HomeMy WebLinkAboutState of California - Department of Transportation - 2018-08-15 (4) STATE OF CALIFORNIA-CALIFORNIA STATE TRANSPORTATION AGENCY EDMUND G.BROWN Jr.,Governor
DEPARTMENT OF TRANSPORTATION
r +' :
Division of Local Assistance
1120 N STREET
P.O. BOX 942874, MS#1
Sacramento, CA 94274-0001
TTY 711
File : 12-ORA-0-HNTB
HSIPL-5181(185)
November 29, 2018 Slater Avenue from Goldenwest
Street to Gothard Street(Inconnect)
&modify traffic signal at Gothard St.
Mr. Travis Hopkins
Director of Public Works
City of Huntington Beach
2000 Main St.
Huntington Beach, CA 92648
Attn: Mr.William Janusz
Dear Mr. Hopkins:
Enclosed is your fully executed copy of Program Supplement Agreement No. 055-N1 to Administering Agency-State
Agreement No. 12-5181 R.
Sincerely,
JOHN HOOLE, Chief
Office of Project Implementation - South
Division of Local Assistance
Enclosure
c: DLA AE Project Files
(12) DLAE -Tifini Tran
PROGRAM SUPPLEMENT NO. N055 Rev. 1 Adv Project ID Date: August 15, 2018
to 1215000135 Location: 12-ORA-0-HNTB
ADMINISTERING AGENCY-STATE AGREEMENT Project Number: HSIPL-5181(185)
FOR FEDERAL-AID PROJECTS NO 12-5181 R E.A. Number:
Locode: 5181
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 12l06l06 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.2b%-1p2 approved by the Administering Agency on ►JOV. f 912z1q
(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:
Slater Avenue from Goldenwest Street to Gothard Street(Inconnect)& modify traffic signal at Gothard St. & Slater Ave.
Intersection.
TYPE OF WORK: Signal interconnect conduit and upgrade traffic signals for protective LENGTH: 0A(MILES)
left-turn phasing
Estimated Cost Federal Funds Matching Funds
MS3E $290,300.00 LOCAL OTHER
$321,300.00i $31,000.00 $0.00
i
CITY OF HUNTINGTON BEACH STATE OF CALIFORNIA
Department of Transportation
By LL By
TILTitle �S Chief, Office of Project Implementation
Date
A Division of Local Assistance
Attest
Date - - — ---
I hereby certify upon my personal knowledge that budgeted funds are available for this encumbrance:
Accounting Officer-_ _._, _ Date ' $290.300.00
Program Supplement 12-5181 R-N055-R1-ISTEA Page 1 of 7
STATE OF CALIFORNIA.DEPARTMENT OF TRANSPORTATION
PROGRAM SUPPLEMENT AND CERTIFICATION FORM
PSCF(REV.01/2010)
Page_1_of_7_
TO: STATE CONTROLLERS OFFICE DATE PREPARED: PROJECT NUMBER:
Claims Audits 8115/2018 1215000135
3301"C"Street,Rm 404 REQUISITION NUMBER I CONTRACT NUMBER:
Sacramento,CA 95816 CT-2660-126181055N
FROM:
Department of Transportation
SUBJECT:
Encumbrance Document
VENDOR/ LOCAL AGENCY:
CITY OF HUNTINGTON BEACH
$290,300.00
PROCUREMENT TYPE:
Local Assistance
CHAPTER STATUTES ITEM YEAR PEC/PECT TASK ISUBTASK AMOUNT
10 2015 2660-102-0890 2015-2016 20.30.010.550 2620/0420 $12,000.00
14 2017 2660-102-0890 2017-2018 20.30.010.550 2620/0420 $278,300.00
TOTAL CONTRACT AMOUNT $290,300.00
ADA Notice For individuals with sensory disabilities,this document is available in alternate formats.For information,call(915)654-6410 of TDD(916)-3880 or write
Records and Forms Management,1120 N.Street,MS-89,Sacramento,CA 95814.
