HomeMy WebLinkAbout105-Fund Transfer Agreement
Agreement No. P116B-2-41 Page 1 of3 STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION FUND TRANSFER AGREEMENT (FTA) INITIAL DOCUMENT COVERING ALLOCATIONS OF ( ) PASSENGER RAIL AND CLEAN
AIR BOND ACT OF 1990 (PROP. 108), OR (X) CLEAN AIR AND TRANSPORT A TION IMPROVEMENT ACT OF 1990 (PROP. 116) BOND FUNDS, OR ( ) PUBLIC TRANSPORTATION ACCOUNT FUNDS, OR ( ) STATE HIGHWAY
ACCOUNT, OR ( ) OTHER STATE ENCUMBERED FUNDING TypE, _______ _ DATE OF ALLOCATION June 30,2010 . EFFECTNE DATE OF THIS FTA June 30,2010 EFFECTNE DATE OF 3n1 PARTYCONTRACT Not Yet Awarded
TERMINATION DATE OF THIS FTA December 31,2011 RECIPIENT City of Saratoga TITLE OF COMPLETE PROJECT Highway 9 Bicycle Safety Improvements PROJECT PHASE () COMPLETE PROJECT (X) CTC ALLOCATION
RESOLUTION NO. BFP-09-07 FISCAL YEAR PROGRAMMED 07108 DETAIL OF PROJECT FUNDS ALLOCATED BY STATE: FUND SOURCE Prop. 116 REV 8-25-00 FISCAL YEAR 07108 EA C0712A PPNO 2144B AMOUNT $460,851
Agreement No. P116B·2-41 Page 2of3 This FfA, entered into effective as of the date set forth above, is between the public entity --------lliid,entified-above amI-hereinafter referred
to as RECIPIENT and the STATE OF CALIFORNIA, acting by aud through its Business, Transportation aud Housing Agency, Department of Transportation, hereinafter referred to as STATE. SECTION
1. RECIPIENT has applied to the California TransportationCommission (CTC) for funds derived under the identified STATE Fund Source, to be allocated by CTC, for the purpose of the project
named above and further described in the "Project Description" (Project) attached as Attachment I to the Standard Provisions of Grant. SECTION 2. CTC has allocated funds for the Project,
or a phase of the Project (project Phase), as evidenced in the CTC Resolution (Resolution) identified above and attached as Attachment IT to the Standard Provisions of Grant and made
a part of this Ff A. RECIPIENT shall be bound to the terms and conditions of this Resolution and CTC Resolution G-95-05 and all restrictions, rights, duties and obligations established
therein on behalf of STATE and CTC shall accrue to the benefit of CTC and shall thereafter be subject to any necessary enforcement action by CTC or STATE. All terms and conditions stated
in CTC Resolution G-95-05 shall also be considered to be binding provisions of this Ff A. SECTION 3. STATE has prepared the "Standard Provisions of Grant," attached and made a part of
this Ff A, which, together with this document and all referenced attachments and addenda, sets forth the terms and conditions under which said funds are to be expended. SECTION 4. STATE
and RECIPIENT have negotiated the "Project Description," which describes the entire Project or Project Phase to be. constructed or acquired by RECIPIENT. Separate Project Phase descriptions,
if applicable, will describe the tasks to be performed for each separate Project Phase. Subsequent Project Phase descriptions beyond the initial CTC approved Project description, if
any, will be added to this FTA by Amendment. SECTION 5. STATE and RECIPIENT have negotiated and RECIPIENT has submitted, at the time of RECIPIENT'S request for allocation of funds, the
"Scope of Work," (attached as Attachment ill to the Standard Provisions of Grant and made a part of this Agreement), which sets forth the tasks (Scope of Work), estimated expenditure
schedule (Project Financial Plan), sources of funding (Overall Project Flmding Plan) and overall schedule (Project Development Schedule) for the Project or Project Phase. State funding
limits established in each original or amended "Scope of Work" as part of the expenditure schedule for every Project Phase, initial or subsequent, shall not be exceeded or modified by
RECIPIENT without a subsequent amendment and further encumbrance of STATE funds. SECTION 6. The completed and signed STATE Certification of Funds, Attachment IV to the Standard Provisions
of Grant, including any funding increases allocated to subsequent Project Phases (established by an amendment to Attachment IV with additional fund certifications), evidences the limited
commitment of STATE funding under this FfA. SECTION 7. Funding available to RECIPIENT under this FT A will terminate on the Termination Date first specified above, unless earlier terminated
upon written notice from STATE to RECIPIENT pursuant to Article III, Section 7, of the Standard Provisions of Grant or unless extended by an amendment to this FfA. SECTION 8. This FfA
may be modified, altered or revised only with the joint written consent of RECIPIENT and STATE. REV 8-25-00
Agreement No. P116B·2·41 Page 3 of3 SECTION 9. RECIPIENT shall not award, a construction contract over $10,000 or (excllUling-profgssional-service
coillfacts of required to be procured iu accordance with Government Code Sections 4525 (d), (e) and (f)
through 4529.5) on the basis of a noncompetitive negotiation for work to be performed under this FTA without the prior written approval of STATE. Contracts awarded by RECIPIENT, if intended
as match, must meet the requirements set forth in this Section 9 of the FT A and Section 5 of Article ill of the Standard Provisions of Grant. SECTION 10. RECIPIENT shall conform to
any and all environmental obligations established in CTC Resolution G-91-2, attached as Attachment V to the Standard Provisions of Grant, at the expense of RECIPIENT and/or the responsible
party and without further financial contribution or obligation of STATE. SECTION II. RECIPIENT has executed this FT A pursuant to the authorizing RECIPIENT resolution, attached as Attachment
VI to the Standard Provisions of Grant. SECTION 12. The grant administrators for the parties shall be for STATE, the District Division Chief for Planning for the District in which the
Project is located, and for RECIPIENT, its General Manager, Executive Director or a Designee named in writing. IN WITNESS WHEREOF, the parties hereto have executed this FT A by their
duly authorized officers. STATE OF CALIFORNIA ANN MAHANEY, Acting Chief Bicycle Facilities Unit Division of Local Assistance �
� r REV 8-25-00 CITY OF SARATOGA By ____________ _ (Name) (Title) DATE ____________________ ___
Agreement No. P11B-2-41 Page 1 of 11 STANDARD PROVISIONS OF GRANT STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION FUND TRANSFER AGREEMENT (FTA) COVERING ALLOCATIONS OF ( ) PASSENGERRAILAND
CLEAN AIR BOND ACT OF 1990 (PROP. 108), OR (X) CLEAN AIR AND TRANSPORTATION IMPROVEMENT ACT OF 1990 (PROP. 116) BOND FUNDS, OR ( ) PUBLIC TRANSPORTATION ACCOUNT FUNDS, OR ( ) STATEIDGHWAY
ACCOUNT,OR ( ) OTlmR STATE ENCUMBERED FUNDING TypE, ________ _ RECIPIENT has agreed to accept the applicable provisions contained herein, including all Attachments and Addenda (Provisions)
as a condition of acceptance of a grant from these fund sources. The STATE shall have the administrative rights, duties, and responsibilities described in these Provisions. ARTICLE 1_
PROJECT DESCRIPTION SECTION 1. RECIPmNT agrees to complete the Project or the identified Project Phase thereof, as described in the attached Project Description and Scope of Work for
the identified Project or Project Phase. Reference hereinafter to the Project shall also also mean the Project Phase if appropriate. SECTION 2. RECIPmNT agrees that if the Project encumbered
with STATE funds identified in Attachment IV prove insufficient to complete the described Project and open it to revenue operation, that payment of any additional amounts required shall
be the sole responsibility of RECIPIENT. RECIPIENT further agrees that it will secure and provide, without further STATE assistance under this Ff A process, such additional resources
as are necessary to pay these additional amounts and expeditiously complete the Project. ARTICLE II. SCOPE OF WORK SECTION 1. RECIPIENT shall be responsible for complete performance
of the work described in the approved Scope of Wark document for the Project related to that commitment of future STATE funds. All work shall be accomplished in accordance with the applicable
provisions of the Public Utilities Code, the Streets and Highways Code, the Goverrunent Code and other applicable statutes and regulations. REV 8-25-00
Agreement No. PllB·2·41 Pag.2ofll SECTION 2. RECIPIENT acknowledges and agrees that RECIPIENT is the sole ---------Gc'oQlnrutr:r,oolll-lanmd.mal1a§"l'-Of..thg.propos"d Proj"ct and its
public. RECIPIENT shall be solely responsible for complying with
the fuuding and use restrictions established by the statutes from which the funds are derived, the CTC, the State Treasurer, the Internal Revenue Service, and the terms of this Fr A.
