SR 11-22-2016 3F
Ci ty Council
Report
City Council Meeting : November 22, 2016
Agenda Item: 3.F
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To: Mayor and City Council
From: David Martin, Director, Planning and Community Development , Planning &
Community Development, Transportation Planning
Susan Cline, Director, Public Works Department
Subject: Resolution Authorizing the City Manager to Exe cute a Cooperative
Agreement with the California Department of Transportation (Caltrans) for the
Olympic Crossover Project and 4th Street Area Access Improvements
Recommended Action
Staff recommends that the City Council adopt the resolution author iz ing t he City
Manager to execute a cooperative a greement with the California Department of
Transportation (Caltrans) for Caltrans’ required review and approval of a Project Study
Report -Project Development Support Project Initiation Document (PSR -PDS PID) for
th e Olympic Crossover project and 4 th Street area access improvements.
Executive Summary
Long -standing access and circulation issues were created with the construction of the I -
10 freeway, including the physical separation of the Downtown and Civic Cent er, which
compromised access to these destinations . The success of the Downtown and Civic
Center relies on the strength and connectivity of pedestrian, bicycle, transit , and vehicle
networks. The Draft Downtown Community Plan (DCP), building on the 2010 La nd Use
and Circulation Element (LUCE) vision for reconnecting the Downtown and Civic
Center, identifies specific strategies for expanding the street and sidewalk networks .
Council prioritized key infrastructure that could imp rove mobility and access, inclu ding a
flyover structure over the I -10 freeway to relocate the 4 th Street westbound off -ramp to
align with Olympic Drive (termed the “Olympic Crossover”) and access changes to the
4 th Street area that affect the bridge and on - and off -ramps .
Since the Ol ympic Crossover and 4 th Street area access changes fall within Caltrans
right -of -way , Caltrans involvement and approvals are required at every phase of the
project. As a first step in the technical study of these network improvements, Caltran s
has required a Project Study Report –Project Development Support Project Initiation
Document (PSR -PDS PID) process . A cooperative agreement between the City and
Caltrans stating the rights, duties, decisions, and commitments made between partners
for preparing, reviewi ng, and approving a PSR -PDS PID is required. This report
recommends that the City Council adopt the attached resolution (Attachment A)
authorizing the City Manager to execute a cooperative agreement (Attachment B) with
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Caltrans for required review and appr oval of a PSR -PDS PID for the Olympic Crossover
project and 4 th Stree t area access improvements .
Background
Council discussions surrounding network improvements between the Downtown and
Civic Center have been long -standing . On April 14, 2009 (A ttachment C ), Council
allocated a portion of redevelopment funds to study options for integrating the
Downtown Expo Terminus Station, Civic Center, and Downtown areas . On January 19,
2010 (Attac hment D ), Council directed staff to explore refining the Civic Center a nd
Downtown circulation network as described in the then draft 2010 Land Use and
Circulation Element (LUCE). On April 12, 2011 (Attachment E ), Council prioritized short -
and long -term projects related to the Civic Center and Downtown circulation network.
O n January 24, 2012 (Attachment F ), Council approved planning analysis , including
further exploration of freeway off -ramp re location and bridging concepts , to improve
first/last mile access to the Downtown Expo Terminus S tation. On October 27, 2015
(Attachm ent G ), Council was informed that City staff and Caltrans were discussing the
appropriate process for evaluating the technical requirements of a flyover structure over
the I -10 freeway to relocate the 4th Street westbound off -ramp to align wit h Olympic
Dri ve (termed the "Olympic Cross over") and 4 th Street area access improvements , and
that City staff would be requesting to initiate the analysis and documentation required by
Caltrans for completing a Project Study Report –Project Development Support Project
I nitiation D ocument (PSR -PDS PID). Council directed staff to prioritize the Olympic
Crossover, study traffic flows both in and out of the Downtown Expo Terminus Station
site, and examine opportunities for better access in the area of the I -10 freeway.
