HomeMy WebLinkAboutSTATE OF CALIFORNIA, DEPARTMENT OF TRANSPORTATION - CALTRANS (7)� "t7lflRr::O
A-2017-042-08
PROGRAM SUPPLEMENT NO. F165 Rev. 1
to
ADMINISTERING AGENCY -STATE AGREEMENT
FOR FEDERAL -AID PROJECTS NO 12-5063F15
Adv Project ID Date:
January 20, 2021
1217000064 Location:
12-ORA-0-SA
Project Number:
CML-5063(180)
E.A. Number:
Locode:
5o63
This Program Supplement hereby adopts and incorporates the Administering Agency -State Agreement for Federal Aid
which was entered Into between the Administering Agency.and the State on D4/28/17 and is subject to all the terms and
conditions thereof. This Program Supplement is executed in accordance with Article I of the aforementioned Master
Agreement under authority of Resolution No. 2017-005 approved by the Administering Agency on February 7, 2017
(See copy attached),
The Administering Agency further stipulates that as a condition to the payment by the State of any funds derived from
sources noted below obligated to this PROJECT, the Administering Agency accepts and will comply with the special
covenants or remarks set forth on the following pages.
PROJECT LOCATION: Bristol Street from Sunflower Avenue to Central Avenue and Edinger Avenue from Bristol
Street to Flower Street
TYPE OF WORK: Class it Protected Bicycle Lanes
LENGTH: 1.8(MILES)
Estimated Cost
Federal Funds
Matching Funds
$843,542.00:
Z400 $736,000.00
LOCAL
$100,728.0
OTHER
$6,814.0(
CITY OF SANTA ANA STATE OF CALIF RNI
Departure . of T ns rta
By a bi L Scab a � z.
sy Gomez By _
Title Xecu�'✓�,biVoatnvo Fo Clerk of the Council o)L Chief, , ffice of Project Implementation
Date ki 2Le �Z1 Divis'on of Local Assistance
Attest ► t2- - 1,T°u^0-- APPROVED AS TOFDRM
-- Date 3/2/2021
JamM. L Auiamt City Am="
I hereby certify upon my personal knowledge that budgeted funds are available for this encumbrance
Accounting Officer_ Date _/ //,0 1-/ $736.000.00
Program Supplement 12-5063F15-Fi65.Rl- ISTEA Page 1 of 7
CML-5063080)
SPECIAL COVENANTS OR keMARK$
1
A. The ADMINISTERING AGENCY will advertise, award and administer this project' -In
accordance with the current publlshad,1 al`As'sistarioe Procedures -Manual.
B. "ADMINISTERING AGENCY agrees that it will only proceed with'work authorized for
specific.phase(s) With an "Authorization to. Proceed".and•will not proceed with future
Phase s) of, this project prior to receiving an "Authorization to Proceed" from the'STATE
for that' phase(s) unless no 'ibriher State. or Federal funds are needed for, those future
phase(s).. ' .' .. ..
C. STATE and ADMINISTERING AGENCY agree .that any additional funds which might
be
. rnad6 available by future Federal obligations will be encumbered on this PROJECT by
use of a ."STATE -approved "Authorization ,to Proceed" and Finance Letter.
ADMINISTERING AGENCY agrees that Federal funds available for reimbursement will
be limited to the amounts obligated by the,Federai Highway Administration.,
D. Award, information shall be submitted by the, ADMINISTERING AGENCY to the
District' Local Assistance Engineer within. 60 days ofproject contract award and prior to
the submittal of;the:. ADMINISTERING'AGEN.CY'S,first invoice for the construction
contract... .
Fallure to-do so will cause'a delay in the State processing Invoices for the construction
phase:.Attentiorrls directed-tti,Section-l5.7_"Auward•-PaokaeW.e"-df-the Local.Assistanee
Procedures Manual.
E. ADMINISTERING. AGENCY agrees, a§ a minimum, to submit invoices at least once
every six months commencing after the ;funds are encumbered for each phase. by the
execution .of this Project Program. Supplement Agreement, or by STATE's approval of an
applicable Finance Letter. STATE reserves . the right to suspend future
authorizations/obligations for Federal aid 'projects, o� encumbrances for State'funded
projects, as well as to suspend 'IinVoice payments for any on -going or future project by
ADMINISTERING AGENCY. if 'PROJECT costs ..have not been. Invoiced by
ADMINISTERING AGENCY for a six -'month period.