12-ORA-0-HNTB 08115/2018
HSIPL-5181085)
SPECIAL COVENANTS OR REMARKS
Chapter Statutes Item Year Program BC Category Fund Source AMOUNT
Program Supplement 12-5181 R-N055-RI-ISTEA Page 2 of 7
12-ORA-0-HNTB 0 8/1 512 0 1 8
HSIPL-5181(185)
SPECIAL COVENANTS OR REMARKS
1. A. The ADMINISTERING AGENCY will advertise, award and administer this project in
accordance with the current published Local Assistance 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 further State or Federal funds are needed for those future
phase(s).
C. STATE and ADMINISTERING AGENCY agree that any additional funds which might
be made 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 Federal Highway Administration.
D. Award information shall be submitted by the ADMINISTERING AGENCY to the
District Local Assistance Engineer within 60 days of project contract award and prior to
the submittal of the ADMINISTERING AGENCY'S first invoice for the construction
contract.
Failure to do so will cause a delay in the State processing invoices for the construction
phase. Attention is directed to Section 15.7 "Award Package" of the Local Assistance
Procedures Manual.
E. ADMINISTERING AGENCY agrees, as 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
authorizationslobligations for Federal aid projects, or encumbrances for State funded
projects, as well as to suspend invoice 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 documents 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 12-5181 R-NO55-RI-ISTEA Page 3 of 7
12-ORA-0-HNTB 08/15/2018
HSIPL-5181085)
SPECIAL COVENANTS OR REMARKS
assisted contract or in the administration of its DBE Program Implementation Agreement.
The Administering Agency 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. Implementation of the DBE Implementation Agreement,
including but not limited to timely reporting of DBE commitments 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 impose 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 project 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 is 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 the 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 Programs 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 is 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 unexpended 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 12-5181 R-NO55-RI-ISTEA Page 4 of 7
12-ORA-0-HNTB 08/15/2018
HSIPL-5181(185)
SPECIAL COVENANTS OR REMARKS
Federal Regulation (CFR) and 2 CFR Part 200 federal requirements, and all 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. Invoices shall be submitted on ADMINISTERING AGENCY letterhead that includes
the address of ADMINISTERING AGENCY and shall be formatted in accordance with
LOCAL ASSISTANCE PROCEDURES.
C. ADMINISTERING AGENCY must have at least one copy of supporting backup
documentation 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, but is not limited to, agency's progress payment to the contractors, copies of
cancelled checks showing amounts made payable to vendors and contractors, and/or a
computerized summary of PROJECT costs.
D. Indirect Cost Allocation Plan/Indirect Cost Rate Proposals (ICAP/ICRP), Central
Service Cost Allocation Plans and related documentation are to be prepared and provided
to STATE (Caltrans Audits & Investigations) for review and approval prior to
ADMINISTERING AGENCY seeking reimbursement of indirect costs incurred within each
fiscal year being claimed for State and federal reimbursement. ICAPs/ICRPs must be
prepared in accordance with,the requirements set forth in 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 claimed 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 difference, and any overpayments inadvertently paid by STATE
shall be reimbursed to STATE by ADMINISTERING AGENCY on demand within thirty
(30) 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 Principles and Procedures,
Program Supplement 12-5181 R-N055-R1-ISTEA Page 5 of 7
1`-ORA-0-HNTB 08/15/2018
HSIPL-5181(186)
SPECIAL COVENANTS OR REMARKS
48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be
used to determine the allowability 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) 10300-10334 (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 1, Part 31, and other applicable STATE and FEDERAL
regulations, 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 PROJECT records available for audit and 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 or the United States 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 and ADMINISTERING AGENCY shall
furnish copies thereof if 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 management 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
Generally Accepted 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
Program Supplement 12-5181 R-NO55-R1-ISTEA Page 6 of 7
12-ORA-0-HNTB 08/15/2018
HSIPL-5181(185)
SPECIAL COVENANTS OR REMARKS
ADMINISTERING AGENCY's annual ,audit and in the schedule of projects to be
examined under its single audit prepared in accordance with 2 CFR, Part 200.
O. ADMINISTERING AGENCY shall not award a non-A&E contract over $5,000,
construction contracts over $10,000, or other contracts over $25,000 [excluding
professional service contracts of the type which are required to be procured in
accordance with Government Code sections 4525 (d), (e) and (f)] on the basis of a
noncompetitive negotiation for work to be performed under 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
regarding local match funds.