RECIPIENT shall indemnify, defend and hold harmless the STATE, the CTC and the State Treasurer relative to any misuse by RECIPIENT of STATE funds, Project property, Project generated
income or other fiscal acts or omissions of RECIPIENT. SECTION 3. A Scope of Work, a Project Financial Plan showing cash flow expenditure, an Overall Project Funding Plan and a Project
Development Schedule are included in the Scope of Work document. STATE need not pay RECIPIENT a cumulative reimbursement amount greater than the cumulative amount identified in the Project
Financial Plan for any specific time period or any earlier than the dates authorized therein. SECTION 4. The Scope of Work includes an estimated completion date or dates for each of
the Project Phases or items of work identified therein and RECIPIENT shall conform to those completion dates. ARTICLEIII. PAYMENT SECTION 1. RECIPIENT agrees to contribute at least the
statutorily or other required local contribution of matching funds (other than state or federal funds), if any is specified within this FrA or any attachment hereto, toward the actual
cost of the Project or the amount, if any, specified in any executed SB2800 (Streets and Highways Code Section 164.53) Agreement for local match fund credit, whichever is greater. RECIPIENT
shan contribute not less than its required match amount toward the cost of the Project in accordance with a schedule of payments as shown in a Quarterly Cash Expenditure Plan prepared
by RECIPIENT as part of the Scope of Work document. Said local match of SB2800 credit, if any, shall be identified on the FrA face sheet. SECTION 2. Project related travel and subsistence
and travel expense of RECIPIENT forces and its subcontractors claimed for reimbursement or as local match credit shall not exceed rates authorized to be paid STATE employees nnder current
State Department of Personnel Administration (DPA) rules. If the rates invoiced by RECIPIENT are in excess of DP A rates, then RECIPIENT is responsible for the difference and any overpayments
inadvertently paid by STATE shall be reimbursed to STATE by RECIPIENT on demand. SECTION 3. Not more frequently than once a month, but at least quarterly, RECIPIENT will prepare and
submit to STATE (directed to the attention of the appropriate STATE District Transportation Representative) Progress Payment Vouchers for actual Project costs incurred and paid for by
RECIPIENT consistent with the Scope of Work document. Advance reimbursement or payments are not allowed. RECIPIENT must not only have incurred the expenditures, but must have also paid
for them. Each such voucher will repOlt the total expenditures from all sources and will specify the percent of STATE reimbursement requested and the fund source. The voucher should
also s(llnmarize STATE money requested by category (right of way, construction, rolling stock, or private activity usage) and be accompanied by a report describing the overall work status
and progress on Project tasks. If applicable, the first voucher shall also be accompanied by a report describing any tasks specified in the Scope of Work document which were accomplished
prior to the Effective Date of this Fr A, which costs are to be credited toward the required local contribution described in Article ill, Section 1, of these Provisions pursuant to any
applicable prior executed Agreement for Local Match Fund REV 8·25·00
AgreementNo. PllB-2-41 Page 3 ofll Credit between RECIPIENT and STATE. The method of payment for this FfA will be based �
� SECTION 4. Should RECIPIENT have a valid Memorandum of Understanding (MOU) for "Expedited
Payment" on file with STATE Department of Transportation Accounting Service Center, the RECIPIENT will, not more frequently than as authorized by that MOU, prepare and submit to STATE
an Expedited Payment Invoice for reimbursements that are consistent with that MOU and the Scope of Work document. STATE will retain (10%) ofthese STATE grant funds from RECIPIENT'S final
invoice or one time payment until STATE has evaluated RECIPIENT'S performance and made a determination that all contract Ff A requirements assumed under this Ff A have been satisfactorily
fulfilled per Public Contract Code, Section 10261. SECTION 5. Reimbursement and credits for local matching funds credits (excluding SB 2800 expenditures) will be made or allowed (unless
permitted 'as Project expenditures pursuant to an executed Agreement for Local Match Fund Credit) only for work performed after the Effective Date of this Ff A and prior to the Termination
Date. The RECIPIENT must complete both the work to be reimbursed and the actual payment for which reimbursement is sought within 36 months following the "Effective Date of the 3'd Party
Contract" and, in no event, later than the termination date of this Ff A. . The Termination Date refers to the last date for RECIPIENT to incur valid Project costs or credits and is
the date this Ff A expires. RECIPIENT shall submit the Project Close-Out Report and the Project final invoice in accordance with the terms set forth in Article V, Section 18. SECTION
6. Delivery by STATE of any funds provided pursuant to this Ff A is contingent upon prior budget action by the Legislature, fund allocatiou by CTC, 'submittal by RECIPIENT and approval
by STATE of all documentation required by Government Code Section 14085 and, if bonds are the fund source, subject to the sale of bonds by the State Treasurer. In the event bond sales
are delayed, canceled, or downsized or TCI or other grant funds are restricted, limited or otherwise conditioned by acts of Congress, the CTC, the Legislature, the Internal Revenue Service
or the Federal Transit Administration, STATE shall not be held liable for any resulting damage or penalty to RECIPIENT. In the event of any such inaposition of additional conditions,
delay, cancellation or reduction in STATE funding, RECIPIENT shall be excused from meeting the tinae and expenditure constraints set in the Project and Financial Plan and the Project
Development schedule to the extent of such delay, cancellation or reduction and this Ff A will be amended to reflect the necessary changes in Project scope or scheduling. SECTION 7.
STATE reserves the right to terminate funding for any Project upon written notice to RECIPIENT in the event that RECIPIENT fails to proceed with the Project work in accordance with the
Scope of Work document, the bonding requirements if applicable or otherwise violates the conditions of these Provisions or the funding allocation such that substantial performance is
significantly endangered. No termination shall become effective if, within 30 days after receipt of a Notice of Termination, RECIPIENT either cures the default involved or, if not reasonahly
susceptible of cure within said 30-day period, RECIPIENT proceeds thereafter to complete the cure in a manner and time Jine acceptahle to STATE. In the event of such termination, RECIPIENT
shall be reinabursed its authorized costs up to STATE'S share of allowable Project costs incurred prior to the date of termination, provided that RECIPIENT is not in default ofthe terms
and conditions of this FfA. Any such tennination shall be accomplished by delivery to RECIPIENT of a Notice of Termination, which notice shall become effective not less than 30 days
after receipt, specifying the reason for the telmination, the extent to which funding of REV 8-25-00
Agreement No. PllB-2-41 Page 4 of11 work under these provisions is terminated and the date upon which such termination becomes ---------eceffi_ecOftlive,if-beyenG-JO clays after receipt.
DHring the-)3!lHea-eefere-the effective ------RECIPIENT and STATE shall meet to attempt to resolve any dispute. ARTICLE IV. REPORTS
AND RECORDS SECTION 1. RECIPIENT, its contractors and subcontractors shall establish and maintain an accounting system and records that properly accumulate and segregate incurred Project
costs and matching funds by line item for ,the Project. RECIPIENT'S, contractor's and subcontractor's accounting systems shall conform to Generally Accepted Accounting Principles (GAAP),
enable the determination of-incurred costs at interim points of completion, and provide support for reimbursement payment vouchers or invoices. All accounting records and other supporting
papers of RECIPIENT, its contractors and subcontractors connected with performance under this FTA shall be maintained for a minimum of three years from the date of final payment to RECIPIENT
under these provisions and shall be held open to inspection and audit by representatives of STATE, the California State Auditor and auditors of the Federal Government. Copies thereof
will be furnished by RECIPIENT, its contractors, and subcontractors upon receipt of any request made by the STATE or its agents. In conducting an audit ofthe costs and match credits
clainaed under these provisions, STATE will rely to the maximum extent possible on any prior audit of RECIPIENT pursuant to the provisions of federal and state laws. In the absence of
such an audit, any acceptable audit work performed by RECIPIENT'S external and internal auditors and/or federal auditors will be relied upon and used by STATE when planning and conducting
additional audits. SECTION 2. RECIPIENT agrees to comply with Office of Management and Budget Circular A-87, Cost Principlcs for Statc and Local Govcrnment and 49 CFR, Part 18, Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. RECIPIENT'S contractors and snbcontractors agree that -(a) the Contract Cost Principles
and Procedures, 48 CPR, Federal Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be used to determine the allowability of individual Project cost items and (b) they
shall comply with Federal administrative procedures in accordance with 49CPR, Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments.
