HomeMy WebLinkAboutStaff Report 3.B 02/22/2016F
DATE:
W
FROM:
Agenda Item #3.B
February 22, 2016
Honorable Mayor and Members of the City Council through City Manager
Dan St. John, F.ASCE — Director, Public Works & Utilities
Joe Rye — Transit Manager
SUBJECT: Resolution to Adopt Certifications and Assurances and Designation of Authorized
Agent to Accept Low Carbon Transit Operations Program Funding ( LCTOP)
Through the Metropolitan Transportation Commission (MTC) and Caltrans and
Authorizing the City Manager to Execute the Application and Grant Funding
Agreement Documents; and a Resolution Authorizing Submittal of an LCTOP
Cycle 3 Application for Operating Funds for Weekday Afternoon Service
Enhancements, and Authorizing the City Manager to Accept Grant Funds on
Behalf of the City.
RECOMMENDATION
It is recommended that the City Council approve a Resolution to Adopt Certifications and
Assurances and Designation of Authorized Agent to Accept Low Carbon Transit Operations
Program Funding ( LCTOP) Through the Metropolitan Transportation Commission (MTC) and
Caltrans and Authorizing the City Manager to. Execute All Required Documents of the LCTOP
Program and Any Amendments Thereto; and a Resolution Authorizing Submittal of an LCTOP
Cycle 3 Application for Operating Funds for Weekday Afternoon Service Enhancements, and
Authorizing the City Manager to Accept Grant Funds on Behalf of the City.
BACKGROUND
The LCTOP is one of several programs that are part of the Transit, Affordable Housing, and
Sustainable Communities Program established by the California Legislature in 2014 under
Senate Bill 862. The LCTOP was created to provide operating and capital assistance for transit
agencies to reduce greenhouse gas emissions and improve mobility with a priority on serving
disadvantaged communities. Approved LCTOP projects that reduce greenhouse gas emissions
will support new or expanded bus or rail services, or intermodal transit facilities, and may
include equipment acquisition, fueling, maintenance and other operational costs.
DISCUSSION
MTC has proposed distribution of new program funding based largely upon existing State
Transit Assistance (STA) formulas, which are indexed to population and fare revenues generated
by transit operators. In the first two years of the LCTOP, emphasis was placed on revenue
generation in lieu of population, which did not work to Petaluma's advantage. Working
cooperatively with other small transit operators in the region and MTC staff, a more
advantageous distribution formula was agreed upon for Cycle 3. For Cycle 3, Petaluma is
programmed to receive a total of $62,410 with $59,618 based on population and $2,792 based on
revenue. Projections for future allocations to Petaluma are approximately $100,000 annually.
As a condition of LCTOP program funding, all transit operators are required to adopt the
programs Certifications and Assurances and to designate an Authorized Agent to execute grant
documents and funding allocations. The Certifications and Assurance obligate the City to
comply with specified project administration, reporting, cost principle, and records retention
requirements, which are typical for federally and state funded grant programs.
The FY 2016 -17 allocation of $62,410 is proposed to be expended on additional bus service in
the late afternoons on weekdays. This is the highest priority project in the draft 2016 Short
Range Transit Plan and improves both service frequency in the PM peak hours and on -time
performance which reduces missed transfer connections. The improvements will be delivered in
FY 2017 to meet the requirements to expend these funds in a timely fashion. These additional
new funds will assist Petaluma Transit in providing a high level of transit service and increasing
ridership in future years while maintaining reserves to avoid service reductions during future
economic downturns. At Caltrans' direction, there are two separate resolutions on this item.
The proposed action meets Council Goals: "Improve and Enhance Fiscal Stability and
Sustainability ".
FINANCIAL IMPACTS
A dramatic increase over LCTOP funding programmed to Petaluma last year, the Cycle 3
LCTOP funding of $62,410 is projected to grow to near $100,000 to Petaluma Transit annually
by 2020.
ATTACHMENTS
1. Resolution Adopting LCTOP Certifications and Assurances and Authorized Agent
2. Resolution Authorizing Submittal of LCTOP Cycle 3 Application
3. LCTOP Authorized Agent Form
4. LCTOP Certifications and Assurances Form
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Attachment 1
RESOLUTION TO ADOPT CERTIFICATIONS AND ASSURANCES AND
DESIGNATION OF AUTHORIZED AGENT TO ACCEPT LOW CARBON TRANSIT
OPERATIONS PROGRAM FUNDING ( LCTOP) THROUGH THE METROPOLITAN
TRANSPORTATION COMMISSION AND CALTRANS AND AUTHORIZING THE
CITY MANGER TO EXECUTE ALL REQUIRED DOCUMENTS OF THE LCTOP
PROGRAM AND ANY AMENDMENTS THERETO
WHEREAS, the City of Petaluma is an eligible project sponsor and may receive state
funding for the Low Carbon Transit Operations Program ( LCTOP) now or sometime in the
future for transit projects; and
WHEREAS, the statutes related to state - funded transit projects require a local or
regional implementing agency to abide by various regulations; and
WHEREAS, Senate Bill 862 (2014) named the Department of Transportation
(Department) or (Caltrans) as the administrative agency for the LCTOP; and
WHEREAS, the Department (Caltrans) has developed guidelines for the purpose of
administering and distributing LCTOP funds to eligible project sponsors (local agencies); and
WHEREAS, the City of Petaluma wishes to delegate authorization to execute requisite
documents and any amendments thereto to the City Manager.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of
Petaluma authorizes:
1. That the City as fund recipient agrees to comply with all conditions and requirements
set forth in the LCTOP Certifications and Assurances document, which is hereby
incorporated by reference as part of this resolution, and applicable statutes,
regulations and guidelines for all LCTOP funded transit projects in accordance with
the LCTOP Guidelines dated December 19, 2014.