P. Any subcontract entered into by ADMINISTERING AGENCY as a result of this
AGREEMENT shall contain provisions B, C, F, H, I, K, and L under Section 2 of this
agreement.
Program Supplement 12-5181 R-NO55-R1-ISTEA Page 7 of 7
RESOLUTION NO.2018-62
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF HUNTINGTON BEACH
AUTHORIZING THE DIRECTOR OF PUBLIC WORKS TO EXECUTE PROGRAM
SUPPLEMENTS TO THE CALIFORNIA DEPARTMENT OF TRANSPORTATION
MASTER AGREEMENT FOR TRANSPORTATION PROJECTS
WHEREAS, the City of Huntington Beach is eligible to receive federal and/or state
funding for certain transportation projects through the California Department of Transportation;
and
California Department of Transportation requires the execution of Master Agreements,.
Program Supplemental Agreements, Fund Exchange Agreements and/or Fund Transfer
Agreements prior to claiming designated funds; and
The City wishes to delegate authorization to the Director of Public Works to execute
>> these agreements and any amendments thereto,
NOW,THEREFORE, the City Council of the City of Huntington Beach does hereby
resolve that the Director of Public Works is authorized to execute all Master Agreements,Master
Agreements, Program Supplemental Agreements, Fund Exchange Agreements and/or Fund
Transfer Agreements and any amendments thereto with the California Department of
Transportaticn.
PASSED AND ADOPTED by the City Council of the City of Huntington''Beach at a
regular meeting thereof held•on the 19th day of November ,2018
0
Mayor
REVIE APPROVED:
INITIATED AND APPROVED:
City qlngyeil -----
tirector of Public Works
APPROVED A,81a( M:
tity?Aorney A.v
7
t8-6949/190558
Res. No. 2018-62
STATE OF CALIFORNIA
COUNTY OF ORANGE ) ss:
CITY OF HUNTINGTON BEACH )
I, ROBIN ESTANISIAU, the duly elected, qualified City Clerk of the
City of Huntington Beach;and ex-officio Clerk of the City Council of said City, do
hereby certify that the whole number of members of the City Council of the City of
Huntington Beach is seven; that the foregoing resolution was passed and adopted
by the affirmative vote of at;least a majority of all the members of said City Council
at a Regular meeting thereof held on November 19, 2018 by the following vote:
AYES: O'Connell, Semeta, Peterson, Posey, Delgleize, Hardy, Brenden
NOES: None
ABSENT: None
RECUSE: None
City Clerk and ex-officio Clerk of the
City Council of the City of
Huntington Beach, California
STATE OF CALIFORNIA-CALIFORNIA STATE TRANSPORTATION AGENCY EDMUND G.BROWN Jr.,Governor
DEPARTMENT OF TRANSPORTATION
Division of Local Assistance
1120 N STREET
P.O. BOX 942874, MS#1 :
Sacramento,CA 94274-0001
TTY 711
File: 12-ORA-0-HNTB
HSIPL-5181(185)
August 28,2018 Slater Avenue from Goldenwest
Street to Gothard Street(Inconnect)
&modify traffic signal at Gothard St.
Mr. Travis Hopkins
Director of Public Works
City of Huntington Beach
2000 Main St.
Huntington Beach, CA 92648
Attn: Mr. Bill Janusz
Dear Mr. Hopkins:
Enclosed are two originals of the Program Supplement Agreement No. 055-Nl to Administering Agency-State
Agreement No. 12-5181 R and an approved Finance Letter for the subject project. Please retain the signed Finance
Letter for your records.
Please note that federal funding will be lost if you proceed with future phase(s) of the project prior to getting
the"Authorization to Proceed"with that phase.
