HomeMy WebLinkAboutItem 15 - Approve Agreement with CalTrans to Receive RAISE Grant Funds for the Santa Ana Boulevard Grade Separation Project 15. Approve Designated Subrecipient Agreement with California Department of
Transportation to Receive RAISE Grant Funds for the Santa Ana Boulevard Grade
Separation Project (No. 26-6718) (Non-General Fund)
Department(s):
Recommended Action: Authorize the City Manager to execute a Designated
Subrecipient Agreement with California Department of Transportation to receive
RAISE grant funds, in the amount of$25,000,000, for the Santa Ana Boulevard
Grade Separation Project (Agreement No. A-2026-XXX).
Public Works Agency
www.santa-ana.org/pw
Item # 15
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
July 21, 2026
TOPIC: Approve Designated Subrecipient Agreement with California Department of
Transportation for Santa Ana Boulevard Grade Separation Project
AGENDA TITLE
Approve Designated Subrecipient Agreement with California Department of
Transportation to Receive RAISE Grant Funds for the Santa Ana Boulevard Grade
Separation Project (No. 26-6718) (Non-General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute a Designated Subrecipient Agreement with
California Department of Transportation to receive RAISE grant funds, in the amount of
$25,000,000, for the Santa Ana Boulevard Grade Separation Project (Agreement No. A-
2026-XXX).
GOVERNMENT CODE 484308 APPLIES: No
DISCUSSION
Background
On January 4, 2011, the City Council approved an agreement with AECOM Engineering
Services to prepare a Project Study Report Equivalent (PSRE) and develop conceptual
engineering plans for the Santa Ana Boulevard Grade Separation (SAGS) Project. At
the time, staff secured $1,500,000 in funding from the Orange County Transportation
Authority (OCTA) to complete the PSRE and conceptual engineering phase.
The proposed SAGS project (Exhibit 1) is adjacent to the Santa Ana Regional
Transportation Center (SARTC), and will include a new four-lane underpass to replace
the existing at-grade rail crossing at the Southern California Regional Rail Authority
(SCRRA) double tracks on Santa Ana Boulevard. By eliminating the at-grade crossing,
the project will allow for enhanced safety by separating vehicles, pedestrians, and
cyclists from trains at the railroad crossing. It will reduce traffic congestion along a busy
arterial, encourage a passenger rail mode shift, reduce air and noise pollution, provide
unhindered access for emergency vehicles, and provide connectivity across Santa Ana
Boulevard to SARTC. The improvements will include a raised median, bike lanes,
sidewalks, pedestrian and rail bridges, storm water pump station, space for a
transportation opportunity zone, and a pedestrian plaza. The total cost of this project is
estimated to be $126,500,000 and can only be realized with grant funding, which is
typical for transportation projects of this magnitude.
Approve Designated Subrecipient Agreement with California Department of
Transportation for Santa Ana Boulevard Grade Separation Project
July 21, 2026
Page 2
In 2014, the City Council approved the PSRE and environmental report for the proposed
SAGS project. This action transformed SAGS from a concept to a formally identified
capital improvement project for the City and allowed staff to pursue grant funding for the
project.
To date, the City has been awarded a total of$32,000,000 to fund the project including
the following grants:
• $7,000,000 grant from the State Transit and Intercity Rail Capital Program
(TIRCP)
• $25,000,000 grant from the Federal Rebuilding American Infrastructure with
Sustainability and Equity (RAISE) program
Staff will continue to seek additional grants from both State and Federal programs for
the unfunded portions of the Right-of-Way and construction phases of the Project.
TIRCP Grant
On May 5, 2026 the City Council approved an appropriation adjustment recognizing the
$7,000,000 grant from the TIRCP program to the City to fund the engineering phase
and the revalidation of the project's environmental documentation. The grant will fund
the engineering design phase, update the project's environmental documentation, and
cover the design services.
RAISE Grant
On June 26, 2024, the City was awarded $25 million through the federal United States
Department of Transportation (USDOT) Rebuilding American Infrastructure with
Sustainability and Equity (RAISE) Grant Program. The grant funding will support the
project's right-of-way acquisition and construction phases. Due to the project's location
within an active railroad corridor and its eligibility under state-administered federal
transportation programs, the California Department of Transportation (Caltrans) was
designated as the primary recipient and administrator of the federal grant funds on
behalf of the project.
As part of the grant award process, Caltrans entered into a grant agreement with
USDOT establishing the terms, conditions, and requirements for administering the
federal funds. The City Council approved the grant agreement between Caltrans and
USDOT on May 5, 2026, acknowledging the federal funding award and authorizing
participation in the program.
The Designated Subrecipient Agreement (DSA) establishes the formal relationship
between Caltrans, as the primary recipient of the federal RAISE funds, and the City of
Approve Designated Subrecipient Agreement with California Department of
Transportation for Santa Ana Boulevard Grade Separation Project
July 21, 2026
Page 3
Santa Ana, as the project sponsor and implementing agency. The DSA is required to
allow federal funds to be passed through from Caltrans to the City for eligible project
activities.
The DSA also defines the responsibilities of both agencies, including project delivery,
financial management, reporting requirements, environmental compliance, right-of-way
acquisition procedures, procurement standards, and construction administration
requirements associated with the use of federal funds.
Approval of the DSA is necessary for the City to access the awarded RAISE grant
funding and proceed with future reimbursement requests for eligible project costs.
Without this agreement, the City would be unable to receive federal reimbursement for
right-of-way acquisition and construction expenditures associated with the Santa Ana
Boulevard Grade Separation Project.
Staff recommends approval of the DSA to allow staff to begin the authorization process
to make the funding available for expenditure.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with the recommended action. On May 5,
2026, the City Council approved the design phase services for the project, including
preparation of a revalidated environmental document to update the previously certified
environmental analysis. A revalidated environmental report will be brought to Council for
consideration at a future meeting.
FISCAL IMPACT
There is no fiscal impact at this time. Future amendments for Right-of-Way (ROW)
Engineering and Construction Support services will be brought forward for City Council
consideration and approval as additional grant funding for the project becomes
available.
EXHIBIT(S)
1. Location Map
2. Agreement with U.S Department of Transportation (USDOT) and the California
Department of Transportation (Caltrans)
3. Designated Subrecipient Agreement with Caltrans
Submitted By: Rodolfo Rosas, P.E., Acting Executive Director of Public Works Agency
Approved By: Alvaro Nunez, City Manager
EXHIBIT 1
Lead
Project Location
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EXHIBIT 1
HEN ORANG
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SANTA ANA 32� coG
P W A SANTA ANA BLVD.
GRADE SEPARATION PROJECT
PUBLIC WORKS AGENCY
Exhibit 2
IrASUPAWE NOT REQUIRED Return FULLY EXECUTED
kVORK MAY PGtCLED Copy to City Clerk, M-30
C A-2026-066
CITY CLERK
DATE. MAY 2 6 2026
0.PNti W U.S. DEPARTMENT OF TRANSPORTATION
Keri �vak {DZ)
GRANT AGREEMENT UNDER THE
FISCAL YEAR 2024 RAISE PROGRAM
This agreement is between the United States Department of Transportation (the "USDOT")
and the California Department of Transportation (the "Recipient").
This agreement reflects the selection of the Recipient to receive a RAISE Grant for the Santa
Ana Boulevard Grade Separation Project.
If schedule A to this agreement identifies a Designated Subrecipient, that Designated
Subrecipient is also a party to this agreement, and the parties want the Designated Subrecipient
to carry out the project with the Recipient's assistance and oversight.
The parties therefore agree to the following:
ARTICLE 1
GENERAL TERMS AND CONDITIONS.
1.1 General Terms and Conditions.
(a) In this agreement, "General Terms and Conditions" means the content of the document
titled"General Terms and Conditions Under the Fiscal Year 2024 RAISE Program:
FHWA Projects,"dated November 4 2025, which is available at
https://www.transportation.�ov/BUILDgrantslgrant-agreements. The General Terms and
Conditions reference the information contained in the schedules to this agreement.The
General Terms and Conditions are part of this agreement.
(b) The Recipient states that it has knowledge of the General Terms and Conditions.
(c) The Recipient acknowledges that the General Terms and Conditions impose obligations
on the Recipient and that the Recipient's non-compliance with the General Terms and
Conditions may result in remedial action,terminating of the RAISE Grant, disallowing
costs incurred for the Project, requiring the Recipient to refund to the USDOT the RAISE
Grant, and reporting the non-compliance in the Federal-government-wide integrity and
performance system.
ARTICLE 2
SPECIAL TERMS AND CONDITIONS.
There are no special terms for this award.
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Exhibit 2
SCHEDULE A
ADMINISTRATIVE INFORMATION
1. Application.
Application Title: Santa Ana Grade Separation Project
Application Date: 2/28/2024
2. Recipient's Unique Entity Identifier.
See section 28.3 of the General Terms and Conditions.
3. Recipient Contact(s).
Kathleen Nguyen
Local Assistance Branch Chief, Caltrans District 12
California Department of Transportation(Caltrans)
1750 E 41" Street, Santa Ana, CA 92705
(805) 732-9777
Kathleen.N auyen 2dot,ca.gov
Mahta Movasat, Ph.D., P.E.
Local Assistance Area Engineer, Caltrans District 12
California Department of Transportation (Caltrans)
1750 E 4tn Street, Santa Ana, CA 92705
(805) 732-9804
Mahta.Movasat(2c dot.ca.gov
Anmol Mishra
RAISE Grant Program Coordinator
California Department of Transportation (Caltrans)
1120 N Street, Sacramento, CA 95814
(279) 599-4996
Antnol.Mishra.c dot.ca.gov
Discretionary Grants Coordinator
Federal Infrastructure Programs Branch
Division of Local Assistance
P.O. Box 942874, MS-1, Sacramento, CA 94274-0001
Discretionatw.Grants,c dot.ca.gov
4. Recipient Key Personnel.
None.
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Exhibit 2
5. USDOT Project Contact(s).
Zylkia Martin-Yamb6, F.E.
Team Leader, Project Delivery
FHWA California Division
United States Department of Transportation
888 South Figueroa St., Suite 440, Los Angeles, CA 90017
(213) 894-6663
Zvlkia.Martin-Yatnbo cc,dot.gov
6. Payment System.
USDOT Payment System: FMIS
7. Office for Subaward and Contract Authorization.
USDOT Office for Subaward and Contract Authorization: FHWA Division
8. Federal Award Identification Number.
See section 28.2 of the General Terms and Conditions.