Disc ussion
For those potential freeway ramping, bridging, and capping network improvements o n
the State Highway System that fall within the California Department of Transportation
(Caltrans) right -of -way , Caltrans involvement and multiple Caltrans approvals a re
required at every phase of the project . As a first step in the technical study of the
Olympic Crossover and 4 th Street access changes, Caltrans has required the
preparation of a PSR -PDS PID. Completing a PSR -PDS PID provides a key opportunity
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for the Ci ty and Caltrans to develop alternatives and reach consensus on project
purpose and need, scope, rough order of magnitude cost estimates, and schedule .
Caltrans a pproval of a PSR -PDS PID allow s the project to proceed to the next phase of
a Project Approval and Environmental Document (PA&ED). Caltrans is requesting a
cooperative agreement for t he initial study of the Olympic Crossover and 4 th Street
access changes . A cooperative agreement states the rights, duties, decisions, and
commitments made between part ners. Cooperative agreements ensure that partners
complete all of their obligations according to Caltrans’ policies and procedures,
applicable Federal Highway Administration policies and procedures, and State and
federal laws. By entering into the cooperat ive agreement, the City agrees to prepare the
technical document and manage the analysis and review processes required by
Caltrans to complete a PSR -PDS PID . Once the document is approved, the City can
consider whether to proceed on to the next phase of PA &ED.
Financial Impacts and Budget Actions
The cooperative agreement with the California Department of Transportation is for an
amount not to exceed $120,000 . Funds are available in the FY 201 6 -1 7 budget in the
Planning and Community Development Departmen t. The agreement will be charged to
account 01267.555060 .
Prepared By: Linda Cogswell, Associate Planner
Approved
Forwarded to Council
Attachments:
A. Resolution Approving Cooperative Agreement with Caltrans
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B. Cooperative Agreement with Caltrans
C. April 14, 2009 Council Staff Report Web Link
D. January 19, 2010 Counc il Staff Report Web Link
E. April 12, 2011 Council Staff Report Web Link
F. January 24, 2012 Council Staff Report Web Link
G. October 27, 2015 Council Staff Report Web Link
07-LA-1-R34.63/R34.90
Project Number: 0716000176
EA: 32840
Agreement 07 - 5070
Project Initiation Document (PID) Agreement 2012_10_30 Page 1 of 10
COOPERATIVE AGREEMENT
Project Study Report – Project Development Support (PSR-PDS)
This Cooperative Agreement ("Agreement"), effective on __________________________, is
between the State of California , acting through its Department of Transportation, referred to as
CALTRANS, and:
City of Santa Monica, a body politic and municipa l corporation or charte red city of the State
of California, referred to hereinafter as CITY.
RECITALS
1. PARTNERS are authorized to enter into a cooperative agreement for improvements to the
state highway system (SHS) per Government Code 65086.5.
2. CITY desires that a proj ect initiation document (PID) be developed for the construction of
a flyover structure over the Route 1 freeway to relocate the existi ng 4th Street westbound
off-ramp (to align with Olympic Drive) and the construction of new driveways for 4th
Street east side and west si de access at the northern end of the 4th Street bridge within the
State Highway System (SHS), referred to herein as PROJECT.
3. PARTNERS acknowledge that this Agreement is to complete a Project Study Report-
Project Development Support (PSR-PDS) PID.
4. California Government Code section 65086.5 mandates that CALTRANS review and
approve all PIDs developed by en tities other th an CALTRANS.
5. CITY is willing to develop the PID and is willing to make a single payment to
CALTRANS to fund the PID’s costs and fees in accordance with this Agreement, including
costs to reimburse CALTRANS. If, in the futu re, CALTRANS is allo cated state funds and
Personnel Years (PYs) for PID review of th is PROJECT, CALTRANS will agree to amend
this Agreement to change the reimbursement arrangement for PID review.
6. CALTRANS will review and approve the PID prepared by CITY; will provide relevant
proprietary information in the form of existing data dumps, spreadsheets, and maps, will
actively participate in the project delivery team (PDT) meetings, and will complete any
work elements identified in the SCOPE SU MMARY of this Agreement. All CALTRANS’
activities will be done as reimbursed work in accordance with this Agreement. PARTNERS
hereby set forth the terms, covenants, and cond itions of this Agreement, under which they
will complete the PID.