If no costs .have been. invoiced for a six-month period, ADMINISTERING AGENCY.
agrees to submit :for. each phase a ' written explanation of the absence of PROJECT
activity along with target billing date and target billing amount.
ADMINISTERING AGENCY agrees to submit the.,final report document's that collectively,
constitute a "Report of. Expenditures" within, one hundred eighty (180) days of PROJECT
completion. Failure of ADMINISTERING .AGENCY to submit 'a ''Final Report of
Expenditures" within 180 days of PROJECT.completion will result.in;STATE imposing
sanctions upon ADMINISTERING' AGENCY in accordance with. the current Local
Assistance Procedures• Manual.
F. Administering .Agency shall . not discriminate on the basis of ' race, religion, age,
disability, color, national' origin,. or sex in the award and performance of any Federal -
Program Supplement=Ft65-R1- ISTEA Page 2 of 7
OML?5063(180) '
SPECIAL COVENANTS OR REMARKS'
assisted contractor in the administration of Its DBE Program Implementation Agreement.
The Administering Agenoy. shall take all necessary and reasonable steps under 49 CFR
Part'26 to.ensure nondiscrimination in the award and administration of Federal -assisted .
contracts. The Administering Agency's DBE Implementation Agreement is incorporated
by reference in this Agreement.. Irnplementat'icn of the DBE Implementation Agreement,
Including but.not limited to timely reporting of Dgf•cornmitments and utilization, Is a legal_
obligation and failure to carry out'its terms .shall- be'treated as a violation of this,
Agreement.. Upon notification to the, Administering Agency of Its failure to carry out its
DBE Implementation Agreement,• the State'may• pripose sanctions as provided, for- under
49 CFR Part 26 and may, in appropriate cases, refer the matter for enforcement under 18
U.S.C. •1001 'and/or the Program Fraud Civil Remedies ,Act of 1986. (31 U.S.C. 3801, et
seq.),' .
G. Any State, and Federal funds that may have been encumbered for this.'pr6j6ct'are
available for disbursement for limited periods of time.. For each fund encumbrance the
limited period is from, the. start of the fiscal .year that the specific fund was appropriated
within the State Budget Act to the applicable. fund Reversion Date.'shown on the State
approved project finance letter.: Per Government Code Section 16304' all 'project funds
not liquidated .within these periods will , -revert unless' an -executed Cooperative Work
Agreement extending,these dates 1s requested by .the ADMINISTERING AGENCY and
approved by the California Department of Finance.
ADMINISTERING AGENCY should- ensure that Invoices are, submitted to the District
Local Assistance Engineer at least 75 days .prior to the applicable fund Reversion Date to
avoid the'lapse of applicable funds: Pursuant to a directive from the State Controller's
Office and th'e Department of Finance; in order for payment to be made, the last date the
District . Local 'Assistance Engineer • can' forward . an Invoice' .for 'payment to the
Department's Local Program''s Accounting Office for reimbursable work for funds that are
going to'revert'at the,end of a particular fiscal year is May 15th of. the particular fiscal
year. Notwithstanding the unliquidated sums of project specific State and Federal funding
remaining and available to.fund project. work, any Invoice for reimbursement Involving
applicable funds that)s not received by,the Department's Local Programs Accounting
Office at least 45 days prior to the applicable fixed fund Reversion Date will not .be paid.
These.•uriexpended funds .will' be irrevocably reverted by the Department's Division of
Accounting on the applicable. fund; Reversion. Date.
H. .As a condition for receiving 'federal -aid highway funds for .the PROJECT, the.,
Administering Agency certifies that NO members of the elected board, council, or other .
key decision makers are on the Federal Government Exclusion List. Exclusions can be
found, at www.sam.gov.
2: A. ADMINISTERING AGENCY shall .Conform 'to all State statutes, regulations and
procedures (including 'those set forth in the local' Assistance Procedures Manual and the
Local Assistance' Program Guidelines, hereafter collectively referred to as "LOCAL
ASSISTANCE PROCEDURES") relating to the federal -aid program, all Title 23 Code of
Program Supplement-F165-R1- ISTEA Page 3 of 7.
IA-Wlt .V'WM
CML-5663(160)
SPE0.lAL,'C0V1ENAN1rS OR REMARKS
Federal Regulation (CFR)and 2 CFR Part.200 federal roquirements, and ali applicable
federal laws, regulations, and policy and procedural or Instructional memoranda, unless
otherwise specifically. waived as designated in the executed project -specific PROGRAM
SUPPLEMENT,
B, Invoice's, shall `be, , formatted' in accordance with LOCAL ASSISTANCE
PROCEDURES.