9. Designated Subrecipient.
Designated Subrecipient: City of Santa Ana
Designated Subrecipient Point of Contact:
Jason Gabriel
CIP Engineering Manager
City of Santa Ana
20 Civic Center Plaza Ross Annex, M-36, Santa Ana, CA 92701
(714) 647-5664
ig-abriel dsanta-ana.org
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Exhibit 2
SCHEDULE B
PROJECT ACTIVITIES
1. General Project Description.
This project will fund the reconstruction of an existing rail crossing with the Southern
California Regional Rail Authority (SCCRA) Orange Line double tracks at Santa Ana
Boulevard, adjacent to the Santa Ana Regional Transportation Center,with a new
multimodal grade separated underpass. The reconstructed roadway will be reduced from
six-lanes to four-lanes with on-street protected bikeways, sidewalks, and a pedestrian
overcrossing is included that parallels the rail line.
2. Statement of Work.
Base Phase: Right of Way Acquisition,
Option Phase 1: Construction
The project will reconstruct the existing at-grade highway-rail crossing of Santa Ana
Boulevard and the Southern California Regional Rail Authority Orange Line double
tracks. The project will replace the existing crossing with an underpass structure and
lower the roadway beneath the rail corridor. The underpass structure will be a three span
steel girder bridge on concrete columns and abutments as well as concrete retaining
walls. The roadway will be reconfigured to a four-lane corridor with approximately 12-
foot vehicle lanes, approximately 12-foot median, approximately 6-foot protected
bikeways with an approximately 3-foot landscaped buffer, and approximately 8-foot
sidewalks under two of the bridge spans.The third underpass span will be used as a
pedestrian plaza with landscaping and an approximately 20-foot area set aside for a future
transit corridor. Additionally,the project will construct an approximately 10-foot-wide
concrete pedestrian bridge parallel to the south side of the tracks over Santa Ana
Boulevard.
The project includes intersection modifications. The Santiago Street intersection will be
reconstructed,modify the existing traffic signal, and replacing curb ramps to meet
Americans with Disabilities Act(ADA) compliance.The Logan Street intersection will
be closed.The Fuller Street intersection will be upgraded to include a new traffic signal,
ADA compliant curb ramps, and 6-foot-wide side connecting the intersection to the Santa
Ana Regional Transportation Center.
The project also involves utility improvements. A stormwater pump station will be
constructed in the grade separation area.Water, sewer, natural gas,and
telecommunications facilities will be relocated into a utility corridor along the
southbound vehicle lanes.
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Exhibit 2
SCHEDULE C
AWARD DATES AND PROJECT SCHEDULE
1. Award Dates.
Base Phase Budget Period End Date: 12/31/2028
Option Phase 1 Budget Period End Date:12/31/2032
Period of Performance End Date: See section 28.5 of the General Terms and
Conditions
2. Estimated Project Schedule.
Milestone Schedule Date
Planned Right of Way Certification Date: 12/31/2027
Planned Construction Substantial Completion and 12/31/2031
Open to Traffic Date:
3. Special Milestone Deadlines.
Milestone Schedule Date
Planned SCCRA Design Approval Date 08/01/2027
Planned SCCRA Construction and Maintenance 12/31/2027
Agreement Finalization Date
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Exhibit 2
SCHEDULE D
AWARD AND PROJECT FINANCIAL INFORMATION
1. Award Amount.
RAISE Grant Amount: $25,000,000
2. Federal Obligation Information.
Federal Obligation Type: Multiple
Obligation Condition Table
Portion of the Project Portion of the Obligation Condition
RAISE Grant
Base Phase: ROW $18,091,000
i
Option Phase 1: $6,909,000 Upon confirmation that all applicable Federal
Construction requirements have been met.
3. Approved Project Budget.
Eligible Project Costs
Right of Way Construction Total
RAISE Funds: $18,091,000 $6,909,000 $25,000,000
Other Federal Funds: $0 $32,592,000 $32,592,000
Non-Federal Funds: $4,523,000 $9,875,000 $14,398,000
Total: $22,614,000 $49,376,000 $71,990,000
4. Cost Classification Table
Reserved.
5. Approved Pre-award Costs
None. The USDOT has not approved under this award any costs incurred under an
advanced construction authorization(23 U.S.C. 115),any costs incurred prior to
authorization(23 CFR 1.9(b)), or any pre-award costs under 2 CFR 200.458.
6 of 14
Exhibit 2
SCHEDULE E
CHANGES FROM APPLICATION
Scope:No changes.
Schedule: Planned Construction Substantial Completion and Open to Traffic Date was extended
from January 1, 2030,to December 31, 2031, to provide additional schedule to complete right of
way acquisitions and construction. The amended completion date factors in the contract timeline,
and all necessary coordination and reviews,which were not the basis for the completion date
calculation at the time of the original application.
The table below compares the Project milestone dates.
Milestone Application Schedule C
Planned Right of Way Certification Date: 09/30/2026 12/31/2027
Planned Construction Substantial Completion and
Open to Traffic Date: l/1/2030 12/31/2031
Budget:No changes.
Other: N/A.
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Exhibit 2
SCHEDULE F
RAISE PROGRAM DESIGNATIONS
1. Urban or Rural Designation.
Urban-Rural Designation: Urban
2. Capital or Planning Designation.
Capital-Planning Designation: Capital
3. Historically Disadvantaged Community/Area of Persistent Poverty Designation.
HDC/APP Designation: Yes
4. Funding Act.
Funding Act: IIJA
5. Security Risk Designation,
Security Risk Designation: Low
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Exhibit 2
SCHEDULE G
RAISE PERFORMANCE MEASUREMENT INFORMATION
Study Area: The project study area is on Santa Ana Boulevard between the Santiago Street
intersection and the Interstate 5 southbound on- and off-ramp intersection, a total distance of
approximately 1,500 linear feet.
Baseline Measurement Date: July 31, 2027
Baseline Report Date: September 30, 2027
Table 1: Performance Measure Table
Performance Measure Unit Reported
Travel Time Average Travel Time (Minutes)per Trip
Greenhouse Gas Emissions Total Carbon Dioxide Emissions (metric tons)per Year
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Exhibit 2
SCHEDULE H
LABOR AND WORK
1. Efforts to Support Cood-Paying Jobs and Strong Labor Standards
The Recipient states that rows marked with"X" in the following table are accurate:
X The Recipient or a project partner promotes robust job creation by supporting
good-paying jobs directly related to the project with free and fair choice to join
a union. (Describe robust job creation and ident�o the good paying jobs in the
supporting narrative below)
X The Recipient or a project partner will invest in high-quality workforce training
programs such as registered apprenticeship programs to recruit,train, and retain
skilled workers, and implement policies such as targeted hiring preferences.
(Describe the training programs in the supporting narrative below)
The Recipient or a project partner will partner with high-quality workforce
development programs with supportive services to help train,place,and retain
workers in good-paying jobs or registered apprenticeships including through
the use of local and economic hiring preferences, linkage agreements with
workforce programs, and proactive plans to prevent harassment. (Describe the
supportive services provided to trainees and employees,preferences, and
policies in the supporting narrative below)
The Recipient or a project partner will partner and engage with local unions or
other worker-based organizations in the development and lifecycle of the
project, including through evidence of project labor agreements and/or
community benefit agreements. (Describe the partnership or engagement with
unions andlor other worker-based organizations and agreements in the
supporting narrative below)
The Recipient or a project partner will partner with communities or community
groups to develop workforce strategies. (Describe the partnership and
workforce strategies in the supporting narrative below)
The Recipient or a project partner has taken other actions related to the Project
to create good-paying jobs with the free and fair choice to join a union and
incorporate strong labor standards. (Describe those actions in the supporting
narrative below)
The Recipient or a project partner has not yet taken actions related to the
Project to create good-paying jobs with the free and fair choice to join a union
and incorporate strong labor standards but,before beginning construction of the
Project, will take relevant actions described in schedule B. (Identify the relevant
actions from schedule B in the supporting narrative below.)
10 of 14
Exhibit 2
The Recipient or a project partner has not taken actions related to the Project to
improve good-paying jobs and strong labor standards and will not take those
actions under this award.
2. Supporting Narrative.
The Recipient or a project partner promotes robust job creation by supporting
good-paying jobs directly related to the project with free and fair choice to join a
union.
The Recipient or a project partner will invest in high-quality workforce training
programs such as registered apprenticeship programs to recruit,train, and retain
skilled workers, and implement policies such as targeted hiring preferences.
The Project supports local,regional, and state economy by increasing overall
transportation mobility to the area and especially the port and industries served by it. The
Project is expected to support almost 640 full-time equivalent jobs.Jobs from this project
will have a free and fair choice to join a union and will include workforce training
programs.The Santa Ana WORK Center is an organization that supports high-quality
workforce development and has strong collaboration between the Employment
Development Department, Orange County Social Service Agency,and the City. The
organization offers various programs and resources, including a youth employment
program,job fairs, and virtual workshops.
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Exhibit 2
RECIPIENT SIGNATURE PAGE
The Recipient, intending to be legally bound, is signing this agreement on the date stated
opposite that party's signature.
CALIFORNIA DEPARTMENT OF
TRANSPORTATION
By:
Date Signature of Recipient's Authorized Representative
Dee Lam
Name
Division Chief of Local Assistance
Title
12 of 14
Exhibit 2
DESIGNATED SUBRECIPIENT SIGNATURE PAGE
The Designated Subrecipient, intending to be legally bound, is signing this agreement on the date
stated opposite that party's signature.
CITY OF SANTA A
�il,o . 7
Date Signature of Designate Subreci ient's Authorized
Representative
Alvaro Nunez
Name
City Manager
Title
ATTEST.
i er aI o„�A
C;iy Cl
13 of 14
Exhibit 2
USDOT SIGNATURE PAGE
The USDOT, intending to be legally bound, is signing this agreement on the date stated opposite
that party's signature.
UNITED STATES DEPARTMENT OF
TRANSPORTATION
By:
Date Signature of USDOT's Authorized Representative
Douglas R.Hecox
Name
FHWA California Deputy Division Administrator
Title
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Exhibit 3
REBUILDING AMERICAN INFRASTRUCTURE WITH SUSTAINABILITY AND
EQUITY PROGRAM (RAISE) RECIPIENT- DESIGNATED SUBRECIPIENT
AGREEMENT FEDERAL FUNDING YEAR 2024
This Federal Fiscal Year (FY) 2024 RAISE Recipient— Designated Subrecipient Agreement
(Agreement) is between the State of California Department of Transportation Division of Local
Assistance ("Recipient" or "Caltrans") and City of Santa Ana, a charter city and municipal
corporation ("City" or "Designated Subrecipient"), collectively known as "Parties."