Agreement 07 - 5070
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ROLES AND RESPONSIBILITIES
7. CITY will prepare a PID for PROJECT at its sole cost and expense and at no cost to
CALTRANS. The PID shall be signed on behalf of CITY by a Civil Engineer registered in
the State of California.
8. CALTRANS will complete the work elements that are assigned to it on the SCOPE
SUMMARY which is attached to and made a part of this Agreement. CITY will complete
the work elements assigned to it on the SC OPE SUMMARY. Work el ements marked with
“N/A” on the SCOPE SUMMARY are not included within this Agreement. Work
elements are outlined in the Workplan Standards Guide for th e Delivery of Capital Projects
available at www.dot.ca.gov/hq/projmg mt/guidance.htm .
9. The PID shall be prepared in accordance with all State and Federal laws, regulations,
policies, procedures, and standards th at CALTRANS would normally follow if
CALTRANS was to prepare the PID.
10. CALTRANS will complete a revi ew of the draft PID and provi de its comments to CITY
within sixty (60) calendar days from the date CALTRANS receives the draft PID from
CITY. CITY will address the comments provid ed by CALTRANS. If any interim reviews
are requested of CALTRANS by CITY, CALTR ANS will complete those reviews within
thirty (30) calendar days from the date CALTRANS received the dr aft PID from CITY.
11. After CITY revises the PID to address all of CALTRANS’ comments and submits a
revised draft PID and all related attachment s and appendices, CALTRANS will complete
its review and final determination of the revise d draft PID within thir ty (30) calendar days
from the date CALTRANS receives the re vised draft PID from CITY. Should
CALTRANS require supporting data necessary to defend facts or claims cited in the
revised draft PID, CITY will provide all avai lable supporting data in a reasonable time so
that CALTRANS may conclude its review. Th e thirty (30) day CALTRANS review period
will be stalled during that time and will conti nue to run after CITY provides the required
data.
Agreement 07 - 5070
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12. CALTRANS will perform its review and approval in accordance with the provisions of the
current Project Development Procedures Manual available at
http://www.dot.ca.gov/hq/oppd/pdpm/pdpmn.htm . CALTRANS’ review and approval will
consist of performing independent quality assurance (IQA) to ve rify that quality
control/quality assurance (QC/QA) meets department standard s and determination that the
work is acceptable for the next project co mponent. However, CALTRANS’ review and
approval does not involve any work necessary to actually develop or complete the PID. No
liability will be assignable to CALTRANS, its officers and employees by CITY under the
terms of this Agreement or by third partie s by reason of CALTRANS’ review and approval
of the PID.
13. PID preparation, except as set forth in this Agreement, is to be performed by CITY.
Should CITY request CALTRANS to perform a ny portion of PID preparation work, except
as otherwise set forth in this Agreement, CITY shall first agree to reimburse CALTRANS
for such work and PARTNERS will amend this Agreement.
INVOICE AND PAYMENT
14. CITY agrees to pay CALTRANS an amount not to exceed $120,000 for the review and
approval of the PID.
15. CALTRANS will draw from st ate and federal funds that are provided by CITY without
invoicing CITY when CALTRANS administer s those funds and CALTRANS has been
allocated those funds by the CTC and whenever else possible.
16. The cost of any engineering support perfor med by CALTRANS, when allowed, will be
charged according to current law.
17. CALTRANS will invoice CITY for a lump sum (single payment) of $120,000 after
execution of this Agreement and thirty (30) working days prior to the commencement of
PROJECT expenditures. Within 6 months fr om the completion of the development and
approval of PID, the CITY may at that time request to receive an itemized expenditure
report. If upon PROJECT completion CALTRA NS expends less than $120,000, then the
remaining balance will be returned to the CI TY within thirty (30) working days after
PROJECT completion.
