HomeMy WebLinkAbout13-Development Services
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CITY OF SAN BERNARDINO - REOUEST FOR COUNCIL ACTION
From: James Funk, Director
Subject: Resolution authorizing Grant
acceptance and the execution of a Fund Transfer
Agreement with the California Department of
Transportation (Caltrans) for the Santa Fe Depot
Area Plan located at 1170 W. 3'" Street and
authorization for the Director of Finance to
amend the Fiscal Year 2002/2003 budget.
MCC Date: 12/16/2002
Dept: Development Services
OR/~Jr:.!, ;t
Date: December 6, 2002
File:
Synopsis of Previous Council Actiou:
10/23/2001 Approved authorization of submittal of a grant application for Caltrans Community Based
Transportation Planning funds for the development of a Santa Fe Depot Area Plan in the amount of
$280,000.00 and commit to allocate required local matching fund of $56,000.00 (if the project is selected
for funding).
07/15/2002 City 5-yr ClP included $336,000.00 Total Project Cost, ($67,200.00 City share) in FY
2003/2004 for preparation of the Santa Fe Depot Area Plan, Account Numbers to be determined.
Recommended Motion:
I) Adopt Resolution
2) Authorize the Director of Finance to amend the FY 02-03 budget to appropriate $324,800.00 in
Grant Acct. No. 123-701-5504-7349. $268,800.00 is being reimbursed from the Caltrans
Community Based Transportation Planning Grant. $42,000.00 of matching funds are being
reimbursed from EDA (Tracking No. 033-6500) and $14,000.00 of matching funds are being
reimbursed by Development Services General Fund budget by moving $14,000.00 from Account
No. 001-190-5502 to Account No. 001-190-5193 (grant match).
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Coutact person: Raymond A. Casey, Deputy Director
Staff Report, Reso., Agreement
Supporting data attached: and Attachments I - III
5111
Phone:
Ward:
FUNDING REQUIREMENTS:
$ 324,800
Amouut:
Source: $ 268,800.00 Grant Funding, $ 56,000.00 Matching Funds
($42,000.00 from EDA and $14,000.00 from 001-190-5502)
Acct, Description: Planning Professional/Contractual Svcs.
Finance:
Council Notes:
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Agenda Item No. /:;
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CITY OF SAN BERNARDINO - REQUEST FOR COUNCIL ACTION
Staff Report
Subiect:
Resolution authorizing Grant acceptance and the execution of a Fund Transfer Agreement with
the California Department of Transportation (Caltrans) for the Santa Fe Depot Area Plan located
at 1170 W. 3,d Street and authorization for the Director of Finance to amend the Fiscal Year
2002/2003 budget.
Backl1:round:
The City of San Bernardino was allocated a Transportation Enhancement Activities Grant by the
Federal Highway Administration for the development of an adaptive reuse study with
architectural plans for the structural rehabilitation of the Santa Fe Depot. The Depot is located at
1170 3,d Street. While the rehabilitation of the facility is currently underway, the Mayor and
Council also felt it was imperative for the civic community to develop a comprehensive plan for
the rejuvenation of the surrounding economically depressed neighborhood. As a result, staff
submitted a grant application to Caltrans for consideration to help the City accomplish that goal
(the Council Grants Ad Hoc Committee had not been formed at this time). Grant funds in the
amount of $268,800.00 with a local match contribution of $56,000.00 have been approved to
develop a unique area plan that will incorporate transportation alternatives, historic preservation,
economic development, and housing rehabilitation issues in neighborhoods within the project
boundaries.
The plan will integrate with the City's current community preservation activities in the area,
including a comprehensive anti-blight strategy, an aggressive business attraction and retention
program that is sponsored by the City's Economic Development Agency (EDA), and an award
winning home ownership program as well as the City's on-going efforts to update the General
Plan. The City proposes to hire a professional planning consultant firm to prepare the area plan,
associated technical studies and environmental documents.
Financial Impact:
The source of the $268,800.00 in grant funding is the Caltrans Community Based Transportation
Planning Grant Program. The Mayor and Council committed to allocating matching funds of
$ 56,000.00 in the October 23,2001 Council Action (See Attachment II). Given the opportunity
for a 'joint project" between the City and EDA utilizing the same consultant to accomplish much
of what is identified in the. Santa Fe Depot Area Plan funding application as well as the Plan
Amendments to Uptown and Central City North, staff is recommending that $14,000.00 of the
local match be transferred from 001-190-5502 (Planning Professional/Contractual Services) to
001-190-5193 (grant match) and $42,000.00 from EDA tracking number 033-6500.
Recommendation:
That the Mayor and Common Council adopt the attached resolution authorizing grant acceptance
and the execution of a Fund Transfer Agreement with the California Department of
Transportation (Caltrans) for the Santa Fe Depot Area Plan located at 1170 W. 3'd Street and
authorize the Director of Finance to amend the Fiscal Year 200212003 budget accordingly.
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RESOLUTION NO.
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RESOLUTION AUTHORIZING THE EXECUTION OF A FUND TRANSFER
AGREEMENT WITH THE CALIFORNIA DEPARTMENT OF TRANSPORTATION
(CALTRANS) FOR THE SANTA FE DEPOT AREA PLAN LOCATED AT 1170 W. 3RD
STREET AND AUTHORIZATION FOR THE DIRECTOR OF FINANCE TO AMEND
THE FISCAL YEAR 2002/2003 BUDGET.
