e v 6 / 2 6 / 0 9 )
D i s t r i b u t i o n : ( 1 ) C o p y - F a x o r s c a n a c o p y t o t h e C a l t r a n s D i s t r i c t L o c a l A s s i s t a n c e E n g i n e e r ( D L A E ) w i t h i n 3 0 d a y s o f c o n t r a c t
e x e c u t i o n . F a i l u r e t o s e n d a c o p y t o t h e D L A E w i t h i n 3 0 d a y s o f c o n t r a c t e x e c u t i o n m a y r e s u l t i n d e - o b l i g a t i o n o f
f u n d s f o r t h i s p r o j e c t .
E x h i b i t H
( 2 ) C o p y - I n c l u d e i n a w a r d p a c k a g e t o C a l t r a n s D i s t r i c t L o c a l A s s i s t a n c e
( 3 ) O r i g i n a l - L o c a l a g e n c y f i l e s
H - 3
9 6
INSTRUCTIONS.-LOCAL AGENCY BIDDER
DBE COMMITMENT (CONSTRUCTION CONTRACTS)
ALL BIDDERS:
PLEASE NOTE: This information must be submitted with your bid. Failure to
submit the required DBE commitment will be grounds for finding the bid
nonresponsive
The form requires specific information regarding the construction contract: Local
Agency, Location, Project Description, Total Contract Amount, Bid Date, Bidder's
Name, and Contract DBE Goal.
The form has a column for the Contract Item Number and Item of Work and Description or Services to
be Subcontracted or Materials to be provided by DBEs. Prime contractors shall indicate all work to be
performed by DBEs including, if the prime is a DBE, work performed by its own forces, if a DBE. The
DBE shall provide a certification number to the Contractor and expiration date. Enter the DBE prime's
and subcontractors' certification numbers. The form has a column for the Names ofDBE contractors to
perform the work (who must be certified on the date bids are opened and include the DBE address and
phone number).
IMPORTANT: Identify all DBE firms participating in the project regardless of tier. Names of the
•
First-Tier DBE Subcontractors and their respective item(s) of work listed should be consistent, where •
applicable, with the names and items of work in the "List of Subcontractors" submitted with your bid.
There is a column for the DBE participation dollar amount. Enter the Total Claimed DBE Participation
dollars and percentage amount of items of work submitted with your bid pursuant to the Special
Provisions. (If 1 00% of item is not to be performed or furnished by the DBE, describe exact portion of
time to be performed or furnished by the DBE.) See Section "Disadvantaged Business Enterprise
(DBE)," of the Special Provisions (construction contracts), to determine how to count the participation
of DBE firms.
Exhibit 15-G must be signed and dated by the person bidding. Also ·list a phone
number in the space provided and print the name of the person to contact.
H -4
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A G E N D A I T E M 7 F
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R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
D A T E : F e b r u a r y 1 3 , 2 0 1 3
T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
F R O M : B r i a n C u n a n a n , C o m m u t e r a n d M o t o r i s t A s s i s t a n c e M a n a g e r
T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r
S U B J E C T : A g r e e m e n t f o r t h e O p e r a t i o n o f t h e F r e e w a y S e r v i c e P a t r o l
P r o g r a m i n R i v e r s i d e C o u n t y
S T A F F R E C O M M E N D A T / O N :
T h i s i t e m i s f o r t h e C o m m i s s i o n t o :
1 ) A p p r o v e A g r e e m e n t N o . 1 3 - 4 5 - 0 7 5 - 0 0 w i t h t h e C a l i f o r n i a D e p a r t m e n t o f
T r a n s p o r t a t i o n ( C a l t r a n s ) f o r t h e o p e r a t i o n o f t h e R i v e r s i d e C o u n t y F r e e w a y
S e r v i c e P a t r o l ( F S P ) p r o g r a m i n t h e a m o u n t o f $ 1 , 6 0 6 , 5 6 7 i n s t a t e f u n d i n g
f o r F Y 2 0 1 2 / 1 3 ; a n d
2 ) A u t h o r i z e t h e C h a i r , p u r s u a n t t o l e g a l c o u n s e l r e v i e w , t o e x e c u t e t h e
a g r e e m e n t o n b e h a l f o f t h e C o m m i s s i o n .
B A C K G R O U N D I N F O R M A T I O N :
I n 1 9 8 6 , t h e C o m m i s s i o n e s t a b l i s h e d i t s e l f a s t h e R i v e r s i d e C o u n t y S e r v i c e .
A u t h o r i t y f o r F r e e w a y E m e r g e n c i e s ( R C S A F E ) a f t e r t h e e n a c t m e n t o f S B 1 1 9 9 i n
1 9 8 5 . T h e p u r p o s e o f t h e f o r m a t i o n o f S A F E s i n C a l i f o r n i a w a s t o p r o v i d e c a l l b o x
s e r v i c e s a n d , w i t h e x c e s s f u n d s , p r o v i d e a d d i t i o n a l m o t o r i s t a i d s e r v i c e s . F u n d i n g
f o r R C S A F E i s d e r i v e d f r o m a o n e d o l l a r p e r v e h i c l e r e g i s t r a t i o n f e e o n v e h i c l e s
r e g i s t e r e d i n R i v e r s i d e C o u n t y . I n i t i a l l y , t h e s e f u n d s w e r e u s e d o n l y f o r t h e c a l l b o x
p r o g r a m . A s a d d i t i o n a l m o t o r i s t a i d s e r v i c e s w e r e d e v e l o p e d , S A F E f u n d s w e r e
a l s o u s e d t o p r o v i d e F S P a n d t h e I n l a n d E m p i r e 5 1 1 t r a v e l e r i n f o r m a t i o n s e r v i c e s a s
p a r t o f a c o m p r e h e n s i v e m o t o r i s t a i d s y s t e m i n R i v e r s i d e C o u n t y .
I n 1 9 9 0 , P r o p o s i t i o n C w a s p a s s e d t o f u n d t r a n s p o r t a t i o n i m p r o v e m e n t s a n d t o
h e l p r e d u c e t r a f f i c c o n g e s t i o n i n C a l i f o r n i a . F r o m t h i s , t h e F S P p r o g r a m w a s
c r e a t e d b y C a l t r a n s , w h i c h d e v e l o p e d t h e c o r r e s p o n d i n g L o c a l F u n d i n g A l l o c a t i o n
P l a n t o d i s t r i b u t e f u n d s t o p a r t i c i p a t i n g j u r i s d i c t i o n s t h r o u g h a f o r m u l a b a s e d o n
p o p u l a t i o n , u r b a n f r e e w a y l a n e m i l e s , a n d l e v e l s o f c o n g e s t i o n .
I n O c t o b e r 2 0 1 2 , t h e C o m m i s s i o n r e c e i v e d t h e a t t a c h e d f u n d i n g a g r e e m e n t f r o m
C a l t r a n s f o r F Y 2 0 1 2 / 1 3 . C a l t r a n s f u n d i n g a g r e e m e n t s a r e r e i m b u r s e m e n t b a s e d
a n d a l l o w f o r t h e c a r r y o v e r o f c o n t r a c t b a l a n c e s n o t e x p e n d e d i n t h e a g r e e m e n t s
s t a t e d f i s c a l y e a r . T h i s a l l o w s t h e C o m m i s s i o n t o f u l l y e x p e n d a l l o c a t e d a m o u n t s
A g e n d a I t e m 7 F
9 8
and also helps to accommodate the timing of the Caltrans allocation release which •
is typically later during the fiscal year for which it is intended. The table below
summarizes the use of these funding agreements by fiscal year:
Amount Expended
Caltrans Funding Agreement FY 2009110 FY 2012/11 FY2011/12 FY 2012113 Unexpended
Balance
10-45-036-00 ($1,657,171) $192,643 $1,464,528
11-45-105-00 ($1,577,721) $ 303,402 $1,274,319
12-45-068-00 ( $1 ,653,564) $ 536,958 $709,796 $406,810
The Caltrans funding agreement for FY 2012/13 provides for continued state
funding in the amount of $1,606,567. The Commission will fund the required local
match of $401,642 with RC SAFE revenues. As with prior funding agreements,
any state funds not claimed in the current fiscal year will be carried over and
claimed in FY 2013/14. A budget adjustment is not required and upon approval of
this agenda item, the Commission will execute this fund transfer agreement with
Caltrans.
The Commission, acting in its capacity as the RC SAFE, is the principal agency in
Riverside County, in partnership with Caltrans and the California Highway Patrol,
managing the FSP program. The purpose of the FSP program is to provide a
continuously roving tow services patrol along designated freeway segments •
(referred to as beats) to relieve freeway congestion and facilitate the rapid removal .
of disabled vehicles and those involved in minor accidents on local freeways.
Currently, the Commission contracts with four tow truck operators to provide
service on a total of nine beats Monday through Friday during the peak commute
hours, 5:30 a.m. to 8:30 a.m. and 3:00 p.m. (1 :00 p.m. on Fridays) to 7:00 p.m.
In FY 2011/12, FSP performed over 42,000 assists.
Financial Information
In Fiscal Year Budget: Yes Year: FY 2012/13 Amount: $680,000
N/A FY 2013/14 + $970,170
Source of Funds: I State of California Budget Adjustment: I No
N/A
GL/Project Accounting No.: 002173 415 41508 0000 201 45 41505
Fiscal Procedures Approved: ~~ l Date: l 01/22/13
Attachment: FSP Fund Transfer Agreement
Agenda Item 7F
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F R E E W A Y S E R V I C E P A T R O L P R O G R A M
F U N D T R A N S F E R A G R E E M E N T ( N o n F e d e r a l )
A g r e e m e n t N o . F S P 1 3 - 6 0 5 4 ( 0 0 1 )
P r o j e c t N o . F S P 1 3 - 6 0 5 4 ( 0 6 5 )
L o c a t i o n : 0 8 - R I V - V a r - R C T C
A M S A d v I D : 0 8 1 3 0 0 0 0 2 1
T H I S A G R E E M E N T , e f f e c t i v e o n J u l y 1 , 2 0 1 2 , i s b e t w e e n t h e S t a t e o f C a l i f o r n i a , a c t i n g b y a n d
t h r o u g h t h e D e p a r t m e n t o f T r a n s p o r t a t i o n , h e r e i n a f t e r r e f e r r e d t o a s S T A T E , a n d t h e R i v e r s i d e
C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n , a p u b l i c a g e n c y , h e r e i n a f t e r r e f e r r e d t o a s " A D M I N I S T E R I N G
A G E N C Y . "
W H E R E A S , S t r e e t s a n d H i g h w a y s C o d e ( S & H C ) S e c t i o n 2 5 6 0 e t s e q . , a u t h o r i z e s S T A T E a n d
a d m i n i s t e r i n g a g e n c i e s t o d e v e l o p a n d i m p l e m e n t a F r e e w a y S e r v i c e P a t r o l ( F S P ) p r o g r a m o n
t r a f f i c - c o n g e s t e d u r b a n f r e e w a y s t h r o u g h o u t t h e s t a t e ; a n d
W H E R E A S , S T A T E h a s d i s t r i b u t e d a v a i l a b l e S t a t e H i g h w a y A c c o u n t f u n d s t o a d m i n i s t e r i n g
a g e n c i e s p a r t i c i p a t i n g i n t h e F S P P r o g r a m i n a c c o r d a n c e w i t h S & H C S e c t i o n 2 5 6 2 ; a n d
W H E R E A S , A D M I N I S T E R I N G A G E N C Y h a s a p p l i e d t o S T A T E a n d h a s b e e n s e l e c t e d t o r e c e i v e
f u n d s f r o m t h e F S P P r o g r a m f o r t h e p u r p o s e o f F r e e w a y S e r v i c e P a t r o l f o r F Y 2 0 1 2 - 2 0 1 3 ,
h e r e i n a f t e r r e f e r r e d t o a s " P R O J E C T " ; a n d
W H E R E A S , p r o p o s e d P R O J E C T f u n d i n g i s a s f o l l o w s :
T o t a l C o s t
$ 2 , 0 0 8 , 2 0 9 . 0 0
S t a t e F u n d s
$ 1 , 6 0 6 , 5 6 7 . 0 0
L o c a l F u n d s
$ 4 0 1 , 6 4 2 . 0 0 ; a n d
W H E R E A S , S T A T E i s r e q u i r e d t o e n t e r i n t o a n a g r e e m e n t w i t h A D M I N I S T E R I N G A G E N C Y t o
d e l i n e a t e t h e r e s p e c t i v e r e s p o n s i b i l i t i e s o f t h e p a r t i e s r e l a t i v e t o p r o s e c u t i o n o f s a i d P R O J E C T ;
a n d
W H E R E A S , S T A T E a n d A D M I N I S T E R I N G A G E N C Y m u t u a l l y d e s i r e t o c o o p e r a t e a n d j o i n t l y
p a r t i c i p a t e i n t h e F S P p r o g r a m a n d d e s i r e t o s p e c i f y h e r e i n t h e t e r m s a n d c o n d i t i o n s u n d e r w h i c h
t h e F S P p r o g r a m i s t o b e c o n d u c t e d ; a n d
W H E R E A S , A D M I N I S T E R I N G A G E N C Y h a s a p p r o v e d e n t e r i n g i n t o t h i s A g r e e m e n t u n d e r
a u t h o r i t y o f R e s o l u t i o n N o . a p p r o v e d b y A D M I N I S T E R I N G A G E N C Y
o n , a c o p y o f w h i c h i s a t t a c h e d .
F o r C a l t r a n s U s e O n l y
I h e r e b y C e r t i f y u p o n m y o w n p e r s o n a l k n o w l e d g e t h a t b u d g e t e d f u n d s a r e a v a i l a b l e f o r t h i s e n c u m b r a n c e
A c c o u n t i n g O f f i c e r 1 $
I / l r o l ~ S ~ 1 . 0 D
P a g e 1 o f 7 N o n - F e d F S P
1 0 0
ST~TE OF CALIFORNIA. DEPARTMENT OF TRANSPORTATION
PROGRAM SUPPLMENT AND CERTIFICATION FORM
PSCF (REV. 01/2010)
TO:
FROM:
Claims Audits
3301 "C" Street, Rm 404
CA 95816
Department of Transportation
SUBJECT:
Encumbrance Document
VENDOR I LOCAL AGENCY:
Riverside County Transportation Commission
$ 1,606,567.00
PROCUREMENT TYPE:
Local Assistance
CHAPTER STATUTES ITEM y~
Page 1 of 1
~~/PEq TASK I SUBTASK AMOUNT
21 2012 2660-1 0?-04? 2013 2030010600 ?6?040 $ 1 606,567.00
ADA Notitor individuals with sensory disabilities, this document is available in alternate formats. For information, call (915) 654-6410 ofTDD (916) -3880 or write
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101
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N O W , T H E R E F O R E , t h e p a r t i e s a g r e e a s f o l l o w s :
S E C T I O N I
S T A T E A G R E E S :
1 . T o d e f i n e o r s p e c i f y , i n c o o p e r a t i o n w i t h A D M I N I S T E R I N G A G E N C Y , t h e l i m i t s o f t h e S t a t e
H i g h w a y s e g m e n t s t o b e s e r v e d b y t h e F S P a s w e l l a s t h e n a t u r e a n d a m o u n t o f t h e F S P
d e d i c a t e d e q u i p m e n t , i f a n y , t h a t i s t o b e f u n d e d u n d e r t h e F S P p r o g r a m .
2 . T o p a y A D M I N I S T E R I N G A G E N C Y t h e S T A T E ' s s h a r e , i n a m o u n t n o t t o e x c e e d
$ 1 , 6 0 6 , 5 6 7 . 0 0 , o f e l i g i b l e p a r t i c i p a t i n g P R O J E C T c o s t s .
3 . T o d e p o s i t w i t h A D M I N I S T E R I N G A G E N C Y , u p o n A D M I N I S T E R I N G A G E N C Y ' s a w a r d o f a
c o n t r a c t f o r P R O J E C T s e r v i c e s a n d r e c e i p t o f a n o r i g i n a l a n d t w o s i g n e d c o p i e s o f a n i n v o i c e i n
t h e p r o p e r f o r m , i n c l u d i n g i d e n t i f i c a t i o n o f t h i s A g r e e m e n t N u m b e r a n d P r o j e c t N u m b e r , f r o m
A D M I N I S T E R I N G A G E N C Y , t h e a m o u n t o f $ 2 5 7 , 0 5 0 . 7 2 . T h i s i n i t i a l d e p o s i t r e p r e s e n t s S T A T E ' s
s h a r e o f t h e e s t i m a t e d c o s t s f o r t h e i n i t i a l t w o m o n t h s o f P R O J E C T . T h e r e a f t e r , t o m a k e
r e i m b u r s e m e n t s t o A D M I N I S T E R I N G A G E N C Y a s p r o m p t l y a s s t a t e f i s c a l p r o c e d u r e s w i l l p e r m i t ,
b u t n o t m o r e o f t e n t h a n m o n t h l y i n a r r e a r s , u p o n r e c e i p t o f a n o r i g i n a l a n d t w o s i g n e d c o p i e s o f
i n v o i c e s i n t h e p r o p e r f o r m c o v e r i n g a c t u a l a l l o w a b l e c o s t s i n c u r r e d f o r t h e p r i o r s e q u e n t i a l
m o n t h ' s p e r i o d o f t h e P r o g r e s s P a y m e n t I n v o i c e . T h e i n i t i a l d e p o s i t w i l l b e c a l c u l a t e d a t 1 6 % o f
t h e S T A T E ' s t o t a l s h a r e .
4 . W h e n c o n d u c t i n g a n a u d i t o f t h e c o s t s c l a i m e d b y A D M I N I S T E R I N G A G E N C Y u n d e r t h e
p r o v i s i o n s o f t h i s A g r e e m e n t , S T A T E w i l l r e l y t o t h e m a x i m u m e x t e n t p o s s i b l e o n a n y p r i o r a u d i t
o f A D M I N I S T E R I N G A G E N C Y p e r f o r m e d p u r s u a n t t o t h e p r o v i s i o n s o f s t a t e a n d f e d e r a l l a w s . I n
t h e a b s e n c e o f s u c h a n a u d i t , w o r k o f o t h e r a u d i t o r s w i l l b e r e l i e d u p o n t o t h e e x t e n t t h a t w o r k i s
a c c e p t a b l e t o S T A T E w h e n p l a n n i n g a n d c o n d u c t i n g a d d i t i o n a l a u d i t s .
S E C T I O N I I
A D M I N I S T E R I N G A G E N C Y A G R E E S :
1 . T o c o m m i t a n d c o n t r i b u t e m a t c h i n g f u n d s f r o m A D M I N I S T E R I N G A G E N C Y r e s o u r c e s , w h i c h
s h a l l b e a n a m o u n t n o t l e s s t h a n 2 5 p e r c e n t o f t h e a m o u n t p r o v i d e d b y S T A T E f r o m t h e S t a t e
H i g h w a y A c c o u n t .
2 . T h e A D M I N I S T E R I N G A G E N C Y ' s d e t a i l e d P R O J E C T C o s t P r o p o s a l i s a t t a c h e d h e r e t o a n d
m a d e a n e x p r e s s p a r t o f t h i s A g r e e m e n t . T h e d e t a i l e d P R O J E C T C o s t P r o p o s a l r e f l e c t s t h e
p r o v i s i o n s a n d / o r r e g u l a t i o n s o f S e c t i o n I l l , A r t i c l e 8 , o f t h i s A g r e e m e n t .
3 . T o u s e a l l s t a t e f u n d s p a i d h e r e u n d e r o n l y f o r t h o s e t r a n s p o r t a t i o n - r e l a t e d P R O J E C T
p u r p o s e s t h a t c o n f o r m t o A r t i c l e X I X o f t h e C a l i f o r n i a S t a t e C o n s t i t u t i o n .