RECITALS
WHEREAS, RAISE Grant funds were provided under the authority of the Infrastructure
Investment and Jobs Act, Pub. L. 117-58 (November 15, 2021), and the Consolidated
Appropriations Act, 2024, Pub. L. No 118-42 (March 8, 2024) for fiscal year 2024 under the
heading "National Infrastructure Investments," to carry out 49 U.S.C. § 6702; and
WHEREAS, on November 30, 2024, the United State Department of Transportation (USDOT)
posted a funding opportunity through the Fiscal Year 2024, Rebuilding American Infrastructure
with Sustainability and Equity (RAISE) Grant Program at Grants.gov, with the funding
opportunity title "FY 2024 National Infrastructure Investments" and funding opportunity
number DTOS59-24-RA-RAISE; and
WHEREAS, this notice of funding opportunity posted at Grants.gov, as amended on February
23, 2024, (the "NOFO") solicited applications for Federal financial assistance under the fiscal
year 2024 RAISE Program; and
WHEREAS, on or before February 28 2024 the Designated Subrecipient applied for RAISE Grant
funding from the United States Department of Transportation (Federal Agency) for the Santa
Ana Boulevard Grade Separation Project ("Project"), which will fund the reconstruction of an
existing rail crossing with the Southern California Regional Rail Authority (SCCRA) Orange Line
double tracks at Santa Ana Boulevard, adjacent to the Santa Ana Regional Transportation
Center, with a new multimodal grade separated underpass. The reconstructed roadway will be
reduced from six-lanes to four-lanes with on-street protected bikeways, sidewalks, and a
pedestrian overcrossing is included that parallels the rail line; and
WHEREAS, the Designated Subrecipient's application for Project (Grant Application), referenced
in section 1 of schedule A of the "U.S. Department of Transportation Grant Agreement Under
The Fiscal Year 2024 RAISE Program" (Recipient Agreement) for Project between the Federal
Agency and the Recipient, includes Standard Form 424 and all information and attachments the
Designated Subrecipient submitted with that form through Grants.gov, and
WHEREAS, on June 26, 2024, the Federal Agency announced application selections under the
NOFO and selected Project for Grant funding in the amount of$25,000,000; and
WHEREAS, in this Agreement, "Grant" means an award of funds to the Project that were made
available through the NOFO; and
FY 24 RAISE Discretionary Grant Program
Recipient-Designated Subrecipient Agreement
SANTA ANA BOULEVARD GRADE SEPARATION PROJECT
WHEREAS, as a condition to receive the Grant, the Federal Agency requires the Recipient and
the Federal Agency, to enter into the Recipient Agreement under the Fiscal Year 2024 Recipient
Agreement for the Santa Ana Boulevard Grade Separation Project that awards and allocates
$25,000,000 in Grant funding for the Project to the Recipient; and
WHEREAS, this Agreement reflects the Recipient's decision to subaward the Grant Project
funding to the Designated Subrecipient; and
WHEREAS, this Agreement reflects the Designated Subrecipient decision to receive the
Subaward, defined in 2 C.F.R. § 200.1, of the Grant funding for the purpose of carrying out the
Federal award; and
WHEREAS, the Office of the Secretary of Transportation is responsible for the Federal Agency's
overall administration of the Grant Program; and
WHEREAS, the Federal Highway Administration (Administering Operating Administration) will
administer the Recipient Agreement, on behalf of the Federal Agency; and
WHEREAS, the U.S. Department of Transportation General Terms and Conditions Under the
Fiscal Year 2024 (Terms and Conditions), dated November 4, 2025, is referenced as part of the
Recipient Agreement and defines additional responsibilities and requirements that must be
followed as a condition to receiving and using the Grant funding; and
WHEREAS, the U.S. Department of Transportation Exhibits to RAISE Grant Agreements Under
the Fiscal Year 2024 Grant Program (Exhibits), November 4, 2025, is referenced in this
Agreement, the Recipient Agreement, and the Terms and Conditions and further defines
responsibilities and requirements that must be followed as a condition to receiving and using
the Grant funding; and
WHEREAS, the Performance Measurement Guidance for the RAISE Discretionary Grant Program
updated June 30, 2022, is referenced in this Agreement and used in the Recipient Agreement
and the Terms and Conditions define responsibilities and requirements regarding the
development, measurement, and reporting of project performance measures; and
WHEREAS, the Parties want the Designated Subrecipient to carry out the Project with the
Recipient acting as the "pass-through" entity for purposes of payment of the federal funds to
the Designated Subrecipient, per the requirements on pass-through entities under 2 C.F.R.
parts 200 et seq. and 1201 et seq., including 2 C.F.R. 200.331-200.333 and 23 U.S.C. 106(g)(4)
where applicable; and
WHEREAS, for the purpose of 23 U.S.C. 106(g), the Recipient shall act as if funds under this
award are Federal funds under title 23, United States Code; and
WHEREAS, on or about April 28, 2017, the Parties entered into an Administering Agency-State
Agreement for Federal-Aid Projects agreement (Master Agreement); and
WHEREAS, the Parties, will concurrently enter into this Agreement, which defines specific
project responsibilities between the Designated Subrecipient and the Recipient for the Project
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FY 24 RAISE Discretionary Grant Program
Recipient-Designated Subrecipient Agreement
SANTA ANA BOULEVARD GRADE SEPARATION PROJECT
and include specific project responsibilities to the Federal Agency that are necessary for the
development and timely delivery of the Project; and
WHEREAS, this Agreement further establishes oversight and delegation of responsibilities
between the Recipient and the Designated Subrecipient, outlined in this Agreement, the Master
Agreement, and as allowed per the Recipient Agreement and Terms and Condition section
3.7(2).
The Parties therefore agree to the following:
AGREEMENT
ARTICLE 1. PURPOSE
Section 1.01 Purpose
(a) The purpose of this award is to fund an eligible project—the Santa Ana Boulevard Grade
Separation Project, which will fund the reconstruction of an existing rail crossing with
the Southern California Regional Rail Authority (SCCRA) Orange Line double tracks at
Santa Ana Boulevard, adjacent to the Santa Ana Regional Transportation Center, with a
new multimodal grade separated underpass. The parties will accomplish that purpose
by achieving the following objectives:
1) timely completing the Project; and
2) ensuring the award funds provided under this Agreement are not used as a
substitute for non-Federal investment in the Project, except as proposed in the Grant
Application, and as modified by schedule E.
ARTICLE 2. FEDERAL AGENCY AND RECIPIENT ROLES
Section 2.01 Federal Agency Responsibilities
(a) The Office of the Secretary of Transportation is responsible for the Federal Agency's
overall administration of this Grant Program, the approval and execution of the
Recipient Agreement, and any modifications to the Recipient Agreement under section
15.1 of the Recipient Agreement.
(b) The Federal Highway Administration (the "FHWA") will administer the Recipient
Agreement on behalf of the Federal Agency. The "Administering Operating
Administration" means the FHWA.
(c) The Recipient is responsible for the approval of this Agreement and any modifications to
this Agreement under section 15.01.
(d) The Recipient is subject to the (i) General Terms and Conditions under the Fiscal Year 24
RAISE Program in effect as of the Effective Date and (ii) Recipient Grant Agreement
under the Fiscal Year 24 RAISE Program which Recipient executed and is in effect as of
the Effective Date, and Recipient may take or defer action for the federal government or
for Recipient in accordance with the terms, covenants and conditions of those two
documents which take precedence over the terms, covenants and conditions of this
Agreement.
Section 2.02 Program Contacts
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(a) Federal Agency contacts are located within Schedule A and additional contacts are
located in the Article II of the Grant Program Terms & Conditions.
(b) Recipient contacts are listed in Schedule A.
(c) The Designated Subrecipient contacts are listed in Schedule A.
(d) The Recipient is the pass-through entity for purposes of payment of the federal funds to
the Designated Subrecipient per the requirements on pass-through entities under 2
C.F.R. parts 200 and 1201, including 2 C.F.R. 200.331-200.333 and 23 U.S.C. 106(g)(4)
where applicable.
ARTICLE 3. DESIGNATED SUBRECIPIENT ROLE
Section 3.01 Statements on the Project.
(a) The Designated Subrecipient represents and warrants that:
1) all material statements of fact in the Technical Application were accurate when that
application was submitted; and
2) Schedule E documents all material changes in the information contained in that
application.
Section 3.02 Statements on Authority and Capacity.
(a) The Designated Subrecipient represents and warrants that:
1) it has the authority to receive Federal financial assistance under this Agreement;
2) it has the legal authority to complete the Project;
3) it has the capacity, including institutional, managerial, and financial capacity, to
comply with its obligations under this Agreement;
4) not less than the difference between the total eligible project costs listed in schedule
D and the Grant Amount listed in section 1 of Schedule D is committed to fund the
Project;
5) it has sufficient funds available to ensure that infrastructure completed or improved
under this Agreement will be operated and maintained in compliance with this
Agreement and applicable Federal law; and
6) the individual executing this Agreement on behalf of the Designated Subrecipient has
authority to enter this agreement and make the statements in this article 3 and in
section 21.07 on behalf of the Designated Subrecipient.
Section 3.03 Federal Agency and Recipient Reliance.
(a) The Designated Subrecipient agrees that:
1) the Federal Agency and the Recipient relied on statements of fact in the Technical
Application to select the Project to receive this award;
2) The Federal Agency and the Recipient relied on statements of fact in both the
Technical Application and this Agreement to determine that the Designated
Subrecipient and the Project are eligible under the terms of the NOFO;
3) the Federal Agency relied on statements of fact in both the Technical Application and
the Recipient Agreement to establish the terms of this agreement; and
4) the Recipient relied on statements of fact in both the Technical Application and the
Recipient Agreement to establish the terms of this Agreement; and
5) the Federal Agency's selection of the Project to receive this award prevented awards
under the NOFO to other eligible applicants.
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Section 3.04 Project Delivery.
(a) The Designated Subrecipient shall complete the Project under the terms of this
Agreement.