BE IT RESOLVED BY THE MAYOR AND COMMON COUNCIL OF THE CITY
OF SAN BERNARDINO AS FOLLOWS:
SECTION I. The attached "Fund Transfer Agreement", hereinafter called Agreement,
for the development of the Santa Fe Depot Area Plan located at 1170 W. 3nl Street, is hereby
approved. Such approval shall be effective only upon Agreement being fully executed by both
parties. The Mayor is hereby authorized and directed to execute said Agreement on behalf of
the City. A copy the Agreement is attached hereto as Exhibit A and incorporated herein by
14 reference as fully as though set forth at length.
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16 by the parties, and no party shall be obligated hereunder until the time of such full execution.
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SECTION 2. This Agreement shall not take effect until it is fully signed and executed
No oral Contracts, amendments, modifications or waivers are intended or authorized and shall
not be implied from any act or course of conduct of any party.
20 SECTION 3. This resolution is rescinded if the parties to the Amendment fail to
21 execute it within sixty (60) days of the passage of the resolution.
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1 RESOLUTION AUTHORIZING THE EXECUTION OF A FUND TRANSFER
2 AGREEMENT WITH THE CALIFORNIA DEPARTMENT OF TRANSPORTATION
(CALTRANS) FOR THE SANTA FE DEPOT AREA PLAN LOCATED AT 1170 W. 3"D
3 STREET AND AUTHORIZATION FOR THE DIRECTOR OF FINANCE TO AMEND
THE FISCAL YEAR 2002/2003 BUDGET.
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I HEREBY CERTIFY that the foregoing resolution was duly adopted by the Mayor and
Common Council of the City of San Bernardino at a
meeting thereof,
held on the
day of
, 2002, by the following vote, to-wit:
Council Members:
ABSTAIN
ABSENT
AYES
NAYS
ESTRADA
LONGVILLE
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MC GINNIS
14 SCHNETZ
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SUAREZ
ANDERSON
MC CAMMACK
Rachel Clark, City Clerk
The foregoing resolution is hereby approved this _day of
,2002.
Judith Valles, Mayor
City of San Bernardino
Approved as to form
and legal content:
James F. Penman
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Agreement No. 08A0796
City of San Bernardino
Page 1 of 11
FUND TRANSFER AGREEMENT
THIS AGREEMENT, ENTERED INTO ON June 27,2002, is between the State of California,
acting by and through its Department of Transportation, referred to herein as DEPARTMENT,
and City of San Bernardino, hereinafter referred to as AGENCY.
RECITALS
1. DEPARTMENT and AGENCY, pursuant to Streets and Highways Code section 114 (bl,
are authorized to enter into an agreement for Slate funding affecting State Highways
within the jurisdiction of AGENCY.
2. The AGENCY governing body, under the authority of local ordinances, have authorized
the AGENCY to provide services or funding as described and specified herein pursuant
to the attached AGENCY resolution attached hereto and incorporated by this reference
as Attachment II. .
3. AGENCY has agreed to develop the Santa Fe Depot Area Plan, hereinafter the Project,
subject to the terms and conditions of this Agreement. The Project Description (Scope of
Work and Costs) for Project is attached hereto and is incorporated by this reference as
Attachment III.
4. All services performed by AGENCY pursuant to this Agreement are intended to be
performed in accordance with all applicable federal, slate, and AGENCY laws,
ordinances, regulations, and DEPARTMENT encroachment permits, published manuals.
and procedures.
5.
Project funding is as follows:
FUND TITLE
State Highway Account
FUND SOURCE
042T
DOLLAR AMOUNT
$268,800.00
SECTION'
AGENCY AGREES:
To satisfactorily complete all Project work described in Attachment III.
SECTION II
DEPARTMENT AGREES:
DEPARTMENT agrees that when conducting an audit of the allowable costs claimed for
reimbursement under the provisions of this Agreement, DEPARTMENT will rely to the maximum
~t possible on any prior audit of AGENCY pursuant to the provisions of State and applicable
rallaws. In the absence of such an audit, work of other auditors will be relied upon to the
extent that such work is acceptable to DEPARTMENT when planning and conducting additional
audits.
Exhibit "A"
Agreement No. 08A0796
City of San Bemardino
Page20f11
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SECTION III
IT IS MUTUALLY AGREED:
In consideration of the foregoing and the mutual promises of the parties hereto, AGENCY and
DEPARTMENT agree as follows:
1. Notification of Parties
a. AGENCY Project Manager is Tim Porter at (909) 384-5253.
b. DEPARTMENT Contract Manager is Zeron Jefferson at (909) 383-6488.
c. All notices herein provided to be given, or which may be given, by either party to
the other, shall be deemed to have been fully given when made in wrning and
received by the parties at their respective addresses:
City of San Bernadino
Attention: Tim Porter
Development Services
Cny Hall, 300 North "0" Street
San Bemardino, CA 92418
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Califomla Departmen.t of Transportation
District 8 - Communny Planning
Attention: Zeron Jefferson
464 W. Fourth Street, 71h Floor, MS 726
San Bemardino, CA 92401-1400
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2. Period of Performance
This Agreement shall begin on July 1, 2002 contingent upon approval by DEPARTMENT,
and expire on June 30, 2003. unless extended by amendment.
3. ChanCles In Terms/Amendment
The Agreement may only be amended or modified by mutual written agreement of the
parties.
4. Termination
This Agreement may be terminated by either party for any reason by giving written notice
to the other party at least thirty (30) days in advance of the effective date of such
termination.
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Cost Limitation
a. The total amount reimbursable to AGENCY pursuant to this Agreement by
DEPARTMENT shall not exceed $268,800.00
b. It is agreed and understood that this contract fund limit is an estimate and that
DEPARTMENT will only pay for AGENCY services actually rendered as
authorized by the DEPARTMENT Contract Manager at or below that fund limit.