Any Project costs for which RECIPIENT has received payment or credit that are determined by subsequent audit to be unallowable under Office of Management and Budget Circular A-87, 48
CPR, Chapter I, Part 31 or 49 CFR, Part 18 are subject to repayment by RECIPIENT to STATE. Should RECIPIENT fail to reimburse moneys due STATE within 30 days of demand, or within such
other period as may be agreed between the parties hereto, STATE is authorized to withhold future payments due RECIPIENT from any source, including but not limited to, the State Treasurer,
the State Controller and the CTC. RECIPIENT agrees to include Project in the schedule of projects to be examined in their annual audit and in the schednle of projects to be examined
under its single audit that is prepared in accordance with Office of Management and Budget Circular A-133. SECTION 3. For the purpose of determining compliance with Title 21, California
Code of Regulations, Section 2500, et seq., when applicable, and other matters connected with the performance of RECIPIENT'S contracts with third parties pursuant to Government Code
Section 8546.7, RECIPIENT, RECIPIENT'S contractors and subcontractors and STATE shall each maintain all books, documents, papers, accounting records, and other evidence pertaining to
the pClformance of such contracts, including but not limited to, the costs of administering the various contracts. All of the above referenced parties shall make such materials available
at their REV 8-25-00
Agreement No. PllB·2·41 Page 5 of 11 respective offices at all reasonable times during the contract period and for three years from the ---------4date-of-final-p:l¥IDeIlt to RECIPIENT
HIlMr this FrA ST<lTE, the California :>tate Federal Highway Administration, or any duly authorized representative of the Federal Government shall
have access to any books, records, and documents that are pertinent to the PTA or Project for audits, examinations, excerpts, and transactions and copies thereof shall be furnished by
RECIPIENT if requested. SECTION 4. RECIPIENT will insert clauses to effect Sections 1, 2 and 3 above of this Article IV in all of its contracts and subcontracts funded by STATE or claimed
a match credit under these Provisions. SECTION 5. Subject to the discretion of the STATE, RECIPIENT and STATE agree to conduct, on a quarterly basis, on·site reviews of all aspects of
the progress of the Project. The first quarterly review meeting shall take place within 90 days following execution of this PTA. RECIPIENT agrees, during each quarterly progress review,
to inform STATE regarding (1) whether the Project is proceeding on schedule and within budget, (2) any requested changes to the Project Management Plan, (3) major construction accomplishments
during the quarter, (4) any actual or anticipated problems which could lead to delays in schedule, increased costs or other difficulties, (5) the statusofthe Project Budget and, (6)
the status of critical elements of the Project. SECTION 6. It will be permissible for RECIPIENT to expend funds as needed and to move-funds between expenditure line items with maximum
flexibility in accordance with revised budgets furnished prior to the actual expenditures. However, RECIPIENT shall notify and obtain written approval from STATE of any proposed changes
in excess of 10 percent in any expenditure category prior to actual expenditure. For proposed changes in excess of 20 percent in any expenditure category or for a reduction in proposed
work work or service levels, STATE approval shall be obtained in writing and STATE will determine whether the proposed change is significant enough to warrant CTC review. Should the
proposed change require any increase in STATE funds, the CTC and STATE must approve in writing that change in advance of funds being expended. SECTION 7. Quarterly reviews of RECIPIENT
progress will include consideration of whether activities are within the scope of the Project and in compliance with STATE laws, regulations, administrative requirements, and implementation
of the Project under this PTA. SECTION 8. If RECIPIENT and STATE determine, at any time during the performance of the Project, that the Project budget may be exceeded, RECIPIENT shall
take the following steps: (1) Notify the designated STATE representative ofthe nature and projected extent of the overrun and, within a reasonable period thereafter, identify and quantify
potential costs savings or other measures which will bring the budget into balance, (2) Schedule the projected overrun for discussion at the next Quarterly Review meeting, and (3) Identify
the source of additional RECIPIENT funds which can be made available to complete Project. Rl!.'V 8-25-00
Agreement No. PllB-2-41 Page 6 of 11 ARTICLE V. GENERAL PROVISIONS SECTION 1. In the perfonnance of work under these provisions, RECIPIENT, its contractor(s) and all subcontractors shall
not unlawfully discriminate, harass or allow harassment, against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, physical
disability (including HIV and AIDS), mental disability, medical condition (cancer), age (over 40), marital status, or family care leave. RECIPIENT, its contractor(s) and all subcontractors
shall ensure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. RECIPIENT, its contractor(s) and all
subcontractors shall comply with the provisions of the Fair Employment and Housing Act (Government Code Section 12900 et seq.), and the applicable regulations promulgated thereunder
(California Code of Regulations, Title 2, Section 7285.0 et seq.). The applicable regulations regulations of the Fair Employment and Housing Commission implementing Government Code,
Section 12990 (a-f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations are incorporated into this contract by reference and made a part hereof as
if set forth in full. Each of the RECIPIENT'S contractors and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they
have a collective bargaining or other agreements. RECIPIENT shall include the nondiscrimination and compliance provisions of this clause in all contracts and subcontracts to perform
work under this FTA. SECTION 2. RECIPIENT, its contractor(s) and subcontractors will permit access to all records of employment, employment advertisements, application forms, and other
pertinent data and records by the State Fair Employment Practices and Housing Commission, or any other agency of the State of California designated by STATE, for the purpose of investigation
to ascertain compliance with Section 1 of this Article V. SECTION 3. RECIPIENT agrees to insert, in appropriate contracts, clauses to effect Sections 1 and 2 of this Article V and the
California Labor Code requirements that all workers employed on public works projects (as defined in California Labor Code § 1720-1815) will be paid not less than the general prevailing
wage rates predetermined by the Department of Industrial Relations. SECTION 4. Should Public Coutract Code Sections 2000 or lOllS et seq. or Military and Veterans Code Sections 999 et
seq., be applicable to RECIPIENT, RECIPIENT will meet, or make good faith efforts to meet, the following Disabled Veterans Business Enterprises goals or RECIPIENT'S applicable goals
in the award of every contract for work to be performed under these Provisions: Disabled Veterans Business Enterplises -3% RECIPIENT shall have the sole duty and authority under this
FT A to determine whether these referenced code sections are applicable to RECIPIENT and, if so, whether good faith efforts asserted by those contractors were sufficient as outlined
in Public Contract Code Sections . 2000 and 10115 et seq., and the Military and Veterans Code Section 999 et seq. SECTION 5. Neither STATE nor any officer or employee thereof shall be
responsible for any damage or liability occurring by reason of anything done or omitted to be done by RECIPIENT, its agents and contractors, under, or in connection with any work, authority,
or jurisdiction delegated to RECIPIENT under this FT A or as respects environmental clean up obligations or duties of RECIPIENT relative to a Project. It is also understood and agreed
that, pursuant to Government Code Section 895.4, RECIPIENT shall fully indemnify and hold REV 8-25-00
Agreement No. PllB-2-41 Page 7 of 11 STATE hannless from any liability imposed for injnry (as defmed by Govermnent Code Section �
�obligatiGns-er Gillies arising or GroaooG by reason of anythffig-tlen€-eF_r -------imposed by operation of law or assumed by, or omitted to be done by RECIPIENT under or in connection
with any work, authority, or jurisdiction delegated to RECIPIENT under this FTA. SECTION 6. Subject to the tenns and provisions of the FT A, RECIPIENT shall be the owner of all improvements
and property included in the project constructed, installed or acquired by RECIPIENT, whether with funding provided to RECIPIENT under this FTA or otherwise. RECIPIENT is obligated to
continue operation and maintenance of the Project dedicated to the public transportation purposes for which the Project was initially approved unless RECIPIENT ceases ownership of such
Project property or ceases to utilize the Project for the intended
public transportation purposes or sells or transfers title to or control over Project and STATE is refunded the Credits due as provided in this Article V, Section 9 below. The Project