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4. STATE funds provided to ADMINISTERING AGENCY under this Agreement shall not be use.
for administrative purposes by ADMINISTERING AGENCY. Said administrative costs may b
credited toward ADMINISTERING AGENCY's PROJECT matching funds provided claimed
administrative costs are specified on ADMINISTERING AGENCY's invoice submittal. If said
administrative costs are "indirect", as defined in 2 CFR, Part 225, Cost Principles for State and
Local Government, the costs must be allocated in accordance with an Indirect Cost Allocation
Plan (ICAP), reviewed and approved by STATE's Office of Audits and Investigation, for each
applicable fiscal year.
5. To develop, in cooperation with STATE, advertise, award, and administer PROJECT
contract(s) in accordance with ADMINISTERING AGENCY competitive procurement procedures,
in compliance with 49 Code of Federal Regulations (CFR) Part 18.36.
6. Upon award of a contract for PROJECT, to prepare and submit to STATE an original and two
signed copies of invoicing for STATE's initial deposit specified in Section I, Article 3. Thereafter,
to prepare and submit to STATE an original and two signed copies of progress invoicing for
STATE's share of actual expenditures for allowable PROJECT costs.
7. Said invoicing shall evidence the expenditure of ADMINISTERING AGENCY's PROJECT
participation in paying not less than 20% of all allowable PROJECT costs and shall contain the
information described in Chapter 5 of the Local Assistance Procedures Manual (LAPM). Invoicing
shall demonstrate ADMINISTERING AGENCY'S PROJECT participation by showing a matched
expenditure of funds of at least 25% of the amount provided by the STATE. ADMINISTERIN~
AGENCY invoices shall be submitted to: •.
State of California
Department of Transportation
Division of Traffice Operations, MS 36
Office of System Management Operations
1120 "N" Street
Sacramento, CA 9427 4-0001
8. Within 60 days after completion of PROJECT work to be reimbursed under this Agreement, to
prepare a final invoice reporting all actual eligible costs expended, including all costs paid by
ADMINISTERING AGENCY and submit that signed invoice, along with any refund due STATE, to
the address referenced above under Section 11, Article 7. Backup information submitted with said
final invoice shall include all FSP operational contract invoices paid by ADMINISTERING
AGENCY to contracted operators included in expenditures billed to STATE under this Agreement.
9. COST PRINCIPLES
A) ADMINISTERING AGENCY agrees to comply with, and require all project sponsors to comply
with, 2 CFR, Part 225, Cost Principles for State and Local Government, and 49 CFR, Part 18,
Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments. •
Page 3 of 7 Non-Fed FSP
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B ) A D M I N I S T E R I N G A G E N C Y w i l l a s s u r e t h a t i t s F u n d r e c i p i e n t s w i l l b e o b l i g a t e d t o a g r e e t h a t
( 1 ) C o n t r a c t C o s t P r i n c i p l e s a n d P r o c e d u r e s , 4 8 C F R , F e d e r a l A c q u i s i t i o n R e g u l a t i o n s S y s t e m ,
C h a p t e r 1 , P a r t 3 1 , e t s e q . , s h a l l b e u s e d t o d e t e r m i n e t h e a l l o w a b i l i t y o f i n d i v i d u a l P R O J E C T c o s t
i t e m s , a n d ( 2 ) t h o s e p a r t i e s s h a l l c o m p l y w i t h F e d e r a l a d m i n i s t r a t i v e p r o c e d u r e s i n a c c o r d a n c e .
w i t h 4 9 C F R , P a r t 1 8 , U n i f o r m A d m i n i s t r a t i v e R e q u i r e m e n t s f o r G r a n t s a n d C o o p e r a t i v e
A g r e e m e n t s t o S t a t e a n d L o c a l G o v e r n m e n t s .
E v e r y s u b - r e c i p i e n t r e c e i v i n g F u n d s a s a c o n t r a c t o r o r s u b - c o n t r a c t o r u n d e r t h i s A g r e e m e n t s h a l l
c o m p l y w i t h F e d e r a l a d m i n i s t r a t i v e p r o c e d u r e s i n a c c o r d a n c e w i t h 4 9 C F R , P a r t 1 8 , U n i f o r m
A d m i n i s t r a t i v e R e q u i r e m e n t s f o r G r a n t s a n d C o o p e r a t i v e A g r e e m e n t s t o S t a t e a n d L o c a l
G o v e r n m e n t s .
C ) A n y F u n d e x p e n d i t u r e s f o r c o s t s f o r w h i c h A D M I N I S T E R I N G A G E N C Y h a s r e c e i v e d p a y m e n t
o r c r e d i t t h a t a r e d e t e r m i n e d b y s u b s e q u e n t a u d i t t o b e u n a l l o w a b l e u n d e r 2 C F R , P a r t 2 2 5 , 4 8
C F R , C h a p t e r 1 , P a r t 3 1 o r 4 9 C F R , P a r t 1 8 , a r e s u b j e c t t o r e p a y m e n t b y A D M I N I S T E R I N G
A G E N C Y t o S T A T E . S h o u l d A D M I N I S T E R I N G A G E N C Y f a i l t o r e i m b u r s e F u n d m o n e y s d u e
S T A T E w i t h i n 3 0 d a y s o f d e m a n d , o r w i t h i n s u c h o t h e r p e r i o d a s m a y b e a g r e e d i n w r i t i n g
b e t w e e n t h e P a r t i e s h e r e t o , S T A T E i s a u t h o r i z e d t o i n t e r c e p t a n d w i t h h o l d f u t u r e p a y m e n t s d u e
A D M I N I S T E R I N G A G E N C Y f r o m S T A T E o r a n y t h i r d - p a r t y s o u r c e , i n c l u d i n g , b u t n o t l i m i t e d t o ,
t h e S t a t e T r e a s u r e r , t h e S t a t e C o n t r o l l e r , a n d t h e C a l i f o r n i a T r a n s p o r t a t i o n C o m m i s s i o n .
1 0 . T H I R D P A R T Y C O N T R A C T I N G
A ) A D M I N I S T E R I N G A G E N C Y s h a l l n o t a w a r d a c o n s t r u c t i o n c o n t r a c t o v e r $ 1 0 , 0 0 0 o r o t h e r
c o n t r a c t s o v e r $ 2 5 , 0 0 0 [ e x c l u d i n g p r o f e s s i o n a l s e r v i c e c o n t r a c t s o f t h e t y p e w h i c h a r e r e q u i r e d t o
b e p r o c u r e d i n a c c o r d a n c e w i t h G o v e r n m e n t C o d e S e c t i o n s 4 5 2 5 ( d ) , ( e ) , a n d ( f ) ] o n t h e b a s i s o f
a n o n c o m p e t i t i v e n e g o t i a t i o n f o r w o r k t o b e p e r f o r m e d u s i n g F u n d s w i t h o u t t h e p r i o r w r i t t e n
a p p r o v a l o f S T A T E .
B ) A n y s u b c o n t r a c t o r a g r e e m e n t e n t e r e d i n t o b y A D M I N I S T E R I N G A G E N C Y a s a r e s u l t o f
d i s b u r s i n g F u n d s r e c e i v e d p u r s u a n t t o t h i s A g r e e m e n t s h a l l c o n t a i n a l l o f t h e f i s c a l p r o v i s i o n s
( S e c t i o n I I , P a r a g r a p h s 9 , 1 1 , 1 2 , & 1 3 ) o f t h i s A g r e e m e n t ; a n d s h a l l m a n d a t e t h a t t r a v e l a n d p e r
d i e m r e i m b u r s e m e n t s a n d t h i r d - p a r t y c o n t r a c t r e i m b u r s e m e n t s � t o s u b c o n t r a c t o r s w i l l b e a l l o w a b l e
a s p r o j e c t c o s t s o n l y a f t e r t h o s e c o s t s a r e i n c u r r e d a n d p a i d f o r b y t h e s u b c o n t r a c t o r s .
C ) I n a d d i t i o n t o t h e a b o v e , t h e p r e a w a r d r e q u i r e m e n t s o f t h i r d p a r t y c o n t r a c t o r / c o n s u l t a n t s w i t h
A D M I N I S T E R I N G A G E N C Y s h o u l d b e c o n s i s t e n t w i t h L o c a l P r o g r a m P r o c e d u r e s a s p u b l i s h e d b y
S T A T E .
1 1 . A C C O U N T I N G S Y S T E M
A D M I N I S T E R I N G A G E N C Y , i t s c o n t r a c t o r s a n d s u b c o n t r a c t o r s s h a l l e s t a b l i s h a n d m a i n t a i n a n
a c c o u n t i n g s y s t e m a n d r e c o r d s t h a t p r o p e r l y a c c u m u l a t e a n d s e g r e g a t e F u n d e x p e n d i t u r e s b y l i n e
i t e m f o r t h e P R O J E C T . T h e a c c o u n t i n g s y s t e m o f A D M I N I S T E R I N G A G E N C Y , i t s c o n t r a c t o r s ,
a n d a l l s u b c o n t r a c t o r s s h a l l c o n f o r m t o G e n e r a l l y A c c e p t e d A c c o u n t i n g P r i n c i p l e s ( G A A P ) , e n a b l e
t h e d e t e r m i n a t i o n o f i n c u r r e d c o s t s a t i n t e r i m p o i n t s o f c o m p l e t i o n , a n d p r o v i d e s u p p o r t f o r
r e i m b u r s e m e n t p a y m e n t v o u c h e r s o r i n v o i c e s .
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12. RIGHT TO AUDIT • For the purpose of determining compliance with this Agreement and other matters connected with
the performance of ADMINISTERING AGENCY's contracts with third parties, ADMINISTERING
AGENCY, ADMINISTERING AGENCY's contractors, and subcontractors, and STATE shall each
maintain and make available for inspection all books, documents, papers, accounting records, and
other evidence pertaining to the performance of such contracts, including, but not limited to, the
costs of administering those various contracts. All of the above referenced parties shall make
such materials available at their respective offices at all reasonable times for three years from the
date of final payment of Funds to ADMINISTERING AGENCY. STATE, the California State
Auditor, or any duly authorized representative of STATE or the United States Department of
Transportation shall each have access to any books, records, and documents that are pertinent
for audits, examinations, excerpts, and transactions, and ADMINISTERING AGENCY shall furnish
copies thereof if requested.
13. TRAVEL AND SUBSISTENCE
Payments to ADMINISTERING AGENCY for travel and subsistence expenses of
ADMINISTERING AGENCY forces and its subcontractors 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. If the rates
invoiced are in excess of those authorized DPA rates, then ADMINISTERING AGENCY is
responsible for the cost difference and any overpayments shall be reimbursed to STATE o.
demand.
14. SINGLE AUDIT
ADMINISTERING AGENCY agrees to include all state (Funds) and federal funded projects in the
schedule of projects to be examined in ADMINISTERING AGENCY's annual audit and in the
schedule of projects to be examined under its single audit prepared in accordance with Office of
Management and Budget Circular A-133.
SECTION Ill
IT IS MUTUALLY AGREED:
1. All obligations of STATE under the terms of this Agreement are subject to the appropriation of
resources by the Legislature and the encumbrance of funds under this Agreement. Funding and
reimbursement is available only upon the passage of the State Budget Act containing these
STATE funds. The starting date of eligible reimbursable activities shall be JULY 1, 2012.
2. All obligations of ADMINISTERING AGENCY under the terms of this Agreement are subject to
authorization and allocation of resources by ADMINISTERING AGENCY.
•
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3 . A D M I N I S T E R I N G A G E N C Y a n d S T A T E s h a l l j o i n t l y d e f i n e t h e i n i t i a l F S P p r o g r a m a s w e l l a s
t h e a p p r o p r i a t e l e v e l o f F S P f u n d i n g r e c o m m e n d a t i o n s a n d s c o p e o f s e r v i c e a n d e q u i p m e n t
r e q u i r e d t o p r o v i d e a n d m a n a g e t h e F S P p r o g r a m . N o c h a n g e s s h a l l b e m a d e i n t h e s e u n l e s s
m u t u a l l y a g r e e d t o i n w r i t i n g b y t h e p a r t i e s t o t h i s A g r e e m e n t .
4 . N o t h i n g i n t h e p r o v i s i o n s o f t h i s A g r e e m e n t i s i n t e n d e d t o c r e a t e d u t i e s o r o b l i g a t i o n s t o o r
r i g h t s i n t h i r d p a r t i e s n o t p a r t i e s t o t h i s A g r e e m e n t o r a f f e c t t h e l e g a l l i a b i l i t y o f e i t h e r p a r t y t o t h i s
A g r e e m e n t b y i m p o s i n g a n y s t a n d a r d o f c a r e w i t h r e s p e c t t o t h e m a i n t e n a n c e o f S t a t e h i g h w a y s
d i f f e r e n t f r o m t h e s t a n d a r d o f c a r e i . m p o s e d b y l a w .
5 . N e i t h e r S T A T E n o r a n y o f f i c e r o r e m p l o y e e t h e r e o f i s r e s p o n s i b l e f o r a n y i n j u r y , d a m a g e o r
l i a b i l i t y o c c u r r i n g o r a r i s i n g b y r e a s o n o f a n y t h i n g d o n e o r o m i t t e d t o b e d o n e b y A D M I N I S T E R I N G
A G E N C Y u n d e r o r i n c o n n e c t i o n w i t h a n y w o r k , a u t h o r i t y , o r j u r i s d i c t i o n d e l e g a t e d t o
A D M I N I S T E R I N G A G E N C Y u n d e r t h i s A g r e e m e n t . I t i s u n d e r s t o o d a n d a g r e e d t h a t , p u r s u a n t t o
G o v e r n m e n t C o d e S e c t i o n 8 9 5 . 4 , A D M I N I S T E R I N G A G E N C Y s h a l l f u l l y d e f e n d , i n d e m n i f y , a n d
s a v e h a r m l e s s t h e S t a t e o f C a l i f o r n i a , i t s o f f i c e r s , a n d e m p l o y e e s f r o m a l l c l a i m s , s u i t s , o r a c t i o n s
o f e v e r y n a m e , k i n d , a n d d e s c r i p t i o n b r o u g h t f o r o r o n a c c o u n t o f i n j u r y ( a s d e f i n e d i n G o v e r n m e n t
C o d e S e c t i o n 8 1 0 . 8 ) o c c u r r i n g b y r e a s o n o f a n y t h i n g d o n e o r o m i t t e d t o b e d o n e b y
A D M I N I S T E R I N G A G E N C Y u n d e r o r i n c o n n e c t i o n w i t h a n y w o r k , a u t h o r i t y , o r j u r i s d i c t i o n
d e l e g a t e d t o A D M I N I S T E R I N G A G E N C Y u n d e r t h i s A g r e e m e n t .
6 . N e i t h e r A D M I N I S T E R I N G A G E N C Y n o r a n y o f f i c e r o r e m p l o y e e t h e r e o f i s r e s p o n s i b l e f o r a n y
i n j u r y , d a m a g e , o r l i a b i l i t y o c c u r r i n g o r a r i s i n g b y r e a s o n o f a n y t h i n g d o n e o r o m i t t e d t o b e d o n e b y
S T A T E u n d e r o r i n c o n n e c t i o n w i t h a n y w o r k , a u t h o r i t y , o r j u r i s d i c t i o n d e l e g a t e d t o S T A T E u n d e r
t h i s A g r e e m e n t . I t i s u n d e r s t o o d a n d a g r e e d t h a t , p u r s u a n t t o G o v e r n m e n t C o d e S e c t i o n 8 9 5 . 4 ,
S T A T E s h a l l f u l l y d e f e n d , i n d e m n i f y , a n d s a v e h a r m l e s s A D M I N I S T E R I N G A G E N C Y , i t s o f f i c e r s ,
a n d e m p l o y e e s f r o m a l l c l a i m s , s u i t s , o r a c t i o n s o f e v e r y n a m e , k i n d , a n d d e s c r i p t i o n b r o u g h t f o r
o r o n a c c o u n t o f i n j u r y ( a s d e f i n e d i n G o v e r n m e n t C o d e S e c t i o n 8 1 0 . 8 ) o c c u r r i n g b y r e a s o n o f
a n y t h i n g d o n e o r o m i t t e d t o b e d o n e b y S T A T E u n d e r o r i n c o n n e c t i o n w i t h a n y w o r k , a u t h o r i t y o r
j u r i s d i c t i o n d e l e g a t e d t o S T A T E u n d e r t h i s A g r e e m e n t .
7 . A D M I N I S T E R I N G A G E N C Y w i l l m a i n t a i n a n i n v e n t o r y o f a l l n o n - e x p e n d a b l e P R O J E C T
e q u i p m e n t , d e f i n e d a s h a v i n g a u s e f u l l i f e o f a t l e a s t t w o y e a r s a n d a n a c q u i s i t i o n c o s t o f $ 5 0 0 o r
m o r e , p a i d f o r w i t h P R O J E C T f u n d s . A D M I N I S T E R I N G A G E N C Y s h a l l d e f i n e i n P R O J E C T
c o n t r a c t w h o s h a l l t a k e o w n e r s h i p o f a l l e q u i p m e n t a t t h e c o n c l u s i o n o f t h e P r o j e c t .
8 . A D M I N I S T E R I N G A G E N C Y a n d i t s s u b - c o n t r a c t o r s w i l l c o m p l y w i t h a l l a p p l i c a b l e F e d e r a l a n d
S t a t e l a w s a n d r e g u l a t i o n s , i n c l u d i n g b u t n o t l i m i t e d t o , 2 C F R , P a r t 2 2 5 , C o s t P r i n c i p l e s f o r S t a t e
a n d L o c a l G o v e r n m e n t s , a n d 4 9 C F R , P a r t 1 8 , U n i f o r m A d m i n i s t r a t i v e R e q u i r e m e n t s f o r G r a n t s
a n d C o o p e r a t i v e A g r e e m e n t s t o S t a t e a n d L o c a l G o v e r n m e n t s .
9 . I n t h e e v e n t t h a t A D M I N I S T E R I N G A G E N C Y f a i l s t o o p e r a t e t h e P R O J E C T c o m m e n c e d a n d
r e i m b u r s e d u n d e r t h i s A g r e e m e n t i n a c c o r d a n c e w i t h t h e t e r m s o f t h i s A g r e e m e n t o r f a i l s t o
c o m p l y w i t h a p p l i c a b l e F e d e r a l a n d S t a t e l a w s a n d r e g u l a t i o n s , S T A T E r e s e r v e s t h e r i g h t t o
t e r m i n a t e f u n d i n g f o r P R O J E C T , o r p o r t i o n s t h e r e o f , u p o n w r i t t e n n o t i c e t o A D M I N I S T E R I N G
A G E N C Y .
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10. This Agreement shall terminate on June 30, 2015. However, the non-expendable equipme.
and liability clauses shall remain in effect until terminated or modified in writing by mutu
agreement.
STATE OF CALIFORNIA
Department of Transportation
By: ____________________ __
Office of Project Implementation, South
Division of Local Assistance
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107
Riverside County Transportation Commission
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T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
F R O M : B r i a n C u n a n a n , C o m m u t e r A s s i s t a n c e M a n a g e r
T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r
S U B J E C T : F u n d i n g A g r e e m e n t w i t h t h e D e p a r t m e n t o f C a l i f o r n i a H i g h w a y
P a t r o l f o r F r e e w a y S e r v i c e P a t r o l S u p e r v i s i o n
S T A F F R E C O M M E N D A T J O N :
T h i s i t e m i s f o r t h e C o m m i s s i o n t o :
1 ) A p p r o v e A g r e e m e n t N o . 1 3 - 4 5 - 0 7 4 - 0 0 w i t h t h e C a l i f o r n i a H i g h w a y P a t r o l
( C H P ) t o p r o v i d e o v e r t i m e s u p e r v i s i o n a n d o p e r a t i o n o f a F r e e w a y S e r v i c e
P a t r o l ( F S P ) p r o g r a m i n R i v e r s i d e C o u n t y i n a n a m o u n t n o t t o e x c e e d
$ 5 2 2 , 5 1 5 ; a n d
2 ) A u t h o r i z e t h e C h a i r , p u r s u a n t t o l e g a l c o u n s e l r e v i e w , t o e x e c u t e t h e
a g r e e m e n t o n b e h a l f o f t h e C o m m i s s i o n .