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Agreement No. 08A0796
City 01 San Bernardino
Page 3 01 11
Allowable Costs
The method 01 payment lor this contract will be based on actual allowable costs.
The DEPARTMENT will reimburse AGENCY lor actual costs (including labor
costs. employee benelits, travel, overhead and other direct costs incurred by the
AGENCY in performance 01 the work), not to exceed the amount 01 $268,800.00.
a. Actual costs shall not exceed the estimated wage rates and other estimated
costs set lorth in Attachment III without written agreement between the
DEPARTMENT and the AGENCY.
b. Reimbursement 01 AGENCY expenditures will be authorized only for those
allowable costs actually incurred by AGENCY in the performance 01 the work.
AGENCY must not only have incurred the expenditures on or alter the Effective
Date of this Agreement and belore the Termination Date, but must have also
paid lor them.
c. Payments to AGENCY lor Project related travel and subsistence expenses 01
AGENCY lorces and its subcontractors claimed lor reimbursement or applied as
local match credit shall not exceed rates authorized to be paid exempt non-
represented State employees under current State Department 01 Personnel
Administration (DPA) rules. II the rates invoiced by AGENCY are in excess 01
those authorized DPA rates, then AGENCY is responsible lor the cost difference,
and any overpayments inadvertently paid by DEPARTMENT shall be reimbursed
to DEPARTMENT by AGENCY on demand.
d.
DEPARTMENT will reimburse AGENCY no more Irequently than monthly in
arrears as promptly as DEPARTMENT liscal procedures permit upon receipt 01
itemized signed invoices in triplicate. Invoices shall reference the
DEPARTMENT's Agreement Number and shall be submitted to the Contract
Manager at the lollowing address:
California Department of Transportation
District 8 - Community Planning
Attention: Zeron Jefferson
464 W. Fourth Street, 7'" Floor, MS 726
San Bernardino. CA 92401-1400
e. Invoices shall include the lollowing inlormation:
1. Name 01 the AGENCY Personnel performing work
2. Date 01 Service
3. Location 01 Service (AGENCY - address)
7. ReDorts
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a.
AGENCY shall submit written progress reports with each set 01 invoices to allow
the DEPARTMENT Contract Manager to determine if AGENCY is performing to
expectations. is on schedule, is within funding cost limitations, to provide
communication of interim findings and to afford occasions for airing difficulties
respecting special problems encountered so that remedies can be developed.
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b. Any document or written report prepared as a requirement of this Agreement
shall contain, in a separate section preceding the main body of the document,
the number and dollar amounts of all contracts and subcontracts relating to the
preparation of those documents or reports.
I-\greemem I~O. UOI'\U/~Q
City of San Bemardino
Page40fll
c. AGENCY will provide five (5) copies and one (1) electronic version of final report
to the DEPARTMENT Contract Manager.
8. Local Match Funds
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Except where expressly allowed in writing herein, reimbursement of credits for
local matching funds will be made or allowed only for work performed on and
after the start date and prior to the termination date of this Agreement, unless
expressly permitted as local match expenditures made prior to the effective date
of this Agreement pursuant to Government Code section 14529.17 or by an
executed SB 2800 Agreement for Local Match Fund Credit.
b. AGENCY 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 Agreement or in any Attachment hereto, toward the actual
cost of the Project services described in Attachment III or the amount, if any
described in an executed SB 2800 (Streets and Highways Code section 164.53)
agreement for local match fund credit, whichever is greater. AGENCY shall
contribute not less than its required match amount toward the services
described herein on a proportional monthly or quarterly basis, coinciding with its
invoicing frequency.
a.
9. Cost Principles
a. AGENCY agrees to comply with Office of Management and Budget Circular A-
87, Cost Principles for State and Local Government, and 49 CFR, Part 18,
Uniform Administrative Requirements for Grants and Cooperative Agreements to
State and Local Govemments.
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b.
AGENCY agrees, and will assure that its contractors and subcontractors will be
obligated to agree, that (a) Contract Cost Principles and Procedures, 48 CFR,
Federal Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be
used to determine the allowability of individual Project cost items and (b) those
parties shall comply with Federal administrative procedures in accordance with
49 CFR, Part 18, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments. Every sub-recipient
receiving Project funds as a contractor or sub-contractor under this Agreement
shall comply with Federal administrative procedures in accordance with 49 CFR,
Part 18, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments.
Any Project costs for which AGENCY has received payment or credit that are
determined by subsequent audit to be unallowable under Office of Management
and Budget Circular A-87, 48 CFR, Chapter 1, Part 31 or 49 CFR, Part 18, are
subject to repayment by AGENCY to DEPARTMENT. Should AGENCY fail to
reimburse moneys due DEPARTMENT within thirty (30) days of discovery or
demand, or within such other period as may be agreed in writing between the
Parties hereto, DEPARTMENT is authorized to intercept and withhold future
payments due AGENCY from DEPARTMENT or any third-party source,
including but not limited to, the State Treasurer, the State Controller or any other
fund source.
c.
d. AGENCY agrees to include Project in the schedule of projects to be examined in
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.
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Agreement No. 08A0796
City 01 San Bernardino
Page 5 of 11
Americans with Disabilities Act
By signing this Agreement, AGENCY assures DEPARTMENT that n complies with the
Americans with Disabilnies Act (ADA) of 1990, which prohibns discrimination on the basis
of disability, as well as all applicable regulations and guidelines issued pursuant to the
ADA. (42 U.S.C. 12101 et seq.)