(b) The Designated Subrecipient shall ensure that the Project is financed, constructed,
operated, and maintained in accordance with all federal laws, regulations, and policies
that are applicable to projects of the Administering Operating Administration and the
Recipient.
Section 3.05 Rights and Powers Affecting the Project.
(a) The Designated Subrecipient shall not take or permit any action that deprives it of any
rights or powers necessary to the Recipient's performance under the Recipient
Agreement and to the Designated Subrecipient's performance under this Agreement,
without written approval of the Recipient and the Federal Agency.
(b) The Designated Subrecipient shall act promptly, in accordance with all applicable law
and in a manner acceptable to the Federal Agency and the Recipient, to acquire,
extinguish, or modify any outstanding rights or claims of right of others that would
interfere with the Designated Subrecipient's performance under the Recipient
Agreement and this agreement.
Section 3.06 Notification of Changes to Key Personnel.
(a) The Designated Subrecipient shall notify all Federal Agency and all Recipient
representatives who are identified and referenced in Schedule A and Section 2.02 and in
writing within 30 calendar days of any change in key personnel who are also referenced
and identified in Section 2.02 and Schedule A.
Section 3.07 Subaward to Designated Subrecipient.
(a) Schedule A identifies a Designated Subrecipient, therefore:
1) the Recipient hereby awards a subaward to the Designated Subrecipient for the
purpose described in section 1.01;
2) the Recipient and the Designated Subrecipient have chosen to enter into this
separate Agreement, to which the Federal Agency is not a party, assigning
responsibilities, including administrative and oversight responsibilities, among the
Recipient and the Designated Subrecipient; and
3) for the purpose of 2 C.F.R. parts 200 and 1201, the Recipient is a pass-through entity.
Section 3.08 Designated Subrecipient Statements and Responsibilities.
(a) Schedule A identifies a Designated Subrecipient, therefore:
1) the Designated Subrecipient affirms all statements and acknowledgments that are
attributed to the Recipient under sections 3.1 and 3.2 of the Recipient Agreement;
and
2) the Designated Subrecipient assumes the Recipient's reporting obligations under
articles 7 and 8 of the Terms and Conditions.
Section 3.09 Title 23 Oversight Responsibilities for Subawards.
(a) Section 9 of schedule A identifies a Designated Subrecipient, therefore, for the purpose
of 23 U.S.C. 106(g), the Designated Subrecipient shall act as if funds under this subaward
are Federal funds under title 23, United States Code.
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Section 3.10 The Designated Subrecipient is assigned the responsibilities, including but not
limited to, the administrative for the purpose outlined in this Agreement.
ARTICLE 4. AWARD AMOUNT, OBLIGATION, AND TIME PERIODS
Section 4.01 Federal Award Amount.
(a) The Federal Agency awarded a grant to the Recipient in the amount listed in section 1 of
schedule D as the RAISE Grant Amount.
(b) The Recipient hereby subawards a grant to the Designated Subrecipient in the amount
listed in 1 of schedule D of the Recipient Agreement as the Subaward Grant Amount.
Section 4.02 Federal Funding Source.
(a) If section 4 of schedule F identifies the Funding Act as "IIJA," then the RAISE Grant is
from RAISE Program funding that was appropriated in division J of the Infrastructure
Investment and Jobs Act, Pub. L. No. 117-58 (Nov. 15, 2021).
(b) If section 4 of schedule F identifies the Funding Act as "FY2024," then the RAISE Grant is
from RAISE Program funding that was appropriated in the Consolidated Appropriations
Act, 2024, Pub. L. No. 118-42 (March 8, 2024).
(c) If section 4 of schedule F contains a table that lists separate amounts for "IIJA" and
"FY2024," then the amount listed for "IIJA" is from RAISE Program funding that was
appropriated in division J of the Infrastructure Investment and Jobs Act, Pub. L. No. 117-
58 (Nov. 15, 2021) and the amount listed for "FY2024" is from RAISE Program funding
that was appropriated in the Consolidated Appropriations Act, 2024, Pub. L. No. 118-42
(March 8, 2024).
Section 4.03 Federal Obligations.
(a) Reserved.
(b) The Federal Obligation Type identified in section 2 of schedule D is "Multiple,"
therefore:
1) an amount up to the Grant Amount listed in section 1 of schedule D will be obligated
with one initial obligation and one or more subsequent, optional obligations, as
described in sections 4.03(c)-4.03(h).;
2) the Designated Subrecipient shall submit a Request for Authorization to the
Recipient, for the amount of funding and phase of work specified in Schedule, per
the process and procedures detailed in the Local Assistance Procedures Manual
(LAPM). The Request for Authorization submitted by the Designated Subrecipient to
the Recipient shall not exceed the amount obligated to the project by Administering
Operating Administration.
3) the federal reimbursable work on any Project phase of work shall not begin, until the
Designated Subrecipient requests and receives Administering Operating
Administration authorization approval via an "E76" document, that shows the
appropriate amount of federal funds have been authorized by Administering
Operating Administration to the appropriate phase of work, as detailed in Schedule
D.
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(c) The Obligation Condition Table in section 2 of schedule D allocates the Grant among
separate portions of the Project for the purpose of the Federal obligation of funds. The
scope of each portion of the Project that is identified in that table is described in section
2 of schedule B.
(d) The Recipient Agreement obligates for the budget period only the amounts allocated in
the Obligation Condition Table in section 2 of schedule D to portions of the Project for
which that table does not list an obligation condition.
(e) The Recipient Agreement does not obligate amounts allocated in the Obligation
Condition Table in section 2 of schedule D to portions of the Project for which that table
lists an obligation condition. The parties may obligate the amounts allocated to those
portions of the Project only as described in section 4.03(f) or by modifying this
Agreement under article 15.
(f) For each portion of the Project for which the Obligation Condition Table in section 2 of
schedule D lists an obligation condition, the amount allocated in that table to that
portion of the Project is obligated if:
1) it is obligated not later than the statutory lapse date identified in section 4.03(h) for
that portion of the Project;
2) the Designated Subrecipient provides written confirmation to the Recipient that a
Designated Subrecipient request to modify the Recipient Agreement is not required
under article 5 of this Agreement; and
3) the Administering Operating Administration and Recipient execute an instrument, in
the form provided in exhibit D of the Exhibits, documenting that:
i) the Federal Agency and the Recipient determine that the obligation condition
listed in that table for that portion of the Project is satisfied;
ii) the Federal Agency and the Recipient determine that all applicable Federal
requirements for obligating the amount are satisfied; and
iii) the Recipient, after receiving written confirmation from the Designated
Subrecipient per 4.03(f)(2), states that it is not required to request a modification
of the Recipient Agreement under Article 5 of this Agreement.
(g) The Designated Subrecipient shall not request reimbursement of costs for a portion of
the Project for which the Obligation Condition Table in section 2 of schedule D lists an
obligation condition, unless the amount allocated in that table to that portion of the
Project is obligated under section 4.03(f).
(h) Program funding for this award lapses and is unavailable for obligation, by statute, in
accordance with the dates and authorities referenced in section 14.3(h) of the Terms
and Conditions. The Designated Subrecipient acknowledges that:
1) the Federal Agency and the Recipient are not liable for payments for a portion of the
Project for which the Obligation Condition Table in section 2 of schedule D lists an
obligation condition, unless the amount allocated in that table to that portion of the
Project is obligated under section 4.03(f);
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2) any portion of the Grant that is not obligated, under this section 4.03, by the
statutory lapse date identified in the Recipient Agreement for those funds, lapse on
the day after that date and become unavailable for the Project;
3) the Federal Agency may consider the failure to obligate funds by the statutory lapse
date identified in the Recipient Agreement, as applicable to the Grant Program for
those funds, to be a basis for terminating the Recipient Agreement under section
10.1 of the Recipient Agreement; and
Section 4.04 the Recipient may consider the failure to obligate funds by the statutory lapse
date identified in the Recipient Agreement, as applicable to the Grant Program for those funds,
to be a basis for terminating the Recipient Agreement under section 10.01 of this Agreement.
Section 4.05 Budget Period.
(a) The budget period for this award begins on the date of this Agreement and ends on the
budget period end date that is listed in section 1 of schedule C. In this Agreement,
"budget period" is used as defined at 2 C.F.R. 200.1.
Section 4.06 Period of Performance.
(a) If, the USDOT Payment System identified in schedule A is "FMIS" or "FMIS Current Bill,"
then the period of performance for this award begins on the date of this Agreement and
ends on project end date in FMIS.
(b) Reserved.
(c) In this Agreement, "period of performance" is used as defined at 2 C.F.R. 200.1.
ARTICLE S. STATEMENT OF WORK, SCHEDULE, AND BUDGET CHANGES
Section 5.01 Notification Requirement.
(a) The Designated Subrecipient shall notify in writing all Federal Agency representatives
and Recipient representatives who are identified in schedule A of the Recipient
Agreement in writing within 30 calendar days of any change in circumstances or
commitments that adversely affect the Designated Subrecipient's capacity or intent to
complete the Project in compliance with this Agreement.
(b) In that notification, the Designated Subrecipient shall describe the change and what
actions the Designated Subrecipient has taken or plans to take to ensure completion of
the Project.
(c) The notification requirement under this section 5.01 is separate from any requirements
under this article 5 that the Designated Subrecipient request modification of the
Recipient Agreement or this Agreement.
Section 5.02 Scope and Statement of Work Changes.
(a) If the Project's activities differ from the activities described in schedule B, then the
Designated Subrecipient shall request a modification of this Agreement to update
schedule B.
Section 5.03 Schedule Changes.
(a) If one or more of the following conditions are satisfied, then the Designated
Subrecipient shall request a modification of the Recipient Agreement to update
Schedule C:
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1) a completion date for the Project or a component of the Project is listed in section 2
of schedule C and the Designated Subrecipient's estimate for that milestone changes
to a date that is more than six months after the date listed in section 2 of schedule C;
or
2) a schedule change would require the budget period to continue after the budget
period end date listed in section 1 of schedule C (i.e., for projects with multiple
phases, changes to the base phase budget period end date for projects with two
phases, or changes to base or secondary phase budget period end dates for projects
with three phases, etc., will not trigger notification/modification requirements).
(b) For other schedule changes, the Designated Subrecipient shall follow the applicable
procedures of the Administering Operating Administration and document the changes in
writing.
Section 5.04 Budget Changes.