Please review the covenants and sign both copies of this Agreement and return both to this office, Office of Project
Implementation - MS1 within 90 days from the receipt of this letter. If the signed Agreements are not received back in
this office within 90 days, funds will be disencumbered and/or deobligated. Alterations should not be made to the
agreement language or funding. IT IS HIGHLY RECOMMENDED THAT YOUR AGENCY RESOLUTION NO. 2010-29
FROM 2010 BE UPDATED WITH YOUR COUNCIL AND ATTACH THE UPDATED CERTIFIED AUTHORIZING
RESOLUTION THAT CLEARLY IDENTIFIES THE OFFICIAL AUTHORIZED TO EXECUTE THE AGREEMENT. A fully
executed copy of the agreement will be returned to you upon ratification by Caltrans. No invoices for reimbursement
can be processed until the agreement is fully executed.
The State budget authority supporting the encumbered funds is only available for liquidation up to specific deadlines.
These deadlines are shown on the attached Finance letter as the "Reversion Date". Please ensure that your invoices
are submitted at least 60 days prior to the reversion date to avoid any lapse of funds. If your agency is unable to seek
reimbursement by this date you may request an extension through a Cooperative Work Agreement (CWA). A CWA is
subject to the final approval of the State Department of Finance. If approved, the CWA may extend the deadline for up
to two years.
Your prompt action is requested. If you have questions, please contact your District Local Assistance Engineer.
Sincerely,
4et�4
, ,JOHN HOOLE, Chief
Office of Project Implementation -South
Division of Local Assistance
Enclosure
c: DLA AE Project Files
(12)DLAE -Tifini Tran
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PROGRAM SUPPLEMENT NO. N055 Rev. 1 Adv Project ID Date: August 15,2018
to 1215000135 Location: 12-ORA-0-HNTB
ADMINISTERING AGENCY-STATE AGREEMENT Project Number: HSIPL-5181(185)
FOR FEDERAL-AID PROJECTS NO 12-5181R E.A. Number:
Locode: 5181
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 12/06/06 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. approved by the Administering Agency on
(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:
Slater Avenue from Goldenwest Street to Gothard Street(Inconnect)&modify traffic signal at Gothard St.&Slater Ave.
Intersection.
TYPE OF WORK: Signal interconnect conduit and upgrade traffic signals for protective LENGTH: OA(MILES)
left-turn phasing
-- ----- ......... --
Estimated Cost Federal Funds Matching Funds
MS3E $290,300.00 LOCAL ---- --- -- OTHER
$321,300.00 $31,000.0 $0.00
CITY OF HUNTINGTON BEACH STATE OF CALIFORNIA
Department of Transportation
By By
Title -Dig-e ms- a� t�elL.�i c Lj.)O s Chief,Office of Project Implementation
Date Division of Local Assistance
Attest Date
I hereby certify upon my personal knowledge that budgeted funds are available for this encumbrance:
Accounting Officer _ ` Date d1 $290.300.00
Program Supplement 12-5181 R-NO55-RI-ISTEA Page 1 of 7
STATE OF CALIFORNIA.DEPARTMENT OF TRANSPORTATION
PROGRAM SUPPLEMENT AND CERTIFICATION FORM
PSCF(REV.01/2010)
Pare 1 n(
TO STATE CONTROLLER'SOFFICE DATE PREPARED. PROJECT NUMBER
Claims Audits 8/15/2018 1215000135
3301 "C"Street,Rm 404 REQUISITION NUMBER t CONTRACT NUMBER:
Sacramento,CA 95816 CT-2660-125181055N
FROM
Department of Transportation
SUBJECT.
Encumbrance Document
VENDOR i LOCAL AGENCY
CITY OF HUNTINGTON BEACH
$290,300.00
PROCUREMENT TYPE,
Local Assistance
CHAPTER STATUTES ITEM YEAR PEC/PECT TASK/SUBTASK AMOUNT
10 2015 2660-102-0890 2015-2016 20.30.010.550 2620/0420 $12,000.00
14 2017 2660-102-0890 2017-2018 20.30.010.550 2620/0420 $278,300.00
TOTAL CONTRACT AMOUNT $290,300.00
For Individuals with sensory disabilities,this document is available in alternate formats.For information,call(915)654-6410 of TDD(916)-3880 or write
ADA Notice Records and Forms Management,1120 N.Street,MS-89.Sacramento,CA 95814
12-(BRA-0-HNTB 08116/2018
HSIPL-5181(185)
SPECIAL COVENANTS OR REMARKS
Chapter Statutes Itern Year Program BC Citegbry Fund.Source AMOUNT
... ...........