11. Mutual Hold Harmless
a. Nothing in the provisions of the Agreement is intended to create duties or
obligations to or rights in third parties to this Agreement or affect the legal liability
of enher party to the Agreement by imposing any standard of care wnh respect to
the operation, maintenance and repair of State highways or AGENCY facilities
different from the standard of care imposed by law.
b. Neither DEPARTMENT nor any officer or employee thereof is responsible for any
damage or liability occurring by reason of anything done or omitted to be done by
AGENCY under or in connection with any work, authority or jurisdiction
delegated to AGENCY under this Agreement. It is understood and agreed that,
pursuant to Govemment Code section 895.4, AGENCY shall fully defend,
indemnify and save harmless DEPARTMENT, its officers and employees from all
claims, suits or actions of every name, kind and description brought for or on
account of injury (as defined in Govemment Code section 810.8) occurring by
reason of anything done or omitted to be done by AGENCY under or in
connection wnh any work, authority or jurisdiction delegated to AGENCY under
this Agreement.
c.
Neither AGENCY nor any commissioner, officer or employee thereof is
responsible for any damage or liability occurring by reason of anything done or
omitted to be done by DEPARTMENT or in connection with any work, authorny
or jurisdiction delegated to DEPARTMENT under this Agreement. It is
understood and agreed that, pursuant to Govemment Code section 895.4,
DEPARTMENT shall fully defend, indemnify and save harmless AGENCY, its
commissioners, officers and employees from all claims, suits or actions of every
name, kind and description brought for or on account of injury (as defined in
Govemment Code section 810.8) occurring by reason of anything done or
omitted to be done by DEPARTMENT under or in connection wnh any work,
authority or jurisdiction delegated to DEPARTMENT under this Agreement.
12. Non-Discrimination
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a.
During the performance of this Agreement, AGENCY and all of its
subcontractors, if any, 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, disability (including HIV and
AIDS), medical condition (cancer), age, marital status, denial of family and
medical care leave, and denial of pregnancy disability leave. AGENCY and its
subcontractors shall ensure that the evaluation and treatment of their employees
and applicants for employment are free from such discrimination and
harassment. AGENCY and its sub-contractors shall comply with the provisions
of the Fair Employment and Housing Act (Govemment 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 of the
Fair Employment and Housing Commission implementing Govemment Code
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Agreement No. 08A0796
City of San Bernardino
Page 6 of 11
section 12990 (a-f), set forth in Chapter 5 of Division 4 of nle 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. AGENCY and ~s subcontractors shall give
written notice of their obligations under this clause to labor organizations with
which they have a collective bargaining or other agreement.
b.
AGENCY shall include the nondiscrimination and compliance provisions of this
clause 12.1n all subcontracts to perform work under this Agreement.
c.
AGENCY shall comply with Title VI of the Civil Rights Act of 1964, as amended.
Accordingly, 49 CFR 21 through Appendix C and 23 CFR 710.405 (b) are
applicable to this Agreement by reference.
13. Fundina Reaulrements
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a. It is mutually understood between the parties that this Agreement may have been
written before ascertaining the availability of congressional or legislative
appropriation of funds, for the mutual benefit of both parties in order to avoid
program and fiscal delays that would occur ~ the Agreement was executed after
that determination was made.
b. This Agreement is valid and enforceable only ~ sufficient funds are made
available to DEPARTMENT by the United States Government or the California
State legislature for the purpose of this program. In addition, this Agreement is
SUbject to any add~ional restrictions, limitations, conditions, or any statute
enacted by the Congress or the State legislature that may affect the provisions,
terms or funding of this Agreement in any manner.
c.
It is mutually agreed that if the Congress or the State legislature does not
appropriate sufficient funds for the program, this Agreement shall be amended to
reflect any reduction in funds.
d. DEPARTMENT has the option to void this Agreement under the 30-day
termination clause or to amend this Agreement to reflect any reduction of funds.
14. Records Retention
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a.
AGENCY, 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. The accounting
system of AGENCY, its contractors and all subcontractors shall conform to
Generally Accepted Accounting Principles (GAAP), enable the determination of
incurred costs at interim points of completion, and provide support for
reimbursement payment vouchers or invoices. All accounting records and other
supporting papers of AGENCY, its contractors and subcontractors connected
with Project performance under this Agreement shall be maintained for a
minimum of three years from the date of final payment to AGENCY and shall be
held open to inspection, copying, and audit by representatives of
DEPARTMENT, the Cal~omia State Auditor, and aud~ors representing the
federal government. Copies thereof will be furnished by AGENCY, its
contractors, and its subcontractors upon receipt of any request made by
DEPARTMENT or its agents. In conducting an audit of the costs and match
credits claimed under this Agreement, DEPARTMENT will rely to the maximum
extent possible on any prior audit of AGENCY pursuant to the provisions of
federal and State law. In the absence of such an audit, any acceptable audit
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Agreement No. 08A0796
City of San Bernardino
Page70f11
work performed by AGENCY's external and internal auditors may be relied upon
and used by DEPARTMENT when planning and conducting additional audits.
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 AGENCY's contracts with third parties pursuant to
Government Code section 8546.7, AGENCY, AGENCY's contractors and
subcontractors and DEPARTMENT 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 Agreement materials available at their respective offices
at all reasonable times during the entire Project period and for three years from
the date of final payment to AGENCY. DEPARTMENT, the California State
Auditor, or any duly authorized representative of DEPARTMENT or the United
States Department of Transportation, shall each have access to any books,
records, and documents that are pertinent to a Project for audits, examinations,
excerpts, and transactions, and AGENCY shall furnish copies thereof if
requested.
c. AGENCY, its contractors and subcontractors will permit access to all records of
employment, employment advertisements, employment 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 DEPARTMENT, for the purpose of any investigation to ascertain compliance
with this Agreement.
