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COOPERATIVE AGREEMENT
A-2010-136
12-ORA-55-6.8-6.9
EA: OH290
District Agreement 12-0624
This agreement, effective on ?? i?,' , is between the State of
California, acting through its Depa ent of Tran portation, referred to as CALTRANS, and:
City of Santa Ana, a body politic and municipal corporation or chartered city of the State
of California, referred to as SANTA ANA.
RECITALS
CALTRANS and SANTA ANA, collectively referred to as PARTNERS, are authorized to
enter into a cooperative agreement for improvements within the SHS right of way per
Streets and Highways Code sections 114 and/or 130.
2. WORK completed under this agreement contributes toward the ramp improvement at
MacArthur Boulevard and State Route 55, referred to as PROJECT.
3. PARTNERS will cooperate to the construction of the project in which STATE will
provide IQA and CITY agreed to reimburse STATE for providing source inspection.
4. This agreement is separate from and does not modify or supersede prior Cooperative
Agreement No. 12-0568.
5. No PROJECT deliverables have been completed prior to this agreement.
6. The estimated date for COMPLETION OF WORK is June 29, 2012.
PARTNERS now define in this agreement the terms and conditions under which they will
accomplish WORK.
DEFINITIONS
CALTRANS STANDARDS - CALTRANS policies and procedures, including, but not limited
to, the guidance provided in the Guide to Capital Project Delivery Workplan Standards
(previously known as WBS Guide) available at
http://www.dot.ca.govihq/projmgmt/guidance.htm.
PACT Version 9.1 3.31.08
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District Agreement 12-0624
IQA - Independent Quality Assurance - Ensuring that IMPLEMENTING AGENCY'S quality
assurance activities result in WORK being developed in accordance with the applicable
standards and within an established Quality Management Plan. IQA does not include any work
necessary to actually develop or deliver WORK or any validation by verifying or rechecking
work performed by another partner.
PARTNERS - The term that collectively references all of the signatory agencies to this
agreement. This term only describes the relationship between these agencies to work together to
achieve a mutually beneficial goal. It is not used in the traditional legal sense in which one
partner's individual actions legally bind the other partners.
PROJECT MANAGEMENT PLAN - A group of documents used to guide a project's
execution and control throughout the project's lifecycle.
RESIDENT ENGINEER - A civil engineer licensed in the State of California who is
responsible for construction contract administration activities. Said engineer shall be independent
of the design engineering company and the construction contractor.
SCOPE SUMMARY - The table in which PARTNERS designate their commitment to specific
scope activities within each project component as outlined by the Guide to Capital Project
Delivery Workplan Standards (previously known as WBS Guide) available at
http://www.dot.ca.gov/hq/Projmgmt/guidance.btm.
SHS - State Highway System.
SPONSOR(S) - The partner that accepts the obligation to secure financial resources to fully
fund WORK. This includes any additional funds beyond those committed in this agreement
necessary to complete the full scope of WORK defined in this agreement or settle claims.
SFM (State Furnished Material) - Any materials or equipment supplied by CALTRANS
WORK - All scope and cost commitments included in this agreement.
RESPONSIBILITIES
8. SANTA ANA is SPONSOR for all WORK.
9. SANTA ANA is the only FUNDING PARTNER for this agreement. SANTA ANA's
funding commitment is defined in the FUNDING SUMMARY.
PACT Version 9.1 5-28-09 3 of 17
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District Agreement 12-0624
employees) and is governed by the Labor Code's definition of a "public work" (section
1720(a)(1)).
PARTNERS will include wage requirements in all contracts for "public work" and will
require their contractors and consultants to include prevailing wage requirements in all
agreement-funded subcontracts for "public work".
22. IMPLEMENTING AGENCY for each project component included in this agreement will
be available to help resolve WORK-related problems generated by that component for the
entire duration of PROJECT.
23. CALTRANS will issue, upon proper application, at no cost, the encroachment permits
required for WORK within SHS right of way.
Contractors and/or agents, and utility owners will not perform WORK without an
encroachment permit issued in their name.
24. If unanticipated cultural, archaeological, paleontological, or other protected resources are
discovered during WORK, all work in that area will stop until a qualified professional can
evaluate the nature and significance of the discovery and a plan is approved for its removal
or protection. SANTA ANA will notify CALTRANS within twenty four (24) of any
discovery.
25. PARTNERS anticipate that environmental permits, approvals, and applicable agreements
are not needed for PROJECT. In the event that environmental permits, approvals, and
applicable agreements are needed for PROJECT, PARTNERS will amend this agreement
to include completion of those environmental permits, approvals, and applicable
agreements.