right of way, the Project facilities constructed or reconstructed on the Project site and/or Project property purchased (excluding construction easements and excess property whose propOltionate
resale proceeds are distributed pursuant to this FT A) shall remain permanently dedicated to public transit use in the same proportion and scope and to the same extent as described in
this FTA and related Bond Fund Certification documents if applicable unless STATE agrees otherwise. Should this occur, at STATE'S option, RECIPIENT shall be required to obtain a determination
by Bond Counsel acceptable to the State Treasurer's Office that a change in operation, proportion or scope of the Project as proposed by RECIPIENT will not adversely affect the tax exempt
status of the bonds. Equipment acquired as part of the Project, including rail passenger equipment and ferry vessels, shall be dedicated to that passenger use for their full economic
life cycle, including any extensions of that life cycle achieved by reconstruction, rehabilitation or enhancements. SECTION 7. To the extent that RECIPIENT operates and maintains Intermodal
Transfer Stations, RECIPIENT shall maintain each station and all its appurtenances, including, but not limited to, restroom facilities, in good condition and repair in accordance with
high standards of cleanliness (Public Utilities Code, Section 99317.8). Upon request of STATE, RECIPIENT shall also authorize state-funded bus services to use any station and its appurtenances
without any charge to STATE or the bus operator. This permitted use will iuclude the placement of signs and informational material designed to alert the public to the availability of
the state-funded bus service (for the purpose of this sectiou, "state-funded bus service" means any bus service funded pursuant to Public Utilities Code, Section 99316). SECTION 8. RECIPIENT
shall, for the purposes of any STATE bond funded right of way acquisition which will become a permanent part of the Project (such acquisitions exclude temporary construction easements,
property allocated to matching funds, and excess property purchased with STATE funds whose resale proceeds are returned or credited to STATE), maintain ownership of such Project property
for a minimum of twenty years or until the bonds have matured, whichever occurs first, before transferring or selling such property, subject to the Credits due STATE as provided in Article
V, Section 9 below herein. SECTION 9. Except as otherwise set forth in this Section 9, STATE, or any assignee public body acting on behalf of the CTC, shall be entitled to a refund or
credit (Credit), at STATE'S sole option, equivalent to the proportionate Project funding participation by STATE in the event that RECIPIENT ceases to utilize the Project for the intended
public transportation purposes or sells or transfers title to or control over the Project. STATE shall also be entitled to an acquisition credit for any future purchases or condemnation
of all or portions of the Project by STATE or a designated agent of STATE. The refund or credit due STATE will be measured by the funding ratio of STATE to RECIPIENT funding participation
applied to the then fair market value of the Project property acquired. REV 8-25-00
Agreement No. PllB-2-41 Page 8 of 11
of calculating STATE'S Credit under these Standard Provisions of Grant of FfA, any portions of the Project site contributed by RECIPIENT shall not be included. In determining STATE'S
proportionate funding participation, STATE'S contributions to parties other than RECIPIENT shall be included, if made a part of Project funding. SECTION 11. Once STATE receives the Credit
as provided above because RECIPIENT ceases to utilize the Project for the inteuded public transportation purposes or sells or transfers title to or control over the Project, neither
RECIPIENT nor any person to whom RECIPIENT has transferred title or control shall any longer have any obligation under this Ff A to continue operation of the Project andlor dedIcate
the Project or its facilities for public transportation purposes, and may then use the Project and any of its facilities for any lawful purpose. SECTION 12. RECIPIENT should be on notice
that the Federal Transit Administration ("FT A", previously "UMT A") does not share in any revenue stream from projects in which it has participated. However, FfA does require that it
specifically approve private and incidental uses of its funded projects to assure that they do not adversely impact transit use. In FfA funded projects, revenues that are derived from
these private and incidental uses must be documented, are subject to audit and are required to be applied to transit purposes. FfA circular 501O.IA provides program management guidelines.
SECTION 13. The FfA comprising these Provisions, the CTC Resolutions, the Project Description, the Scope of Work document, and all included Attachments to this Ff A approved by STATE
constitute the entire terms of the grant Ff A between the parties for the work to be performed pursuant to this Project grant and all subsequent grants awarded to this Project. SECTION
14. Disabled access review by the Department of General Services (Office of State Architect) is required for all publicly funded construction of buildings, structures, sidewalks, curbs
and related facilities. No construction contract will be awarded by RECIPIENT unless RECIPIENT'S plans and specifications for such facilities conform to the provisions of Sections 4450
and 4454 of the California Government Code, if applicable. Further requirements and guidance are provided in Title 24 of the California Administrative Code and The Americans witll Disabilities
Act (Federal Law). SECTION 15. The State Fire Marshal adopts building standards for fire safety and panic prevention. Such regulations pertain to fire protection design and construction,
means of egress alld adequacy of exits, installation of fire alarms, and fire extinguishment systems for any STATE owned or STATE occupied buildings per Section 13108 of the Health and
Safety Code. When applicable, RECIPIENT must assure that any relevant Project plans meet the standards of the State Fire Marshal to ensure consistency with STATE fire protection standards.
SECTION 16. The remedy for the resolution of any claims brought by RECIPIENT against STATE under this FT A shall be by arbitration. Unless otherwise agreed by STATE and RECIPIENT, the
arbitration shall be conducted by a single arbitrator selected by the pmties from the certified list created by the Public Works Contract Arbitration Committee per Public Contract Code
Section 10240. SECTION 17. Environmental clearance of Project by RECIPIENT andlor STATE is required prior to requesting funds for right of way purchase or construction. No STATE agency
shall request funds nor shall any STATE agency, board or commission authorize expenditures of funds for any project, except feasibility or plauning studies, which may have a significant
effect REV 8-25-00
Agreement No. PllB·2·41 Page 9 ofll on the environment unless such a request is accompanied by an environmental impact report per PabliG-R€lsgllfG8S
CoOO-S8Glien :n 102. Thoo-Galifomia Etl'liroIlfll8ntai Quality-AGtt--------(CEQA), in California Public Resources Code Section 21080(b)(1O), does provide an exemption for rail projects
which institute or increase passenger or commuter services ou rail or highway rights·of·way already in use. SECTION 18. In accordauce with the CTC policy on the 'Timely Use of Fuuds"
as set forth in 0-99-25, adopted August 18, 1999, and 0-00-20, adopted July 19,2000: (1) Fuuds allocated for Project development or Project right of way costs must be expended by the
end of the second fiscal year followiug the fiscal year in which the funds were allocated, unless an extension of time is approved by CTC. RECIPIENT must invoice STATE for these allowable
costs no later than 180 days after the fiscal year in which the fiual expenditure occurred. ((2) Funds allocated for Project construction or for Project railltransit equipment must be
encumbered by RECIPIENT'S award of a contract within twelve months of the date of the allocation of funds unless an extension of time is granted by CTC. After the award of the 3'd party
contract, RECIPIENT has up to 36 months to complete (accept) the contract. RECIPIENT must provide proof of the 3"1 party contract award should RECIPIENT seek au ameudmeut to extend this
FI' A for the 36 month term from the contract award date. If the PTA tennination date permits, RECIPIENT then has 180 days after contract acceptauce to make final paymeut to the contractor
or vendor, prepare the Project Closeout Report, and submit the final invoice to Caltrans for reimbursement. ARTICLE VI. BOND PROVISIONS SECTION I. If Project funding is being provided
in whole or in part pursuant to the Clean Air and Transportation Improvement Act of 1990 (Proposition 116), the following additional provisions apply to RECIPIENT: (a) Where RECIPIENT'S
Project includes a commuter rail project within the meaning of Proposition 116, RECIPIENT shall coordinate and share with other public trausit operators any rail rights-of-way, common