" B A C K G R O U N D I N F O R M A T J O N :
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T h e R i v e r s i d e C o u n t y F S P p r o g r a m i s o p e r a t e d a s a j o i n t v e n t u r e b e t w e e n t h e
C a l i f o r n i a D e p a r t m e n t o f T r a n s p o r t a t i o n ( C a l t r a n s ) , C H P , a n d t h e C o m m i s s i o n i n i t s
c a p a c i t y a s t h e S e r v i c e A u t h o r i t y f o r F r e e w a y E m e r g e n c i e s ( S A F E ) . T h e R i v e r s i d e
C o u n t y S A F E i s r e s p o n s i b l e f o r a d m i n i s t e r i n g t h e p r o g r a m , a n d t h e C H P p r o v i d e s
d a i l y f i e l d s u p e r v i s i o n t o e n s u r e s e r v i c e p e r f o r m a n c e .
T h e C H P h a s s u p p l e m e n t a l a g r e e m e n t s w i t h v a r i o u s S A F E s s t a t e w i d e f o r o v e r t i m e
a n d / o r a d d i t i o n a l p e r s o n n e l . S i n c e 2 0 0 1 , t h e C o m m i s s i o n e x e c u t e d a g r e e m e n t s
w i t h C H P d u e t o t h e l i m i t e d p e r s o n n e l a n d n a t u r e o f t h e F S P p r o g r a m . I n a d d i t i o n
t o f i e l d s u p e r v i s i o n d u r i n g F S P o p e r a t i n g h o u r s ( 5 : 3 0 a . m . t o 8 : 3 0 a . m . a n d
3 : 0 0 p . m . [ 1 : 0 0 p . m . o n F r i d a y s ] t o 7 : 0 0 p . m . ) , t h e r e a r e s e r v i c e s p e r f o r m e d
b e t w e e n o p e r a t i n g h o u r s t h a t s u p p o r t t h e p r o g r a m , t h e r e f o r e r e q u i r i n g C H P o f f i c e r s
t o w o r k o v e r t i m e . B e l o w i s a s a m p l e o f t h e s e r v i c e s p e r f o r m e d b y F S P C H P
o f f i c e r s :
I n - f i e l d S u p e r v i s o r y S e r v i c e s P r o v i d e d D u r i n g F S P O p e r a t i n g H o u r s :
( n o t a l l i n c l u s i v e )
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P r o v i d e i n f i e l d , o n s c e n e , p r o g r a m s u p e r v i s i o n ;
P r o v i d e r e a l t i m e d e c i s i o n s t o i n c i d e n t s o c c u r r i n g i n t h e f i e l d ;
E n f o r c e p r o g r a m r u l e s a n d g u i d e l i n e s t h r o u g h i n f i e l d s u p e r v i s i o n ;
A g e n d a I t e m 7 G
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C o n d u c t a l l i n v e s t i g a t i o n s w i t h r e g a r d t o e q u i p m e n t , p e r s o n n e l , d a m a g e ,
c o m p l a i n t s ;
I n s p e c t t o w t r u c k s o n a s p o t c h e c k b a s i s a s n e e d e d ;
S e r v e a s a F S P l i a i s o n b e t w e e n a g e n c i e s , s u c h a s w i t h o t h e r C H P p e r s o n n e l ,
C a l t r a n s , c i t i e s , c o u n t i e s , e t c . ; a n d
B e a v a i l a b l e t o t h e p u b l i c f o r F S P c o n c e r n s / q u e s t i o n s / c o m m e n t s / c o m p l a i n t s .
A d m i n i s t r a t i v e S u p e r v i s o r y S e r v i c e s P r o v i d e d D u r i n g N o n - F S P H o u r s :
( n o t a l l i n c l u s i v e )
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F S P d r i v e r s ;
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P r e p a r e t r a i n i n g c l a s s m a t e r i a l s ( b i n d e r s a n d m a p s ) ;
C o n d u c t t r a i n i n g c l a s s e s ;
T r a c k e x t r a t r u c k t i m e , f i n e s , p e n a l t i e s , a n d c e r t i f i c a t e s ( d r i v e r l i c e n s e , D L 6 4 ,
m e d i c a l c a r d s , a n d m o t o r c a r r i e r p e r m i t s ) ;
P r e p a r e m o n t h l y b i l l i n g ;
M a i n t a i n t h e s t a n d a r d o p e r a t i n g p r o c e d u r e s m a n u a l ;
M a i n t a i n d r o p p o i n t m a p s t o i n c l u d e c h a n g i n g l o c a l r e g u l a t i o n s ;
M o n i t o r t h e a u t o m a t i c v e h i c l e l o c a t o r s y s t e m , p e r s o n a l d i g i t a l a s s i s t a n t
( P D A ) i t e m s , r a d i o s , a n d a n y o t h e r c o m p u t e r r e l a t e d F S P e q u i p m e n t ;
M a i n t a i n r e q u i r e d f i e l d r e a d y e q u i p m e n t s u c h a s b a c k u p P D A i t e m s , s a f e t y
v e s t s , b r o c h u r e s , s u r v e y f o r m s , a n d m a g n e t i c s i g n s ;
P a r t i c i p a t e i n t h e R F P p r o c e s s f o r n e w v e n d o r s a n d b e a t s ;
M a i n t a i n d r i v e r f i l e s , r e c o r d s , e t c . f o r a l l F S P d r i v e r s ;
T r a c k F S P d r i v e r ' s t e n u r e a n d p e r f o r m a n c e w i t h r e g a r d t o d r i v e r r e c o g n i t i o n
a n d r e w a r d s ; a n d
A t t e n d v a r i o u s F S P r e l a t e d r e q u i r e d m e e t i n g s a n d t r a i n i n g ( T e c h n i c a l
A d v i s o r y C o m m i t t e e a n d q u a r t e r l y d r i v e r s ' m e e t i n g ) .
A t i t s M a y 2 0 1 0 m e e t i n g , t h e C o m m i s s i o n a p p r o v e d a t h r e e - y e a r a g r e e m e n t i n t h e
a m o u n t o f $ 2 0 0 , 2 9 5 w i t h C H P f o r g e n e r a l o v e r t i m e s u p e r v i s i o n s u p p o r t i n g t h e F S P
p r o g r a m f o r f i s c a l y e a r s F Y 2 0 1 0 ! 1 1 t h r o u g h F Y 2 0 1 2 / 1 3 . A t i t s F e b r u a r y . 2 0 1 1
m e e t i n g , t h e C o m m i s s i o n a p p r o v e d a n a d d i t i o n a l $ 5 7 , 6 4 8 f o r i n c r e m e n t a l C H P
s u p e r v i s i o n t o $ U p p o r t t h e 1 - 2 1 5 S o u t h w i d e n i n g p r o j e c t . N e x t , t h e C o m m i s s i o n
a n d t h e S a n B e r n a r d i n o A s s o c i a t e d G o v e r n m e n t s ( S A N B A G ) a g r e e d t o s p l i t t h e
c o s t s t o a d d o n e f u l l - t i m e e q u i v a l e n t C H P o f f i c e r p o s i t i o n f o r t h e I n l a n d E m p i r e s o
e a c h c o u n t y c o u l d b e n e f i t f r o m a n e w t o t a l o f t w o d e d i c a t e d o f f i c e r s p e r c o u n t y .
T h e C o m m i s s i o n a p p r o v e d t h e a d d i t i o n o f o n e - h a l f o f a f u l l - t i m e e q u i v a l e n t C H P
o f f i c e r p o s i t i o n i n t h e a m o u n t o f $ 7 8 , 7 5 1 a t i t s J u l y 2 0 1 1 m e e t i n g .
D I S C U S S I O N :
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T h e c u r r e n t C H P a g r e e m e n t a m o u n t f o r C H P o v e r t i m e s u p e r v 1 s 1 o n i s $ 3 3 6 , 6 9 4 "
o v e r t h e t h r e e - y e a r t e r m . T h i s a g r e e m e n t e x p i r e s o n J u n e 3 0 , 2 0 1 3 , a n d s t a f f i s
s e e k i n g a p p r o v a l f o r a n e w a g r e e m e n t w i t h C H P f o r a n o t h e r t h r e e - y e a r t e r m . T h i s
A g e n d a I t e m 7 G
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a g r e e m e n t w i l l i n i t i a l l y c o n s i s t o f t h e f o l l o w i n g e l e m e n t s : 1 - 2 1 5 C e n t r a l
c o n s t r u c t i o n o f f i c e r o v e r t i m e h o u r s , 1 - 2 1 5 C e n t r a l c o n s t r u c t i o n d i s p a t c h o v e r t i m e
h o u r s , g e n e r a l o f f i c e r o v e r t i m e h o u r s , a n d f u n d i n g f o r o n e - h a l f o f a f u l l - t i m e
e q u i v a l e n t C H P o f f i c e r p o s i t i o n . S A N B A G ' s c u r r e n t C H P o v e r t i m e a g r e e m e n t ,
w h i c h i n c l u d e s f u n d i n g f o r t h e o t h e r h a l f o f a f u l l - t i m e e q u i v a l e n t , s t i l l h a s a n o t h e r
t w o f i s c a l y e a r s r e m a i n i n g b e f o r e i t e x p i r e s .
S t a f f c o o r d i n a t e d w i t h t h e C H P t o d e v e l o p a n e s t i m a t e f o r t h e i n c r e m e n t a l C H P
t i m e a n d c o r r e s p o n d i n g c o s t s n e e d e d t o s u p p o r t g e n e r a l o v e r t i m e a n d o v e r t i m e
n e e d e d t o s u p p o r t c o n s t r u c t i o n p r o j e c t s . T h e a g r e e m e n t p r o v i d e s f o r a m a x i m u m
o f 1 , 4 5 1 o v e r t i m e h o u r s f o r F Y 2 0 1 3 / 1 4 , 1 , 3 7 4 o v e r t i m e h o u r s f o r F Y 2 0 1 4 / 1 5 ,
a n d 9 6 3 o v e r t i m e h o u r s f o r F Y 2 0 1 5 1 1 6 a t a s t a t e w i d e r a t e d e t e r m i n e d e a c h f i s c a l
y e a r b y C H P H e a d q u a r t e r s , w h i c h c u r r e n t l y i s $ 7 9 . 1 5 p e r h o u r . T h e t o t a l a m o u n t
o f t h e a g r e e m e n t f o r b o t h r e g u l a r F S P o v e r t i m e a n d c o n s t r u c t i o n F S P o v e r t i m e s h a l l
n o t e x c e e d $ 5 2 2 , 5 1 5 . I n t h e e v e n t C H P H e a d q u a r t e r s g r a n t s a r a t e i n c r e a s e , t h e
C o m m i s s i o n w o u l d b e r e q u i r e d t o r e i m b u r s e t h e C H P a t t h e n e w h o u r l y r a t e , b u t i n �
n o e v e n t s h a l l t h e t o t a l a m o u n t e x c e e d t h e m a x i m u m c o n t r a c t a m o u n t .
B e l o w i s a b r e a k d o w n b y f i s c a l y e a r f o r h o u r s a n d a n n u a l c o s t s b y f i s c a l y e a r .
F Y 2 0 1 3 / 1 4 = $ 1 8 3 , 5 0 5
O n e h a l f o f a f u l l - t i m e o f f i c e r p o s i t i o n ( $ 8 1 , 9 3 2 )
9 2 6 h o u r s O f f i c e r O v e r t i m e f o r t h e C o m m i s s i o n P r o g r a m ( $ 6 7 , 9 9 6 )
3 8 5 h o u r s O f f i c e r O v e r t i m e f o r 1 - 2 1 5 C e n t r a l C o n s t r u c t i o n ( $ 2 8 , 2 7 1 )
1 4 0 h o u r s D i s p a t c h O v e r t i m e f o r 1 - 2 1 5 C e n t r a l C o n s t r u c t i o n ( $ 5 , 3 0 6 )
F Y 2 0 1 4 / 1 5 = $ 1 8 1 , 3 7 5
O n e h a l f o f a f u l l - t i m e o f f i c e r p o s i t i o n ( $ 8 4 , 3 9 0 )
9 4 4 h o u r s O f f i c e r O v e r t i m e f o r t h e C o m m i s s i o n P r o g r a m ( $ 6 9 , 3 1 8 )
3 2 0 h o u r s O f f i c e r O v e r t i m e f o r 1 - 2 1 5 C e n t r a l C o n s t r u c t i o n ( $ 2 3 , 4 9 8 )
1 1 0 h o u r s D i s p a t c h O v e r t i m e f o r 1 - 2 1 5 C e n t r a l C o n s t r u c t i o n ( $ 4 , 1 6 9 )
F Y 2 0 1 5 / 1 6 = $ 1 5 7 , 6 3 5
O n e h a l f o f a f u l l - t i m e o f f i c e r p o s i t i o n ( $ 8 6 , 9 2 2 )
9 6 3 h o u r s O f f i c e r O v e r t i m e f o r � t h e C o m m i s s i o n P r o g r a m ( $ 7 0 , 7 1 3 )
T h e f u n d i n g a g r e e m e n t p r o v i d e s f o r t h e r e i m b u r s e m e n t f r o m t h e C o m m i s s i o n t o t h e
C H P o f t h o s e r e a s o n a b l e o v e r t i m e e x p e n s e s n e c e s s a r y t o s u p p o r t t h e F S P p r o g r a m
a n d F S P s e r v i c e s u p p o r t i n g t h e 1 - 2 1 5 C e n t r a l c o n s t r u c t i o n p r o j e c t . A n I n l a n d C H P
L i e u t e n a n t C o m m a n d e r p r o v i d e s d i r e c t s u p e r v i s i o n o f t h e d e d i c a t e d F S P o f f i c e r s
a n d r e v i e w s a n d a p p r o v e s t h e i r r e i m b u r s e d o v e r t i m e e x p e n s e s . A u d i t i n g o f t h e s e
r e i m b u r s a b l e e x p e n s e s i s p e r f o r m e d b o t h a t t h e l o c a l C H P d i v i s i o n l e v e l a n d a t t h e
s t a t e l e v e l b y t h e F S P l i a i s o n c o n t r a c t s u n i t . U p o n a p p r o v a l o f t h i s i t e m ,
$ 1 8 3 , 5 0 4 . 9 2 w i l l b e i n c l u d e d i n t h e p r o p o s e d F Y 2 0 1 3 / 1 4 F S P p r o g r a m b u d g e t f o r
t h e n e w C H P a g r e e m e n t .
A g e n d a I t e m 7 G
1 1 0
Financial Information •
In Fiscal Year Budget: N/A Year: FY 2013/14 Amount: $183,505
N/A FY 2014/15 + $339,010
Source of Funds: SAFE Budget Adjustment: I N/A
N/A
GL/Project Accounting No.: 1201 45 81016
Fiscal Procedures Approved: ~~~ I Date: I 01/22/13
Attachment: Draft Agreement No. 13-45-074-00
•
•
Agenda Item 7G
1 1 1
"
"
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F U N D I N G A G R E E M E N T
B E T W E E N
A g r e e m e n t N o . 1 3 - 4 5 - 0 7 4 - 0 0
C H P # 1 2 R 0 6 1 X X X
D E P A R T M E N T O F C A L I F O R N I A H I G H W A Y P A T R O L
A N D
R I V E R S I D E C O U N T Y S E R V I C E A U T H O R I T Y F O R F R E E W A Y E M E R G E N C I E S
T h i s A g r e e m e n t , m a d e a n d e n t e r e d i n t o t h i s 1 s t d a y o f J u l y 2 0 1 3 , b y a n d b e t w e e n t h e
C a l i f o r n i a H i g h w a y P a t r o l , h e r e i n a f t e r c a l l e d t h e C H P , a n d t h e R i v e r s i d e C o u n t y
T r a n s p o r t a t i o n C o m m i s s i o n h e r e i n a f t e r c a l l e d t h e R C T C , a c t i n g i n i t s c a p a c i t y a s t h e
R i v e r s i d e C o u n t y S e r v i c e A u t h o r i t y f o r F r e e w a y E m e r g e n c i e s .
G E N E R A L I N F O R M A T I O N :
T h i s A g r e e m e n t p e r t a i n s t o t h e o v e r t i m e s u p e r v i s i o n a n d o p e r a t i o n o f a F r e e w a y
S e r v i c e P a t r o l ( F S P ) p r o g r a m i n R i v e r s i d e C o u n t y .
S e c t i o n 2 4 0 1 o f t h e C a l i f o r n i a V e h i c l e C o d e ( C V C ) s t a t e s t h a t t h e C o m m i s s i o n e r o f
t h e C H P s h a l l m a k e a d e q u a t e p r o v i s i o n s f o r p a t r o l o f t h e h i g h w a y s a t a l l t i m e s o f t h e
d a y a n d n i g h t . T h i s s e c t i o n i s i n t e r p r e t e d t o m e a n t h a t t h e C o m m i s s i o n e r i s g i v e n
b r o a d d i s c r e t i o n i n d e t e r m i n i n g t h e m e a n s o f p r o v i d i n g a d e q u a t e p a t r o l , i n c l u d i n g t h e
u s e o f R i v e r s i d e C o u n t y F S P v e h i c l e s .
S e c t i o n 2 1 7 1 8 ( a ) ( 7 ) o f t h e C V C i s a p r o v i s i o n w h i c h s p e c i f i c a l l y a l l o w s t h e C H P t o b e
r e s p o n s i b l e f o r F S P s t o p p i n g o n f r e e w a y s f o r t h e p u r p o s e o f r a p i d r e m o v a l o f
i m p e d i m e n t s t o t r a f f i c .
T h e R C T C h a s t h e a b i l i t y t o p r o v i d e l o c a l m a t c h i n g f u n d s a s r e q u i r e d b y s t a t e
B u d g e t C h a n g e P r o p o s a l ( B C P ) f o r F S P s o n f r e e w a y s w i t h i n R i v e r s i d e C o u n t y ,
w h i c h q u a l i f i e d t h e c o u n t y t o p a r t i c i p a t e i n t h e s t a t e F S P p r o g r a m . R i v e r s i d e C o u n t y
F S P w i l l a s s i s t i n t r a n s p o r t a t i o n s y s t e m m a n a g e m e n t e f f o r t s , p r o v i d e t r a f f i c
c o n g e s t i o n r e l i e f , a n d e x p e d i t e t h e r e m o v a l o f f r e e w a y i m p e d i m e n t s , a l l o f w h i c h w i l l
h a v e t h e a d d e d b e n e f i t o f i m p r o v i n g a i r q u a l i t y .
T E R M S A N D C O N D I T I O N S
A . G E N E R A L P R O V I S I O N S
1 . T h e R i v e r s i d e C o u n t y F S P p r o g r a m i s i n t e n d e d t o b e f u n d e d w i t h
r e v e n u e s d e r i v e d f r o m S a f e a n d B C P f u n d s f o r t h e d a y t o d a y
c o n t r a c t o r o p e r a t i o n . I n a d d i t i o n t o t h i s , i t i s n e c e s s a r y t o f u n d a
h a l f - t i m e o f f i c e r p o s i t i o n a n d C H P o v e r t i m e f o r o p e r a t o r f i e l d
s u p e r v i s i o n , a d m i n i s t r a t i v e d u t i e s , a n d o t h e r f i e l d d u t i e s r e q u i r e d t o
m a i n t a i n t h e e x p e c t e d h i g h l e v e l o f F S P o p e r a t i o n a l s e r v i c e .