(a) The Designated Subrecipient acknowledges and agrees that if the cost of completing the
Project increases:
1) that increase does not affect the Designated Subrecipient's obligation under this
Agreement to complete the Project; and
2) the Federal Agency and Recipient will not increase the amount of the Award and this
subaward to address any funding shortfall.
(b) The Designated Subrecipient shall request a modification of the Recipient Agreement to
update of this agreement to update Schedule D if, in comparing the Project's budget to
the amounts listed in section 3 of Schedule D:
1) the total "Non-Federal Funds" amount decreases; or
2) the total eligible project costs amount decreases.
(c) For budget changes that are not identified in section 5.04(b) of this Agreement, the
Designated Subrecipient shall follow the applicable procedures of the Administering
Operating Administration and document the changes in writing.
(d) If there are Project Cost Savings, then the Designated Subrecipient may propose to the
Federal Agency and the Recipient, in writing consistent with the Administering
Operating Administration's requirements, to include in the Project, specific additional
activities that are within the scope of this award, as defined in section 1.01 of this
Agreement and Schedule B, and that the Designated Subrecipient could complete with
the Project Cost Savings.
In this Agreement, "Project Cost Savings" means the difference between the actual
eligible project costs and the total eligible project costs that are listed in section 3 of
schedule D, but only if the actual eligible project costs are less than the total eligible
project costs that are listed in section 3 of Schedule D. There are no Project Cost Savings
if the actual eligible project costs are equal to or greater than the total eligible project
costs that are listed in section 3 of Schedule D.
(e) If there are Project Cost Savings and either the Designated Subrecipient does not make a
proposal under section 5.04(d), the Federal Agency does not accept the proposal under
section 5.04(d), or the Recipient does not accept the Designated Subrecipient's proposal
under section 5.04(d) then:
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1) in a request under section 5.04(b), the Designated Subrecipient shall reduce the
Federal Share by the Project Cost Savings; and
2) if that modification reduces this award and the Federal Agency or Recipient had
reimbursed costs exceeding the revised award, the Designated Subrecipient shall
refund to the Recipient the difference between the reimbursed costs and the revised
award.
In this Agreement, "Federal Share" means the sum of the total "RAISE" and "Other
Federal Funds" amounts that are listed in Schedule D.
(f) The Designated Subrecipient acknowledges and agrees that amounts that are required
to be refunded under section 5.04(e)(2) constitute a debt to the Federal Government
that the Federal Agency and Recipient may collect under 2 C.F.R. 200.346 and the
Standards for Administrative Collection of Claims (31 C.F.R. part 901).
Section 5.05 Federal Agency and Recipient Acceptance or Rejection of Changes.
(a) The Federal Agency may accept or reject modifications requested under this Article 5,
and in doing so may elect to consider only the interests of the Grant Program and the
Federal Agency.
(b) The Recipient may accept or reject modifications requested under this Article 5, and in
doing so may elect to consider only the interests of the Grant Program and the
Recipient.
(c) The Designated Subrecipient acknowledges and agrees that requesting a modification
under this Article 5 does not amend, modify, or supplement this Agreement unless:
1) the Recipient accepts that modification request under section 15.02(b),
2) the Federal Agency accepts the modification request under section 15.1 of the
Recipient Agreement, and
3) the Federal Agency and the Recipient each modify the Recipient Agreement under
section 15.1 of the Recipient Agreement.
ARTICLE 6. GENERAL REPORTING TERMS
Section 6.01 Report Submission.
(a) The Designated Subrecipient shall send all reports required by this Agreement to all
Federal Agency contacts who are listed in schedule A of the Recipient Agreement, all
Federal Agency contacts who are listed in section 2.02, and all Recipient contacts listed
in schedule A.
Section 6.02 Alternative Reporting Methods.
(a) The Administering Operating Administration and Recipient may establish processes for
the Designated Subrecipient to submit reports required by this Agreement, including
electronic submission processes.
(b) If the Designated Subrecipient is notified of those processes in writing, the Designated
Subrecipient shall use the processes required by the Administering Operating
Administration and Recipient, including earlier submission deadlines of the reports to
from the Designated Subrecipient to the Recipient.
Section 6.03 Paperwork Reduction Act Information.
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(a) Under 5 C.F.R. 1320.6, the Designated Subrecipient is not required to respond to a
collection of information that does not display a currently valid control number issued
by the Office of Management and Budget (the "OMB").
(b) Notwithstanding any other term of this Agreement, the due date for any information
collections required under this Agreement, including the reporting requirements in
article 7 and article 8, is the later of(1) the due date stated with the requirement and
(2) the 30th day after OMB approves that information collection.
(c) Collections of information conducted under this Agreement are approved under OMB
Control No. 2105-0563.
ARTICLE 7. PROGRESS AND FINANCIAL REPORTING
Section 7.01 Quarterly Project Progress Reports and Recertifications.
(a) On or before the 20th day of the first month of each calendar year quarter and until the
end of the period of performance, the Designated Subrecipient shall submit to the
Federal Agency a Project Progress Report and Recertification occurring quarterly in the
format and with the content described in Exhibit C.
(b) If the date of this Agreement is in the final month of a calendar year quarter, then the
Designated Subrecipient shall submit the first Project Progress Report and
Recertification in the second calendar year quarter that begins after the date of the
Recipient Agreement.
Section 7.02 Final Progress Reports and Financial Information.
(a) No later than 120 days after the end of the period of performance, the Designated
Subrecipient shall submit:
1) a Final Project Progress Report and Recertification in the format and with the content
described in Exhibit C for each Project Progress Report and Recertification, including
a final Federal Financial Report (SF-425); and
2) any other information required under the Administering Operating Administration's
and Recipient's award closeout procedures.
ARTICLE 8. PERFORMANCE REPORTING
Section 8.01 Baseline Performance Measurement.
(a) If the Capital-Planning Designation in section 2 of schedule F is "Capital" or "Capital
Construction" then:
1) The Designated Subrecipient shall collect data for each performance measure that is
identified in the Performance Measure Table in Schedule G, accurate as of the
Baseline Measurement Date that is identified in schedule G; and
2) on or before the Baseline Report Date that is stated in Schedule G, the Designated
Subrecipient shall submit a Baseline Performance Measurement Report that contains
the data collected under section 8.01 and a detailed description of the data sources,
assumptions, variability, and estimated levels of precision for each performance
measure that is identified in the Performance Measure Table in Schedule G.
Section 8.02 Post-construction Performance Measurement.
(a) If the Capital-Planning Designation in schedule F of the Recipient Agreement is "Capital"
or "Capital Construction" then:
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1) for each performance measure that is identified in the Performance Measure Table in
schedule G with quarterly measurement frequency data for that performance
measure; and for each of 12 consecutive calendar quarters, beginning with the first
calendar quarter that begins after the Project substantial completion date, at least
once during the quarter, the Designated Subrecipient shall collect data for that
performance measure.
2) for each performance measure that is identified in the Performance Measure Table in
schedule G with annual measurement frequency, the Designated Subrecipient shall
collect data for that performance measure on at least three separate occasions,
including:
i. once during the four consecutive calendar quarters that begin after the Project
substantial completion date;
ii. once during the fourth calendar quarter after the first collection; and
iii. once during the eighth calendar quarter after the first collection.
3) not later than January 31 of each year that follows a calendar year during which data
was collected under this section 8.02, the Designated Subrecipient shall submit to the
Federal Agency and Recipient a Post-construction Performance Measurement Report
containing the data collected under this section 8.02 in the previous calendar year
and stating the dates when the data was collected.
(b) If an external factor significantly affects the value of a performance measure collected
under section 8.02, then the Designated Subrecipient shall identify that external factor
in the Post-construction Performance Measurement Report and discuss the external
factor's influence on the performance measure.
Section 8.03 Project Outcomes Report.
(a) If the Capital-Planning Designation in section 2 of schedule F is "Capital," then the
Designated Subrecipient shall submit to the Federal Agency and Recipient, not later than
January 31 of the year that follows the final calendar year during which data was
collected under section 8.02, a Project Outcomes Report that contains:
1) a narrative discussion detailing project successes and the influence of external
factors on project expectations;
2) all baseline and post-construction performance measurement data that the
Designated Subrecipient reported in the Baseline Performance Measurement Report
and the Post-construction Performance Measurement Reports; and
3) a post Project examination of project effectiveness relative to the baseline data that
the Designated Subrecipient reported in the Baseline Performance Measurement
Report.
Section 8.04 Reporting Survival.
(a) The data collection and reporting requirements in this article 8 survive the termination
of this Agreement.
ARTICLE 9. NONCOMPLIANCE AND REMEDIES
Section 9.01 Noncompliance Determinations.
(a) If the Federal Agency or the Recipient determine that the Designated Subrecipient may
have failed to comply with the United States Constitution, Federal law, the Recipient
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Agreement, this Agreement, the Terms and Conditions, or Exhibits, the Federal Agency
or the Recipient may notify the Designated Subrecipient of a proposed determination of
noncompliance. For that notice to be effective, it must be written and the Federal
Agency or the Recipient must include an explanation of the nature of the
noncompliance, describe a remedy, state whether that remedy is proposed or effective
at an already determined date, and describe the process through and form in which the
Designated Subrecipient may respond to the notice.
(b) If the Federal Agency or Recipient notifies the Designated Subrecipient of a proposed
determination of noncompliance under section 9.01(a), the Designated Subrecipient
may, not later than 7 calendar days after the notice, respond to that notice in the form
and through the process described in that notice. In its response, the Designated
Subrecipient may:
1) accept the remedy;
2) acknowledge the noncompliance, but propose an alternative remedy; or
3) dispute the noncompliance.
To dispute the noncompliance, the Designated Subrecipient must include in its response
documentation or other information supporting the Designated Subrecipient's
compliance.
(c) The Federal Agency or the Recipient may make a final determination of noncompliance
only:
1) after considering the Designated Subrecipient's response under section 9.01(b); or
2) if the Designated Subrecipient fails to respond under section 9.01(b), after the time
for that response has passed.
(d) To make a final determination of noncompliance,the Federal Agency or the Recipient
must provide to the Designated Subrecipient a notice that states the bases for that
determination.
Section 9.02 Remedies.
(a) If the Federal Agency or the Recipient makes a final determination of noncompliance
under section 9.01, the Federal Agency or the Recipient may take any remedies
available to it, including:
1) adding additional conditions or modifying existing conditions on the award;
2) exercising any remedy permitted under 2 C.F.R. 200.339-200.340, including
withholding of payments; disallowance of previously reimbursed costs, requiring
refunds from the Designated Subrecipient to the Federal Agency via the Recipient;
suspension or termination of the award; or suspension and disbarment under 2 C.F.R.
part 180; or
3) terminating the Agreement; or
4) any other remedy legally available.