maintenance services and station facilities used for intercity and commuter rail. Intercity and commuter rail services shall be coordinated with each other, with other providers and
with freight traffic to provide integrated rail passenger and freight services with minimal conflict. (b) RECIPIENT agrees that all passenger rail and water borne ferry equipment and
all facilities acquired or constructed pursuant to this PTA shall be accessible to persons with physical disabilities, including wheelchair users. All passenger vehicles and vessels
acquired pursuant to this FI'A shall be accessible to wheelchair users at all stops, stations and terminals, whether or not staffed. (c) RECIPIENT (other than the transit operator identified
in Sections 99633 and 99634 of the Public Utilities Code) shall require that all intercity and commuter rail cars purchased conform to the California Rail car specifications developed
by STATE as specified in the Clean Air and Transportation Improvement Act. SECTION 2. RECIPIENT shall not loan any portion of bond proceeds represented by this grant to any private (including
nonprofit) person or business. For this purpose, a "loan" includes any arrangement which is the economic equivalent of a loan, regardless of how it is named. REV 8·25·00
Agreement No. PllB-2-41 Page 10 of 11 SECTION 3. Except as provided in this Article VI, STATE and RECIPIENT agree that any costs of the Project acquired or coustructed by RECIPIENT allocable
to portions of the Project which are subject to any property interests held by a non-governmental person(s) in connection with business activities, such as easements, leases, or fee
interests not generally enjoyed by the public, (hereafter referred to as Non-governmentally Used Property or "NUP") shall, for accounting and bookkeeping purposes, be allocated to funding
sources other than the State bond funds. For purposes of making such allocations, the costs attributable to NUP involving a sale, easement, lease or similar arrangement shall be determined
on the basis of a fair allocation of value, which may include determinations based upon square or cubic footage/acreage of the area encumbered by the lease or easement relative to the
total area acquired or constructed if all such area is of approximately equal value. NUP NUP will include, but is not limited to, property which is sold (including sales of air and subsurface
rights) and property subject to easements, leases or similar rights. A rail right of way will not be treated as NUP solely as a result of a Freight Use Easement retained by the seller
of the right of way to RECIPIENT, provided that the sales agreement appropriately excludes the Freight Use Easement from the property or rights being acquired. Further, notwithstanding
anything in this Article VI to the contrary, RECIPIENT may allocate grant funds to the cost of any NUP if (i) neither RECIPIENT nor any other governmental entity will receive, directly
or indirectly, any payments from or on behalf of the non-governmental user of the NUP, or (ii) the payment from such user does not exceed the operation and rnaintenance costs fairly
attributable or allocable to the non-governmental use of the NUP. SECTION 4. RECIPIENT shall request, in writiug, STATE'S advance approval if grant funds are to be allocated to any NUP,
except "incidental use" property described below. If property, the costs of which have previously been allocated to grant funds, is to become NUP before the STATE bond fnnds are fully
paid or redeemed, then RECIPIENT may allocate the costs of such property to another funding source ·as provided in Section 3 of this ARTICLE VI, or obtain STATE'S approval that the allocation
of the costs of such property to the grant funds may remain. It is anticipated that STATE approval will be granted if, taking into account the existing and expected uses of the proceeds
of the State bonds, the STATE determines that the continued tax-exempt status of the State bonds will not be adversely affected and that the use of the property is consistent with the
Project and its desclibed purpose. For purposes of these fund source allocations (ARTICLE VI Section 3), RECIPffiNT does not have to take into account as NUP those "incidental uses"
of the Project (For example, advertising billboards, vending machines, telephones, etc.) which rneet requirements of federal tax regulations (IRS Notice 87-69 or any successor thereto).
In general such Notice requires that the incidental use not be physically separated from the rest of the Project and not comprise in the aggregate more than 2-112 % of the costs of the
Project. SECTION 5. If RECIPIENT enters into a management contract with a private party (including AMTRAK) for operation of rail, ferry or other transportation services in connection
with the Project, it will either (a) obtain approval from Bond Counsel acceptable to STATE that the terms of the management contract meet the requirements of Iuternal Revenue Service
Revenue Procedure 82-14 (as supplemented or amended) or any successor thereto (dealing generally with gnidelines for when management contracts may be deemed not to create a "private
use" of bond-financed property) or are otherwise acceptable; or (b) be prepared to certify upon request of STATE that the revenues which RECIPIENT (or its manager) will receive directly
from the operation of transportation services in connection with the Project (but not including any subsidy of the transportation operation from taxes or other outside fund sources)
are, for any fiscal year less, than the ordinary and necessary expenses directly attributable to the operation and maintenance of the transportation system (excluding any overhead or
administrative costs of REV 8-25-00
Agreement No. PllB-2-41 Page 11 of 11 RECIPIENT). In any year for which option (b) will not be true, RECIPIENT shall consult Boud Counsel acceptable to the State Treasurer's Office to
obtain approval of the management contract or an opinion that the circumstances present will not adversely affect the tax-exempt status of the bonds. SECTION 6. If RECIPIENT receives
any revenues or profits from any NUP allowed pursuant to this Article VI (whether approved at this time or hereafter approved by STATE), RECIPIENT agrees that such revenues or profits
shall be used exclusively for the public transportation services for which the Project was initially approved, either for capital improvements or operating costs. If RECIPIENT does not
so dedicate the revenues or profits, a proportionate share shall (unless disapproved by Bond Counsel) be paid to STATE equivalent to STATE'S percentage palticipation in the Project.
SECTION 7. Notwithstanding the foregoing, RECIPIENT is authorized a private activity allocation of bond proceeds not to exceed $ once RECIPIENT submits to STATE the completed certification
questionnaire and STATE approves that private activity as described therein. R/iV 8-25-00
ATTACHMENT I ATTACHMENT II ATTACHMENT III ATTACHMENT IV ATTACHMENT V ATTACHMENT VI ATTACHMENT VII ATTACHMENT VIII REV 8-25-00 Agreement No. P116B-2-41 ATTACHMENTS PROJECT DESCRIPTION
CTC RESOLUTION NO. BFP-09-07 SCOPE OF WORK CERTIFICATION OF FUNDS CTC RESOLUTION G-91-2 RECIPIENT RESOLUTION CONFIRMATION OF 3'd PARTY CONTRACT AWARD AGREEMENT FOR LOCAL MATCH FUND CREDIT
AND/OR ADVANCE EXPENDITURE OF LOCAL FUNDS (if applicable)
Agreement No. P116B-2-41 Sheet 1 of2 ATTACHMENT I -PROJECT DESCRIPTION I. Conditions: Project plans shall conform to uniform specifications and to design and safety standards as described
in the Caltrans Highway Design Manual-Bikeway Planning and Design Chapter 1000 and the California Manual on Uniform Traffic Control Devices established by State. "Preliminary Engineering"
as used herein includes all preliminary work related to the project, including, but not restricted to preliminmy surveys and reports, laboratory work, soil investigations, preparation
of plans, designs, and advertising. "Construction Engineering" as used herein includes actual inspection and supervision of construction work, construction staking, laboratory and field
testing, field reports and records, estimates, final reports, and allowable expenses of employees engaged in such activities. Preliminary and Construction Engineering costs included
in the estimate contained in the Scope of Work are eligible project costs. Preliminary Engineering is limited to 5% ofthe grant allocation. State reimbursement to local entity will be
on the basis of the actual cost thereof to local entity including compensation and expense, of personnel working on the proj ect, required materials, and automotive expense provided;
local entity shall pay its general administrative and overhead expenses. II. Description of work proposed: Location: On State Route 9 between Saratoga Avenue in Saratoga and Los Gatos
Boulevard in Los Gatos Description of Work: Modify Austin Way/Route 9 intersection Install street light at Austin Way Relocate power pole at Austin Way Prune vegetation along Route 9
Landscape Austin Way/Route 9 intersection Install bicycle detection with connections to warning lights and signs Install push button activated warning lights for fire station operators
Install bicycle detection at Route 9 signalized intersections between Saratoga Avenue and Los Gatos Boulevard Net length: Approximately 7.6 miles.