15. Disputes
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a.
Any dispute conceming a question of fact arising under this Agreement that is not
disposed of by agreement shall be decided by the DEPARTMENT Contract Officer,
who may consider any written or verbal evidence submitted by the AGENCY.
b. Neither the pendency of a dispute nor its consideration by the Contract Officer will
excuse the AGENCY from full and timely performance in accordance with the terms
of the Agreement.
16. Subcontractors
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The AGENCY shall perform the work contemplated with resources available within its
own organization and no portion of the work shall be subcontracted without written
authorization by the DEPARTMENT Contract Manager, unless expressly included
(subcontractor identified) in Attachment III. Any subcontract in excess of $25,000 entered
into as a result of this Agreement shall contain all the provisions stipulated in this
Agreement to be applicable to subcontractors.
Third Partv Contractlna
a. Any subcontract entered into by AGENCY as a result of this Agreement shall
mandate that travel and per diem reimbursements and third-party contract
reimbursements to subcontractors will be allowable as Project costs only after
those costs are incurred and paid for by the subcontractors.
If a local match is a requirement of these funds, AGENCY must ensure that
local match funds used for the Project meet the requirements outlined in this
Agreement in the same manner as is required of all other Project expenditures.
b.
Agreement No. 08A0796
City of San Bernardino
Page 8 of 11
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c.
In addition to the above, the preaward requirements of third party
contractor/consultants with local agencies must be consistent with Local
Program Policy (LPP 00-05).
18. Labor Code ComDllance
AGENCY shall include in all subcontracts funded by this Agreement which contemplates
the actual construction of a public works project paid for by funds allocated under this
Agreement, a clause that requires each subcontractor to comply with 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 Director of the State Department of Industrial Relations.
19. DlsadvantaQed Business EnterDrlse
Should Title 49 CFR Part 26, entitled "ParticipaUon by Disadvantaged Business
Enterprise in State of Califomia, Department of TransportaUon Financial Assistance
Programs", be applicable to AGENCY, AGENCY will meet, or make good faith efforts to
meet, the applicable goals in the award of every contract for work to be performed under
this Agreement.
20.
DruQ-Free WorkDlace Certification
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By signing this Agreement, the AGENCY hereby certifies under penally of pe~ury under the
laws of the State of California that the AGENCY will comply with the requirements of the
Drug-Free Workplace Act of 1990 (Government Code section 8350 et seq.) and will provide
a drug-free workplace by doing all of the following:
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a.
Publish a statement notifying employees that unlawful manufacture, distribution,
dispensation, possession, or use of a controlled substance is prohibited and
specifying actions to be taken against employees for violations, as required by
Govemment Code section 8355(a).
b. Establish a Drug-Free Awareness Program as required by Govemment Code
section 8355(b), to inform employees about all of the following:
1. the dangers of drug abuse in the workplace,
2. the person's or organization's policy of maintaining a drug-free workplace,
3. any available counseling, rehabilitation, and employee assistance programs,
and
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4. penalties that may be imposed upon employees for drug abuse violaUons.
Provide as required by Govemment Code section 8355(c) that every employee who
works on the proposed contract or grant:
c.
1. will receive a copy of the company's drug-free policy statement, and
2. will agree to abide by the terms of the company's statement as a condition
of employment on the contract or grant.
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Failure to comply with these requirements may result in suspension of payments under this
Agreement or termination of this Agreement or both and AGENCY may be ineligible for
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Agreement NO. U~AU/~ti
City of San Bernardino
Page90f11
award of any future state contracts W DEPARTMENT determines that any of the following
has occurred: (1) AGENCY has made a false certWication or, (2) AGENCY violates the
certWication by failing to carry out the requirements as noted above.
Relationship of Parties
It is expressly understood that this is an agreement by and between two independent
governmental entities and that this is not intended to, and shall be construed to, create
the relationship of agent, servant, employee, partnership, joint venture or association, or
any other relationship whatsoever other than that of an independent party.
22. Eaulpment Purchase (Bv AGENCY)
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a. Prior authorization in writing by the DEPARTMENT Contract Manager shall be
required before the AGENCY enters into any non-budgeted purchase order or
subagreement exceeding $500 for supplies, equipment, or consuttant services.
AGENCY shall provide an evaluation of the necessity or desirability of incurring
such costs.
b. For the purchase of any item, service, or consutting work not specWically identified in
the attached Project Description (Attachment III) and exceeding $500, three
compet~ive quotations must be submitted with the request or the absence of bidding
must be adequately justified with prior authorization by the DEPARTMENT Contract
Manager.
c.
Any equipment purchased as a result of this Agreement is subject to the
following: The AGENCY shall maintain an inventory record for each piece of non-
expendable equipment purchased or built with funds provided under the terms of
this Agreement. The inventory record of each piece of such equipment shall
. include the date acquired, total cost, serial number, model identification (on sale,
in accordance with established DEPARTMENT procedures, purchased
equipment), and any other information or description necessary to identify said
equipment. Non-expendable equipment so inventoried are those items of
equipment that have a normal life expectancy of one year or more and an
approximate unit price of $500 or more. In addition, theft-sensitive ~ems of
equipment costing less than $500 shall be inventoried. A copy of the inventory
record must be submitted to DEPARTMENT upon request by DEPARTMENT.
c.