(b) To impose a remedy, the Federal Agency or Recipient must provide to the Designated
Subrecipient a notice that describes the remedy and the effective date of the remedy.
(c) If the Federal Agency or Recipient determine that it is in the public interest, the Federal
Agency or Recipient may impose a remedy, including all remedies described in section
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9.02(a), before making a final determination of noncompliance under section 9.01. If
Federal Agency or Recipient do so, then the notice provided under section 9.01(d) must
also state whether the remedy imposed will continue, be rescinded, or modified.
(d) In imposing a remedy under this section 9.02 or making a public interest determination
under section 9.02(c), the Federal Agency or the Recipient may elect to consider the
interests of only the Federal Agency or the Recipient, respectively.
(e) The Designated Subrecipient acknowledges that amounts that the Federal Agency or
Recipient requires the Designated Subrecipient to refund to the Federal Agency or
Recipient, due to a remedy under this section 9.02 constitute a debt to the Federal
Government that the Federal Agency or Recipient may collect under 2 C.F.R. 200.346
and the Standards for Administrative Collection of Claims (31 C.F.R. part 901).
Section 9.03 Other Oversight Entities.
(a) Nothing in this Article IX limits any party's authority to report activity under this
Agreement to the United States Department of Transportation Inspector General or
other appropriate oversight entities.
ARTICLE 10. AGREEMENT TERMINATION
Section 10.01 Recipient Termination.
(a) The Recipient may terminate this Agreement if any of the following occurs:
1) the Designated Subrecipient fails to timely obtain or timely provide any non- Grant
contribution or alternatives approved by the Federal Agency and the Recipient as
provided in this Agreement and consistent with Schedule D;
2) the completion date for the Project or a component of the Project that is listed in
Section 2 of Schedule C does not occur within six months after the date listed in
Section 2 of Schedule C;
3) the Designated Subrecipient fails to meet a milestone listed in Section 3 of Schedule
C by the deadline date listed in that section for that milestone;
4) the Designated Subrecipient fails to comply with this Agreement, including a material
failure to comply with the project schedule in Schedule C even if it is beyond the
reasonable control of the Designated Subrecipient;
5) circumstances cause changes to the Project that the Federal Agency or Recipient
determines are inconsistent with the Federal Agency's basis for selecting the Project
to receive a RAISE Grant; or
6) the Federal Agency or Recipient determines that termination of this Agreement is in
the public interest.
7) the Designated Subrecipient breaches this Agreement and does not remedy the
breach within 7 days of written notice by the Federal Agency, Administering
Operating Administration, or Recipient.
(b) In terminating this Agreement under this section, the Recipient may elect to consider
only the interests of the Recipient.
(c) This section 10.01 does not limit the Recipient's ability to terminate this Agreement as a
remedy under section 9.02.
(d) The Designated Subrecipient may request that the Recipient terminate the Agreement
under this section 10.01.
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Section 10.02 Closeout Termination.
(a) This Agreement terminates upon the occurrence of the Project Closeout.
(b) In this Agreement, "Project Closeout" means the date that the Federal Agency informs
the Recipient that the award is closed out. Under 2 C.F.R. 200.344, Project Closeout
should occur no later than one year after the end of the period of performance.
Section 10.03 Post-Termination Adjustments.
(a) The Designated Subrecipient acknowledges that under 2 C.F.R. 200.345-200.346,
termination of the Agreement does not extinguish the Federal Agency's or Recipient's
authority to disallow costs, including costs that the Federal Agency or Recipient
reimbursed before termination, and recover funds from the Designated Subrecipient.
Section 10.04 Non-Terminating Events.
(a) The end of the budget period described under in this Agreement does not terminate this
Agreement or the Designated Subrecipient's obligations under this Agreement.
(b) The end of the period of performance described in this Agreement does not terminate
this Agreement or the Designated Subrecipient's obligations under this Agreement.
(c) The cancellation of funds under this Agreement does not terminate this agreement or
the Designated Subrecipient's obligations under this agreement."
(d) The cancellation of funds under this Agreement does not terminate the Recipient
Agreement or the Designated Subrecipient's obligations under the Recipient
Agreement.
Section 10.05 Other Remedies.
(a) The termination authority under this article 10 supplements and does not limit the
Federal Agency's and Recipient's remedial authority under article 16 or 2 C.F.R. part 200,
including 2 C.F.R. 200.339-200.340 or the Recipient's remedial authority under the Local
Agency—Caltrans Master Agreement and the Project's Program Supplement
Agreement.
ARTICLE 11. MONITORING, FINANCIAL MANAGEMENT, CONTROLS, AND RECORDS
Section 11.01 Designated Subrecipient Monitoring and Record Retention.
(a) The Designated Subrecipient shall monitor activities under this subaward, including
activities under other subawards and contracts, to ensure:
1) that those activities comply with this Agreement; and
2) that funds provided under this subaward are not expended on costs that are not
allowable under this subaward or not allocable to this subaward.
(b) If the Designated Subrecipient makes a subaward under this subaward, the Designated
Subrecipient shall monitor the activities of their subrecipient in compliance with 2 C.F.R.
200.332(e).
(c) The Designated Subrecipient shall retain records relevant to their subaward as required
under 2 C.F.R. 200.334.
Section 11.02 11.02 Financial Records and Audits.
(a) The Designated Subrecipient shall keep all project accounts and records that fully
disclose the amount and disposition by the Designated Subrecipient of the subaward
funds, the total cost of the Project, and the amount or nature of that portion of the cost
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of the Project supplied by other sources, and any other financial records related to the
project.
(b) The Designated Subrecipient shall keep accounts and records described under section
11.02(a) in accordance with a financial management system that meets the
requirements of 2 C.F.R. 200.302-200.307, 2 C.F.R. 200 subpart F, and title 23, United
States Code, and will facilitate an effective audit in accordance with 31 U.S.C. 7501-
7506.
(c) The Designated Subrecipient shall separately identify expenditures under the fiscal
year(s) of the Grant in financial records required for audits under 31 U.S.C. 7501-7506.
Specifically, the Designated Subrecipient shall:
1) list expenditures under that program separately on the schedule of expenditures of
Federal awards required under 2 C.F.R. 200 subpart F, including the FY in the
program name; and
2) list expenditures under that program on a separate row under Part II, Item 1
("Federal Awards Expended During Fiscal Period") of Form SF-SAC, including FY in
column c ("Additional Award Identification").
Section 11.03 Internal Controls.
(a) The Designated Subrecipient shall establish and maintain internal controls as required
under 2 C.F.R. 200.303.
Section 11.04 Federal Agency Record Access.
(a) The Federal Agency and the Recipient may access Designated Subrecipient records
related to this award under 2 C.F.R. 200.337.
Section 11.05 Title 23 Oversight Responsibilities.
(a) This subaward is subject to the oversight program at 23 U.S.C. 106(g).
ARTICLE 12. CONTRACTING AND SUBAWARDS
Section 12.01 Minimum Wage Rates.
(a) The Designated Subrecipient shall include, in all contracts in excess of$2,000 for work to
be performed on the Project that involves labor, provisions establishing minimum rates
of wages, to be predetermined by the United States Secretary of Labor, in accordance
with the Davis-Bacon Act, 40 U.S.C. 3141-3148, or 23 U.S.C. 113, as applicable, that
contractors shall pay to skilled and unskilled labor, and such minimum rates shall be
stated in the invitation for bids and shall be included in proposals or bids for the work.
Section 12.02 Buy America.
(a) Steel, iron, and manufactured products used in the Project are subject to 23 U.S.C. 313,
as implemented by the Administering Operating Administration.
(b) The Designated Subrecipient acknowledges that this Agreement is neither a waiver of 23
U.S.C. 313(a) nor a finding under 23 U.S.C. 313(b).
(c) Construction materials used in the Project are subject to the domestic preference
requirement at § 70914 of the Build America, Buy America Act, Pub. L. No. 117-58, div.
G, tit. IX, subtitle A, 135 Stat. 429, 1298 (2021), as implemented by OMB, USDOT, and
FHWA. The Designated Subrecipient acknowledges and agrees that the Recipient
Agreement is neither a waiver of§ 70914(a) nor a finding under§ 70914(b).
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(d) Under 2 C.F.R. 200.322, as appropriate and in accordance with applicable law, the
Designated Subrecipient should, to the greatest extent practicable under this subaward,
provide a preference for the purchase, acquisition, or use of goods, products, or
materials produced in the United States (including but not limited to iron, aluminum,
steel, cement, and other manufactured products). The Designated Subrecipient shall
include the requirements of 2 C.F.R. 200.322 in all subawards including all contracts and
purchase orders for work or products under this subaward.
Section 12.03 Small and Disadvantaged Business Requirements.
(a) The Designated Subrecipient shall expend the Grant funds in compliance with the
requirements at 49 C.F.R. part 26 ("Participation by disadvantaged business enterprises
in Department of Transportation financial assistance programs").
(b) If any funds under this award are not administered by or through a State
Department of Transportation, the Recipient shall expend those funds in
compliance with the requirements at 2 CFR 200.321, including any amendments
thereto.
Section 12.04 Engineering and Design Services.
(a) The Designated Subrecipient shall award each contract or sub-contract for program
management, construction management, planning studies, feasibility studies,
architectural services, preliminary engineering, design, engineering, surveying, mapping,
or related services with respect to the project in the same manner that a contract for
architectural and engineering services is negotiated under the Brooks Act, 40 U.S.C.
1101-1104 as implemented in 23 U.S.C. 112(b)(2), or an equivalent qualifications-based
requirement prescribed for or by the Designated Subrecipient and approved in writing
by the Federal Agency.
Section 12.05 Prohibition on Certain Telecommunications and Video Surveillance Services or
Equipment.
(a) The Designated Subrecipient acknowledges that Section 889 of Pub. L. No. 115-232 and
2 C.F.R. 200.216 prohibit the Designated Subrecipient and all subrecipients from
procuring or obtaining certain telecommunications and video surveillance services or
equipment under this subaward.
Section 12.06 Pass-through Entity Responsibilities.