III. Project Schedule (To be completed by local agency) ACTIVITIES Right of Way N, /A Capital Improvement Site Surve'l '1'S $ E '1"repg-;;:Fioh AQeV.c4/CGll4'rC\w;, 1?€\iiewl ",o-;:o,e
+0 /C'-<llfmk.s 'Revie") '1.'b", c.oklMe,,+'; Tih.J1 CA.lhGl."l5,,£euiew 1b"M; t l SSUCI P. 1"reIO"lre. "bioi UOc()kI€lI-h
PJu'eo-tis il'\o. l,OIl<;h .. · AiJ.b.'nA PROJECT SCHEDULE Fiscal Year 2010.,L1I Fiscal Year 20.uLJ2... JIAISIOINIDIJIFIMIA]MIJIJIAlsloINIDIJIFIMIAIMIJ
i-1-1-+ 1-II-• -I IAGREEMENT NO. Pl16B-2-41 2 OF 2 Fiscal Year 20 JIAI MIJ
State ofCalifomia Business, Transportation and Housing Agency DEPARTMENT OF TRANSPORTATION Memorandum To: CHAIR AND COMMISSIONERS crCMeeling: June 30-July 1, 2010 Reference No.: 2.6c.
Action Item From: NORMA ORTEGA Chief Financial Officer Prepared by: Steven Keck Division Chief Budgets Ref: ALLOCATION FOR LOCAL PROPOSITION 116 BICYCLE PROGRAM PROJECT RESOLUTION BFP-09-07
RECOMMENDATION: The California Department of Transportation (Department) recommends the California Transportation Commission (Commission) allocate $460,851 in Proposition 116 Bond funds,
authorized under Public Utilities Code (PUC) Section 99650, to the City of Saratoga for the Highway 9 Bicycle Safety Improvements -Phase III project in Santa Clara County, as described
on the attached Vote List. ISSUE: The attached vote list describes one locally-administered Proposition 116 Bicycle Program project for $460,851, plus $75,649 from local sources. The
recipient is ready to proceed with this project and is requesting an allocation at this time. time. FINANCIAL RESOLUTION: Resolved That: 1.1 WHEREAS, the California Transportation Commission
(Commission) has adopted an annual program for mass transportation capital purposes, and the electorate enacted both Proposition 108, the Passenger Rail and Clean Air Bond Act of 1990,
and Proposition 116, the Clean Air and Transportation Improvement Bond Act of 1990 in the June 1990, election authorizing the sale of general obligation rail bonds for rail transit purposes;
and 1.2 WHEREAS, the Project, further detailed on the attached vote list, as component phases or in its entirety, appears on the necessary State capital projects funding list and is
entitled to participate in this allocation; and 1.3 WHEREAS, the Recipient is committed to providing any required local matching funds and to fully fund implementation of the Project
in compliance with grant or bond funding requirements or, if Recipient meets that criteria, in compliance with the conditions of "ealtrans improves mobility across California"
CHAIR AND COMMISSIONERS Reference No.: 2.6c. June 30-':July 1, 2010 Page 2 of4 Commission Resolution G-92-14, "Guidelines for the Deferral ofthe Commission's Proportional Expenditure
of State Funds Policy;" and 1.4 WHEREAS, the Commission has established a "Hazardous Waste Identification and Cleanup Policy" (#G-91-2) which requires the Recipient to perfonn, with
diligence, the process of identification and remediation of any hazardous waste in the right-of-way, easements and properti es. 2.1 NOW THEREFORE BE IT RESOLVED, that an allocation of
$460,851 in PROPOSITION 116 CLEAN AIR AND TRANSPORTATION IMPROVEMENT BOND proceeds be allocated to the recipient for the project, as detailed on the attached vote list; and 2.2 BE IT
FURTHER RESOLVED, that the transfer of funds for the project shall be governed by a program supplement, and subsequent amendments to the same if required; and 2.3 BE IT FURTHER RESOLVED,
that the recipient shall provide the Department with an updated expenditure plan on a quarterly basis by category including any proposed changes for the balance of all funded project
allocations commencing with the first quarter; and 2.4 BE IT FURTHER RESOLVED, that in any instance of bond financing of the project, the Commission, acting on. behalf of the State,
by this resolution intends: A. To cause and approve the issuance oftaxable or tax-exempt State general obligation bonds under Proposition 116, as appropriate: to reimburse the recipient
for the project identified on the attached vote list; B. To reimburse the recipient for expenditures that shall not have been paid from the proceeds of any other tax-exempt indebtedness
unless such prior indebtedness is retired with the proceeds of such State monies; C. That this resolution be a declaration of official intent of the State within the meaning of U.S.
Treasury Regulations Section 1.103-I 7( c) with respect to the project; and 2.5 BE IT FURTHER RESOLVED, that in any instance of bond financing, an allocation for the project is subject
to the following conditions and assurances: A. Completed bond sales authorized by the Office of the State Treasurer; B. Receive bond certification from the Department, preferably prior
to the Commissions' allocation action but, certification must be obtained prior to execution of the fund transfer agreement, C. The recipient's certification that it will not adopt new
or increased current development taxes, fees, exactions or pennit fees for the purpose of providing local matching funds; and the certification of this delivered to this Commission,
preferably by the time of
CHAIR AND COMMISSIONERS Reference No.: 2.6c. June 30--Juiy 1, 2010 Page 3 of4 Commission allocation action but not later than prior to execution of a fund transfer agreement, D. A formal
resolution by the recipient's board stating that when utilizing State funding for acquisition of property or for capital improvements on the project, recipient has exercised all due
diligence in the discovery of hazardous wastes; that recipient will enter into enforceable agreement( s) with any and all owners of to-be-acquired properties for clean-up of hazardous
wastes pursuant to the requirements of Resolution 0-91-2 regarding Hazardous Waste Identification and Clean-up for Rail Right-ofWay; delivered to this Commission, E. A formal resolution
by the recipient's board, stating that when utilizing state-provided and other-than-state funding for acquisition of property or for capital improvements on the project, recipient shall
agree to indemnify, defend and hold harmless the State, Department and the Commission from clean-up liability or damage; both present and future; and that no additional State funds will
be requested for clean-up, damages, or liability associated with hazardous wastes on or below the acquired property, delivered to this Commission; F. That in any instance of bond financing
with Proposition 116 funds, eligible costs may be incurred for project development after the project application approval, and all reimbursements of eligible costs are subject to an
executed fund transfer agreement; O. The recipient shall provide the Commission with an "Evaluation of Property Report" by the time of the Commission allocation action, in compliance
with Commission Policy 0-95-09, Rail Right-of-Way Review Policy, to be verified by the Department or its agent; H. The recipient shall post on the project construction sites at least
one sign, visible to the public, stating that the project is partially funded with Proposition 116 Clean Air and Transportation Improvement Bond Act of 1990 proceeds; 2.6 BE IT FURTHER
RESOLVED, that this Commission shall be entitled to a then present value refund, or credit, at State's option, equivalent to the proportionate funding participation by the State towards
property acquisition and project construction in the event that recipient, or successor public entities, fail or cease to utilize the project for the intended public passenger rail purposes
or sells or transfers title to the project. The credit for future purchases or condemnation of all or portions of the project by the State, and the refund or credit due the Commission
in each instance, will be measured by the ratio of State and other public funding to that provided from recipient. That ratio will be applied to the then fair market value of the project
property; and 2.7 BE IT FURTHER RESOLVED, that if the recipient receives any revenues or profits from any non-governmental use of property allowed pursuant to bond certification (whether
approved at this time or hereafter approved by the State), the recipient agrees that such
CTC Financial Vote List 2.6 Mass Transportation Financial Matters $460,851 City of Saratoga Highway 9 Bicycle Safety Improvements -Phase III On State Route 9 between Saratoga Avenue
and Los·Gatos Boulevard. Design and construct various bicycle safety improvements. (Contributions from local sources: $75,649.) C0712A 04-21448 P116/07-08 $460,851 June 30.July 1, 2010
P 116 $460,851
Agreement PI16B-2-41 Sheet 1 of 5 ATTACHMENT III -SCOPE OF WORK Complete the following fmancial plan showing all sources of capital funds that will be used to fmance this proj ect. Prior
Fund Source Allocations Federal*(Total) I State (Total) Prop 116 Local (Total) TDA Sales Tax Bonds Private Other -Local CIP Funds Project Total PROJECT FINANCIAL PLAN ($ IN OOO'S) Current
Request 460,851 460,851 75,649 20,000 55,649 536,500 Future Allocations * Specify "Federal" and rlOtherl1 fund sources. Percent of Total Funding Total 460,851 86% 460,851 86% 75,649
14% 20,000 4% 55,649 10% 536,500 100%
Agreement P lI6B-2-4l Sheet 2 of5 Complete the following Cash Flow Expenditure Plan Tables which show cash flow needs by category and fund source on a quarterly basis for the total project.