C. ADMINISTERING 'AGENCY must..have at least. one copy of supporting backup. .
documeritati,,on"for'•costs.incurred and claimed for reimbursement by ADMINISTERING
AGENCY, , . ADMINISTERING AGENCY. "agrees . to submit .supporting backup
documentation with invoices if requested by State.',,Acceptable backup documentation
includes, buf is not limited to;, agency's progress payment to the contractors, coptes.of
caneelled..,che.eks showing amounts, made. payable to vendors'and contractors, and/or a"
coMppterIzed,su.mmary of PROJECT costs.'
D. Indirect Cost Allocation Plan/Indirect Cost Rate Proposals, (ICAP/ICRP), Central
Service Cost Allocation Plans andrelated documentation are to be prepared and provided
to STATE (Caltrans... Audits k Investigations) for review and approval, prior ' to .
ADMINISTERING AGENCY seeking reimbursement of indirect costs incurred within each
fiscal year being claimed for State andfederal reimbursement.. ICAN/ICRPs.must be
preipared-in accordance with'the roquiremen s set-forth16-2 CFR; Part 200, Chapter 5 of
the Local. Assistance Procedural Manual, and the. •ICAP/ICRP approval procedures
established by STATE, „
E. STATE will withhold the greater of either. two (2) percent of the total of all federal funds
encumbered for each PROGRAM SUPPLEMENT or $40,000 until ADMINISTERING
AGENCY -submits the Final* Report of Expenditures for each completed PROGRAM
SUPPLEMENT PROJECT.
F, . Payments to ADMINISTERING AGENCY for. PROJECT -related travel and
subsistence (per" diem) expenses of ADMINISTERING AGENCY forces and Its
contractors and subcontractors cialmed for reimbursement or as local match credit shall
not exceed rates authorized to be. paid, rank and file STATE employees, under current
State Department of 'Personnel Administration (DPA) rules. If the rates Invoiced: by
ADMINISTERING AGENCY. are in excess of DPA .rates, ADMINISTERING AGENCY.is
responsible. for the cost dtfference.;•.and any overpayments inadvertently paid by STATE
shall be reimbursed to STATE by ADMINISTERING' AGENCY on demand"within thirty
(ap) days of such invoice,
G. ADMINISTERING AGENCY agrees -to comply with 2 CFR, Part.200, Uniform
Administrative Requirements, Cost. Principles and Audit Requirement for Federal Awards.
H. ' ADMINISTERING AGENCY .. agrees, and will assure that its contractors and
subcontractors will be obligated :to agree; that°Contract Cost Pri'ncipies and Procedures,
48 CFR, Federal Acquisition Reg ulattons,'System,. Chapter "1, Part 31, et seq., shall be
Program' Supplement-F165-R7- ISTEA . Page 4 of 7
CML•5063(100)
SPECIAL COVENANTS OR REMARKS
used to determine the ailowabilify of Individual, PROJECT cost items.
I. Every sub-recipient•receiving PROJECT funds under this AGREEMENT shall comply
with 2 CFR', Part 200, 23'CFR, 48 CFR.'Chapter 1, Part 31, Local Assistance Procedures,
Public Contract Code'(PCC) 103007-10334•(procurement of goods), PCC 10335-10381
(non-A&E services); and other applicable STATE and FEDERAL regulations. • .
J. Any PROJECT costs for which ADMINISTERING. AGENCY has received payment or
credit that are determined by. subsequent.;audit to' be unallowable under•2 CFR, Part 200,
23 CFR, .48''CFR; Chapter,l, Part •31, and'ofher• applicable STATE and FEDERAL
regulatlons, are .'subject to repayment by ADMINISTERING AGENCY to STATE. '
K. STATE. reserves the* right to conduct. technical and financial. audits of PROJECT
WORK' and records' and ADMINISTERING AGENCY agrees, and 'shall require* its '
contractors. ' and. subcontractors to agree, to cooperate with. STATE .by making all
appropriate' and relevant PR'04ECT records available for audit ond.copying as required
by the following paragraph:.
ADMINISTERING " AGENCY; ADMINISTERING . AGENCY'S contractors and
subcontractors, and STATE shall each, maintain. and make available for inspection and
audit by STATE, the California State Auditor, or any duly authorized representative of.