At the conclusion of the Agreement or if the Agreement is terminated, the
AGENCY may either keep the equipment and cred~ DEPARTMENT in an
amount equal to its fair market value or sell such equipment at the best price
obtainable, at a public or private sale, in accordance with established
DEPARTMENT procedures, and credit DEPARTMENT in an amount equal to the
sales price. If the AGENCY elects to keep the equipment, fair market value
shall be determined, at the AGENCY expense, on the basis of a competent, .
independent appraisal of such equipment. Appraisals shall be obtained from an
appraiser mutually agreeable to DEPARTMENT and AGENCY. If ~ is
determined to sell the equipment, the terms and conditions of such sale must be
approved in advance by DEPARTMENT.
CFR 49, Part 18 requires a credit to Federal funds when participating equipment
~h a fair market value greater than $5,000 is cred~ed to the Project.
Any subagreement entered into as a result of this Agreement shall contain all of
the provisions of this Article.
e.
23. Disabled Access Review
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Agreement No. 08A0796
City of San Bernardino
Page 100f 11
Disabled access review by the Department of General Services (Office of State Archhect)
is required for the construction of all publicly funded buildings, structures, sidewalks,
curbs and related facilities. No future construction contract will be awarded by AGENCY
unless AGENCY's plans and spec"ications for such facilities conform to the provisions of
Sections 4450 and 4454 of the California Govemment Code, if applicable. Further
requirements and guidance are provided in Title 24 of the Cal"omia Administrative Code
and the Americans with Disabilities Act (42 USC 12101, et. seq.).
Fire Marshal Review
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 and
adequacy of exits, installation of fire alarms, and fire extinguishment systems for any
DEPARTMENT owned or DEPARTMENT occupied buildings per Section 13108 of the
Health and Safety Code. When applicable, AGENCY must assure that any relevant
Project plans meet the standards of the State Fire Marshal to ensure consistency with
DEPARTMENT fire protection standards.
25. Environmental Clearance
26.
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Environmental clearance of Project by AGENCY and/or DEPARTMENT is required prior
to requesting funds for right of way purchase or construction. No department or agency
shall request funds nor shall any department, agency, board or commission authorize
expenditures of funds for any project, except feasibility or planning studies, which may
have a significant effect on the environment unless such a request is accompanied by an
environmental impact report per California Public Resources Code Section 21102. The
California Environmental Quality Act (CEQA), in Camornia Public Resources Code
Section 21 080(b)(1 0), does provide an exemption for rail projects which institute or
increase passenger or commuter services on rail or highway rights-of-way already in use.
Prolect Close Out
The Agreement Expiration Date refers to the last date for AGENCY to incur valid Project
costs or credits and is the date the Agreement expires. AGENCY has sixty (60) days
after that Expiration Date to make final allowable payments to Project contractors or
vendors, prepare the Project Closeout Report, and submit the final invoice to
DEPARTMENT for reimbursement for allowable Project costs. Any unexpended Project
funds not invoiced by that sixtieth (60th) day will be reverted and will no longer be
accessible to reimburse late Project invoices.
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City 01 San s.mlldlno
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The foUowlng attachments are Incorporated into and are made I part of thlll AgI'1llllTl8nl by thil
reference and attachment
I. Accountlng & AudIt Guidelines
11. AGENCY AIsoIutIon
III. Scope 01 WOIk, Schedule. and Coate
,
IN WITNESS WHEREOF. the _I. hereto have executed thil Agreement on the day
and year lirat herein above written:
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
CIty 01 San BemMllna
By:
Judith valles
Tille: Mavor
By:
TKI8: ColllrIICI 0IIIc8r
Dlte:
Dlte:
Attest:
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BY"ilaClle.L Clark
rille: C'.itv C'~rk
Date:
By:
Ray Casey
Title: City Engineer
Date:
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APPROVED AS TO FORM
AND LEGAL CONTENL
James F. Penman.
City Attorney
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Agreement No. 08A0796
Attachment I
Page 1 of 5
ATTACHMENT I
ACCOUNTING & AUDIT GUIDELINES FOR
AGREEMENTS WITH DEPARTMENT
INTRODUCTION
The purpose of this information is to outline for you, a potential contractor with the California State
Department of Transportation (DEPARTMENT). the basic elements of an adequate accounting
system, and the types and objectives of audits that will be perfonmed in relation to your contract.
In order to successfully compete for a contract and meet the audit requirements. a contractor
(whether a prime or subcontractor) must have a system of record keeping and internal control.
Although a specWic cost accounting system is not required. a contractor needs a system which
will assure compliance with the terms of the agreement. A preaward audit will be performed to
assure you meet these requirements prior to contract execution. If your system is deficient, the
contract will not be executed.
DEPARTMENT reimburses, through your overhead rate, the costs attributable to establishing and
maintaining a cost accounting system.
Staff time and other costs related to an audit performed of your contract are also normally
reimbursed through your overhead rate.
ACCOUNTING SYSTEM
Contractors (whether a prime or subcontractor) planning to contract with DEPARTMENT must
have an accounting system which meets the following objectives:
. The ability to record and report financial data in accordance with generally accepted
accounting principles.
. A system of record keeping to ensure that costs billed to DEPARTMENT are:
a. Supported by adequate documentation.
b. In compliance with the terms of the contract and applicable Federal and State
regulations specified in the contract.
. A system of record keeping which ideally includes the following:
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a. A General Ledger
b. Job cost ledger
c. Labor distributions
d. Time records
e. Subsidiary journals
Agreement No. 08A0796
Attachment I
Page 2 of 5
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f.