18. If CITY has received Electron ic Funds Transfer (EFT) certification from CALTRANS then
CITY will use the EFT mechanism and follow all EFT procedures to pay all invoices
issued from CALTRANS.
19. Except as otherwise provided in this Agr eement, PARTNERS will pay invoices within
thirty (30) calendar days of receipt of invoice.
Agreement 07 - 5070
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GENERAL CONDITIONS
20. Per Chapter 603, amending item 2660-001-0042 of S ection 2.00 of the State Budget Act of
2012, the cost of any engineering services performed by CALTRANS towards any local
government agency-sponsored PID project will on ly include direct co sts. Indirect or
overhead costs will not be applied duri ng the development of the PID document.
21. If any hazardous materials, pursuant to H ealth and Safety Code 25401.1, are found within
PROJECT limits, PARTNER will notify CA LTRANS within 24 hours of discovery.
22. PARTNERS agree to consider alternatives to PROJECT scope and/or alignment, to the
extent practicable, in an effort to avoid a ny known hazardous materials within the proposed
PROJECT limits.
23. If hazardous materials are disc overed within PROJECT limits, but outside of SHS right of
way, it is the responsibility of CITY in c oncert with the local agency having land use
jurisdiction over the property, and the propert y owner, to remedy before CALTRANS will
acquire or accept title to such property.
24. CALTRANS’ acquisition or acceptance of title to any property on which any hazardous
materials are found will proceed in accordance with CALTRANS’ policy.
25. CALTRANS’ obligations under th is Agreement are subject to the appropriations of
resources by the Legislature, the State Budge t Act authority, and the allocation of funds by
the California Transportation Commission.
26. Neither CITY nor any officer or employee thereo f is responsible for any injury, damage or
liability occurring by reason of anything done or omitted to be done by CALTRANS, its
contractors, sub-contractors, and/or its agents under or in connection with any work,
authority, or jurisdiction c onferred upon CALTRANS under this Agreement. It is
understood and agreed that CALTRANS, to the extent permitted by law, will defend,
indemnify, and save harmless CITY and all of its officers and employees from all claims,
suits, or actions of every name, kind, and de scription brought forth under, but not limited
to, tortious, contractual, invers e condemnation, or other theories and assertions of liability
occurring by reason of anything done or omitted to be done by CALTRANS, its
contractors, sub-contract ors, and/or its agents under this Agreement.
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27. Neither CALTRANS nor any officer or employ ee thereof is responsible for any injury,
damage, or liability occurring by reason of a nything done or omitted to be done by CITY,
its contractors, sub-contractor s, and/or its agents under or in connection with any work,
authority, or jurisdicti on conferred upon CITY under this Ag reement. It is understood and
agreed that CITY, to the extent permitted by law, will defend, indemnify, and save
harmless CALTRANS and all of its officers and employees from all claims, suits, or
actions of every name, kind, and description brought forth under, but not limited to,
tortious, contractual, inverse condemnation, or other theories and assertions of liability
occurring by reason of anything done or omitted to be done by CITY, its contractors, sub-
contractors, and/or its ag ents under this Agreement.
28. If work is done under contract (not complete d by CITY’s own employees) and is governed
by the California Labor Code’s definitions of a “public works” (section1720(a)), CITY will
conform to sections 1720-1815 of the California Labor Code and all applicable regulations
and coverage determinations issued by the Director of Industrial Relations.
29. This Agreement is intended to be PARTNERS ’ final expression and supersedes all prior
oral understanding pert aining to PROJECT.
30. This Agreement will terminate one hundred ei ghty (180) days after PID is signed by
PARTNERS or as mutually agreed by PARTNERS in writing. However, all
indemnification articles will remain in effect until terminated or modified in writing by
mutual agreement.
Agreement 07 - 5070
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DEFINITIONS
PARTNER – Any individual signatory party to this Agreement.
PARTNERS – The term that collectively references all of the signatory agencies to this
Agreement. This term only describes the re lationship 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 acti ons legally bind th e other parties.