1 7 3 3 6 . 0 0 0 0 2 \ 7 7 3 3 9 1 3 . 3 1
1 1 2
2.
Agreement No. 13-45-074-00
CHP # 12R061XXX
This Agreement may only be amended by mutual written consent
of the parties hereto.
3. The term of this agreement is from July 1, 2013, to June 30, 2016.
4. The Coordinators of this agreement are shown below:
5.
17336.00002\7733913.3
a) Riverside County Transportation Commission
Brian Cunanan, Program Manager
P.O. Box 12008
Riverside, California 92502-2208
(951) 787-7141
b) California Highway Patrol
Research and Planning Section
Lori Gong, Statewide FSP Program Manager
P. 0. Box 942898
Sacramento, CA 94298-0001
(916) 843-3340
The coordinators during the term of this Agreement may be
changed by advance written notice without the necessity of an
amendment to this Agreement.
The RCTC agrees to reimburse the CHP in accordance
with the following schedule:
Fiscal Year 2013/2014:
One half of a full-time officer position at an estimated
monthly salary rate of $6,827.67 for a total of $81,932.
1,311 hours of available officer overtime at an estimated
hourly rate of $73.43, for a total of $96,267.
140 hours of available public safety dispatcher II overtime at
an estimated hourly rate of $37.90, for a total of $5,306.
Fiscal Year 2014/2015:
One half of a full-time officer position at an estimated
monthly salary rate of $7,032.50 for a total of $84,390.
1 ,264 hours of available officer overtime at an estimated
hourly rate of $73.43, for a total of $92,816.
2
113
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A g r e e m e n t N o . 1 3 - 4 5 - 0 7 4 - 0 0
C H P # 1 2 R 0 6 1 X X X
1 1 0 h o u r s o f a v a i l a b l e p u b l i c s a f e t y d i s p a t c h e r I I o v e r t i m e a t
a n e s t i m a t e d h o u r l y r a t e o f $ 3 7 . 9 0 , f o r a t o t a l o f $ 4 , 1 6 9 .
F i s c a l Y e a r 2 0 1 5 / 2 0 1 6 :
O n e h a l f o f a f u l l - t i m e o f f i c e r p o s i t i o n a t a n e s t i m a t e d
m o n t h l y s a l a r y r a t e o f $ 7 , 2 4 3 . 5 0 , f o r a t o t a l o f $ 8 6 , 9 2 2 .
9 6 3 h o u r s o f a v a i l a b l e o f f i c e r o v e r t i m e a t a n e s t i m a t e d
h o u r l y r a t e o f $ 7 3 . 4 3 , f o r a t o t a l o f $ 7 0 , 7 1 3 .
6 . A m o u n t s p a y a b l e t o t h e C H P b y t h e R C T C f o r c o s t s i n c u r r e d
p u r s u a n t t o t h i s A g r e e m e n t m a y b e u t i l i z e d o v e r s e v e r a l f i s c a l
y e a r s , a n d n e e d n o t b e u t i l i z e d i n a s i n g l e f i s c a l y e a r b y t h e C H P ,
s o l o n g a s t h e t o t a l a m o u n t p a y a b l e u n d e r t h i s A g r e e m e n t i s n o t
e x c e e d e d .
7 . I t i s u n d e r s t o o d b y b o t h p a r t i e s t h a t r a t e i n c r e a s e s i n s a l a r y a n d
b e n e f i t s a r e g o v e r n e d b y c o l l e c t i v e b a r g a i n i n g a g r e e m e n t s a n d / o r
s t a t u t e a n d t h a t n o a d v a n c e n o t i f i c a t i o n i s n e c e s s a r y p r i o r t o
i m p l e m e n t i n g t h e i n c r e a s e d r a t e s . I n t h e e v e n t t h e C H P i s g r a n t e d
a r a t e i n c r e a s e , t h e R C T C a g r e e s t o r e i m b u r s e t h e C H P a t t h e n e w
r a t e , b u t i n n o e v e n t s h a l l t h e t o t a l a m o u n t e x c e e d $ 5 2 2 , 5 1 5 .
8 .
9 .
1 7 3 3 6 . 0 0 0 0 2 \ 7 7 3 3 9 1 3 . 3
N e i t h e r t h e C H P n o r a n y o f i t s o f f i c e r s , a g e n t s o r e m p l o y e e s s h a l l
b e r e s p o n s i b l e f o r a n y d a m a g e o r l i a b i l i t y o c c u r r i n g b y r e a s o n o f
a n y t h i n g d o n e o r o m i t t e d t o b e d o n e b y t h e R C T C u n d e r o r i n
c o n n e c t i o n w i t h a n y w o r k , a u t h o r i t y , o r j u r i s d i c t i o n d e l e g a t e d t o t h e
R C T C u n d e r t h i s A g r e e m e n t . P u r s u a n t t o G o v e r n m e n t C o d e
S e c t i o n 8 9 5 . 4 , t h e R C T C s h a l l f u l l y . i n d e m n i f y a n d h o l d t h e C H P
h a r m l e s s f r o m a n y l i a b i l i t y i m p o s e d f o r i n j u r y ( a s d e f i n e d b y
G o v e r n m e n t C o d e S e c t i o n 8 1 0 . 8 ) o c c u r r i n g b y r e a s o n o f a n y t h i n g
d o n e o r o m i t t e d t o b e d o n e b y t h e R C T C u n d e r o r i n c o n n e c t i o n
w i t h a n y w o r k , a u t h o r i t y , o r j u r i s d i c t i o n d e l e g a t e d t o t h e R C T C
u n d e r t h i s A g r e e m e n t a n d f o r w h i c h t h e R C T C w o u l d o t h e r w i s e b e
l i a b l e .
N e i t h e r t h e R C T C n o r a n y o f i t s b o a r d m e m b e r s , o f f i c e r s ,
e m p l o y e e s , a g e n t s , o r r e p r e s e n t a t i v e s s h a l l b e r e s p o n s i b l e f o r a n y
d a m a g e o r l i a b i l i t y o c c u r r i n g b y r e a s o n o f a n y t h i n g d o n e o r o m i t t e d
t o b e d o n e b y t h e C H P u n d e r o r i n c o n n e c t i o n w i t h a n y w o r k ,
a u t h o r i t y , o r j u r i s d i c t i o n d e l e g a t e d t o t h e C H P u n d e r t h i s
A g r e e m e n t . P u r s u a n t t o G o v e r n m e n t C o d e S e c t i o n 8 9 5 . 4 , t h e
C H P s h a l l f u l l y i n d e m n i f y a n d h o l d t h e R C T C h a r m l e s s f r o m a n y
l i a b i l i t y i m p o s e d f o r i n j u r y ( a s d e f i n e d b y G o v e r n m e n t C o d e S e c t i o n
8 1 0 . 8 ) o c c u r r i n g b y r e a s o n o f a n y t h i n g d o n e o r o m i t t e d t o b e d o n e
3
1 1 4
Agreement No. 13-45-074-00
CHP # 12R061XXX
by the CHP under or in connection with any work, authority, or •
jurisdiction delegated to the CHP under this Agreement and for
which the CHP would otherwise be liable.
10. Notwithstanding any other provision of this Agreement, the CHP,
its officers, agents or employees are not liable to the RCTC for
any claim based on negligence of an FSP operator/FSP
contractor or for any other claim not based on a negligent act or
omission of the CHP. The general principles of equitable
indemnity have been considered and are expressly excluded.
The RCTC agrees that, notwithstanding any other provision of
this Agreement, no claim for indemnity or contribution will be
made unless the accident was caused by affirmative negligence
of the CHP. The RCTC will include, in its agreements with its
FSP operators/FSP contractors, a provision requiring such
operators/contractors to agree to indemnify the CHP for any
claim made against the CHP based on Government Code
Section 815.2 or 815.4 and arising out of the negligence or
alleged negligence of the FSP operator/contractor.
11. Notwithstanding any other provision of this Agreement, the
RCTC, its members, officers, agents and employees are not
liable to the CHP for any claim based on the negligence of any •
FSP operator/FSP contractor or for any other claim not based on
a negligent act or omission of the RCTC. The general principles
of equitable indemnity have been considered and are expressly
excluded. The CHP agrees that, notwithstanding any other
provision of this Agreement, no claim for indemnity or contribution
will be made unless the accident was caused by the affirmative
negligence of the RCTC.
B. RCTC RESPONSIBILITIES:
1. The RCTC shall reimburse the CHP for those reasonable overtime
expenses necessary to support the Riverside County FSP
operations as outlined in paragraph 5 of Section A
C. CHP RESPONSIBILITIES:
1. The CHP has assigned and staffed for supervision of the
Riverside County FSP with two full-time traffic officers. The level
of supervision conducted by the CHP under this agreement shall
be at the discretion of the CHP.
2.
17336.00002\7733913.3
All personnel providing services shall be state employees under the
sole discretion, supervision, and regulation of the CHP. Said
4
115
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3 .
A g r e e m e n t N o . 1 3 - 4 5 - 0 7 4 - 0 0
C H P # 1 2 R 0 6 1 X X X
p e r s o n n e l s h a l l w o r k o u t o f t h e a p p r o p r i a t e C H P f a c i l i t i e s a s
d e s i g n a t e d b y t h e C H P . A t n o t i m e s h a l l a n y s t a t e e m p l o y e e
a s s i g n e d t o t h e R i v e r s i d e C o u n t y F S P p r o g r a m b e c o n s i d e r e d
e m p l o y e e s , a g e n t s , o f f i c i a l s , o r v o l u n t e e r s o f t h e R C T C .
T h e C H P o v e r t i m e d u t i e s s h a l l i n c l u d e b u t n o t b e l i m i t e d t o :
a ) T h e d a i l y f i e l d s u p e r v i s i o n o f F S P o p e r a t o r s .
b ) I n v e s t i g a t i n g c o m p l a i n t s f r o m t h e p u b l i c r e g a r d i n g a
R i v e r s i d e C o u n t y F S P c o n t r a c t o r o r o p e r a t o r .
c ) P e r f o r m i n g a l l n e c e s s a r y d r i v e r l i c e n s e a n d b a c k g r o u n d
c h e c k s o n a l l R i v e r s i d e C o u n t y F S P o p e r a t o r s .
d ) I n s p e c t i n g a l l t o w t r u c k s o n a p e r i o d i c b a s i s .
e ) P e r f o r m i n g n e c e s s a r y d a i l y p r o j e c t f i e l d s u p e r v i s i o n ,
p r o g r a m m a n a g e m e n t a n d t h e o v e r s i g h t o f t h e q u a l i t y o f t h e
c o n t r a c t o r s ' s e r v i c e s .
f ) P r o v i d i n g t r a i n i n g t o a l l R i v e r s i d e C o u n t y F S P c o n t r a c t o r s
a n d o p e r a t o r s .
g ) R e v i e w i n g a n d v e r i f y i n g a l l F S P c o n t r a c t o r ' s b i l l i n g p r i o r t o
R C T C p a y m e n t .
h ) P r o v i d i n g r e p r e s e n t a t i o n f o r t h e F S P T e c h n i c a l C o m m i t t e e .
D . D I S P U T E S :
1 .
1 7 3 3 6 . 0 0 0 0 2 \ 7 7 3 3 9 1 3 . 3
I n t h e e v e n t o f a n y d i s p u t e a r i s i n g o u t o f o r r e l a t i n g t o t h i s
A g r e e m e n t , t h e p a r t i e s s h a l l a t t e m p t , i n g o o d f a i t h , t o p r o m p t l y
r e s o l v e t h e d i s p u t e m u t u a l l y b e t w e e n t h e m s e l v e s . P e n d i n g
r e s o l u t i o n o f s u c h d i s p u t e , t h e C H P s h a l l c o n t i n u e w i t h o u t d e l a y t o
c a r r y o u t a l l i t s r e s p o n s i b i l i t i e s u n d e r t h i s A g r e e m e n t u n l e s s t h e
A g r e e m e n t i s o t h e r w i s e t e r m i n a t e d i n a c c o r d a n c e w i t h t h e
T e r m i n a t i o n p r o v i s i o n s h e r e i n . T h e R C T C s h a l l n o t b e r e q u i r e d t o
m a k e p a y m e n t s f o r a n y s e r v i c e s t h a t a r e t h e s u b j e c t o f t h i s d i s p u t e
r e s o l u t i o n p r o c e s s u n t i l s u c h d i s p u t e h a s b e e n m u t u a l l y r e s o l v e d
b y t h e p a r t i e s . I f t h e d i s p u t e c a n n o t b e r e s o l v e d w i t h i n 1 5 c a l e n d a r
d a y s o f i n i t i a t i n g s u c h n e g o t i a t i o n s o r s u c h o t h e r t i m e p e r i o d a s
m a y b e m u t u a l l y a g r e e d t o b y t h e p a r t i e s i n w r i t i n g , e i t h e r p a r t y
m a y p u r s u e i t s a v a i l a b l e l e g a l a n d e q u i t a b l e r e m e d i e s , p u r s u a n t t o
t h e l a w s o f t h e S t a t e o f C a l i f o r n i a . N o t h i n g i n t h i s A g r e e m e n t o r
p r o v i s i o n s h a l l c o n s t i t u t e a w a i v e r o f a n y o f t h e g o v e r n m e n t c l a i m
5
1 1 6
Agreement No. 13-45-074-00
CHP # 12R061XXX
filing requirements set forth in Title 1, Division 3.6, of the California •
Government Code or as otherwise set forth in local, state, and
federal law.
E. TERMINATION:
1. Either party reserves the right to terminate this Agreement without
cause upon ninety (90) days written notice to the other party, or
immediately in the event of a material breach. In the event of
termination, the CHP shall be paid for all allowable costs incurred
up to the date of termination, including non cancelable obligations.
F. RETENTION OF RECORDS/AUDITS:
1.
17336.00002\7733913.3
The contracting parties hereto shall be subject to the examination
and audit of the State for a period of three (3) years after final
payment under this Agreement. In addition, the RCTC and the
CHP may be subject to the examination and audit by
representatives of either party. The examination and audit shall be
confined to those matters connected with the performance of the
contract including, but not limited to the costs of administering the
contract. The RCTC and the CHP agree to allow the auditor(s) ,
access to such records during normal business hours and to allow
interviews of any employees who might reasonably have
information related to such records.
[Signatures on following page]
6
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A g r e e m e n t N o . 1 3 - 4 5 - 0 7 4 - 0 0
C H P # 1 2 R 0 6 1 X X X
R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
K a r e n S p i e g e l , C h a i r
D a t e
A P P R O V E D A S T O F O R M :
B e s t B e s t & K r i e g e r L L P
G e n e r a l C o u n s e l
D E P A R T M E N T O F C A L I F O R N I A H I G H W A Y P A T R O L
T . L . A n d e r s o n , A s s i s t a n t C h i e f
A d m i n i s t r a t i v e S e r v i c e s D i v i s i o n
D a t e
1 7 3 3 6 . 0 0 0 0 2 \ 7 7 3 3 9 1 3 . 3 7
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A G E N D A I T E M 8
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R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
D A T E :
T O :
F R O M :
T H R O U G H :
S U B J E C T :
F e b r u a r y 1 3 , 2 0 1 3
R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
S h i r l e y M e d i n a , P r o g r a m m i n g a n d P l a n n i n g M a n a g e r
A n n e M a y e r , E x e c u t i v e D i r e c t o r
M e a s u r e A W e s t e r n C o u n t y H i g h w a y A g r e e m e n t w i t h C i t y o f
M u r r i e t a f o r I n t e r s t a t e 1 5 / L o s A l a m o s R o a d B r i d g e
S T A F F R E C O M M E N D A T J O N :
T h i s i t e m i s f o r t h e C o m m i s s i o n t o :
1 ) A p p r o v e A g r e e m e n t N o . 1 3 - 3 1 - 0 5 3 - 0 0 w i t h t h e c i t y o f M u r r i e t a f o r
M e a s u r e A f u n d i n g o f $ 2 . 9 m i l l i o n f o r t h e I n t e r s t a t e 1 5 / L o s A l a m o s B r i d g e
p r o j e c t ; a n d
2 ) A u t h o r i z e t h e C h a i r , p u r s u a n t t o l e g a l c o u n s e l r e v i e w , t o e x e c u t e t h e
a g r e e m e n t o n b e h a l f o f t h e C o m m i s s i o n .
B A C K G R O U N D J N F O R M A T I O N :
A t i t s O c t o b e r 2 0 1 2 m e e t i n g , t h e C o m m i s s i o n a p p r o v e d p r o g r a m m i n g u p t o
$ 3 . 5 m i l l i o n o f P r o p o s i t i o n S t a t e - L o c a l P a r t n e r s h i p P r o g r a m ( S L P P ) F o r m u l a f u n d s
t o f i l l a f u n d i n g g a p f o r t h e 1 - 1 5 / L o s A l a m o s B r i d g e p r o j e c t i n t h e c i t y o f M u r r i e t a .
S u b s e q u e n t l y , t h e c i t y r e c e i v e d a p p r o v a l b y t h e C a l i f o r n i a T r a n s p o r t a t i o n
C o m m i s s i o n f o r $ 1 m i l l i o n o f S L P P C o m p e t i t i v e f u n d i n g . T h e r e f o r e , t h e
C o m m i s s i o n ' s c o m m i t m e n t f o r S L P P F o r m u l a f u n d s i s $ 2 . 5 m i l l i o n .
T h e C o m m i s s i o n a l s o p r e v i o u s l y c o m m i t t e d 2 0 0 9 M e a s u r e A W e s t e r n C o u n t y
h i g h w a y f u n d i n g i n t h e a m o u n t o f $ 2 . 9 m i l l i o n , s p e c i f i c a l l y f o r t h e c o n s t r u c t i o n
p h a s e , a s t h e 1 - 1 5 / L o s A l a m o s p r o j e c t i s p a r t o f t h e o v e r a l l 1 - 1 5 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 M e a s u r e A H i g h w a y p r o g r a m o f p r o j e c t s . T h i s p r o j e c t c o n s i s t s o f
r e p l a c i n g t h e e x i s t i n g s t r u c t u r e a t L o s A l a m o s R o a d a n d 1 - 1 5 w i t h a n e w f o u r - l a n e
o v e r c r o s s i n g , i n c l u d i n g s i d e w a l k s , a n d w i l l w i d e n t h e e x i s t i n g a p p r o a c h e s t o
a c c o m m o d a t e t h e n e w s t r u c t u r e . T h e n e w c o n s t r u c t i o n w i l l c o n s i s t o f t h e e r e c t i o n
o f t w o n e w b r i d g e s o n e i t h e r s i d e o f t h e e x i s t i n g . o v e r c r o s s i n g a n d t h e n t h e
d e m o l i t i o n a n d r e c o n s t r u c t i o n o f t h e c e n t e r s p a n t o c o m p l e t e t h e n e w f o u r - l a n e
o v e r c r o s s i n g .
A g e n d a I t e m 8
1 1 9
I
The current funding is as follows:
Measure A $2.9 million
SLPP Formula $2.5 million
SLPP Competitive $1 .0 million
City funds $3.5 million
Total $9.9 million
The 1-1 5/ Los Alamos Bridge project is scheduled to begin construction in spring
2013.
Financial Information
In Fiscal Year Budget: Yes Year: FY 2012/13 Amount: $2,000,000
FY 2013/14 $ 900,000
Source of Funds: 12009 Measure A Western County
Highway Budget Adjustment: I N/A
GL!Project Accounting No.: 003036813010000000002613181301
Fiscal Procedures Approved: ~~ J Date: I 01/29/13
Attachment: Agreement with City of Murrieta
Agenda Item 8
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1 .