2. That the Mayor of the City of Petaluma is hereby authorized and directed to execute
the LCTOP Authorized Agent Form attached herein, designating the City Manager as
the Authorized Agent of the City for purposes of the LCTOP and authorizing the
execution of all required documents of the LCTOP program and any amendments
thereto.
Attachment 2
RESOLUTION TO AUTHORIZE SUBMITTAL OF A LCTOP CYCLE 3
APPLICATION FOR OPERATING FUNDS FOR WEEKDAY AFTERNOON SERVICE
ENHANCEMENTS, AND AUTHORIZING THE CITY MANAGER TO ACCEPT
GRANT FUNDS ON BEHALF OF THE CITY
WHEREAS, the City of Petaluma is an eligible project sponsor and may receive state
funding from the Low Carbon Transit Operations Program ( LCTOP) now or sometime in the
future for transit projects; and
WHEREAS, the statutes related to state - funded transit projects require a local or
regional implementing agency to abide by various regulations; and
WHEREAS, Senate Bill 862 (2014) named the Department of Transportation
(Department) or (Caltrans) as the administrative agency for the LCTOP; and
WHEREAS, the Department (Caltrans) has developed guidelines for the purpose of
administering and distributing LCTOP funds to eligible project sponsors (local agencies); and
WHEREAS, the City plans to use the $62,410 allocated from Cycle 3 for Operating
Funds for Weekday Afternoon Service Enhancements, an eligible expenditure of LCTOP funds,
( "Project "); and
WHEREAS, the Project is exempt from the requirements of the California
Environmental Quality Act ( "CEQA ") pursuant to section 15301 of the CEQA Guidelines
because it involves minor alterations of existing public facilities with negligible or no expansion
of use; and
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of
Petaluma
3. Designates the City Manager, as the Authorized Agent of the City for purposes of the
LCTOP program, to execute the Certifications and Assurances, and to execute all
required documents of the LCTOP program and any amendments thereto.
4. Certifies that the City as fund recipient agrees to comply with all conditions and
requirements set forth in the LCTOP Certifications and Assurances document, which
is hereby incorporated by reference as part of this resolution, and applicable statutes,
regulations and guidelines for all LCTOP funded transit projects in accordance with
the LCTOP Guidelines dated December 19, 2014.
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5. Authorizes and directs the City Manager to accept on behalf of the City $62,410 in
Cycle 3 funding of the LCTOP for operating funds for weekday afternoon service
enhancements in accordance with all applicable LCTOP requirements.
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Attachment 3
AS THE
Authorized Agent
City Manager
OF THE City of Petaluma
City of Petaluma
I hereby authorize the following individual(s) to execute for and on behalf of
the named Regional Entity /Transit Operator, any actions necessary for the
purpose of obtaining Low Carbon Transit Operations Program (LCTOP)
funds provided by the California Department of Transportation, Division of
Rail and Mass Transportation. This form is valid for Fiscal Year 2014 -2015
funds. If there is a change in the authorized agent, the project sponsor must
submit a new form. This form is required even when the authorized agent is
the executive authority himself. I understand the City must provide a
resolution approving the Authorized Agent. The City Resolution appointing
the Authorized Agent is attached.
_John C Brown City Manager
OR
(Name and Title of Authorized Agent)
OR
(Name and Title of Authorized Agent)
(Name and Title of Authorized Agent)
(Print Name)
(Signature)
Approved this
(Title)
day of , 20
Attachment: Board Resolution approving Authorized Agent
rel
Low Carbon Transit Operations Program (LCTOP)
Certifications and Assurances
Project Sponsor:
Agency Name:
Effective Date of this Document:
City of Petaluma
City of Petaluma
Attachment 4
The California Department of Transportation (Department) has adopted the following
certifications and assurances for the Low Carbon Transit Operations Program. As a condition of
the receipt of LCTOP funds, project sponsors (both Project Lead and Contributing Sponsors)
must comply with these terms and conditions.
A. General
(1) The project sponsor agrees to abide by the current LCTOP Guidelines and applicable
legal requirements.
(2) The project sponsor must submit to the Department a signed Authorized Agent form
designating the representative who can submit documents on behalf of the project
sponsor and a copy of the board resolution appointing the Authorized Agent.