(a) If the Designated Subrecipient makes a subaward under this subaward, the Designated
Subrecipient shall comply with the requirements on pass-through entities under 2 C.F.R.
parts 200 and 1201, including 2 C.F.R. 200.331-200.333 and 23 U.S.C. 106(g)(4), where
applicable.
Section 12.07 Subaward and Contract Authorization.
(a) If the Office for Subaward and Contract Authorization identified in section 7 schedule A
is "FHWA Division," then the Designated Subrecipient shall comply with subaward and
contract authorization requirements under 23 C.F.R chapter I, subchapter G.
(b) If the USDOT Office for Subaward and Contract Authorization identified in section 7 of
schedule A is "FHWA Division," then the Designated Subrecipient shall obtain prior
written approval from the Federal Agency agreement officer for the subaward or
contracting out of any work under this Agreement. That approval will be contingent
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upon a fair and reasonable price determination on the part of the Designated
Subrecipient and the agreement officer's concurrence on that determination. Approvals
under 2 CFR 200.308(f)(6) do not apply to the acquisition of supplies, material,
equipment, or general support services.
ARTICLE 13. COSTS, PAYMENTS, AND UNEXPENDED FUNDS
Section 13.01 Limitation of Federal Award Amount.
(a) Under this subaward, the Federal Agency, Administering Operating Agency, and
Recipient shall not provide funding greater than the amount obligated under section
4.03.
(b) The Designated Subrecipient acknowledges that the Federal Agency, Administering
Operating Agency, and the Recipient are not liable for payments exceeding that amount,
and the Designated Subrecipient shall not request reimbursement of costs exceeding
that amount.
Section 13.02 Projects Costs.
(a) This subaward is subject to the cost principles at 2 C.F.R. 200 subpart E, including
provisions on determining allocable costs and determining allowable costs.
Section 13.03 Timing of Project Costs.
(a) The Designated Subrecipient shall not charge to the Grant subaward costs that are
incurred after the budget period.
(b) The Designated Subrecipient shall not charge to the Grant costs that were incurred
before the date of this Agreement unless those costs are identified in section 5 of
schedule D and would have been allowable if incurred during the budget period.
(c) This limitation applies to costs incurred under an advance construction authorization (23
U.S.C. 115), costs incurred prior to authorization (23 C.F.R. 1.9(b)), and pre-award costs
under 2 C.F.R. 200.458.
(d) This Agreement hereby terminates and supersedes any previous Federal Agency,
Administering Operating Agency, and Recipient approval for the Designated
Subrecipient to incur costs under this subaward for the Project.
(e) Section 5 of schedule D is the exclusive Federal Agency or Administering Operating
Agency approval of costs incurred before the date of this Agreement.
(f) If the Federal Agency or Administering Operating Agency Payment System identified in
this Agreement is "FMIS" and the Recipient Agreement identifies an advance
construction authorization under 23 U.S.C. 115, then the Designated Subrecipient may
charge to the Grant award, for payment from the Grant or other Federal amounts, costs
that were incurred before the date of the Recipient Agreement, and complied with the
terms of that authorization, and would have been allowable if incurred during the
budget period.
(g) Reserved.
Section 13.04 Designated Subrecipient Recovery of Federal Funds.
(a) The Designated Subrecipient shall make all reasonable efforts, including initiating
litigation, if necessary, to recover Federal funds if the Federal Agency, Administering
Operating Agency, or Recipient determines, after consultation with the Designated
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Subrecipient, that those funds have been spent fraudulently, wastefully, or in violation
of Federal laws, or misused in any manner under this award.
(b) The Designated Subrecipient shall not enter a settlement or other final position, in court
or otherwise, involving the recovery of funds under the subaward unless approved in
advance in writing by the Federal Agency, Administering Operating Agency, and
Recipient.
Section 13.05 Unexpended Federal Funds.
(a) Any Federal funds that are awarded at section 4.01 but not expended on allocable,
allowable costs remain the property of the United States.
Section 13.06 Timing of Payments to the Designated Subrecipient.
(a) Reimbursement is the payment method for the Grant Program.
(b) The Designated Subrecipient shall not request reimbursement of a cost before the
Designated Subrecipient has paid the obligation for that cost.
(c) If the Payment System identified in Schedule A is "FMIS," then the Designated
Subrecipient shall follow FMIS procedures to request and receive reimbursement
payments under this award per the procedures outlined in the Caltrans Local Assistance
Procedures Manual and related Office Bulletins.
(d) The Federal Agency, Administering Operating Agency, and the Recipient may deny a
payment request that is not submitted using the method identified in this section.
Section 13.07 Payment Method
(a) The Federal Agency Payment System identified in section 6 of schedule A is "FMIS," thus
the Designated Subrecipient shall follow the Recipient's Division of Local Assistance
process and procedures to request and receive reimbursement payments under this
award.
(b) Reserved.
(c) The Federal Agency and Recipient may deny a payment request that is not submitted
using the method identified in this section 13.07.
Section 13.08 Information Supporting Expenditures.
(a) If the Designated Subrecipient submits a request for reimbursement that the Federal
Agency, Administering Operating Agency, or Recipient determine does not include or is
not supported by sufficient detail, the Federal Agency, Administering Operating Agency,
or Recipient may deny the request or withhold processing the request until the
Designated Subrecipient provides sufficient detail.
Section 13.09 Reimbursement Frequency.
(a) Once federal funds are encumbered and all funds have not yet been invoiced, the
Designated Subrecipient shall invoice for eligible work performed the unexpended
federal Project funds on Project, a minimum of once every 6 months, until the
unexpended federal Project funds are exhausted or the project is complete.
ARTICLE 14. LIQUIDATION, ADJUSTMENTS,AND FUNDS AVAILABILITY
Section 14.01 Liquidation of Recipient Obligations.
(a) The Designated Subrecipient shall liquidate all obligations of award funds under this
Agreement not later than the earlier of:
1) 120 days after the end of the period of performance; or
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2) the statutory funds cancellation date identified in section 14.02.
(b) Liquidation of obligations and adjustment of costs under this Agreement follow the
requirements of 2 C.F.R. 200.344-200.346.
Section 14.02 Funding Availability for Expenditure.
(a) Funding availability for obligation and expenditure is in available in accordance with the
dates and authorities referenced in section 14.2 of the Terms and Conditions.
(b) Section 4.02 identifies the specific source or sources of funding for this subaward.
ARTICLE 15. AGREEMENT MODIFICATIONS
Section 15.01 Bilateral Modifications.
(a) The parties may amend, modify, or supplement this Agreement by mutual agreement in
writing signed by the Recipient and the Designated Subrecipient. Either party may
request to amend, modify, or supplement this Agreement by written notice to the other
party.
(b) The Recipient Agreement may be amended, modified, or supplemented by mutual
agreement in writing, signed by the Federal Agency and the Recipient. The Designated
Subrecipient may request to amend, modify, or supplement the Recipient Agreement by
written notice to the Federal Agency and the Recipient.
Section 15.02 Contact Modifications.
(a) The Designated Subrecipient may update the contacts who are listed in Section 9 of
Schedule A by written notice to all of the Federal Agency and Recipient contacts who are
listed in sections 3 and 5 of schedule A.
(b) The Recipient may update the Recipient contacts who are listed in Sections 3 of
schedule A by written notice to all of the Designated Recipient contacts who are listed in
section 9 of Schedule A.
(c) Upon receiving notice from the Federal Agency of updated contact information for the
Federal Agency, the Recipient will provide a copy of the Federal Agency's written notice
to the Designated Subrecipient.
Section 15.03 Provisions that Conflict with Federal law.
(a) If any provision of this Agreement conflicts with Federal law including the Program
Statute, then the Federal law prevails.
(b) Either party shall notify the other party upon discovery that a provision conflicts with
Federal law and the parties shall agree to amend this Agreement in accordance with
section 15.01.
(c) Either party must provide written notice to the other party when it acts or refuses to act
where its action or inaction conflicts with a provision of this Agreement but complies
with Federal law.
Section 15.04 Other Modifications.
(a) The parties shall not amend, modify, or supplement the Recipient Agreement or this
Agreement except as permitted under sections 15.01, 15.02, or 15.03.
(b) If an amendment, modification, or supplement is not permitted under sections 15.01,
15.02, or 15.03, it is void.
ARTICLE 16. CLIMATE CHANGE AND ENVIRONMENTAL JUSTICE
Section 16.01 Climate Change and Environmental Justice.
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(a) In compliance with Executive Order 14008, "Tackling the Climate Crisis at Home and
Abroad" (Jan. 27, 2021), schedule H documents the consideration of climate change and
environmental justice impacts of the Project.
ARTICLE 17. RACIAL EQUITY AND BARRIERS TO OPPORTUNITY
Section 17.01 Racial Equity and Barriers to Opportunity.
(a) In compliance with Executive Order 13985, "Advancing Racial Equity and Support for
Underserved Communities Through the Federal Government" (Jan. 20, 2021), schedule
documents activities related to the Project to improve racial equity and reduce barriers
to opportunity.
ARTICLE 18. LABOR AND WORK
Section 18.01 Labor and Work.
(a) Consistent with Executive Order 14025, "Worker Organizing and Empowerment" (Apr.
26, 2021), and Executive Order 14052, "Implementation of the Infrastructure
Investment and Jobs Act" (Nov. 15, 2021), schedule J documents the consideration of
job quality and labor rights, standards, and protections related to the Project.
Section 18.02 OFCCP Mega Construction Project Program.
(a) If the total eligible project costs that are listed in section 3 of schedule D are greater
than $35,000,000 and the Department of Labor's Office of Federal Contract Compliance
Programs (the "OFCCP") selects this award for participation in the Mega Construction
Project Program, then the Designated Subrecipient shall partner with OFCCP, as
requested by OFCCP.
ARTICLE 19. CRITICAL INFRASTRUCTURE SECURITY AND RESILIENCE
Section 19.01 Critical Infrastructure Security and Resilience.
(a) In compliance with Presidential Policy Directive 21, "Critical Infrastructure Security and
Resilience" (Feb. 12, 2013), and the National Security Presidential Memorandum on
Improving Cybersecurity for Critical Infrastructure Control Systems (July 28, 2021), the
Designated Subrecipient shall consider physical and cyber security and resilience in
planning, design, and oversight of the Project.