Program Supplement 12-6181 R-NO55-RI-ISTEA Page 2 of 7
12-+ORA-0-HNTB 08/15/2018
HSIPL,-5181(185)
SPECIAL COVENANTS OR REMARKS
1. A. The ADMINISTERING AGENCY will advertise, award and administer this project in
accordance with the current published Local Assistance 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 phases) unless no further State or Federal funds are needed for those future
phase(s).
C'. STATE and ADMINISTERING AGENCY agree that any additional funds which might
be made 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 Federal Highway Administration.
D. Award information shall be submitted by the ADMINISTERING AGENCY to the
District Local Assistance Engineer within 60 days of project contract award and prior to
the submittal of the ADMINISTERING AGENCY'S first invoice for the construction
contract.
Failure to do so will cause a delay in the State'processing invoices for the construction
phase. Attention is directed to Section 15.7 "Award Package" of the Local Assistance
Procedures Manual.
E. ADMINISTERING AGENCY agrees, as 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, or encumbrances for State funded
projects; as well :as to suspend invoice 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
activityalong with.target billing date and target billing amount.
ADMINISTERING AGENCY agrees to submit the final report documents 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,
I
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-
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assisted contract or in the administration of. its DBE.Program Implementation Agreement.
The Administering Agency 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. Implementation of the DBE Implernentation Agreement,
including but not limited to timely reporting of DBE commitments 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 impose 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 project 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 is 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
t 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 the 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 Programs Accounting Office for reimbursable work for fonds 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 is not received by the Department's Local Programs Accounting
Office at least 45 days prior to th.e,applica.ble fixed fund Reversion Date.will
11 not be paid.
These unexpended 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'
y referred to as "LOCAL
ASSISTANCE PROCEDURES") rel.ating'to the federal-aid program, all Title 23 Code of
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Federal Regulation (CFR) and 2 CFR Part 200 federal requirements, and all 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. Invoices shall be submitted on ADMINISTERING AGENCY letterhead that includes
the address of ADMINISTERING AGENCY and shall be formatted in accordance with
LOCAL ASSISTANCE PROCEDURES.
C. ADMINISTERING AGENCY must have at least one copy of supporting backup
documentation 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, but is not, 'limited to, agency's progres's payment to the contractors, copies of
cancelled checks showing amounts made payable to vendors and contractors, and/or a
computerized summary of PROJECT costs.
D. Indirect Cost Allocation Plan/Indirect Cost. Rate Proposals (!CAP/ICRP), Central
Service Cost Allocation Plans and related documentation are to be prepared and provided
to STATE (Caltrans Audits & Investigations) for review and approval prior to
ADMINISTERING AGENCY seeking reimbursement of indirect costs incurred within each
fiscal year being claimed for State and federal reimbursement. ICAPs/ICRPs must be
prepared in accordance with,the requirements set forth in 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 claimed 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 difference, and any overpayments inadvertently paid by STATE
shall be reimbursed to STATE by ADMINISTERING AGENCY on demand within thirty
(30) 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 Principles and Procedures,
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48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be
used to determine the allowability 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) 10300-1.0334 (procurement of goods), PCC 10335-1.0381
(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 1, Part 31, and other applicable STATE and FEDERAL
regulations, 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,PROJECT records available for audit and 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 or the United States 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 and ADMINISTERING AGENCY shall
furnish copies thereof if 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 management 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
Generally Accepted 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
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ADMINISTERING AGENCY's annual audit and in the schedule of projects to be
examined under its,single audit prepared in accordance with 2 CFR, Part 200.
O. ' ADMINISTERING AGENCY shall not award a non-A&E contract over $5,000,
construction contracts over $10,000, or other contracts over $25,000 [excluding
professional service contracts of the type which are required to be procured in
accordance with Government Code sections 4525 (d), (e) and (0] on the basis of a
noncompetitive negotiation for work to be performed under 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
regarding local match funds.
P. Any subcontract entered into by ADMINISTERING AGENCY as a result of this
AGREEMENT shall contain provisions B, C, F, H, 1, K, and L under Section 2 of this
agreement.
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