A g r e e m e n t N o . 1 3 - 3 1 - 0 5 3 - 0 0
A G R E E M E N T F O R T H E F U N D I N G O F
M E A S U R E A W E S T E R N C O U N T Y H I G H W A Y
W I T H T H E C I T Y O F M U R R I E T A
P a r t i e s a n d D a t e .
1 . 1 T h i s A g r e e m e n t i s e x e c u t e d a n d e n t e r e d i n t o t h i s _ d a y o f , 2 0 1 3 , b y a n d
b e t w e e n t h e R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N ( " R C T C " ) a n d C I T Y
O F M U R R I E T A ( " C i t y " ) . R C T C a n d C i t y a r e s o m e t i m e s c o l l e c t i v e l y r e f e r r e d t o h e r e i n a s t h e
" P a r t i e s " .
2 . R e c i t a l s .
2 . 1 R C T C i s a c o u n t y t r a n s p o r t a t i o n c o m m i s s i o n c r e a t e d a n d e x i s t i n g p u r s u a n t t o
C a l i f o r n i a P u b l i c U t i l i t i e s C o d e S e c t i o n s 1 3 0 0 5 3 a n d 1 3 0 0 5 3 . 5 .
2 . 2 O n N o v e m b e r 5 , 2 0 0 2 t h e v o t e r s o f R i v e r s i d e C o u n t y a p p r o v e d M e a s u r e A
a u t h o r i z i n g t h e c o l l e c t i o n o f a o n e - h a l f p e r c e n t ( 1 / 2 % ) r e t a i l t r a n s a c t i o n s a n d u s e t ~ x t o f u n d
t r a n s p o r t a t i o n p r o g r a m s a n d i m p r o v e m e n t s w i t h i n t h e C o u n t y o f R i v e r s i d e , a n d a d o p t i n g t h e
R i v e r s i d e C o u n t y T r a n s p o r t a t i o n I m p r o v e m e n t P l a n ( t h e " P l a n " ) .
2 . 3 T h e P l a n e s t a b l i s h e s f u n d i n g f o r a n y i m p r o v e d R e g i o n a l A r t e r i a l S y s t e m t o b e f u n d e d
b y a m i x o f m e a s u r e A a n d T r a n s p o r t a t i o n U n i f o r m M i t i g a t i o n F e e s ( T U M F ) r e v e n u e s .
2 . 4 P u r s u a n t t o P u b l i c U t i l i t y C o d e S e c t i o n s 2 4 0 0 0 0 e t s e q . , R C T C i s a u t h o r i z e d t o
a l l o c a t e t h e p r o c e e d s o f t h e M e a s u r e A t a x i n f u r t h e r a n c e o f t h e P l a n .
2 . 5 R C T C i n t e n d s , b y t h i s A g r e e m e n t , t o d i s t r i b u t e M e a s u r e A W e s t e r n C o u n t y H i g h w a y
F u n d s ( " F u n d s " ) , s u b j e c t t o t h e c o n d i t i o n s p r o v i d e d h e r e i n , a n d t o p a r t i c i p a t e i n t h e j o i n t
d e v e l o p m e n t o f t h e P r o j e c t , a s d e f i n e d h e r e i n .
3 . T e r m s .
3 . 1 D e s c r i p t i o n o f W o r k . T h i s A g r e e m e n t i s i n t e n d e d t o d i s t r i b u t e F u n d s t o t h e C i t y f o r
t h e I n t e r s t a t e 1 5 L o s A l a m o s I n t e r c h a n g e O v e r c r o s s i n g ( " t h e W o r k " ) . T h e W o r k , i n c l u d i n g a
t i m e t a b l e a n d a d e t a i l e d s c o p e o f w o r k , i s m o r e f u l l y d e s c r i b e d i n E x h i b i t " A " a t t a c h e d h e r e t o a n d ,
p u r s u a n t t o S e c t i o n 3 . 1 5 b e l o w , i s s u b j e c t t o m o d i f i c a t i o n a s r e q u e s t e d b y t h e C i t y a n d a p p r o v e d b y
R C T C . T h e W o r k s h a l l b e c o n s i s t e n t w i t h o n e o r m o r e o f t h e d e f i n e d R C T C C a l l f o r P r o j e c t s p h a s e s
d e t a i l e d h e r e i n a s f o l l o w s :
1 ) P A & E D - P r o j e c t A p p r o v a l s & E n v i r o n m e n t a l D o c u m e n t
2 ) P S & E - P l a n s , S p e c i f i c a t i o n s a n d E s t i m a t e s
3 ) R / W - R i g h t o f W a y A c q u i s i t i o n a n d U t i l i t y R e l o c a t i o n
4 ) C O N S - C o n s t r u c t i o n
1 7 3 3 6 . 0 0 0 0 1 \ 7 6 7 5 0 4 4 . 4
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It is understood and agreed that the City shall expend Funds only as set forth in this Agreement and
only for the Work. To this end, any use of funds provided pursuant to this Agreement shall be
subject to the review and approval ofRCTC. •
3.2 RCTC Funding Amount. RCTC hereby agrees to distribute to the City, on the terms
and conditions set forth herein, a sum not to exceed Two Million Nine Hundred Thousand Dollars
($2,900,000), to be used exclusively for reimbursing the City for eligible Work expenses as
described herein ("Funding Amount"). The City acknowledges and agrees that the Funding Amount
may be less than the actual cost of the Work, and that RCTC shall not contribute Funds in excess of
the maximum authorized in this section.
3.2.1 Eligible Work Costs. The total Work costs ("Total Work Cost") may include .
the following items, provided that such items are included in the scope of work attached as Exhibit
"A": (1) City and/or consultant costs associated with direct Work coordination and support; (2)
funds expended in preparation of preliminary engineering studies; (3) funds expended for preparation
of environmental review documentation for the Work; (4) all costs associated with right-of-way
acquisition, including right-of-way engineering, appraisalr acquisition, legal costs for condemnation
procedures if authorized by the City, and costs of reviewing appraisals and offers for property
acquisition; (5) costs reasonably incurred if condemnation proceeds; (6) costs incurred in the
preparation of plans, specifications, and estimates by City or consultants; (7) City costs associated
with bidding, advertising and awarding of the Work contracts; (8) construction costs, including
change orders to construction contract approved by the City; and (9) construction management, field
inspection and material testing costs.
3.2.2 Ineligible Work Costs. The Total Work Cost shall not include the following .•
items which shall be borne solely by the City without reimbursement: (1) City administrative costs;
(2) City costs attributed to the preparation of invoices, billings and payments; (3) any City fees
attributed to the processing of the Work; and (4) expenses for items of work not included within the
scope of work in Exhibit "A".
3.2.3 Increases in Work Funding. The Funding Amount may, in RCTC's sole
discretion, be augmented with additional Funds. Any such increase in the Funding Amount must be
approved in writing by RCTC's Executive Director. No such increased funding shall be expended to
pay for any Work already completed. For purposes of this Agreement, the Work or any portion
thereof shall be deemed complete upon its acceptance by RCTC's Executive Director.
3.2.4 No Funding for Temporary Improvements. Only segments or components of
the Work that are intended to form part of or be integrated into the Work may be funded by Funds.
No improvement which is temporary in nature, including but not limited to temporary roads, curbs,
or drainage facilities, shall be funded with Funds except as needed for staged construction of the
Work.
3.3 City's Funding Obligation to Complete the Work. In the event that the Funds
allocated to the Work represent less than the total cost of the Work, the City shall provide such
additional funds as may be required to complete the Work as described in Exhibit "A".
17336.00001\7675044.4 2
122
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3 . 3 . 1 C i t y ' s O b l i g a t i o n t o R e p a y F u n d s t o R C T C . I n t h e e v e n t t h a t : ( i ) t h e C i t y ,
f o r a n y r e a s o n , d e t e r m i n e s n o t t o p r o c e e d w i t h o r c o m p l e t e t h e W o r k ; o r ( i i ) t h e W o r k i s n o t t i m e l y
c o m p l e t e d , s u b j e c t t o a n y e x t e n s i o n o f t i m e g r a n t e d b y R C T C p u r s u a n t t o S e c t i o n 3 . 1 5 ; t h e C i t y
a g r e e s t h a t a n y F u n d s t h a t w e r e d i s t r i b u t e d t o t h e C i t y f o r t h e W o r k s h a l l b e r e p a i d i n f u l l t o R C T C .
T h e P a r t i e s s h a l l e n t e r i n t o g o o d f a i t h n e g o t i a t i o n s t o e s t a b l i s h a r e a s o n a b l e r e p a y m e n t s c h e d u l e a n d
r e p a y m e n t m e c h a n i s m w h i c h m a y i n c l u d e , b u t i s n o t l i m i t e d t o , w i t h h o l d i n g o f M e a s u r e A L o c a l
S t r e e t s a n d R o a d s r e v e n u e s . T h e C i t y a c k n o w l e d g e s a n d a g r e e s t h a t R C T C s h a l l h a v e t h e r i g h t t o
w i t h h o l d a n y M e a s u r e A L o c a l S t r e e t s a n d R o a d s r e v e n u e s d u e t h e C i t y , i n a n a m o u n t n o t t o e x c e e d
t h e t o t a l o f t h e f u n d s d i s t r i b u t e d t o t h e C i t y , a n d / o r i n i t i a t e l e g a l a c t i o n t o c o m p e l r e p a y m e n t , i f t h e
C i t y f a i l s t o r e p a y R C T C w i t h i n a r e a s o n a b l e t i m e p e r i o d n o t t o e x c e e d 1 8 0 d a y s f r o m r e c e i p t o f
w r i t t e n n o t i f i c a t i o n f r o m R C T C t h a t r e p a y m e n t i s r e q u i r e d .
3 . 3 . 2 C i t y ' s L o c a l M a t c h C o n t r i b u t i o n . T h e C i t y s h a l l p r o v i d e a t l e a s t T h r e e
M i l l i o n , F i v e H u n d r e d T h o u s a n d d o U a r s ( $ 3 , 5 0 0 , 0 0 0 ) o f f u n d i n g t o w a r d t h e W o r k , a s s h o w n i n
E x h i b i t " A " .
3 . 4 W o r k R e s p o n s i b i l i t i e s o f t h e C i t y . T h e C i t y s h a l l b e r e s p o n s i b l e f o r t h e f o l l o w i n g
a s p e c t s o f t h e W o r k , i n c o m p l i a n c e w i t h s t a t e a n d f e d e r a l l a w p r o v i d e d t h a t s u c h i t e m s a r e i n c l u d e d
i n t h e P r o j e c t s c o p e o f w o r k a t t a c h e d a s E x h i b i t " A " : ( i ) d e v e l o p m e n t a n d a p p r o v a l o f p l a n s ,
s p e c i f i c a t i o n s a n d e n g i n e e r ' s e s t i m a t e ( P S & E ) , e n v i r o n m e n t a l c l e a r a n c e , r i g h t o f w a y a c q u i s i t i o n ,
a n d o b t a i n i n g a l l p e r m i t s r e q u i r e d b y i m p a c t e d a g e n c i e s p r i o r t o c o m m e n c e m e n t o f t h e W o r k ; ( i i ) a l l
a s p e c t s o f b i d d i n g , a w a r d i n g , a n d a d m i n i s t r a t i o n o f t h e c o n t r a c t s f o r t h e W o r k ; ( i i i ) a l l c o n s t r u c t i o n
m a n a g e m e n t o f a n y c o n s t r u c t i o n a c t i v i t i e s u n d e r t a k e n i n c o n n e c t i o n w i t h t h e W o r k , i n c l u d i n g � s u r v e y
a n d m a t e r i a l t e s t i n g ; a n d ( i v ) d e v e l o p m e n t o f a b u d g e t f o r t h e W o r k p r i o r t o a w a r d o f a n y c o n t r a c t
f o r t h e W o r k , t a k i n g i n t o c o n s i d e r a t i o n a v a i l a b l e f u n d i n g , i n c l u d i n g F u n d s .
3 . 5 T e r m / N o t i c e o f C o m p l e t i o n . T h e t e r m o f t h i s A g r e e m e n t s h a l l b e f r o m t h e d a t e f i r s t
h e r e i n a b o v e w r i t t e n u n t i l : ( i ) t h e d a t e R C T C f o r m a U y a c c e p t s t h e W o r k a s c o m p l e t e , p u r s u a n t t o
S e c t i o n 3 . 2 . 3 ; ( i i ) t e r m i n a t i o n o f t h i s A g r e e m e n t p u r s u a n t t o S e c t i o n 3 . 9 ; o r ( i i i ) t h e C i t y h a s f u l l y
s a t i s f i e d i t s o b l i g a t i o n s u n d e r t h i s A g r e e m e n t i n c l u d i n g f u l l r e p a y m e n t o f F u n d s t o R C T C a s
p r o v i d e d h e r e i n " . A U a p p l i c a b l e i n d e m n i f i c a t i o n p r o v i s i o n s o f t h i s A g r e e m e n t s h a l l r e m a i n i n e f f e c t
f o l l o w i n g t h e e x p i r a t i o n o r t e r m i n a t i o n o f t h i s A g r e e m e n t .
3 . 6 R e p r e S e n t a t i v e s o f t h e P a r t i e s . R C T C ' s E x e c u t i v e D i r e c t o r , o r h i s o r h e r d e s i g n e e ,
s h a l l s e r v e a s R C T C ' s r e p r e s e n t a t i v e a n d s h a l l h a v e t h e a u t h o r i t y t o a c t o n b e h a l f o f R C T C f o r a l l
p u r p o s e s u n d e r t h i s A g r e e m e n t . _ T h e C i t y h e r e b y d e s i g n a t e s P a t T h o m a s , D i r e c t o r o f P u b l i c
W o r k s / C i t y E n g i n e e r , o r h i s o r h e r d e s i g n e e , a s t h e C i t y ' s r e p r e s e n t a t i v e t o R C T C . T h e C i t y ' s
r e p r e s e n t a t i v e s h a l l h a v e t h e a u t h o r i t y t o a c t o n b e h a l f o f t h e C i t y f o r a l l p u r p o s e s u n d e r t h i s
A g r e e m e n t a n d s h a U c o o r d i n a t e a U a c t i v i t i e s o f t h e W o r k u n d e r t h e C i t y ' s r e s p o n s i b i l i t y . T h e C i t y
s h a l l w o r k c l o s e l y a n d c o o p e r a t e f u l l y w i t h R C T C ' s r e p r e s e n t a t i v e a n d a n y o t h e r a g e n c i e s w h i c h
m a y h a v e j u r i s d i c t i o n o v e r o r a n i n t e r e s t i n t h e W o r k .
3 . 7 E x p e n d i t u r e o f F u n d s b y C i t y P r i o r t o E x e c u t i o n o f A g r e e m e n t . N o t h i n g i n t h i s
A g r e e m e n t s h a l l b e c o n s t r u e d t o p r e v e n t o r p r e c l u d e t h e C i t y f r o m e x p e n d i n g f u n d s o n t h e W o r k
p r i o r t o t h e e x e c u t i o n o f t h e A g r e e m e n t , o r f r o m b e i n g r e i m b u r s e d b y R C T C f o r s u c h e x p e n d i t u r e s .
H o w e v e r , t h e C i t y u n d e r s t a n d s a n d a c k n o w l e d g e s t h a t a n y e x p e n d i t u r e o f f u n d s o n t h e W o r k p r i o r t o
1 7 3 3 6 . 0 0 0 0 1 \ 7 6 7 5 0 4 4 . 4 3
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the execution of the Agreement is made at the City's sole risk, and that some expenditures by the
City may not be eligible for reimbursement under this Agreement.
3.8 Review of Services. The City shall allow RCTC's Representative to inspect or
review the progress of the Work at any reasonable time in order to determine whether the terms of
this Agreement are being met.
3. 9 Termination. This Agreement may be terminated for cause or convenience as further
specified below.
3.9.1 Termination for Convenience.
3.9.1.1 Notice. Either RCTC or the City may, by written notice to the other
party, terminate this Agreement, in whole or in part, for convenience by giving thirty (30) days'
written notice to the other party of such termination and specifying the effective date thereof.
3.9.1.2 Effect of Termination for Convenience. In the event that the City
terminates this Agreement for convenience, the City shall, within 180 days, repay to RCTC in full all
Funds provided to the City under this Agreement. In the event that RCTC terminates this Agreement
for convenience, RCTC shall, within 90 days, distribute to the City Funds in an amount equal to the
aggregate total of all unpaid invoices which have been received from the City regarding the Work at
the time of the notice of termination; provided, however, that RCTC shall be entitled to exercise its
rights under Section 3.14.2, including but not limited to conducting a review of the invoices. and
requesting additional information. This Agreement shall terminate upon re~eipt by the non-
terminating party of the amounts due it under this Section 3.9.1.2.
3.9.2 Termination for Cause.
3.9.2.1 Notice. Either RCTC or the City may, by written notice to·the other
party, terminate this Agreement, in whole or in part, in response to a material breach hereof by the
other party, by giving written notice to the other party of such termination and specifying the
effective date thereof. The written notice shall provide a 30 day period to cure any alleged breach.
During the 30 day cure period, the Parties shall discuss, in good faith, the manner in which the
breach can be cured.
3.9.2.2 Effect ofTermination for Cause. In the event that the City terminates
this Agreement in response to RCTC's uncured material breach hereof, RCTC shall, within 90 days,
distribute to the City Funds in an amount equal to the aggregate total of all unpaid invoices which
have been received from the City regarding the Work at the time of the notice of termination. In the
event that RCTC terminates this Agreement in response to the City's uncured material breach hereof,
the City shall, within 180 days, repay-to RCTC in full all Funds provided to the City under this
Agreement. Notwithstanding termination of this Agreement by RCTC pursuant to this Section
3.9.2.2, RCTC shall be entitled to exercise its rights under Section 3.14.2, includjPg but not limited
to conducting a review of the invoices and requesting additional information. This Agreement shall
terminate upon receipt by the non-terminating party of the amounts due it under this Section 3.9.2.2.
3.9.3 Cumulative Remedies. The rights and remedies of the Parties provided in this
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Section are in addition to any other rights and remedies provided by law or under this Agreement. •
17336.00001\7675044.4 4
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3 . 1 0 P r e v a i l i n g W a g e s . T h e C i t y a n d a n y o t h e r p e r s o n o r e n t i t y h i r e d t o p e r f o r m s e r v i c e s
o n t h e W o r k a r e a l e r t e d t o t h e r e q u i r e m e n t s o f C a l i f o r n i a L a b o r C o d e S e c t i o n s 1 7 7 0 e t s e g . , w h i c h
w o u l d r e q u i r e t h e p a y m e n t o f p r e v a i l i n g w a g e s w e r e t h e s e r v i c e s o r a n y p o r t i o n t h e r e o f d e t e r m i n e d
t o b e a p u b l i c w o r k , a s d e f i n e d t h e r e i n . T h e C i t y s h a l l e n s u r e c o m p l i a n c e w i t h t h e s e p r e v a i l i n g w a g e
r e q u i r e m e n t s b y a n y p e r s o n o r e n t i t y h i r e d t o p e r f o r m t h e W o r k . T h e C i t y s h a l l d e f e n d , i n d e m n i f Y ,
. a n d h o l d h a r m l e s s R C T C , i t s o f f i c e r s , e m p l o y e e s , c o n s u l t a n t s , a n d a g e n t s f r o m a n y c l a i m o r l i a b i l i t y ,
i n c l u d i n g w i t h o u t l i m i t a t i o n a t t o r n e y s , f e e s , a r i s i n g f r o m i t s f a i l u r e o r a l l e g e d f a i l u r e t o c o m p l y w i t h
C a l i f o r n i a L a b o r C o d e S e c t i o n s 1 7 7 0 e t s e g .
3 . 1 1 P r o g r e s s R e p o r t s . R C T C m a y r e q u e s t t h e C i t y t o p r o v i d e R C T C w i t h p r o g r e s s r e p o r t s
c o n c e r n i n g t h e s t a t u s o f t h e W o r k a n d / o r t h e P r o j e c t .