26. PARTNERS will hold all administrative draft and administrative final reports, studies,
materials, and documentation relied upon, produced, created, or utilized for PROJECT in
confidence to the extent permitted by law. Where applicable, the provisions of California
Government Code section 6254.5(e) will govern the disclosure of such documents in the
event that PARTNERS share said documents with each other.
PARTNERS will not distribute, release, or share said documents with anyone other than
employees, agents, and consultants who require access to complete WORK without the
written consent of the partner authorized to release them, unless required or authorized to
do so by law.
27. If any partner receives a public records request, pertaining to WORK under this
agreement, that partner will notify PARTNERS within five (5) working days of receipt and
make PARTNERS aware of any transferred public documents. PARTNERS will consult
PACT Version 9.1 5-28-09 5 Of 17
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District Agreement 12-0624
38. PARTNERS will maintain and make available to each other all WORK-related documents,
including financial data, during the term of this agreement and retain those records for four
(4) years from the date of termination or COMPLETION OF WORK, or three (3) years
from the date of final federal voucher, whichever is later.
39. PARTNERS have the right to audit each other in accordance with generally accepted
governmental audit standards.
CALTRANS, the State auditor, FHWA, and SANTA ANA will have access to all
WORK-related records of each partner for audit, examination, excerpt, or transaction.
The examination of any records will take place in the offices and locations where said
records are generated and/or stored and will be accomplished during reasonable hours of
operation.
The audited partner will review the preliminary audit, findings, and recommendations,
and provide written comments within 60 calendar days of receipt.
Any audit dispute not resolved by PARTNERS is subject to dispute resolution. Any costs
arising out of the dispute resolution process will be paid within 30 calendar days of the
final audit or dispute resolution findings.
40. PARTNERS consent to service of process by mailing copies by registered or certified
mail, postage prepaid. Such service becomes effective 30 calendar days after mailing.
However, nothing in this agreement affects PARTNERS' rights to serve process in any
other matter permitted by law.
41. PARTNERS will not incur costs beyond the funding commitments in this agreement. If
IMPLEMENTING AGENCY anticipates that funding for WORK will be insufficient to
complete WORK, SPONSOR(S) will seek out additional funds and PARTNERS will
amend this agreement.
42. If WORK stops for any reason, IMPLEMENTING AGENCY will place all facilities
impacted by WORK in a safe and operable condition acceptable to CALTRANS.
43. If WORK stops for any reason, PARTNERS are still obligated to implement all applicable
commitments and conditions included in the PROJECT environmental documentation,
permits, agreements, or approvals that are in effect at the time that WORK stops, as they
apply to each partner's responsibilities in this agreement, in order to keep PROJECT in
environmental compliance until WORK resumes.
PACT Version 9.1 5-28-09 7 of 17
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District Agreement 12-0624
51. Upon receipt of both SFM and full payment of CALTRANS' invoice for estimated SFM
costs, CALTRANS will make the SFM available at a CALTRANS-designated location.
52. SANTA ANA will provide maintenance for those portions of the SHS within WORK
limits until COMPLETION OF WORK, after which, maintenance will be handled through
an existing maintenance agreement.
COST
Cost: General
53. SPONSOR(S) will secure funds for all WORK including any additional funds beyond the
FUNDING PARTNERS' existing commitments in this agreement. Any change to the
funding commitments outlined in this agreement requires an amendment to this agreement.
54. The cost of any awards, judgments, or settlements generated by WORK is a WORK cost.
55. CALTRANS, independent of PROJECT, will pay all costs for HM MANAGEMENT
ACTIVITIES related to HM-1 found within existing SHS right of way.
56. SANTA ANA, independent of PROJECT, will pay, or cause to be paid, all costs for HM
MANAGEMENT ACTIVITIES related to any HM-1 found within PROJECT limits and
outside of existing SHS right of way.
57. HM MANAGEMENT ACTIVITIES costs related to HM-2 are CONSTRUCTION
SUPPORT and CONSTRUCTION CAPITAL costs.
58. The cost of coordinating, obtaining, complying with, implementing, and if necessary
renewing and amending resource agency permits, agreements, and/or approvals is a
WORK cost.
59. The cost to comply with and implement the commitments set forth in the environmental
documentation is a WORK cost.
60. The cost to ensure that PROJECT remains in environmental compliance is a WORK cost.
61. The cost of any legal challenges to the CEQA environmental process or documentation is a
WORK cost-
62. Independent of WORK costs, CALTRANS will fund the cost of its own IQA for WORK
done within existing or proposed future SHS right of way.
PACT Version 9.1 5-28-09 9 of 17
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District Agreement 12-0624
73. PARTNERS will exchange funds for source inspection cost to be invoiced as estimated
cost payment.
CALTRANS will invoice SANTA ANA for a lump sum (single payment) of $5,000 30
working days prior to the construction contract bid advertisement date.