SCOPE SUMMARY – The attachment in which each PA RTNER designates its responsibility
for the completion of specific work elements 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.htm .
Agreement 07 - 5070
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CONTACT INFORMATION
The information provided below indicates the primary contact information for each
PARTNER to this Agreement. PARTNERS will notify each other in writing of any
personnel or location changes. Contact inform ation changes do not require an amendment
to this Agreement.
The primary Agreement contact person for CALTRANS is:
Zareh Shahbazian, Project Manager
100 South Main Street, Suite 100
Los Angeles, CA 90012
Office Phone: (213) 897-4255
Fax Number: (213) 897-4611
Email: zareh_shahbazian@dot.ca.gov
The primary Agreement contact person for CITY is:
Lee Swain, P.E., City Engineer
Public Works Department
1437 4th Street, Suite 300
Santa Monica, CA 90401
Office Phone: (310) 458-8730
Email: lee.swain@smgov.net
The billing contact person for CITY is:
Linda Cogswell, Associate Planner
Planning and Community Development Department
1685 Main Street, Room 115
Santa Monica, California 90401
Office Phone: (310) 458-8341
Email: linda.cogswell@smgov.net
Agreement 07 - 5070
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SIGNATURES
PARTNERS declare that:
1. Each PARTNER is an authorized lega l entity under California state law.
2. Each PARTNER has the authority to enter into this Agreement.
3. The people signing this Agreement have the au thority to do so on be half of their public
agencies.
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
By:
Carrie L. Bowen
District 07 Director
Certified as to funds:
By:
Paul Kwong
District Budget Manager
CITY OF SANTA MONICA
By:
Rick Cole
City Manager
Attest:
By:
Denise Anderson-Warren
City Clerk
Approved as to form and procedure:
By:
Marsha Moutrie
City Attorney
Agreement 07 - 5070
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SCOPE SUMMARY
WORK ELEMENT
CA
L
T
R
A
N
S
CI
T
Y
N/
A
0.100.05.05.xx - Quality Management Plan X
0.100.05.05.xx - Risk Management Plan X
0.100.05.05.xx - Communication Plan X
0.100.05.10.xx - Independent Quality Assurance (IQA) X
0.100.05.10.xx - Project Development Team Meetings X X
1.150.05.05 - Review of Existing Reports Studies and Mapping X
1.150.05.10 - Geological Hazards Review X
1.150.05.15 - Utility Search X
1.150.05.20 - Environmental Constraints Identification X
1.150.05.25 - Traffic Forecasts/Modeling X
1.150.05.30 - Surveys and Maps for PID X
1.150.05.35 - Problem Definition X
1.150.10.05 - Public/Local Agency Input X
1.150.15.05 - Right of Way Data Sheets X
1.150.15.10 - Utility Relocation Requirements Assessment X
1.150.15.15 - Railroad Involvement Determination X
1.150.15.25 - Preliminary Materials Report X
1.150.15.35 - Multimodal Review X
1.150.15.40 - Hydraulic Review X
1.150.15.50 - Traffic Studies X
1.150.15.55 - Construction Estimates X
1.150.20.05 - Initial Noise Study X
1.150.20.10 - Hazardous Waste Initial Site Assessment X
1.150.20.15 - Scenic Resource and Landscape Architecture Review X
1.150.20.30 - Initial Records and Literature Search for Cultural Resources X
1.150.20.50 - Initial Water Quality Studies X
1.150.20.60 - Preliminary Environmental Analysis Report Preparation X
Agreement 07 - 5070
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WORK ELEMENT
CA
L
T
R
A
N
S
CI
T
Y
N/
A
1.150.20.65 - Initial Paleontology Study X
1.150.25.05 - Draft PID X
1.150.25.20 - PID Circulation, Review, and Approval X
1.150.25.25 - Storm Water Data Report X
1.150.35 - Required Permits During PID Development X
1.150.40 - Permit Identification During PID Development X
1.150.45 - Base Maps and Plan Sheets for PID X
Reference:
Resolution No. 11006
(CCS)
&
Agreement No. 10395
(CCS)