3 . 1 2 I n d e m n i f i c a t i o n .
3 . 1 2 . 1 C i t y R e s p o n s i b i l i t i e s . I n a d d i t i o n t o t h e i n d e m n i f i c a t i o n r e q u i r e d u n d e r
S e c t i o n 3 . 1 0 , t h e C i t y a g r e e s t o i n d e m n i f Y a n d h o l d h a r m l e s s R C T C , i t s o f f i c e r s , a g e n t s , c o n s u l t a n t s ,
a n d e m p l o y e e s f r o m a n y a n d a l l c l a i m s ; d e m a n d s , c a u s e s o f a c t i o n , c o s t s , e x p e n s e s , l o s s e s , d a m a g e s
o r i n j u r i e s , i n l a w o r i n e q u i t y , t o p r o p e r t y o r p e r s o n s , i n c l u d i n g w r o n g f u l d e a t h , o r l i a b i l i t y i n a n y
m a n n e r a r i s i n g f r o m o r c o n n e c t e d w i t h a l l a c t i v i t i e s g o v e r n e d b y t h i s A g r e e m e n t i n c l u d i n g a l l d e s i g n
a n d c o n s t r u c t i o n a c t i v i t i e s , d u e t o a n y a c t o f t h e C i t y o r i t s s u b c o n t r a c t o r s w h a t s o e v e r , r e g a r d l e s s o f
f a u l t , i n c l u d i n g n e g l i g e n t a c t s , e r r o r s o r o m i s s i o n s o r w i l l f u l m i s c o n d u c t o f C i t y , i t s o f f i c i a l s ,
o f f i c e r s , e m p l o y e e s , a g e n t s , c o n s u l t a n t s , a n d c o n t r a c t o r s a r i s i n g o u t o f o r i n c o n n e c t i o n w i t h t h e
p e r f o r m a n c e o f t h e W o r k , t h e P r o j e c t o r t h i s A g r e e m e n t , i n c l u d i n g w i t h o u t l i m i t a t i o n , t h e p a y m e n t
o f a l l c o n s e q u e n t i a l d a m a g e s , a t t o r n e y s f e e s a n d o t h e r r e l a t e d c o s t s a n d e x p e n s e s . C i t y s h a l l d e f e n d ,
a t C i t y ' s o w n c o s t , e x p e n s e a n d r i s k , a n y a n d a l l � s u c h a f o r e s a i d s u i t s , a c t i o n s o r o t h e r l e g a l
p r o c e e d i n g s o f e v e r y k i n d t h a t m a y b e b r o u g h t o r i n s t i t u t e d a g a i n s t R C T C , i t s d i r e c t o r s , o f f i c i a l s ,
o f f i c e r s , a g e n t s , c o n s u l t a n t s a n d e m p l o y e e s . C i t y s h a l l p a y a n d s a t i s f Y a n y j u d g m e n t , a w a r d o r
d e c r e e t h a t m a y b e r e n d e r e d a g a i n s t R C T C o r i t s d i r e c t o r s , o f f i c i a l s , o f f i c e r s , a g e n t s , c o n s u l t a n t s a n d
e m p l o y e e s , i n a n y s u c h s u i t , a c t i o n o r o t h e r l e g a l p r o c e e d i n g . C i t y s h a l l r e i m b u r s e R C T C a n d i t s
d i r e c t o r s , o f f i c i a l s , o f f i c e r s , a g e n t s , c o n s u l t a n t s a n d e m p l o y e e s f o r a n y a n d a l l l e g a l e x p e n s e s a n d
c o s t s , e x c e p t t h a t c a u s e d b y t h e s o l e n e g l i g e n c e o f R C T C . C i t y w i l l r e i m b u r s e R C T C f o r a n y
e x p e n d i t u r e s , i n c l u d i n g r e a s o n a b l e a t t o r n e y s ' f e e s , i n c u r r e d b y e a c h o f t h e m i n c o n n e c t i o n t h e r e w i t h
o r i n e n f o r c i n g t h e i n d e m n i t y h e r e i n p r o v i d e d . C i t y ' s o b l i g a t i o n t o i n d e m n i f Y s h a l l n o t b e r e s t r i c t e d
t o i n s u r a n c e p r o c e e d s , i f a n y , r e c e i v e d b y R C T C o r i t s d i r e c t o r s , o f f i c i a l s , o f f i c e r s , a g e n t s ,
c o n s u l t a n t s , a n d e m p l o y e e s . C i t y ' s o b l i g a t i o n t o i n d e m n i f Y a n d d e f e n d R C T C s h a l l s u r v i v e
e x p i r a t i o n o r t e r m i n a t i o n o f t h i s A g r e e m e n t .
3 . 1 2 . 2 C i t y C o n s u l t a n t s . C i t y s h a l l , i n a l l o f i t s c o n t r a c t s f o r t h e W o r k t o b e f u n d e d
u n d e r t h i s A g r e e m e n t , i n w h o l e o r i n p a r t , r e q u i r e t h a t R C T C b e a d d e d a s a n i n d e m n i f i e d p a r t y u n d e r
C i t y ' s s t a n d a r d i n d e m n i f i c a t i o n c l a u s e i n s u c h c o n t r a c t s .
3 . 1 2 . 2 E f f e c t o f A c c e p t a n c e . T h e C i t y s h a l l b e r e s p o n s i b l e f o r t h e p r o f e s s i o n a l
q u a l i t y , t e c h n i c a l a c c u r a c y a n d t h e c o o r d i n a t i o n o f a n y s e r v i c e s p r o v i d e d t o c o m p l e t e t h e W o r k .
R C T C ' s r e v i e w , a c c e p t a n c e o r f u n d i n g o f a n y s e r v i c e s p e r f o r m e d b y t h e C i t y o r a n y o t h e r p e r s o n o r
e n t i t y u n d e r t h i s a g r e e m e n t s h a l l n o t b e c o n s t r u e d t o o p e r a t e a s a w a i v e r o f a n y r i g h t s R C T C m a y
h o l d u n d e r t h i s A g r e e m e n t o r o f a n y c a u s e o f a c t i o n a r i s i n g o u t o f t h i s A g r e e m e n t . F u r t h e r , t h e C i t y
" 1 7 3 3 6 . 0 0 0 0 1 \ 7 6 7 5 0 4 4 . 4 5
. .
1 2 5
shall be and remain liable to RCTC, in accordance with applicable law, for all damages to RCTC
caused by the City's performance of this Agreement or supervision of any services provided to
complete the Work.
3.13 Insurance. The City shall require, at a minimum, all persons or entities hired to
perform the Work to obtain, and require their subcontractors to obtain, insurance of the types and in
. the amounts described below and satisfactory to the City and RCTC. Such insurance shall be
maintained throughout the term of this Agreement, or until completion of the Work, whichever
occurs last.
3.13.1 Commercial General Liability Insurance. Occurrence version commercial
general liability insurance or equivalent form with a combined single limit of not less than
$2,000,000.00 per occurrence. If such insurance contains a general aggregate limit, it shall apply
separately to the Work or be no less than two times the occurrence limit. Such insurance shall:
3.13.1.1 Name RCTC and City, and their respective officials, officers,
employees, agents, and consultants as insured with respect to performance of the services on the
Work and shall contain no special limitations on the scope of coverage or the protection afforded to
these insured;
3.13 .1.2 Be primary with respect to any insurance or self insurance
programs covering RCTC and City, and/or their respective officials, officers, employees, agents, and
consultants; and
3.13.1.3 Contain standard separation of insured provisions.
3.13.2 Business Automobile Liability Insurance. Business automobile liability
insurance or equivalent form with a combined single limit of not less than $1,000,000.00 per
occurrence. Such insurance shall include coverage for owned, hired and non-oWned automobiles.
3.13 .3 Professional Liability Insurance. Errors and omissions liability insurance with
a limit of not less than $1,000,000.00 Professional liability insurance shall only be required of design
or engineering professionals.
3.13. 4 Workers' Compensation Insurance. Workers' compensation insurance with
statutory limits and employers' liability insurance with limits of not less than $1,000,000.00 each
accident.
3.14 Procedures for Distribution of Funds to City.
3.14.1 Initial Payment by the City. The City shall be responsible for initial payment
of all the Work costs as they are incurred. Following payment of such Work costs, the City shall
submit invoices to RCTC requesting reimbursement of eligible Work costs. Each invoice shall be
accompanied by detailed contractor invoices, or other demands for payment addressed to the City,
and documents evidencing the City's payment of the invoices or demands for payment. The City
shall submit invoices not more often than monthly and not less often than quarterly.
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3 . 1 4 . 2 R e v i e w a n d R e i m b u r s e m e n t b y R C T C . U p o n r e c e i p t o f a n i n v o i c e f r o m t h e
C i t y , R C T C m a y r e q u e s t a d d i t i o n a l d o c u m e n t a t i o n o r e x p l a n a t i o n o f t h e W o r k c o s t s f o r w h i c h
r e i m b u r s e m e n t i s s o u g h t . U n d i s p u t e d a m o u n t s s h a l l b e p a i d b y R C T C t o t h e C i t y w i t h i n t h i r t y ( 3 0 )
d a y s . I n t h e e v e n t t h a t R C T C d i s p u t e s t h e e l i g i b i l i t y o f t h e C i t y f o r r e i m b u r s e m e n t o f a l l o r a p o r t i o n
o f a n i n v o i c e d a m o u n t , t h e P a r t i e s s h a l l m e e t a n d c o n f e r i n a n a t t e m p t t o r e s o l v e t h e d i s p u t e . I f t h e
m e e t a n d c o n f e r p r o c e s s i s u n s u c c e s s f u l i n r e s o l v i n g t h e d i s p u t e , t h e C i t y m a y a p p e a l R C T C ' s
d e c i s i o n a s t o t h e e l i g i b i l i t y o f o n e o r m o r e i n v o i c e s t o R C T C ' s E x e c u t i v e D i r e c t o r . T h e C i t y m a y
a p p e a l t h e d e c i s i o n o f t h e E x e c u t i v e D i r e c t o r t o t h e f u l l R C T C B o a r d , t h e d e c i s i o n o f w h i c h s h a l l b e
f i n a l . A d d i t i o n a l d e t a i l s c o n c e r n i n g t h e p r o c e d u r e f o r t h e C i t y ' s s u b m i t t a l o f i n v o i c e s t o R C T C a n d
R C T C ' s c o n s i d e r a t i o n a n d p a y m e n t o f s u b m i t t e d i n v o i c e s a r e s e t f o r t h i n E x h i b i t " C " , a t t a c h e d
h e r e t o .
3 . 1 4 . 3 F u n d i n g A m o u n t / A d j u s t m e n t . I f a p o s t W o r k a u d i t o r r e v i e w i n d i c a t e s t h a t
R C T C h a s p r o v i d e d r e i m b u r s e m e n t t o t h e C i t y i n a n a m o u n t i n e x c e s s o f t h e m a x i m u m F u n d s
p r o v i d e d f o r i n s e c t i o n 3 . 2 o f t h i s A g r e e m e n t , o r h a s p r o v i d e d r e i m b u r s e m e n t o f i n e l i g i b l e W o r k
c o s t s , t h e C i t y s h a H r e i m b u r s e R C T C f o r t h e e x c e s s o r i n e l i g i b l e p a y m e n t s w i t h i n 3 0 d a y s o f
n o t i f i c a t i o n b y R C T C .
3 . 1 5 W o r k A m e n d m e n t s . C h a n g e s t o t h e c h a r a c t e r i s t i c s o f t h e W o r k , i n c l u d i n g t h e
d e a d l i n e f o r W o r k c o m p l e t i o n , a n d a n y r e s p o n s i b i l i t i e s o f t h e C i t y o r R C T C m a y b e r e q u e s t e d i n
w r i t i n g b y t h e C i t y a n d a r e s u b j e c t t o t h e a p p r o v a l o f R C T C ' s R e p r e s e n t a t i v e , w h i c h a p p r o v a l w i l l
n o t b e u m e a s o n a b l y w i t h h e l d , p r o v i d e d t h a t e x t e n s i o n s o f t i m e f o r c o m p l e t i o n o f t h e W o r k s h a l l b e
a p p r o v e d i n t h e s o l e d i s c r e t i o n o f R C T C ' s R e p r e s e n t a t i v e . N o t h i n g i n t h i s A g r e e m e n t s h a l l b e
c o n s t r u e d t o r e q u i r e o r a l l o w c o m p l e t i o n o f t h e W o r k w i t h o u t f u l l c o m p l i a n c e w i t h t h e C a l i f o r n i a
E n v i r o n m e n t a l Q u a l i t y A d ( P u b l i c R e s o u r c e s C o d e S e c t i o n 2 1 0 0 0 e t s e q . ; " C E Q A " ) a n d t h e
N a t i o n a l E n v i r o n m e n t a l P o l i c y A c t o f 1 9 6 9 ( 4 2 U S C 4 2 3 1 e t s e q . ) , b u t t h e n e c e s s i t y o f c o m p l i a n c e
w i t h C E Q A a n d N E P A s h a l l n o t j u s t i f Y , e x c u s e , o r p e r m i t a d e l a y i n c o m p l e t i o n o f t h e W o r k .
3 . 1 6 C o n f l i c t o f l n t e r e s t . F o r t h e t e r m o f t h i s A g r e e m e n t , n o m e m b e r , o f f i c e r o r e m p l o y e e
o f t h e C i t y o r R C T C , d u r i n g t h e t e r m o f h i s o r h e r s e r v i c e w i t h � t h e C i t y o r R C T C , a s t h e c a s e m a y
b e , s h a l l h a v e a n y d i r e c t i n t e r e s t i n t h i s A g r e e m e n t , o r o b t a i n a n y p r e s e n t o r a n t i c i p a t e d m a t e r i a l
b e n e f i t a r i s i n g t h e r e f r o m .
3 . 1 7 L i m i t e d S c o p e o f D u t i e s . R C T C ' s a n d t h e C i t y ' s d u t i e s a n d o b l i g a t i o n s u n d e r t h i s
A g r e e m e n t a r e l i m i t e d t o t h o s e d e s c r i b e d h e r e i n . R C T C h a s n o o b l i g a t i o n w i t h r e s p e c t t o t h e s a f e t y
o f a n y W o r k p e r f o r m e d a t a j o b s i t e . I n a d d i t i o n , R C T C s h a l l n o t b e l i a b l e f o r a n y a c t i o n o f C i t y o r
i t s c o n t r a c t o r s r e l a t i n g t o t h e c o n d e m n a t i o n o f p r o p e r t y u n d e r t a k e n b y C i t y o r c o n s t r u c t i o n r e l a t e d t o
t h e W o r k .
3 . 1 8 B o o k s a n d R e c o r d s . E a c h p a r t y s h a l l m a i n t a i n c o m p l e t e , a c c u r a t e , a n d c l e a r l y
i d e n t i f i a b l e r e c o r d s w i t h r e s p e c t t o c o s t s i n c u r r e d f o r t h e W o r k u n d e r t h i s A g r e e m e n t . T h e y s h a l l
m a k e a v a i l a b l e f o r e x a m i n a t i o n b y t h e o t h e r p a r t y , i t s a u t h o r i z e d a g e n t s , o f f i c e r s o r e m p l o y e e s a n y
a n d a l l l e d g e r s a n d b o o k s o f a c c o u n t , i n v o i c e s , v o u c h e r s , c a n c e l e d c h e c k s , a n d o t h e r r e c o r d s o r
d o c u m e n t s e v i d e n c i n g o r r e l a t e d t o t h e e x p e n d i t u r e s a n d d i s b u r s e m e n t s c h a r g e d t o t h e o t h e r p a r t y
p u r s u a n t t o t h i s A g r e e m e n t . F u r t h e r , e a c h p a r t y s h a l l f u r n i s h t o t h e o t h e r p a r t y , i t s a g e n t s o r
e m p l o y e e s s u c h o t h e r e v i d e n c e o r i n f o r m a t i o n a s t h e y m a y r e q u i r e w i t h r e s p e c t t o a n y s u c h e x p e n s e
o r d i s b u r s e m e n t c h a r g e d b y t h e m . A l l s u c h i n f o r m a t i o n s h a l l b e r e t a i n e d b y t h e P a r t i e s f o r a t l e a s t
1 7 3 3 6 . 0 0 0 0 1 \ 7 6 7 5 0 4 4 . 4 7
1 2 7
three (3) years following termination of this Agreement, and they shaJI have access to such
information during the three-year period for the purposes of examination oraudit.
3.19 Egual Opportunity Employment. The Parties represent that they are equal opportunity •
employers and they shall not discriminate against any employee or applicant of reempl<;>yment
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.
3.20 Governing Law. This Agreement shall be governed by and construed with the laws of
the State of California.
3.21 Attorneys' Fees. If either party commences an action against the other party 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 costs of suit.
3.22 Time of Essence. Time is of the essence for each and every provision of this
Agreement.
3.23 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.
3.24 Notification; All notices hereunder and communications regarding interpretation of
the terms of the Agreement or changes thereto shall be provided by the mailing thereofby registered
or certified mail, return receipt requested, postage prepaid and addressed as follows: •
City of Murrieta
I Town Square
Murrieta, CA 92562
ATTN: City Manager
RCTC
Riverside County Transportation Commission
4080 Lemon Street, Third Floor
Mailing address: P.O. Box 12008
Riverside, CA 92502
A T1N: Executive Director -
_ Any notice so-given shall be considered served on the other party three (3) days after deposit
in the U ~s. mail, first class postage prepaid, return receipt requested, 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.
3.25 Conflicting Provisions. In the event that provisions of any attached appendices or
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.
3.26 Contract Amendment. In the event that the Parties determine that the provisions of
this Agreement should . be altered, the Parties may execute a contract _amendment to add any
provision to this Agreement; or delete or amend any provision of this Agreement. All-such contract •
17336.00001\7675044.4 8
-128
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a m e n d m e n t s m u s t b e i n t h e f o r m o f a w r i t t e n i n s t r u m e n t s i g n e d b y t h e o r i g i n a l s i g n a t o r i e s t o t h i s
A g r e e m e n t , o r t h e i r s u c c e s s o r s o r d e s i g n e e s .
3 . 2 7 E n t i r e A g r e e m e n t . T h i s A g r e e m e n t c o n s t i t u t e s t h e e n t i r e a g r e e m e n t b e t w e e n t h e
P a r t i e s r e l a t i n g t o t h e s u b j e c t m a t t e r h e r e o f a n d s u p e r s e d e s a n y p r e v i o u s a g r e e m e n t s o r
u n d e r s t a n d i n g s .
3 . 2 8 N o W a i v e r . F a i l u r e o f R C T C t o i n s i s t o n a n y o n e o c c a s i o n u p o n s t r i c t c o m p l i a n c e
w i t h a n y o f t h e t e r m s , c o v e n a n t s o r c o n d i t i o n s h e r e o f s h a l l n o t b e d e e m e d a w a i v e r o f s u c h t e r m ,
c o v e n a n t o r c o n d i t i o n , n o r s h a l l a n y w a i v e r o r r e l i n q u i s h m e n t o f a n y r i g h t s o r p o w e r s h e r e u n d e r a t
a n y o n e t i m e o r m o r e t i m e s b e d e e m e d a w a i v e r o r r e l i n q u i s h m e n t o f s u c h o t h e r r i g h t o r p o w e r a t a n y
o t h e r t i m e o r t i m e s .
3 . 2 9 V a l i d i t y o f A g r e e m e n t . T h e i n v a l i d i t y i n w h o l e o r i n p a r t o f a n y p r o v i s i o n o f t h i s
A g r e e m e n t s h a l l n o t v o i d o r a f f e c t t h e v a l i d i t y o f a n y o t h e r p r o v i s i o n o f t h i s A g r e e m e n t .