_____________________________ __ Category I Fund
Source Qtr I FY Right of Way Federal Funds Other Total Federal State Funds Prop. 116 Other Total State Local Funds I TDA Local Sales Tax Local Bonds Private Other Total Local Sub-total
Construction I Materials Qtr/FY * Specify llFederaJl' and nOtheru fund sources. ($ IN ODD'S) Qtr IFY Qtr/FY Qtr IFY Qtr IFY Project Total
Agreement PI I6B-2-41 Sheet3 of5
($ IN OOO'S) Cost Category 1 Qtr 1 FY Fund Source 3 -911 0 10 Qtr/FY 4 -9/10 10 Qtr/FY I -10111 24 * SpecifY "Federalll and "Other" fund sources. Qtr IFY 2 -10111 32 QtrIFY
4-10111 22.649 Qtr IFY 4-10111 Project Total 98.649
Agreement P 116B-2-41 California Transportation Commission Proposition 116 Allocation Request Form Sheet 4 of5 CASH FLOW EXPENDITURE PLAN ($ IN OOO'S) -Q,st-Qjtgg<>ry-l-Iiund Qtr IFY
4 Qtr IFY I Qtr/FY Qtr IFY Qtr IFY Source 10111 11112 QtrlFY Project Total Construction * SpecifY "Federal" and "Other" fund sources.
Agreement P 116B-2-41 Sheet 5 of5 CASH FLOW EXPENDITURE PLAN Cost Category /Total (PI'ojec! Summary) 10 10 24 32 22.649 250 187.851 536.500 * SpecifY "Federalll and nOtherll fund sources.
AGREEMENT No. P116B-2-41 ATTACHMENT IV -FUND CERTIFICATION Name of Recipient: City of Saratoga Name of Project: Highway 9 Bicycle Safety Improvements -Phase III Resolution Number(s):
BFP-09-07 Date of Resolution(s): June 30, 2010 Amount of Allocation(s): $460,851 Fund Source: CATIA Expiration Date of Funds: December 30, 2011 SOURCE CHARGE I CT DOCUMENT NO. DIST UNIT
DIST UNIT EANO. PROJECT 10 NO. LOCATION OBJECT AMOUNT FY 513 1 11 I 0 916 4 10 13 12 clol711121A OIDIOIOIOI).\OIOI\ II I I I 7101419 46085110 911 qlb
I I I I I I I I I I I I 111111111 I I I I I I I I I 1111""". I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I 11111111111 I hereby certify upon my own personal knowledge that
budgeted funds are available for the period and purpose of the expenditure stated above. puc ITEM CHAPTER STATUTES FISCAL YEAR SIGNATURE OF ACCOUNTING OFFICE R DATE 99650 2600-628-703
1990 90/91 I
ATTACHMENT V OAUFORNIA'TRANSPORTATION COMMISSION ·RESOLUT.ION G-9.l-.2 COllVllL •• ionPolicy ··Resolution 'tor ·Ha"ardou.Wa.t. :Identi-f.ication ,and C1Banup ,tor :Rail ·RiS/nt-o·!·-Way
WHEREAS; ·th .. commhioionh ... ;proS/rammed :fund.inq :tor 'r.ail .riqht-of·-way .acqu.Laition in 'the :l990 :St· .. t. :Tr.anapor.tation :Improvament ',program .and 'may .allocate
'tunds 'tor :r.ail :right-of-way ,acquh.i.tion ,from :the .Ol, .. an 'Ai'r ,And :Improvement ,Act, .And -WHEREAS, ·h&':..:rciou.
baaed .upon :t·eder ... l land lat-.t'. l8t-atutefl Iand :r.8,9u"1-a'_tlona, .inc.lud •. but ,ar. 'not .limit·ad ·to lauch .CA.t8gor1e8 ,A8 ha .. vy ·met .. l,s, ·(,e.g., :load), inorgAnic
(' •• :'1., ,.xcesdv .• :miner.a:l .level.) ,and or.9ani-c 'compounds (.e.g., :petroleum :product,s), .and :can :on (4 :property'". 18ur_'t,ace i'And 1subsu'ri,ace 1
'WHEREAS, ,r,ail :propsrtie. o'!ten have :h":'Ardous ,wastes ,exceedi'ng .5t'Ate o'f CAll:forniA ,and ;fedBr, .. .lhazardous .waste ist'andards; ,and WHEREA-S I la.uch ;prqper,t.ies
-cont'amin-.at-ed ,w.i:th -ha'z'ardouB -wast-es :regui'r,e -mi',tigat.i"on ,prior 'to using :them 'for ;I."ail ,pu"poses', ,and _ WHEREAS, .h .. :z: .. rdouo .w .. ateadi,scovered on
::oail .-property :may ,s.igni'f.icantl.y J.mpact .property v. ... lu .. , ,proj .. ct .achedul.ing 'and :f.utur.e .1.iab.ility .tor :the gr .. nt applj.cant/.and WHEREAS, 'the .Commission
'mult .be ,asllured ·.th .. t ,acqui'sition ;rail propertiea have ·b .... n ;fully ·.review .. dbythe .gr.anta.p'plic .. nt, ·and. i·t .w .. rranted, ·the grant .app·lican.t
-ha'B :tssted :fo-r -hAzardous wastes; "and WHEREAS, .it h.,:zardous wa-stes !exist, -the ConuniBs.lon "mu-st be .assured -that the haz .. rdou's >wastes .identi'tied haa .either .been
.clean .. d up,or :financial :r .... ponsibil.it.yfor ·the cleanup haa ;beend .. termined .prior ·to title ·tranBfer ,to 'the .9r.ant or .eAsement hll-B
been ·secured .in .lieu o't _purchaa.1ng the .propertYI ,and ·the -subeurface rights ... nd .liability ;for ha.zardouswastesremain with ·the :property .Beller , .. nd WHEREAS, ha:z:
.. rdous wastesidentUied -subsequent 'to ·title transfer to the grant .applic .. nt wi.l.l b .. cleaned up by the .seller or co. mechanism to recover cleanup co"ts .is established .and
executed as ·a condL-tion prior to title transfer; and WHEREAS, due diligence is necessary _in diacov.erlng hazardous waste _and los an esssntial element in .acquiring .rail
right-ot-way .properties by the grant applicant; and NOW THEREFORE .BE ITRESQLVED, ·th .. t acquisition of all rail right-of-way properties will be tully investigated by the grant applicant
to determine the absence/presence of hazardous w"stes. Investigations shall be 'conductedin accordance to ·the atandards and practices ot the local, state and/or federal regulatory agencies
having jurisdiction and by personnel adequately trained in hazardous waste investioation: and
.. ,-:2-'BE :IT 'FURTHER 'RESOLVED,that ,aU ·proper.tL .. , di.eov" .. ed .with ·ha·z;ardou. waat". ,which ,.xe"edthe :t.edera1/,atabe ,.tandard., ..... n.1 be .cl·eaned .up ·.to 'the
,.att·.·t,ae.tion co:! :the ,reapen.ibLe .local, ,at,abe ,and/or :hdard regulatory ,agency.. '.The .. appropr.iate regul,atory ,ageney ,shall cert.H.y ·to gr.ant ,applicant :that 'the
:cleanup h .... baan completed I ,and .BE :IT ·FURTHER RESOLVED, ·that ·th •. g"ant ,appl.icant will certif.y :formal :r •• o.lut.ion -to -the CommL· •• iC?n :th&t "all :re.8on&b.l,.