Chart of accounts
g.
Financial statements
. The ability to accumulate and segregate reasonable, allocable (incurred solely for a project)
and allowable (per terms of the contract) costs through the use of a cost accounting system.
The following are some of the attributes which would ideally be found in such a system:
a. A chart of accounts which includes indirect and direct general ledger accounts.
Indirect costs are not specifically identffied to a project, for example, rent and/or
utilities. Direct costs are specifically identified with a project, for example,
drafting hours and/or design hours.
b. Segregation of costs by contract, category of cost and milestones (if applicable).
c. Proper recording of direct and indirect costs. For example, recording of labor
costs should provide that non-project indirect hours be recorded on a timesheet
and in the accounting records to an administration, vacation, sick leave or other
indirect cost accounVcode. Direct project hours should be recorded on a
timesheet and in the accounting records to a direct project cost accounVcode.
d. Consistent accounting treatment of costs in recording and reporting. For
example, if travel expense is charged direcUy to a project, all travel expense
incurred on any project should be considered a direct cost. As a result, project
related travel, whether reimbursable per the contract terms or not, should not be
included as an indirect cost.
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e.
Ability to trace from invoices submitted to DEPARTMENT to job cost records and
original, approved source documents, for example, timesheets, vendor invoices,
canceled checks.
f. Ability to reconcile job cost records to the accounting records.
.
Compliance with cost principles described in the Code of Federal Regulations 48, Federal
Acquisition Regulations System (FAR), Chapter 1, Part 31. Information on how to obtain this
regulation is described under "Audit Criteria" in this brochure.
.
Procedures to monitor and adjust projected overhead rates to actual rates.
.
Controls to ensure that written approval is obtained prior to any changes to the contract.
.
Procedures to retain accounting records and source documentation as required by the terms
of the contract.
.
A system of internal control which provides reasonable assurance that assets are protected;
. financial data, records and statements are reliable; and errors and irregularities are prompUy
discovered, reported, and corrected. The elements of a system of internal control should
include, but not be limited to, the following:
Separation of duties for proper protection of assets. Incompatible duties are
those that place any person in a position to both perpetrate and conceal errors or
irregularities in the normal course of business. For example, the person who
writes checks should be different from the person who reconciles bank
statements and the person who purchases goods should be different from the
person who receives goods.
a.
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AgreementNo.08A0796
Attachment I
Page 3 of 5
b.
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c.
d.
Limiting access to assets to only authorized personnel who require these assets
in the performance of their assigned duties. For example. blank check stock
should be locked in a safe when not in use.
Authorization and record keeping procedures which provide effective accounting
control over assets, liabilities, revenues, and expenditures.
A system of practices to be followed in the performance of duties and functions.
Such a system normally includes policies and procedures which establish the
purpose and requirements of the accounting system. For example,
timekeeping practices should ideally provide for the following:
Timesheets be prepared, signed, and dated by all employees.
Timesheets be completed in non-erasable ink.
Timesheet corrections be crossed-out and initialed by the employee.
Timesheets be signed by a supervisor as reviewed and retained on file
as required by the contract.
e. Personnel with skills and training commensurate with their responsibilities.
f. A system of intemal review. For example, bank reconciliations and travel
expense claims should be reviewed approved and signed by a supervisor.
AUDITS
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Contractors, whether a prime or subcontractor, performing under a negotiated contract with
DEPARTMENT are subject to the following audits:
PREAWARD AUDITS
Prior to the award of a contract, the DEPARTMENT Audits and Investigations will conduct a
preaward audit to determine if the contractor's accounting system is adequate to accumulate and
segregate costs as detailed in the previous section and to determine if the proposed costs are
reasonable. The audR alerts both the contractor and DEPARTMENT management to problems
relative to the contractor's cost proposal and cost accounting system. Due to time constraints in
the award process, your cooperation in scheduling the preaward audit with short notice will
expedRe the execution of your contract.
INTERIM AUDITS
Interim audits are performed on an as needed basis. During the preaward audit, if it is
determined that the contractor's accounting system is new or minor deficiencies are noted, an
. nt~rim audit is scheduled to determine that the system is functioning adequately to ensure that
~ed costs are supported and that any deficiencies were corrected. An interim audit may be
requested by the
contract administrator or by DEPARTMENT management to address concerns during the course
of the contract. Also, an audit manager may initiate an interim audit of a long duration contract to
ensure that costs reimbursed to date are allowable.
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POST AUDITS
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Agreement No. 08A0796
Attachment I
Page 4 of 5
Post audits of contracts are performed routinely after project completion. Post audits are
performed to determine whether the costs claimed are allowable, allocable. reasonable, and in
compliance with the Federal and State laws and regulations as well as the fiscal provisions
stipulated in the contract. The examination includes reviews of applicable laws and regulations.
the contract requirements and the contractor's internal controls systems. Audit tests of the
contractor's accounting records and other auditing procedures considered necessary will also be
performed. Applications of all audit procedures would also be governed by the individual contract
under audit. Unsupported or unallowable costs are normally the result of weaknesses in the
accounting system and will be reimbursed to DEPARTMENT.
To provide contractors with a procedure lor obtaining prompt and equitable resolution to a dispute
arising from a post-audit of a non-highway construction cost reimbursement contract,
DEPARTMENT has established an Audit Review Committee (ARC). Information explaining the
ARC should be found in your contract and/or as an attachment to the post-audit report.