3 . 3 0 I n d e p e n d e n t C o n t r a c t o r s . A n y p e r s o n o r e n t i t i e s r e t a i n e d b y t h e C i t y o r a n y c o n t r a c t o r
s h a l l b e r e t a i n e d o n a n i n d e p e n d e n t c o n t r a c t o r b a s i s a n d s h a l l n o t b e e m p l o y e e s o f R C T C . A n y
p e r s o n n e l p e r f o r m i n g s e r v i c e s o n t h e W o r k s h a l l a t a l l t i m e s b e u n d e r t h e e x c l u s i v e d i r e c t i o n a n d
c o n t r o l o f t h e C i t y o r c o n t r a c t o r , w h i c h e v e r i s a p p l i c a b l e . T h e C i t y o r c o n t r a c t o r s h a l l p a y a l l w a g e s ,
s a l a r i e s a n d o t h e r a m o u n t s d u e s u c h p e r s o n n e l i n c o n n e c t i o n w i t h t h e i r p e r f o r m a n c e o f s e r v i c e s o n
t h e W o r k a n d a s r e q u i r e d b y l a w . T h e C i t y o r c o n s u l t a n t s h a l l b e r e s p o n s i b l e f o r a l l r e p o r t s a n d
o b l i g a t i o n s r e s p e c t i n g s u c h p e r s o n n e l , i n c l u d i n g , b u t n o t l i m i t e d t o : s o c i a l s e c u r i t y t a x e s , i n c o m e t a x
w i t h h o l d i n g , u n e m p l o y m e n t i n s u r a n c e a n d w o r k e r s ' c o m p e n s a t i o n i n s u r a n c e .
3 . 3 1 S u r v i v a l . A l l r i g h t s a n d o b l i g a t i o n s h e r e u n d e r t h a t b y t h e i r n a t u r e a r e t o b e p e r f o r m e d
a f t e r a n y e x p i r a t i o n o r t e r m i n a t i o n o f t h i s A g r e e m e n t s h a l l s u r v i v e a n y s u c h e x p i r a t i o n o r
t e r m i n a t i o n .
3 . 3 2 N o T h i r d P a r t y B e n e f i c i a r i e s . T h e r e a r e n o i n t e n d e d t h i r d p a r t y b e n e f i c i a r i e s o f a n y
r i g h t o r o b l i g a t i o n a s s u m e d b y t h e P a r t i e s .
3 . 3 3 C o m p l i a n c e W i t h S t a t e / F e d e r a l F u n d i n g R e q u i r e m e n t s . I f s t a t e a n d / o r f e d e r a l f i m d s
a r e u s e d t o f u n d t h e P r o j e c t , C i t y s h a l l ~ i n c a r r y i n g o u t t h e W o r k , c o m p l y w i t h a l l a p p l i c a b l e
r e q u i r e m e n t s r e l a t e d t o a n y s u c h s t a t e a n d / o r f e d e r a l f u n d i n g s o u r c e s a l l o c a t e d t o t h e P r o j e c t .
3 . 3 3 C o u n t e r p a r t s . T h i s A g r e e m e n t m a y b e s i g n e d i n c o u n t e r p a r t s , e a c h o f w h i c h s h a l l
c o n s t i t u t e a n o r i g i n a l .
[ S i g n a t u r e s o n f o l l o w i n g p a g e )
1 7 3 3 6 . 0 0 0 0 1 \ 7 6 7 5 0 4 4 . 4 9
. .
1 2 9
SIGNATURE PAGE
TO
AGREEMENT FOR THE FUNDING OF
MEASURE A WESTERN COUNTY HIGHWAY IMPROVEMENTS
RIVERSIDE COUNTY
TRANSPORTATION COMMISSION
By:
By:
Karen Spiegel, Chair
· e County
..... ~I.JJQ· ation Commission
17336.00001\7675044.4 10
130
CITY OF MURRIETA
By:
Rick Gibbs, Mayor
ATTEST:
A. Kay Vinson, City Clerk
APPROVED AS TO FORM:
By:
Leslie E. Devaney, City Attorney
•
•
•
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"
"
E X H I B I T " A "
S C O P E O F W O R K ,
F U N D I N G A N D T I M E T A B L E
S C O P E O F W O R K : R e p l a c e t h e e x i s t i n g s t r u c t u r e a t L o s A l a m o s R o a d a n d I n t e r s t a t e 1 5 w i t h a
n e w f o u r l a n e o v e r c r o s s i n g i n c l u d i n g s i d e w a l k s a n d w i d e n t h e e x i s t i n g a p p r o a c h e s t o a c c o m m o d a t e
t h e n e w s t r u c t u r e . T h e n e w c o n s t r u c t i o n w i l l c o n s i s t o f t h e e r e c t i o n o f t w o n e w b r i d g e s o n e i t h e r
s i d e o f t h e e x i s t i n g o v e r c r o s s i n g a n d t h e n t h e d e m o l i t i o n a n d r e c o n s t r u c t i o n o f t h e c e n t e r s p a n t o
c o m p l e t e t h e n e w f o u r l a n e o v e r c r o s s i n g . T h e p r o j e c t w i l l i n c l u d e a l l n e c e s s a r y s i g n i n g a n d s t r i p i n g .
L i m i t s o f w o r k t o b e L o s A l a m o s R o a d f r o m M a d i s o n A v e n u e t o O l d M o n r o e A v e n u e .
F U N D I N G : I d e n t i f Y M e a s u r e " A , " l o c a l , s t a t e a n d / o r f e d e r a l f u n d i n g f o r e a c h P h a s e o f W o r k .
D e l e t e t h o s e P h a s e s w h i c h a r e n o t p a r t - o f t h i s A g r e e m e n t .
P H A S E M e a s u r e " A " S L P P S L P P L O C A L T O T A L
F o r m u l a C o m p e t i t i v e
C O N S T R U C T I O N $ 2 , 9 0 0 , 0 0 0 $ 2 , 5 0 0 , 0 0 0 $ 1 , 0 0 0 , 0 0 0 $ 3 , 5 0 0 , 0 0 0 $ 9 , 9 0 0 , 0 0 0
T O T A L $ 2 , 9 0 0 , 0 0 0 $ 2 , 5 0 0 , 0 0 0 $ 1 , 0 0 0 , 0 0 0 $ 3 , 5 0 0 , 0 0 0 $ 9 , 9 0 0 , 0 0 0
T I M E T A B L E : P r o v i d e a t a m i n i m u m t h e b e g i n n i n g a n d e n d i n g d a t e s f o r e a c h p h a s e o f w o r k
i n c l u d i n g m a j o r m i l e s t o n e s w i t h i n a p h a s e .
C o n s t r u c t i o n t o b e g i n A p r i l 2 0 1 3 a n d e n d i n S e p t e m b e r 2 0 1 4 .
E x h i b i t A
1 7 3 3 6 . 0 0 0 0 1 \ 7 6 7 5 0 4 4 . 4
1 3 1
"
E X H I B I T " A - 1 "
G U I D A N C E f o r C O M P L E T I O N O F E X H I B I T A
T h e f o l l o w i n g l i s t i d e n t i f i e s i t e m s g e n e r a l l y e l i g i b l e o r i n e l i g i b l e f o r M e a s u r e " A " f u n d i n g
r e i m b u r s e m e n t .
I n g e n e r a l , a l l i m p r o v e m e n t s , w i t h t h e e x c e p t i o n o f s i d e w a l k s , m u s t b e w i t h i n t h e c u r b s o f t h e
r o a d w a y a n d e x t e n d n o f u r t h e r t h a n t h e c u r b r e t u r n s a t i n t e r s e c t i o n s . I n a d d i t i o n , a l l
i m p r o v e m e n t s o n o r c o n n e c t i n g t o i n t e r s t a t e a n d s t a t e r o u t e f a c i l i t i e s s h a l l b e c o n s i s t e n t w i t h
C a l t r a n s H i g h w a y D e s i g n M a n u a l s t a n d a r d s .
I t e m s w h i c h a r e t y p i c a l l y c o n s i d e r e d e l i g i b l e i n c l u d e :
" A s p h a l t c o n c r e t e p a v e m e n t , u p t o 1 6 ' p e r . l a n e , t o a c c o m p l i s h a 1 2 ' t r a v e l l a n e a n d
a n c i l l a r y t r e a t m e n t a n d a p p r o p r i a t e b a s e m a t e r i a l s
" C o n c r e t e c u r b a n d g u t t e r a n d a s s o c i a t e d d r a i n a g e - p a v e d r o a d w a y s h o u l d e r s a n d
s w a l e m a y b e u s e d a s a s u b s t i t u t e
" C l a s s I I B i k e L a n e s
" P a v e d a n d p a i n t e d 1 4 ' m e d i a n , m a y b e u s e d a s a d u a l l e f t t u m l a n e s
" T r a f f i c s i g n a l s a t i n t e r s e c t i o n s w i t h s t a t e h i g h w a y s a n d m a j o r a r t e r i a l s
" P a v e m e n t s t r i p i n g a n d r o a d w a y s i g n i n g a s r e q u i r e d .
" I t e m s w h i c h a r e n o t t y p i c a l l y c o n s i d e r e d e l i g i b l e i n c l u d e :
" P o r t l a n d C e m e n t p a v e m e n t o r o t h e r a e s t h e t i c p a v e m e n t t y p e s ( e x c e p t a t
i n t e r s e c t i o n s }
" M a j o r r e h a b i l i t a t i o n o r o v e r l a y o f e x i s t i n g p a v e m e n t i n a d j a c e n t r o a d w a y l a n e s
" R a i s e d M e d i a n s
" P a r k i n g L a n e s
" L a n d s c a p i n g
" L i g h t i n g
" C l a s s I B i k e L a n e s
" 1 7 3 3 6 . 0 0 0 0 I \ 7 6 7 5 0 4 4 . 4
E x h i b i t A - I
1 3 2
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"
"
1 .
2 .
3 .
4 .
E X H I B I T " C "
P R O C E D U R E S F O R S U B M I T T A L , C O N S I D E R A T I O N A N D P A Y M E N T O F I N V O I C E S
R C T C r e c o m m e n d s t h a t t h e C i t y i n c o r p o r a t e E x h i b i t " C - 1 " i n t o i t s c o n t r a c t s w i t h a n y
s u b c o n t r a c t o r s t o e s t a b l i s h a s t a n d a r d m e t h o d f o r p r e p a r a t i o n o f i n v o i c e s b y c o n t r a c t o r s t o
t h e C i t y a n d u l t i m a t e l y t o R C T C f o r r e i m b u r s e m e n t o f C i t y c o n t r a c t o r c o s t s .
E a c h m o n t h t h e C i t y s h a l l s u b m i t a n i n v o i c e f o r e l i g i b l e W o r k c o s t s i n c u r r e d d u r i n g t h e
p r e c e d i n g m o n t h . T h e o r i g i n a l i n v o i c e s h a l l b e s u b m i t t e d t o R C T C ' s E x e c u t i v e D i r e c t o r
w i t h a c o p y t o R C T C ' s P r o j e c t C o o r d i n a t o r . E a c h i n v o i c e s h a l l b e a c c o m p a n i e d b y a c o v e r
l e t t e r i n a f o r m a t s u b s t a n t i a l l y s i m i l a r t o t h a t o f E x h i b i t " C - 2 " .
E a c h i n v o i c e s h a l l i n c l u d e d o c u m e n t a t i o n f r o m e a c h c o n t r a c t o r u s e d b y t h e C i t y f o r t h e
W o r k , l i s t i n g l a b o r c o s t s , s u b c o n t r a c t o r c o s t s , a n d o t h e r e x p e n s e s . E a c h i n v o i c e s h a l l a l s o
i n c l u d e a m o n t h l y p r o g r e s s r e p o r t a n d s p r e a d s h e e t s s h o w i n g t h e h o u r s o r a m o u n t s e x p e n d e d
b y e a c h c o n t r a c t o r o r c o n s u l t a n t f o r t h e m o n t h a n d f o r t h e e n t i r e W o r k t o d a t e . S a m p l e s o f
a c c e p t a b l e t a s k l e v e l d o c u m e n t a t i o n a n d p r o g r e s s r e p o r t s a r e a t t a c h e d a s E x h i b i t s " C - 4 " a n d
" C - 5 " . A l l d o c u m e n t a t i o n f r o m t h e C i t y ' s c o n t r a c t o r s s h o u l d b e a c c o m p a n i e d b y a c o v e r
l e t t e r i n a f o r m a t s u b s t a n t i a l l y s i m i l a r t o t h a t o f E x h i b i t " C - 3 " .
I f t h e C i t y i s s e e k i n g r e i m b u r s e m e n t f o r d i r e c t e x p e n s e s i n c u r r e d b y C i t y s t a f f f o r e l i g i b l e
W o r k c o s t s , t h e C i t y s h a l l d e t a i l t h e s a m e l e v e l o f i n f o r m a t i o n f o r i t s l a b o r a n d a n y e x p e n s e s
i n t h e s a m e l e v e l o f d e t a i l a s r e q u i r e d o f c o n t r a c t o r s p u r s u a n t t o E x h i b i t " C " a n d i t s
a t t a c h m e n t s .
5 . C h a r g e s f o r e a c h t a s k a n d m i l e s t o n e l i s t e d i n E x h i b i t " A " s h a l l b e l i s t e d s e p a r a t e l y i n t h e
m v m c e .
6 . E a c h i n v o i c e s h a l l i n c l u d e a c e r t i f i c a t i o n s i g n e d b y t h e C i t y R e p r e s e n t a t i v e o r h i s o r h e r
d e s i g n e e w h i c h r e a d s a s f o l l o w s :
" I h e r e b y c e r t i f y t h a t t h e h o u r s a n d s a l a r y r a t e s s u b m i t t e d f o r r e i m b u r s e m e n t i n t h i s i n v o i c e
a r e t h e a c t u a l h o u r s a n d r a t e s w o r k e d a n d p a i d t o t h e c o n s u l t a n t s o r c o n t r a c t o r s l i s t e d .
S i g n e d _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
T i t l e - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
D a t e - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
I n v o i c e N o . - - - - - - - - - - - - - - - - - - - - - - - - - -
E x h i b i t C
I 7 3 3 6 . 0 0 0 0 1 \ 7 6 7 5 0 4 4 . 4
. .
1 3 4
7. RCTC will pay the City within 30 days after receipt by the Commission of an invoice. If
RCTC disputes any portion of an invoice, payment for that portion will be withheld, without
interest, pending resolution ofthe dispute, but the uncontested balance will be paid. •
8. The final payment under this Agreement will be made only after: (i) the City has obtained a
Release and Certificate of Final Payment from each contractor or consultant used on
the Work; (ii) the City has executed a Release and Certificate ofFinal Payment; and (iii) the
City has provided copies of each such Release to RCTC.
Exhibit C
17336.00001\7675044.4
135
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E X H I B I T " C - 1 "
[ S a m p l e f o r P r o f e s s i o n a l S e r v i c e s ]
F o r t h e s a t i s f a c t o r y p e r f o r m a n c e a n d c o m p l e t i o n o f t h e S e r v i c e s u n d e r t h i s A g r e e m e n t , t h e
C i t y w i l l p a y t h e C o n t r a c t o r c o m e n s a t i o n a s s e t f o r t h h e r e i n . T h e t o t a l c o m p e n s a t i o n f o r t h i s
~ t & t " e : t ~ J t f " 0 ~ ~ ~ ) ~ : ~ ~ ~ ! ~ ~ , ~ ~ ~ ~ ~ ~ ! ~
a p p l i c a b l e p o s i t i o n ] ( " T o t a l C o m p e n s a t i o n " ) .
1 . E L E M E N T S O F C O M P E N S A T I O N .
C o m p e n s a t i o n f o r t h e S e r v i c e s w i l l b e c o m p r i s e d o f t h e f o l l o w i n g e l e m e n t s : 1 . 1 D i r e c t
L a b o r C o s t s ; 1 . 2 F i x e d F e e ; a n d 1 . 3 A d d i t i o n a l D i r e c t C o s t s .
1 . 1 D I R E C T L A B O R C O S T S .
D i r e c t L a b o r c o s t s s h a l l b e p a i d i n a n a m o u n t e q u a l t o t h e p r o d u c t o f t h e D i r e c t
S a l a r y C o s t s a n d t h e M u l t i p l i e r w h i c h a r e d e f i n e d a s f o l l o w s :
1 . 1 . 1 D I R E C T S A L A R Y C O S T S
D i r e c t S a l a r y C o s t s a r e t h e b a s e s a l a r i e s a n d w a g e s a c t u a l l y p a i d t o t h e
C o n t r a c t o r ' s p e r s o n n e l d i r e c t l y e n g a g e d i n p e r f o r m a n c e o f t h e S e r v i c e s u n d e r
t h e A g r e e m e n t . ( T h e r a n g e o f h o u r l y r a t e s p a i d t o t h e C o n t r a c t o r ' s p e r s o n n e l
a p p e a r s i n S e c t i o n 2 b e l o w . )
1 . 1 . 2 M u L T I P L I E R
T h e M u l t i p l i e r t o b e a p p l i e d t o t h e D i r e c t S a l a r y C o s t s t o d e t e r m i n e t h e
D i r e c t L a b o r C o s t s i s , a n d i s t h e s u m o f t h e f o l l o w i n g
c o m p o n e n t s :
1 . 1 . 2 . 1 D i r e c t S a l a r y C o s t s
1 . 1 . 2 . 2 P a y r o l l A d d i t i v e s
T h e D e c i m a l R a t i o o f P a y r o l l A d d i t i v e s t o D i r e c t S a l a r y C o s t s . P a y r o l l A d d i t i v e s
i n c l u d e a l l e m p l o y e e b e n e f i t s , a l l o w a n c e s f o r v a c a t i o n , s i c k l e a v e , a n d
h o l i d a y s , a n d c o m p a n y p o r t i o n o f e m p l o y e e i n s u r a n c e a n d s o c i a l a n d
r e t i r e m e n t b e n e f i t s , a l l f e d e r a l a r i d s t a t e p a y r o l l t a x e s , p r e m i u m s f o r i n s u r a n c e
w h i c h a r e m e a s u r e d b y p a y r o l l c o s t s , a n d o t h e r c o n t r i b u t i o n s a n d b e n e f i t s
i m p o s e d b y a p p l i c a b l e l a w s a n d r e g u l a t i o n s .
1 . 1 . 2 . 3 O v e r h e a d C o s t s
1 7 3 3 6 . 0 0 0 0 1 \ 7 6 7 5 0 4 4 . 4
E x h i b i t C - I , p a g e I
1 3 6
The Decimal Ratio of Allowable Overhead Costs to the Contractor Firm's
Total Direct Salary Costs. Allowable Overhead Costs include general, •
administrative and overhead costs of maintaining and operating established
offices, and consistent with established firm policies, and as defined in the
Federal Acquisitions Regulations, Part 31.2.
Total Multiplier
(sum of 1.1.2.1, 1.1.2.2, and 1.1.2.3)
1.2 FIXED FEE.
1.2.1 The fixed fee is$ _________ _
1.2.2 A pro-rata share of the Fixed Fee sha11 be applied to the total Direct Labor Costs
expended for services each month, and shall be included on each monthly invoice.
1.3 ADDITIONAL DIRECT COSTS.
Additional Direct Costs directly identifiable to the performance of the services of this
Agreement shall be reimbursed at the rates below, or at actual invoiced cost.
Rates for identified Additional Direct Costs are as follows:
Per Diem
Car mileage
Travel
Computer Charges
Photocopies
Blue line
LD Telephone
Fax
Photographs
REIMBURSEMENT RATE
l_· insert charges__)
$ /day
$ /mile
.$ /trip
$ /hour
$ /copy
$ /sheet
$ /call
$ /sheet
$ /sheet
Travel by air and travel in excess of 100 miles from the Contractor's office nearest to the
City's office must have the City's prior written approval to be reimbursed under this
Agreement.