(.tep. 'hav .•. bean ·c0rrl:pl·.tad -to ,a.au". :tulldua dil.ig.nc • .in ·the di.coveryo! ha.",ardoua.wa.t. :h., •. be.n .achieved dur.ing ·the .acquiait.ion .of ,r.ail :r.ight·-ot-way
,and :tha .• tabe .is hald h&rmLe.a 'from --------Se"'1·,B .. n ... ... dd----------------'BE
:IT ,FURTHER 'RESOLVlCD, ·.that .the grant ,applicant ·will .eartHy .by:tormal :r .. scilut.ion ·that .it .w.ill 'not .saek :f.urthar ,stata :funding, :for .cLeanup, damages, or l.J.&bil.it.yeoe.t
,a·aaoe.i·abed ·with h.:,.ardou8 ,wa.ta. onor.below ,acqul:red :prC!per.ty',. 1aur:f Ace I ,And BE :IT :F.URTHER 'RESOLVED, ·that ·the gr.ant :appU,eant .will ear.t.ity '.to ·th. Cammi.aion
• • 0 ·that ,,,11 :" .. il :r.i.)Jht-ot-.way ·,aequia.it!on :prC!per.tiea h .. "e :been .in"eatigated ,and ,ha"a .baen :found :e1aanl .0 or .that :the .e.leanl.!p .of diaeov.ared h ..
,. .. rdaua M .. ata :h .... baen:completed :prior ·to ,acquisit.iana't ·the .praper.tn ,a .or ·.that ·the grant ilipp.Hc.ant ·h...abtained .perm .. nent ,eaaement ;and :the ,subaurfae
.. ,r.1ght-B ;and .l.i .. bil.ity', .. nd :full raspons.ibi'l.ity to ;pay .far ;and :rema" .. ,auch ·h· .. .,.· .. rdou •. waste remains .w.Lth ·the :Beller .in 'cantormance ·.w.ith
,appl.icllb.j,e:S.t·aoe ,and $eder ... 1 .l·aw I o o.r .i't h .. z.ardous .wa.tes ;a.reknown ·to ·ox!·s.t ;pr.ior ·to ,acqui·s.ition .and .if the ,app.l.ie .. nt de.termines ·.tha:t
·.timo .ba .of ·.th .. ,es.ssnee :for ,acquis.it.ion, ·then.and ,i'n -event, .An ,en'foreaabl. ,agr..Qmant ,wi-l:l .be ,ent·arad l.:nto -%>lIqu,l:r.ing ',the :r.esponsibl
... :pa·r.ty(.i ... ) :tocl·ean ,AU ha'zArdou8 wast ... by ,a date certain, .with ·the opt.ion o:! .tunds ,au·f:f.icient tor :the clean-up ca.t'sdapoaited .in ,escrow by ·.the , ...
1.1 .. 10'. :In ·.t'he ev .. nt of .failurB .1;0 clean up .by the dace determined, the :recipient o'f ·the g".antw!ll m .. ke :full ", ... t.itut.ian ·tothe .st .. t· .. :for .itsp ..
rticipation. ·Thi: • . r ... o.lve do .. s not preclude the ·rec!pi .. nt :f'rom ... aquestinq re-allaeationnot ·to ·exceed ·the refunded ,amount ·afterthe h .. ,.ardous .waste (.) have
been' :f.ully :removed :fram ·the subject .itel 'And .BE :IT FURTHER RESOLVlCD, ·.tha·tthe grant ;Applicant will cert!fy to the Conuniasion thAt th .. a .. ller from whom properties
have been .acquired retain .liabl:lity tor any hAzardoua wast .. inveatigation and/or cleanup, and damAqeB diseoverod subsequent to the ·transfer of titlel and BE .IT FURTHER RESOLVED,
·thB conunissian declares all future .liability reBultinq from ha" .. rdaua wastes remain with th .. Beller or the grAnt applicant, not the state, and th .. · grant applicant has be
.. n indemnified by the Beller :far any costs resultinq from failure to eliminate h""ardouBwastes I and BErT FURTHER RESOLVED, no Btato funds will be made availilble for any future casts
associated with cleanup, damaqes, or liability casts associated with hazardous wastes on or below the acquired property's surface. ;,
RESOLUTION NO. 10-058 RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA CERTIFYING TO THE CALIFORNIA TRANSPORTATION COMMISSION THAT NO ADDITIONAL STATE FUNDING SHALL BE REQUESTED
ASSOCIA TEn WITH HAZARDOUS WASTE REMOVAL AS APART OF THE CONSTRUCTION OF THE HIGHWAY 9 SAFETY IMPROVEMENT PROJECT, PHASE ill WHEREAS, the City is seeking allocation of $460,851 in Proposition
116 funds for tbe constructIOn of tIle Highway 9 Bicycle Safety Improvement Project, Phase III; and WHEREAS, on Jnne 3D/July 1,2010 the California Transportation Comr.ission (Cf conditionally
approved said allocation, subject to the City satisfying criteria established b) _;' with respect to hazardous wastes within the proj ect site; and WHEREAS, The City has conducted an
Iriitial Study/Negative Declaration and concluded that the project site does not lie within or adjacent to a hazardous materials site; 1 WHEREAS, subsurface hazardous wastes that
may have migrated from off site arc (.L responsibility of the off site propeity owner; owner; and WHEREAS, the City Conncil acknowledges that this action: is not a project pursuan! Section
15378 of the CEQA Guidelines, which defines a project as an action wh;c:h " potential for resulting in either a direct physical change in the environment or a )'08801"":,, foreseeable
indirect physical change, Any future project will be snbjected to the approprialt environmental review at the time it is submitted. NOW, THEREFORE, BE IT RESOLVED by the CITY COUNCIL
OF THY >,'J; OF SARATOGA as follows: I. The City of Saratoga certifies that all reasonable steps have been taken to assure r . due diligence in the discovery of hazar dons wastes on
or below the Highway 98d1\;;,y Improvement Project, Phase ill construction site and tbat additional State fhudo ,\.]! not be sought for cleanup, daroages, 01' liability costs associilted
with snch waste, Passed and adopted on the 15th day of September, 2010 by the CITY COUNCIL OF 'l1ffi CITY OF SARATOGA by the following vote of the members thereof:
AYES; NOES; Councihnembers Mmmy Cappello, Howard Miller, Vice Mayor Jill Hunter; and Mayor Kathleen M. King None
ABSENT: Chuck Page Al3STAIN: None City of Saratoga -------- "Ann Su Ivan, City Clerk "Date: 0-15-2tJ/d
STATE OF CALIFORNIA -BUSINESS TRANSPORTATION AND HOUSING AGENCY ARNOLD SCHWARZENEGGER, Governor DEPARTMENT OF TRANSPORTATION DIVISION OF LOCAL ASSISTANCE -M.S. 1 1120 N STREET P. O.
BOX 942874 SACRAMENTO, CA 94274-0001 PHONE (916) 65x-xxxx Flex your power! FAX (916) 65x-xxxx TIT (916) 653-4086 November 30,2010 Iveta Harvancik Senior Engineer City of Saratoga
Be energy efficient! ----H'7'7'7-Fruitvale-Avenue>-------------------------------Saratoga, CA 95070 Dear Ms. Harvancik: On June 30 2010, the California Transportation Commission (CTC)
approved an allocation of$460,851 for the Highway 9 Bicycle Safety Improvements project. Enclosed are four executed originals of Fund Transfer Agreement (FTA) Pl16B-2-41 for the project.
Please do the following: • Complete the Project Schedule in Attachment 1 Project Description -Sheet 2 of 2. • Sign all copies ofthe FTA on page 3 of3. • Retain one executed FTA for your
files and mail the three originals to my attention at the following address: California Department of Transportation Bicycle Facilities Unit, MS-I Division of Local Assistance P.O. Box
942874 Sacramento, CA 94274-0001 For your information, a request to the CTC to extend the contract award deadline for 12 months has been submitted for the January 2011 meeting. Per Resolution
G-99-25, Guidelines for Allocating, Monitoring, and auditing of Local Assistance Projects, adopted by the Commission on August 18, 1999, stipulates funds allocated for construction are
available for contract award for six months from the date of allocation. However, the Guidelines also stipulate that the Commission may approve waivers to the contract award deadline
one time only for up to 20 months. If you have any questions, please call me at (916) 653-0036 or e-mail ann_mahaney@dot.ca.gov. S1L)t . ANN MAHANEY Bicycle Facilities Unit Division
of Local Assistance Enclosures: "Caltrans improves mobility across California"