74. After PARTNERS agree that all Scope activities are complete, CATRANS will submit a
final accounting for all WORK costs. Based on the final accounting, PARTNERS will
refund or invoice as necessary in order to satisfy the obligation of this agreement.
Cost: CONSTRUCTION Capital
75. The cost of all STATE FURNISHED MATERIAL is a CONSTRUCTION capital cost.
PARTNERS will exchange funds for SFM cost to be invoiced as estimated cost payment.
CALTRANS will invoice SANTA ANA for the actual cost of any STATE-FURNISHED
MATERIAL.
76. After PARTNERS agree that all Scope activities are complete, CALTRANS will submit a
final accounting for all WORK costs. Based on the final accounting, PARTNERS will
refund or invoice as necessary in order to satisfy the obligation of this agreement.
SCHEDULE
77. PARTNERS will manage the schedule for WORK through the work plan included in the
PROJECT MANAGEMENT PLAN.
GENERAL CONDITIONS
78. This agreement will be understood in accordance with and governed by the Constitution
and laws of the State of California. This agreement will be enforceable in the State of
California. Any legal action arising from this agreement will be filed and maintained in the
Superior Court of Orange County.
79. CALTRANS invoices for support costs including all direct and applicable indirect costs.
Applicable indirect costs are determined by the type of funds being used to pay for
support. State and federal funds are subject the Program Functional Rate. Local funds
(Measure money, developer fees, special assessments, etc.) are subject to the Program
Functional Rate and the Administration Rate. CALTRANS establishes the Program
PACT Version 9.1 5-28-09 11 of 17
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District Agreement 12-0624
86. Any ambiguity contained in this agreement will not be interpreted against PARTNERS.
PARTNERS waive the provisions of California Civil Code section 1654.
87. A waiver of a partner's performance under this agreement will not constitute a continuous
waiver of any other provision. An amendment made to any article or section of this
agreement does not constitute an amendment to or negate all other articles or sections of
this agreement.
88. A delay or omission to exercise a right or power due to a default does not negate the use of
that right or power in the future when deemed necessary.
89. If any partner defaults in their agreement obligations, the non-defaulting partner(s) will
request in writing that the default be remedied within 30 calendar days. If the defaulting
partner fails to do so, the non-defaulting partner(s) may initiate dispute resolution.
90. PARTNERS will first attempt to resolve agreement disputes at the PROJECT team level.
If they cannot resolve the dispute themselves, the CALTRANS district director and the
executive officer of SANTA ANA will attempt to negotiate a resolution. If no resolution is
reached, PARTNERS' legal counsel will initiate mediation. PARTNERS agree to
participate in mediation in good faith and will share equally in its costs.
Neither the dispute nor the mediation process relieves PARTNERS from full and timely
performance of WORK in accordance with the terms of this agreement. However, if any
partner stops WORK, the other partner(s) may seek equitable relief to ensure that WORK
continues.
Except for equitable relief, no partner may file a civil complaint until after mediation, or
45 calendar days after filing the written mediation request, whichever occurs first.
Any civil complaints will be filed in the Superior Court of Orange County. The
prevailing partner will be entitled to an award of all costs, fees, and expenses, including
reasonable attorney fees as a result of litigating a dispute under this agreement or to
enforce the provisions of this article including equitable relief.
91. PARTNERS maintain the ability to pursue alternative or additional dispute remedies if a
previously selected remedy does not achieve resolution.
92. If any provisions in this agreement are deemed to be, or are in fact, illegal, inoperative, or
unenforceable, those provisions do not render any or all other agreement provisions
invalid, inoperative, or unenforceable, and those provisions will be automatically severed
from this agreement.
PACT Version 9.1 5-28-09 13 Of 17
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District Agreement 12-0624
SIGNATURES
PARTNERS declare that:
1. Each partner is an authorized legal entity under California state law.
2. Each partner has the authority to enter into this agreement.
3. The people signing this agreement have the authority to do so on behalf of their public
agencies.
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
By
JIM BEIL
Deputy District Director, Project Delivery
CERTIFIED AS TO FUNDS:
By
CITY OF SANTA ANA
By: r ?t
David 4N. Ream
City Manager
Attest:
Maria D. Huiza s-
City Clerk
NEDA SABER APPROVED AS TO FORM AND PROCEDURE
District Budget Manager
r'
aura Sheedy
Assistant Attorney
PACT Version 9.1 5-28-09 15 of 17
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District Agreement 12-0624
FUNDING SUMMARY
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LOCAL SANTA ANA City $1,431,000.00 $159,000.00 $1,590,000.00
LOCAL SANTA ANA MeasureM $1,773,000.00 $197,000.00 $1,970,000.00
Subtotals by Component $3,204,000.00 $356,000.00 $3,560,000.00
PACT Version 9.1 3.31.08 17 of 17