17336.00001\7675044.4
Exhibit C-1, page 2
137
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2 . D I R E C T S A L A R Y R A T E S
D i r e c t S a l a r y R a t e s , w h i c h a r e t h e r a n g e o f h o u r l y r a t e s t o b e u s e d i n d e t e r m i n i n g D i r e c t
S a l a r y C o s t s i n S e c t i o n 1 . 1 . 1 a b o v e , a r e g i v e n b e l o w a n d a r e s u b j e c t t o t h e f o l l o w i n g :
2 . 1 D i r e c t S a l a r y R a t e s s h a l l b e a p p l i c a b l e t o b o t h s t r a i g h t t i m e a n d o v e r t i m e w o r k ,
u n l e s s p a y m e n t o f a p r e m i u m f o r o v e r t i m e w o r k i s r e q u i r e d b y l a w , r e g u l a t i o n o r
c r a f t a g r e e m e n t , o r i s o t h e r w i s e s p e c i f i e d i n t h i s A g r e e m e n t . I n s u c h e v e n t , t h e
p r e m i u m p o r t i o n o f D i r e c t S a l a r y C o s t s w i l l n o t b e s u b j e c t t o t h e M u l t i p l i e r d e f i n e d
i n P a r a g r a p h 1 . 1 . 2 a b o v e .
2 . 2 D i r e c t S a l a r y R a t e s s h o w n h e r e i n a r e i n e f f e c t f o r o n e y e a r f o l l o w i n g t h e e f f e c t i v e
d a t e o f t h e A g r e e m e n t . T h e r e a f t e r , t h e y m a y b e a d j u s t e d a n n u a l l y t o r e f l e c t t h e
C o n t r a c t o r ' s a d j u s t m e n t s t o i n d i v i d u a l c o m p e n s a t i o n . T h e C o n t r a c t o r s h a l l n o t i f Y t h e
C i t y i n w r i t i n g p r i o r t o a c h a n g e i n t h e r a n g e o f r a t e s i n c l u d e d h e r e i n , a n d p r i o r t o
e a c h s u b s e q u e n t c h a n g e .
P O S I T I O N O R C L A S S I F I C A T I O N R A N G E O F H O U R L Y R A T E S
[ _ s a m p l e _ _ }
P r i n c i p a l
P r o j e c t M a n a g e r
S r . E n g i n e e r / P l a n n e r
P r o j e c t E n g i n e e r / P l a n n e r
A s s o c . E n g i n e e r / P l a n n e r
T e c h n i c i a n
D r a f t e r / C A D D O p e r a t o r
W o r d P r o c e s s o r
$ . 0 0 - $ . 0 0 / h o u r
$ . 0 0 - $ . 0 0 / h o u r
$ . 0 0 - $ . 0 0 / h o u r
$ . 0 0 - $ . 0 0 / h o u r
$ . 0 0 - $ . 0 0 / h o u r
$ . 0 0 - $ . 0 0 / h o u r
$ . 0 0 - $ . 0 0 / h o u r
$ . 0 0 - $ . 0 0 / h o u r
2 . 3 T h e a b o v e r a t e s a r e f o r t h e C o n t r a c t o r o n l y . A l l r a t e s f o r s u b c o n t r a c t o r s t o t h e
C o n t r a c t o r w i l l b e i n a c c o r d a n c e w i t h t h e C o n t r a c t o r ' s c o s t p r o p o s a l .
3 . I N V O I C I N G .
3 . 1 E a c h m o n t h t h e C o n t r a c t o r s h a l l s u b m i t a n i n v o i c e f o r S e r v i c e s p e r f o r m e d d u r i n g t h e
p r e c e d i n g m o n t h . T h e o r i g i n a l i n v o i c e s h a l l b e s u b m i t t e d t o t h e C i t y ' s E x e c u t i v e
D i r e c t o r w i t h t w o ( 2 ) c o p i e s t o t h e C i t y ' s P r o j e c t C o o r d i n a t o r .
3 . 2 C h a r g e s s h a l J b e b i i J e d i n a c c o r d a n c e w i t h t h e t e r m s a n d r a t e s i n c l u d e d h e r e i n , u n l e s s
o t h e r w i s e a g r e e d i n w r i t i n g b y t h e C i t y ' s R e p r e s e n t a t i v e .
3 . 3 B a s e W o r k a n d E x t r a W o r k s h a l l b e c h a r g e d s e p a r a t e l y , a n d t h e c h a r g e s f o r e a c h t a s k
a n d M i l e s t o n e l i s t e d i n t h e S c o p e o f S e r v i c e s , s h a l l b e l i s t e d s e p a r a t e l y . T h e c h a r g e s
E x h i b i t C - 1 ; p a g e 3
1 7 3 3 6 . 0 0 0 0 1 \ 7 6 7 5 0 4 4 . 4 . .
1 3 8
for each individual assigned by the Contractor under this Agreement shall be listed
separately on an attachment to the invoice. •
3.4 A charge of $500 or more for any one item of Additional Direct Costs shall be
accompanied by substantiating documentation satisfactory to the City such as
invoices, telephone logs, etc.
3.5 Each copy of each invoice shaH be accompanied by a Monthly Progress Report and
spreadsheets showing hours expended by task for each month and total project to
date.
3.6 If applicable, each invoice shall indicate payments to DBE subcontractors or supplies
by dollar amount and as a percentage of the total invoice.
3. 7 Each invoice shall include a certification signed by the Contractor's Representative or
an officer of the firm which reads as follows:
I hereby certifY that the hours and salary rates charged in this invoice
are the actual hours and rates worked and paid to the employees
listed.
Signed
Title
Date
Invoice No.
4. PAYMENT
4.1 The City shall pay the Contractor within four to six weeks after receipt by the City of
an original invoice. Should the City contest any portion of an invoice, that portion
shall be held for resolution, without interest, but the uncontested balance shall be
paid.
4.2 The final payment for Services under this Agreement will be made only after the
Contractor has executed a Release and Certificate of Final Payment.
17336.00001\7675044.4
Exhibit C-1, page 4
139
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E X H I B I T C - 2
S a m p l e C o v e r L e t t e r t o R C T C
D a t e :
R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
4 0 8 0 L e m o n , J r d F l o o r
R i v e r s i d e , c t . 9 2 5 0 1
A t t e n t i o n : E x e c u t i v e D i r e c t o r
A T T N : A c c o u n t s P a y a b l e
R e : P r o j e c t T i t l e - I n v o i c e # _
E n c l o s e d f o r y o u r r e v i e w a n d p a y m e n t a p p r o v a l i s t h e C i t y o f M u r r i e t a ' s i n v o i c e f o r p r o f e s s i o n a l a n d
t e c h n i c a l s e r y i c e s t h a t w a s r e n d e r e d b y o u r c o n t r a c t o r s i n c o n n e c t i o n w i t h t h e A g r e e m e n t f o r t h e � ~
F u n d i n g o f M e a s u r e A W e s t e r n C o u n t y H i g h w a y I m p r o v e m e n t s , A g r e e m e n t N o . 1 3 - 3 1 - 0 5 3 - 0 0 ,
e f f e c t i v e ( M o n t h / D a y / Y e a r ) . T h e r e q u i r e d s u p p o r t d o c u m e n t a t i o n r e c e i v e d f r o m e a c h c o n t r a c t o r
i s i n c l u d e d a s b a c k u p t o t h e i n v o i c e .
I n v o i c e p e r i o d c o v e r e d i s f r o m M o n t h / D a t e / Y e a r t o M o n t h ! b a t e / Y e a r
T o t a l A u t h o r i z e d A g r e e m e n t A m o u n t :
T o t a l I n v o i c e d t o D a t e :
T o t a l P r e v i o u s l y I n v o i c e d :
B a l a n c e R e m a i n i n g :
A m o u n t d u e t h i s I n v o i c e :
- ~ �
$ 0 , 0 0 0 , 0 0 0 . 0 0
$ 0 , 0 0 0 , 0 0 0 . 0 0
$ 0 , 0 0 0 , 0 0 0 . 0 0
$ 0 , 0 0 0 , 0 0 0 . 0 0
$ 0 , 0 0 0 , 0 0 0 . 0 0
I c e r t i f y t h a t t h e h o u r s a n d s a l a r y r a t e s c h a r g e d i n t h i s i n v o i c e a r e t h e a c t u a l h o u r s a n d r a t e s
w o r k e d a n d p a i d t o t h e c o n t r a c t o r s l i s t e d .
B y :
c c :
N a m e
T i t l e
1 7 3 3 6 . 0 0 0 0 1 \ 7 6 7 5 0 4 4 . 4
E x h i b i t C - 2
1 4 0
Month/Date/Year
CITY OF MURRIETA
1 Town Square
Murrieta, CA 92562
Attn: Accounts Payable
EXHIBIT C-3
Sample Letter from Contractor to the City
Invoice# -----
For [type, of services] rendered by [contractor name] in connection with [name of project] This is
per agreement No. XX-XX-XXX effective Month/Date/Year .
Invoice period covered is from Month/Date/Year to Month/Date/Year
Total Base Contract Amount:
Authorized Extra Work (if Applicable)
TOTAL AUTHORIZED CONTRACT AMOUNT:
Total Invoice to Date:
Total Previously Billed:
Balance Remaining:
Amount Due this Invoice:
$000,000.00
$000,000.00
$000,000.00
$000,000.00
$000,000.00
$000,000.00
$000,000.00
I certify that the hours and salary rates charged in this invoice are the actual hours and rates worked
and paid to the employees listed,
By: _______________ _
Name
Title
17336.00001\7675044.4
Exhibit C-3
141
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•
EXHIBIT C-4 • SAMPLE TASK SUMMARY SCHEDULE
(OPTIONAL-NOT INCLUDED)
•
• Exhibit C-4
17336.00001\7675044.4
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142
REPORTING PERIOD:
PROGRESS REPORT:
EXHIBITC-5
Sample Progress Report
Month/Date/Year to Month/Date/Year
#I
A. Activities and Work Completed during Current Work Periods
B. Current/Potential Problems Encountered & Corrective Action
Problems Corrective Action
None None
C. Work Planned Next Period
17336.00001\7675044.4
Exhibit C-5
143
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A G E N D A I T E M 9 . .
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l
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R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N
D A T E : F e b r u a r y 1 3 , 2 0 1 3
� ~ ~ ~ ~ ~ ~ - + ~ ~ - -
T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n
� ~ ~ - - ~ - - ~ - + - - ~ - -
F R O M : T a n y a L o v e , G o o d s M o v e m e n t M a n a g e r
� ~ ~ - - ~ ~ - - - + - - - - - -
T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r
~ ~ - - - - - - - - ~ - - - - - -
S U B J E C T : T r a d e C o r r i d o r I m p r o v e m e n t F u n d P r o j e c t s - G r a d e S e p a r a t i o n s
1 . ! : : : : = = : : : : : : : : : : = = = = = =
S T A F F R E C O M M E N D A T I O N :
T h i s i t e m i s f o r t h e C o m m i s s i o n t o :
1 ) R e p r o g r a m a t o t a l o f $ 1 3 , 4 0 8 , 3 3 4 i n P r o p o s i t i o n 1 B T r a d e C o r r i d o r
I m p r o v e m e n t F u n d ( T C I F ) p r o j e c t s a v i n g s t o t h e f o l l o w i n g f o u r g r a d e
s e p a r a t i o n p r o j e c t s :
2 )
3 )
4 )
a ) $ 5 , 0 6 5 , 3 2 4 - A v e n u e 5 6 / A i r p o r t B o u l e v a r d ;
b ) $ 7 4 6 , 6 1 3 - C l a y S t r e e t ;
c ) $ 3 , 9 9 6 , 3 9 7 - M a g n o l i a A v e n u e / B N S F ;
d ) $ 3 , 6 0 0 , 0 0 0 - R i v e r s i d e A v e n u e ;
R e v i s e t h e f u n d i n g d i s t r i b u t i o n b e t w e e n f e d e r a l S u r f a c e T r a n s p o r t a t i o n
P r o g r a m ( S T P ) a n d C o n g e s t i o n M i t i g a t i o n a n d A i r Q u a l i t y ( C M A O ) f u n d s ;
R e m o v e $ 2 , 6 2 6 , 9 6 8 i n C M A O f u n d s a n d r e p l a c e t h e s a m e a m o u n t w i t h S T P
f u n d s f o r t h e I o w a A v e n u e g r a d e s e p a r a t i o n p r o j e c t ; a n d
P r o g r a m $ 4 , 3 4 9 , 6 0 3 i n S T P f u n d s t o t h e c o u n t y o f R i v e r s i d e ( C o u n t y ) f o r
t h e M a g n o l i a A v e n u e / B N S F g r a d e s e p a r a t i o n p r o j e c t .
B A C K G R O U N D I N F O R M A T I O N :
P r o p o s i t i o n 1 B - T C I F P r o j e c t s
I n J a n u a r y 2 0 0 8 , t h e C a l i f o r n i a T r a n s p o r t a t i o n C o m m i s s i o n ( C T C ) a l l o c a t e d
$ 1 6 2 . 7 m i l l i o n i n P r o p o s i t i o n 1 B f u n d s , u n d e r t h e T C I F p r o g r a m , t o 1 3 g o o d s
m o v e m e n t p r o j e c t s l o c a t e d i n R i v e r s i d e C o u n t y . S i n c e t h a t t i m e , f i v e T C I F p r o j e c t s
h a v e b e e n c o n s t r u c t e d o r a r e u n d e r c o n s t r u c t i o n a n d o n e p r o j e c t w a s d e l e t e d :
" C o l u m b i a A v e n u e ( c o m p l e t e d ) ;
" I o w a A v e n u e ( u n d e r c o n s t r u c t i o n ) ;
" 1 - 2 1 5 / V a n B u r e n B l v d . ( u n d e r c o n s t r u c t i o n ) ;
" M a g n o l i a A v e n u e / U P ( c o m p l e t e d ) ;
"
"
S t r e e t e r A v e n u e ( u n d e r c o n s t r u c t i o n ) ; a n d
T h i r d S t r e e t ( d e l e t e d ) .
A g e n d a I t e m 9
1 4 4
A requirement of the TCIF program is that all project sponsors must request the •
CTC to allocate the TCIF funds by June 30, 2013, and award a construction
contract by December 31, 2013. Several of the completed/allocated TCIF projects
incurred project savings estimated at $13,408,334. To help close the funding gap
of the unallocated TCIF projects, staff recommends that the TCIF project savings
be reprogrammed to the remaining TCIF projects as follows:
Additional less TCIF Balance of Potential
Source of Project Funding Project Funds Additional Needs Savings Required Funding
Avenue 56/Airport $6,858,000 $5,065,324 $1,792,676 CVAG/
Boulevard County
Clay Street 1,069,000 746,613 322,387 County
Magnolia Avenue/BNSF 8,346,000 3,996,397 4,349,603 STP
Riverside Avenue 3,600,000 3,600,000 -0-
Total $19,873,000 $13,408,334 $6,464,666
Staff recommends that the required balance of $6,464,666 be programmed
through a combination of federal STP funds and local agency funds. Staff
discussed the $1,792,676 funding gap on Avenue 56/Airport Boulevard with
Coachella Valley Association of Governments' (CVAG) and County staff and the •
$322,387 shortfall on the Clay Street project with County staff. Both agencies
have indicated the ability to provide the additional funds.
CMAQ/STP Funding
In 2007, the Commission approved a 25 percent off the top allocation of federal
CMAQ and STP funds for Alameda Corridor East (ACE) grade separation projects.
Based on the 25 percent allocation, it is estimated that approximately
$79,403,041 is available through the two federal funding sources:
CMAQ:
STP:
Total:
$48,070,041
31,333,000
$79,403,041
Due to fiscal year programming capacity restrictions and t1m1ng constraints
associated with Federal Transportation Improvement Program amendments, staff
recommends replacing $2,626,968 of CMAQ funds that was previously allocated
by the Commission with STP funds for the Iowa Avenue project. In addition, staff
recommends that an additional $4,349,603 in STP funds be allocated to the
County for the Magnolia Avenue/BNSF project. As a result of these
recommendations for STP funding allocations, there is a $6,341,531 shortfall in •
STP funds and a corresponding balance available in CMAQ funds. To resolve the
Agenda Item 9
145
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p r o g r a m m i n g c a p a c i t y r e s t r i c t i o n s a n d e n s u r e t h a t t h e T C I F p r o j e c t s m o v e f o r w a r d ,
s t a f f r e c o m m e n d s t h a t t h e o r i g i n a l C M A O a n d S T P d o l l a r a m o u n t s i d e n t i f i e d i n
2 0 0 7 b e a d j u s t e d a s f o l l o w s :
2 0 0 7 C o m m i s s i o n 2 0 1 3 S t a f f
A c t i o n A d j u s t m e n t R e c o m m e n d a t i o n f o r
A d j u s t e d A l l o c a t i o n
C M A O $ 4 8 , 0 7 0 , 0 4 1 $ ( 6 , 3 4 1 , 5 3 1 ) $ 4 1 , 7 2 8 , 5 1 0
S T P 3 1 , 3 3 3 , 0 0 0 6 , 3 4 1 , 5 3 1 3 7 , 6 7 4 , 5 3 1
T o t a l : $ 7 9 , 4 0 3 , 0 4 1 $ - 0 - $ 7 9 , 4 0 3 , 0 4 1
I t s h o u l d b e n o t e d t h a t t h e r e i s n o i n c r e a s e i n t h e t o t a l a m o u n t o f f e d e r a l f u n d s
p r e v i o u s l y a p p o r t i o n e d b y C o m m i s s i o n a c t i o n a n d t h a t o n l y a d o l l a r c h a n g e i n t h e
f u n d t y p e i s r e q u e s t e d . F u r t h e r m o r e , a p p r o v a l o f t h e s t a f f r e c o m m e n d a t i o n s
r e s u l t s i n t h e a l l o c a t i o n o f a l l a v a i l a b l e f e d e r a l C M A O a n d S T P f u n d s f o r A C E g r a d e
s e p a r a t i o n p r o j e c t s .
S u m m a r y
B y r e p r o g r a m m i n g t h e P r o p o s i t i o n 1 B a n d C M A O / S T P f u n d i n g , t w o p r o j e c t s -
R i v e r s i d e A v e n u e a n d M a g n o l i a A v e n u e / B N S F - w i l l b e c o m p l e t e l y f u n d e d . T h e
r e m a i n i n g t w o p r o j e c t s - A v e n u e 5 6 / A i r p o r t B o u l e v a r d a n d C l a y S t r e e t - w i l l
c o n t i n u e t o h a v e a f u n d i n g g a p o f $ 1 , 7 9 2 , 6 7 6 a n d $ 3 2 2 , 3 8 7 , r e s p e c t i v e l y ;
h o w e v e r , C o u n t y a n d C V A G s t a f f h a v e i n d i c a t e d t h a t t h e s e a g e n c i e s c a n p r o v i d e
t h e a d d i t i o n a l f u n d i n g . A s a r e s u l t , a l l 1 2 T C I F p r o j e c t s w i l l e i t h e r b e c o m p l e t e d o r
h a v e a w a r d e d a c o n t r a c t t o s t a r t c o n s t r u c t i o n b y D e c e m b e r 3 1 , 2 0 1 3 .
F i n a n c i a l I m p a c t
T h e r e i s n o f i s c a l i m p a c t t o t h e C o m m i s s i o n ' s b u d g e t a s P r o p o s i t i o n 1 B T C I F f u n d s
a n d f e d e r a l C M A O a n d S T P f u n d s d o n o t f l o w t h r o u g h t h e C o m m i s s i o n .
A g e n d a I t e m 9
1 4 6