'--STATE oTtha-,United-States ail bugles; 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• and ADMINISTERING AGENCY shall
furnish copies thereof requested. All of the above referenced parties shall make such
AGREEMENT; PROGRAM SUPPLEMENT, and, contract materials available at their
respective offices at all reasonable times during the entire PROJECT period and for three
(3) years from the date, of submission of the final expenditure report by the STATE to the
FHWA. .
L.. ADMINISTERING AGENCY,' its contractors and subcontractors shall establish and
maintain a financial mana'gempi nt system and records that properly accumulate and
segregate reasonable; allowable, and allocable' Incurred ..PROJECT costs and matching
funds by .line Item ' for ' the PROJECT: The . financial management system of
ADMINISTERING '_AGENCY, its contractors and all. subcontractors shall conform to
GenerallyAccepted Accounting.Principles, enable the'determination of Incurred costs at
interim points of completion, and provide support for reimbursement payment vouchers or
invoices set to or paid by.STATE.
M. ADMINISTERING AGENCY is required to have an audit in accordance with the Single
Audit Act of 2 CFR,200 if it expends $750,000 or more In Federal Funds in a single fiscal
year of the Catalogue of Federal. Domestic Assistance,
N. ADMINISTERING AGENCY, agrees to Include all PROGRAM SUPPLEMENTS
adopting the terms of this AGREEMENT In, the schedule of, projects to be examined in
ADMINISTERING AGENCY's 'annual audit and in the schedule. of projects to be
Program Supplement +165-R1• ISTEA Page 6 of 7
CML•5063(180)
SPECIAL COVENANTS OR REMARKS
examined under its single audit prepared In accordance with 2 CFR, Part 200.
O, :ADMINISTERING AGENCY shall not award'.@'non-A&E .contract over •$5,000,
construction contractsover $10,000',, ar. other contracts over $2'5,000' [excluding
professional service contracts of the type 'which, are required ..to. be procured in
accordance With.Government God'e 8ections.4525.(d), (e).and (f)j on the basis of a
noncompetitive negotiation for work to be performed.'uhder this AGREEMENT without the
prior written approval of STATE. Contracts awarded by ADMINISTERING'AGENCY, if
Intended as local match credit, must meet the requirements 'set forth In this AGREEMENT
regardfng•lob I match funds..
P...Any,subcontract'entered. into'by ADMINISTERING AGENCY as a result of this
AGREEMENT shall ' oontaln 'provisions B; C, F, H, I; K, and L under Section 2. of this
..agreement:
3. In the event that right of way acquisition for or•constructlon of this'project of the initial
federal •authorization for preliminary engineering is riot started by the, close of the tenth .
fiscal year following the fiscal year in which the project is authorized, the
ADMINISTERING AGENCY shall •repay. the. Federal Highway Administration through
Caltrans the sum of Federal funds paid under the t®rms of this agreement.
Appendix E of-t�Tifle Vl7Assurances (US-DOT-order.1050 2A)
During the performance of ' thIs agreement, .the; ADMINISTERING 'AGENCY;
ADMINISTERING.AGENGY'$ contractors and subcontractor, (hereinafter referred to as
the "contractor'.') agrees, to' comply with .the following nondiscrimination statutes and
authorities;. including but not limited to:
Pertinent Nondiscrimination Authorities:
A. Title VI of the Civil, Rights Act of 1964 (42 U.S.C. 2000d et seq., 78 stat. 252),
(prohibits discrimination on the basis of race; color, national origin); and 49 CFR Part 21. , .
B.,The Unifprm Relocation Assistance and Real Property Acquisition Policies Act.of 1970,
(42 U.S.C. 4601); (prohibits. unfair' treatmentofpersons displaced or whose property has
been acquired because of Federal or Federal -aid programs and projects); .
C, Federal -Aid Highway Act 00978, (23 U.S.C. 324 et seq.), (prohibits discrimination on,
the basis of sex);
D..Section 504 of the Rehabilitation Act of 1973, (29 :U.S.C. 794 et-seq.), as amended,
(prohi.bits discrimination on the basis of disability); and 49 CFR Part 27;
E. The Age Discrimination Act of 1975, as amended, (42' U.S.C. 6101.et seq.), (prohibits
discrimination o'n.the basis of age);
F. Airporf, and Airway Improvement Act of 1982, (49 U.S.C.4 71; Section 4 7123), as
amended; (prohibits discrimination based on race, creed; color; national'origin, or sex);
G.. The Civil. Rights,• Restoration Act of 1987, (PL. 100-209), (Broadened the scope,
coverage and applicability of.:Title VI of. the Civil, Rights; Act of 1964, The Age
Discrimination . Act of 1975 and Section 504 of the Rehabilitation . Act, of 1973, by
Program Supplement •oF165rR1- ISTEA' Page 6 of 7
a
CML•5063060) '
-SPECIAL, coVENANT$ OR REMARKS
expanding the, definition of the terms "programs or
activities" to Include all of the programs or activities of ,the Federal -aid recipients,
subreciplent8 and colitractors;.whether such programs or, activities are Federally funded
or not);
H. Titles II and .lil of -the Americans with. Disabilities Act, which prohibit discrimination on
the basis,of disability in the operetlon of:publlc entitles, public and private transportation .