AUDIT CRITERIA
For specific information regarding basic cost accounting systems and applicable State and
Federal regulations, please see the following:
Code of Federal Reaulations 48. Federal Acauisition Reaulations SYStem. Chaoter 1, Part 31
This regulation contains cost principles and procedures for the pricing of contracts/subcontracts
and the determination, negotiation, or allowance of costs. Contact:
Superintendent of Documents
Govemment Printing Office
Washington, DC 20402
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Washington D.C.
San Francisco
Los Angeles
(202) 783-3238
(415) 512-2770
(213) 239-9844
California State Administrative Manual
A reference source for statewide policies, procedures, regulations, and information. Contact:
Office of State Publishing
Department of General Services
(916) 445-2295
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For review of the above references, contact your local library or the California State Library.
--
California State LibrarylLibrary and Courts Building
914 Capitol Mall
P. O. Box 942837
Sacramento, CA 94237-0001
Information: (916) 654-0261
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Agreement No. 08A0796
Attachment I
Page Sol 5
For assistance in establishing an accounting system which will meet the objectives outlined in this
brochure, you should contact an accountant and/or bookkeeper who is lamiliar with cost
accounting systems.
DEPARTMENT is an affirmative action employer. Equal opportunity is offered to all regardless 01
race, color, creed, national origin, ancestry, sex, marital status, disability, religious or political
affiliation, age or sexual orientation. Contractors that contract with DEPARTMENT are
responsible lor taking necessary and reasonable steps to achieve these same goals.
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CITY OF SAN BERNARDINO
Interoffice Memorandum
CITY CLERK'S OFFICE
Records and Information Management (RIM) Program
DATE:
December 19, 2002
TO:
Ron Blymiller, Engineering Associate
FROM:
Michelle Taylor, Senior Secretary
RE:
Transmitting Documents for Signature - Resolution 2002-381
At the Mayor and Common Council meeting of December 16,2002, the City of San Bernardino
adopted Resolution 2002-381 - Resolution authorizing the execution of a Fund Transfer
Agreement with the California Department of Transportation (Caltrans) for the Santa Fe Depot
area plan located at 1170 W 3rd Street and authorization for the Director of Finance to amend
the Fiscal Year 2002/2003 budget.
Attached are four (4) original agreements. Please obtain signatures in the appropriate location
and return one original agreement to the City Clerk's Office as soon as possible, to my attention.
Please be advised that the resolntion and agreement will be null and void if not executed
within 60 days, or by February 14, 2003.
If you have any questions, please do not hesitate to contact me at ext. 3206. Thank you.
Michelle Taylor
Senior Secretary
I hereby acknowledge receipt of the above mentioned documents.
Signft(i: /:;;2 r;;tu~
/2-/0- ~ -? Please sign and return
Date:- I 2' u ~
CITY OF SAN BERNARDINO
Interoffice Memorandum
CITY CLERK'S OFFICE
Records and Information Management (RIM) Program
DATE:
February 3, 2003
TO:
Ron Blyrniller, Engineering Associate
FROM:
Michelle Taylor, Senior Secretary
RE:
Resolution 2002-381 - Fund Transfer Agreement with Caltrans
Our office has not received the fund transfer agreement with Caltrans for the Santa Fe Depot area
plan. This agreement was approved at the Mayor and Common Council meeting held on
December 16,2002, and will be null and void if not executed and returned to the City Clerk's
Office by February 14,2003.
Please forward the executed agreement to the City Clerk's Office, to my attention, as soon as
possible. If you have any questions, please do not hesitate to call me at ex!. 3206.
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** FOR OFFICE USE ONLY - NOT A PUBLIC DOCUMENT **
RESOLUTION AGENDA ITEM TRACKING FORM
Meeting Date (Date Adopted): I 2- -\ (.,,- 02- Item # l3
Vote: Ayes i-'l Nays,G-
Change to motion to amend original documents:
200(:-321
Absent ~
Resolution #
Abstain ~
Reso. # On Attachments: L- Contract term: -
Note on Resolution of Attachment stored separately: -=-
Direct City Clerk to (circle I): PUBLISH, POST, RECORD W/COUNTY
Date Sent to Mayor: 12 -\ '1- 0 ?-
Date of Mayor's Signature: 12-\ Y'OL.-
Date ofClerklCDC Signature: 12-\ c1 ,<.J ~
NullNoid After: ~() ~~ J 0- - \4-03
By: -
Reso. Log Updated: ..-""
Seal Impressed: .-'
Date MemolLetter Sent for Signature: \ 'Z -I C( -c:, L-
6ll-r5'ay Reminder Letter Sent o~ day: ';;)-3-03
90 Day Reminder Letter Sent on 45th day:
See Attached: L Date Returned: .9 ..'\rCt ~
See Attached: ./
See Attached:
Request for Council Action & Staff Report Attached:
Updated Prior Resolutions (Other Than Below):
Updated CITY Personnel Folders (6413, 6429, 6433, 10584, 10585, 12634):
Updated CDC Personnel Folders (5557):
Updated Traffic Folders (3985, 8234, 655, 92-389):
Copies Distributed to:
City Attorney ./
Parks & Rec.
Yes / No By
Yes No 1 By
Yes No / By
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Yes No 11 By
Yes N07 By
Finance ,/'
Code Compliance Dev. Services L-- EDA
Police Public Services Water
Notes:
MIS
Others:
BEFORE FILING. REVIEW FORM TO ENSURE ANY NOTATIONS MADE HERE ARE TRANSFERRED TO THE
YEARLY RESOLUTION CHRONOLOGICAL LOG FOR FUTURE REFERENCE (Contract Term, etc.)
Ready to File: IYtr
Date: '(}-s; '-() ~
Revised 01112/01