B. Project Administration
(1) The project lead certifies that required environmental documentation is complete before
requesting an allocation of LCTOP funds. The project lead assures that projects
approved for LCTOP funding comply with Public Resources Code § 21100 and § 21150.
(2) The project lead certifies that when LCTOP funds are used for a transit capital project,
that the project will be completed and remain in operation for its useful life.
(3) The project lead certifies that it has the legal, financial, and technical capacity to carry
out the project, including the safety and security aspects of that project.
(4) The project lead certifies that they will notify the Department of pending litigation,
dispute, or negative audit findings related to the project, before receiving an allocation of
funds.
(5) The project lead must maintain satisfactory continuing control over the use of project
equipment and facilities and will adequately maintain project equipment and facilities for
the useful life of the project.
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(6) Any interest the project lead earns on LCTOP funds must be used only on approved
LCTOP projects.
(7) The project lead must notify the Department of any changes to the approved project with
a Corrective Action Plan (CAP).
(8) Under extraordinary circumstances, a project lead may terminate a project prior to
completion. In the event the project lead terminates a project prior to completion, the
project lead must (1) contact the Department in writing and follow -up with a phone call
verifying receipt of such notice; (2) pursuant to verification, submit a final report
indicating the reason for the termination and demonstrating the expended funds were
used on the intended purpose; (3) submit a request to reassign the funds to a new project
within 180 days of termination.
(9) Funds must be encumbered and liquidated within the time allowed.
C. Reporting
(1) The.project lead must submit the following LCTOP reports:
a. Semi - Annual Progress Reports by February 15th and August 15th each year.
b. A Final Report within six months of project completion.
c. The annual audit required under the Transportation Development Act (TDA), to
verify receipt and appropriate expenditure of LCTOP funds. A copy of the audit
report must be submitted to the Department within six months of the close of the year
(December 31) each year in which LCTOP funds have been received or expended.
(2) Other Reporting Requirements: ARAB is developing funding guidelines that will include
reporting requirements for all State agencies that receive appropriations from the
Greenhouse Gas Reduction Fund. Caltrans and project sponsors will need to submit
reporting information in accordance with ARAB's funding guidelines, including
reporting on greenhouse gas reductions and benefits to disadvantaged communities.
D. Cost Principles
(1) The project lead agrees to comply with Title 2 of the Code of Federal Regulations 225 (2
CFR 225), Cost Principles for State and Local Government, and 49 CFR, Part 18,
Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments.
(2) The project lead 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 LCTOP funds as a contractor or sub - contractor 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.
(3) Any project cost for which the project lead has received funds that are determined by
subsequent audit to be unallowable under 2 CFR 225, 48 CFR, Chapter 1, Part 31 or 49
CFR, Part 18, are subject to repayment by the project lead to the State of California
(State). All projects must reduce greenhouse gas emissions, as required under Public
Resources Code section 75230, and any project that fails to reduce greenhouse gases shall
also have its project costs submit to repayment by the project lead to the State. Should
the project lead fail to reimburse moneys due to the State within thirty (30) days of
demand, or within such other period as may be agreed in writing between the Parties
hereto, the State is authorized to intercept and withhold future payments due the project
lead from the State or any third -party source, including but not limited to, the State
Treasurer and the State Controller.
E. Record Retention
(1) The project lead agrees, and will assure that 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 the project lead, 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 the
project lead, its contractors and subcontractors connected with LCTOP funding shall be
maintained for a minimum of three (3) years from the date of final payment and shall be
held open to inspection, copying, and audit by representatives of the State and the
California State Auditor. Copies thereof will be furnished by the project lead, its
contractors, and subcontractors upon receipt of any request made by the State or its
agents. In conducting an audit of the costs claimed, the State will rely to the maximum
extent possible on any prior audit of the project lead pursuant to the provisions of federal
and State law. In the absence of such an audit, any acceptable audit work performed by
the project lead's external and internal auditors may be relied upon and used by the State
when planning and conducting additional audits.
(2) 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 the project lead's contracts with third parties pursuant to Government Code § 8546.7,
the project sponsor, its contractors and subcontractors and the State shall each maintain
and make available for inspection all books, documents, papers, accounting records, and
other evidence pertaining to the performance of such contracts, including, but not limited
to, the costs of administering those various contracts. All of the above referenced parties
shall make such materials available at their respective offices at all reasonable times
during the entire project period and for three (3) years from the date of final payment.
The State, the California State Auditor, or any duly authorized representative of the
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State, shall each have access to any books, records, and documents that are pertinent to a
project for audits, examinations, excerpts, and transactions, and the project lead shall
furnish copies thereof if requested.
(3) The project lead, 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 the State, for
the purpose of any investigation to ascertain compliance with this document.
F. Special Situations
The Department may perform an audit and/or request detailed project information of the
project sponsor's LCTOP funded projects at the Department's discretion at any time prior to
the completion of the LCTOP.
I certify all of these conditions will be met.
JOHN C. BROWN, CITY MANAGER (AUTHORIZED AGENT)
City of Petaluma
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