systems, places of'public accommodation,.and c-stain test
ing'entilies (42,U.S.C. 12131-
12189) as implemented. by Department of Transport2tlon 'regulations et.49 C.F.R. parts
37 and 38;
I. The Federal Aviation Administration's Nondiscrimination .statute (40 U:S•C. 47123)
(prohibitsdiscrimination on the basis of race; color, national origin,.and sex);
J. Executive Order 12898, Federal Actions to Address Environmental Justice in Minority
Populations -and Low -Income Populations, which . ensures nondiscrimination against
minority, populations.. by ' .discouraging. .programs, policies, and 'activities •with
disproportionately •high and adverse. human health or:environmental effects on minority
and low-income populations;
K. Executive Order 13166, Improving Access,to _Services for, Persons with Limited English
Proficiency,. and resulting agency guidance, ,national origin discrimination includes
discrimination because of limited English proficiency (LEP). To ensure compliance with
Title Vl,,you,must take reasonable. steps to ensure that LEP persons have meaningful
access to, your programs (70 Fed: Reg.af 14087 to 74100);
- L. TItIe lX-ot-thy-E'daoatt rl AmundnieMasbf-1992 as -amended, which prohibits you from-
discriminating because of sex In education programs or activities (20 U.S.C. 1681 at seq).
Program Supplement -Ff UAII- ISTEA
Page 7 of 7
Jmf 1/24/17
RESOLUTION NO. 2017-005c4,
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA AUTHORIZING THE EXECUTIVE DIRECTOR
OF THE PUBLIC WORKS AGENCY TO EXECUTE ALL
PROGRAM SUPPLEMENT AGREEMENTS REQUIRED BY
REVISED MASTER AGREEMENT NO. 12-5063F15 WITH
THE CALIFORNIA DEPARTMENT OF TRANSPORTATION
FOR FEDERAL -AID PROJECTS
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS
FOLLOWS:
Section 1. The City Council of the City of Santa Ana hereby finds, determines
and declares as follows:
A. On October 18, 2016, the City Council approved the Revised Administering
Agency -State Master Agreement No. 12=5063FIB for Federal -Aid Projects
with the California Department of Transportation (Caltrans), which provides
for the City's reimbursement of federally funded transportation projects.
B. The Revised Master Agreement No. 12-5063F15 incorporates various
changes in regulations and policies.
C. Under the Revised Master Agreement No. 12-5063F15, project -specific
Program Supplements are issued, and these Program Supplements
constitute the contractual basis for Caltrans to reimburse the City for federally
funded transportation projects.
Section 2. The City Council hereby authorizes the Executive Director of the
Public Works Agency to execute all Program Supplement Agreements required by
Revised Master Agreement No. 12-5063F15.
Section 3. This Resolution shall take effect immediately upon its adoption by
the City Council, and the Clerk of the Council shall attest to and certify the vote adopting
this Resolution.
ADOPTED this 7th day of February, 2017.
9
.,y A. Puiido
Mayor
Resolution No. 2017-005
Page 1 of 2
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By:
Jc&fn M. Funk
Assistant City Attorney
AYES: Councilmembers Martinez Pulido Sarmiento Solorio
Villeaas (5)
NOES:
Councilmembers
None
(0)
ABSTAIN:
Councilmembers
None
(0)
NOT PRESENT: Councilmembers Benavides, Tinaiero (2)
--- — -- ------ CERTIFICATE -OF —ATTESTATION -AND -ORIGINALITY ------- ------------
I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached
Resolution No. 2017-005 to be the original resolution adopted by the City Council of the
City of Santa Ana on February 7, 2017,
Date: �' /a j7
Maria D. Hulzar
Clerk of the Council
City of Santa Ana
Resolution No, 2017-005
Page 2 of 2