(b) If the Security Risk Designation in the Recipient Agreement is "Elevated," then, not later
that than two years after the date of this agreement, the Designated Subrecipient shall
submit to the Federal Agency and the Recipient a report that:
1) identifies a cybersecurity Point of Contact for the transportation infrastructure being
improved in the Project; and
2) summarizes or contains a cybersecurity incident reporting plan for the transportation
infrastructure being improved in the Project; and
3) summarizes or contains a cybersecurity incident response plan for the transportation
infrastructure being improved in the Project; and
4) documents the results of a self-assessment of the Designated Subrecipient's
cybersecurity posture and capabilities; and
5) describes any additional actions that the Designated Subrecipient has taken to
consider or address cybersecurity risk of the transportation infrastructure being
improved in the Project.
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(c) This article is only applicable when the article titled "Critical Infrastructure Security and
Resilience" is included in the Terms and Conditions as refenced in the Recipient
Agreement.
ARTICLE 20. CRITICAL INFRASTRUCTURE SECURITY AND RESILIENCE
Section 20.01 Critical Infrastructure Security and Resilience.
(a) Consistent with Presidential Policy Directive 21, "Critical Infrastructure Security and
Resilience" (Feb. 12, 2013), and the National Security Presidential Memorandum on
Improving Cybersecurity for Critical Infrastructure Control Systems (July 28, 2021), the
Designated Subrecipient shall consider physical and cyber security and resilience in
planning, design, and oversight of the Project.
(b) If the Security Risk Designation in section 5 of schedule F is "Elevated," then the
Designated Subrecipient shall:
1) in the first Quarterly Project Progress Report and Recertification that the Designated
Subrecipient submits under section 7.01, identify a cybersecurity Point of Contact for
the transportation infrastructure being improved in the Project; and
2) in the second Quarterly Project Progress Report and Recertification that the
Designated Subrecipient submits under section 7.01, provide a plan for completing
the requirements in section 20.01(c).
(c) If the Security Risk Designation in section 5 of schedule F is "Elevated," then not later
than the eighth Quarterly Project Progress Report and Recertification that the
Designated Subrecipient submits under section 7.01, the Designated Subrecipient shall
include each of the following in a Quarterly Project Progress Report and Recertification
that the Designated Subrecipient submits under section 7.01:
1) a cybersecurity incident reporting plan for the transportation infrastructure being
improved in the Project or a summary of that plan;
2) a cybersecurity incident response plan for the transportation infrastructure being
improved in the Project or a summary of that plan;
3) the results of a self-assessment of the Recipient's cybersecurity posture and
capabilities or a summary of those results; and
4) a description of any additional actions that the Recipient has taken to consider or
address cybersecurity risk of the transportation infrastructure being improved in the
Project.
ARTICLE 21. NOTICES
Section 21.01 Form of Notice.
(a) For a notice under this Agreement to be valid, it must be in writing.
(b) For a notice to Federal Agency and Recipient under this agreement to be valid, it must
be signed and dated by an individual with authority to act on behalf of the Subrecipient.
Section 21.02 Method of Notice to the Federal Agency and the Recipient.
(a) For a notice to the Federal Agency and the Recipient under this agreement to be valid, it
must be sent by one or more of the following: (1) email; (2) a national transportation
company with all fees prepaid and receipt of delivery; or (3) by registered or certified
mail with return receipt requested and postage prepaid.
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(b) For a notice to the Federal Agency and the Recipient under this agreement to be valid, it
must be addressed to all of the Federal Agency and Recipient contacts who are listed in
schedule A and in Article 2 of the Grant Program Terms & Conditions.
(c) Except as specified in section 21.02(d), a valid notice to the Federal Agency and the
Recipient under this agreement will be deemed to have been received on the earliest of
(1) when the email is received by the Federal Agency and the Recipient, as recorded by
the Federal Agency's and the Recipient's email systems, and (2) when indicated on the
receipt of delivery by national transportation company or mail.
(d) If a valid notice or other communication to the Federal Agency and the Recipient under
this Agreement is received after 5:00 p.m. on a business day, or on a day that is not a
business day, then the notice will be deemed received at 9:00 a.m. on the next business
day.
Section 21.03 Method of Notice to Designated Subrecipient.
(a) Except as specified in section 21.03(d), for a notice to the Designated Subrecipient
under this Agreement to be valid, it must be sent by one or more of the following: (1)
email; (2) a national transportation company with all fees prepaid and receipt of
delivery; or (3) registered or certified mail with return receipt requested and postage
prepaid.
(b) For a notice to the Designated Subrecipient under this Agreement to be valid, it must be
addressed to all of the Designated Subrecipient contacts who are listed in schedule A.
(c) A valid notice to the Designated Subrecipient under this Agreement is effective when
received by the Designated Subrecipient. It will be deemed to have been received:
1) for email, on receipt; and, for other delivery, when indicated on the receipt of
delivery by national transportation company or mail; or
2) if the Designated Subrecipient rejects or otherwise refuses to accept it, or if it cannot
be delivered because of a change in address or representatives for which no notice
was given, then on that rejection, refusal, or inability to deliver.
(d) For a notice to the Designated Subrecipient under article 9 to be valid, it must be sent by
one or more of the following:
1) a national transportation company with all fees prepaid and receipt of delivery, or
2) registered or certified mail with return receipt requested and postage prepaid.
Section 21.04 Designated Subrecipient Contacts for Notice.
(a) If a Designated Subrecipient contact who is listed in schedule A is unable to receive
notices under this Agreement on behalf of the Designated Subrecipient, then the
Designated Subrecipient shall promptly identify one or more replacement contacts
under section 15.02(a).
Section 21.05 Additional Mandatory Notices to the Federal Agency and the Recipient.
(a) The Designated Subrecipient shall notify the Federal Agency and the Recipient if any one
of the following conditions is satisfied, not later than 5 business days after that
condition is satisfied:
1) the Designated Subrecipient receives a communication related to this award or this
Agreement from the United States Comptroller General, a Federal Inspector General,
or any other oversight entity; or
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2) the Designated Subrecipient becomes aware of waste, fraud, abuse, or potentially
criminal activity related to this Agreement.
Section 21.06 Scope of Notice Requirements.
(a) The form and method requirements of this article 23, including sections 21.01, 21.02,
and 21.03, apply only to communications for which this Agreement expressly uses one
or more of the following words: "notice"; "notification"; "notify"; or "notifying." This
article 21 does not control or limit other communication between the parties about the
Project or this Agreement.
ARTICLE 22. FEDERAL FINANCIAL ASSISTANCE, ADMINISTRATIVE, AND NATIONAL POLICY
REQUIREMENTS
Section 22.01 Uniform Administrative Requirements for Federal Awards.
(a) The Designated Subrecipient shall comply with the obligations on non-Federal entities
under 2 C.F.R. parts 200 and 1201.
Section 22.02 Federal Law and Public Policy Requirements.
(a) The Designated Subrecipient shall ensure that Federal funding is expended in full
accordance with the United States Constitution, Federal law, and statutory and public
policy requirements: including but not limited to, those protecting free speech, religious
liberty, public welfare, the environment, and prohibiting discrimination.
(b) The failure of this Agreement or the Recipient Agreement to expressly identify Federal
law applicable to the Designated Subrecipient or activities under this Agreement does
not make that law inapplicable.
Section 22.03 Federal Freedom of Information Act.
(a) The Federal Agency is subject to the Freedom of Information Act, 5 U.S.C. 552.
(b) The Designated Subrecipient acknowledges that the Technical Application, and materials
submitted to the Federal Agency or the Recipient by the Designated Subrecipient
related to this Agreement may become Federal Agency and Recipient records subject to
public release under 5 U.S.C. 552.
Section 22.04 History of Performance.
(a) Under 2 C.F.R 200.206, any Federal Agency may consider the Designated Subrecipient's
performance under this Agreement, the Recipient Agreement, or both, when evaluating
the risks of making a future Federal financial assistance award to the Designated
Subrecipient.
Section 22.05 Whistleblower Protection.
(a) The Designated Subrecipient acknowledges that it is a "grantee" within the scope of 41
U.S.C. 4712, which prohibits the Designated Subrecipient from taking certain actions
against an employee for certain disclosures of information that the employee
reasonably believes are evidence of gross mismanagement of this award, gross waste of
Federal funds, or a violation of Federal law related this this award.
(b) The Designated Subrecipient shall inform its employees in writing of the rights and
remedies provided under 41 U.S.C. 4712, in the predominant native language of the
workforce.
Section 22.06 External Award Terms and Obligations.
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(a) In addition to this document and the contents described in article 21, this Agreement
includes the following additional terms as integral parts:
1) Appendix A to 2 C.F.R. part 25: System for Award Management and Universal
Identifier Requirements;
2) Appendix A to 2 C.F.R. part 170: Reporting Subawards and Executive Compensation;
3) 2 C.F.R. 175: Award Term for Trafficking in Persons; and
4) Appendix XII to 2 C.F.R. part 200: Award Term and Condition for Recipient Integrity
and Performance Matters.
(b) The Designated Subrecipient shall comply with:
1) 49 C.F.R. part 20: New Restrictions on Lobbying;
2) 49 C.F.R. part 21: Nondiscrimination in Federally-Assisted Programs of the
Department of Transportation—Effectuation of Title VI of the Civil Rights Act of 1964;
3) 49 C.F.R. part 27: Nondiscrimination on the Basis of Disability in Programs or
Activities Receiving Federal Financial Assistance; and
4) 23 C.F.R. Chapter 1: Federal Highway Administration, Department of Transportation
as, applicable to the Recipient.
5) Subpart B of 49 C.F.R. part 32: Governmentwide Requirements for Drug-free
Workplace (Financial Assistance).
Section 22.07 Incorporated Certifications.
(a) The Designated Subrecipient makes the statements in the following certifications, which
are incorporated by reference:
1) Appendix A to 49 CFR part 20 (Certification Regarding Lobbying).
ARTICLE 23. ASSIGNMENT
Section 23.01 Assignment Prohibited.
(a) The Designated Subrecipient shall not transfer to any other entity any discretion granted
under this Agreement, any right to satisfy a condition under this Agreement, any
remedy under this Agreement, or any obligation imposed under this Agreement.
ARTICLE 24. Reserved.
ARTICLE 25. WAIVER
Section 25.01 Waivers.
(a) A waiver of a term of this Agreement granted by the Federal Agency will not be effective
unless it is in advance and in writing, and it is signed by an authorized representative of
the Federal Agency.
(b) A waiver of a term of this Agreement granted by the Federal Agency or Recipient on one
occasion will not operate as a continuing waiver for other occasions unless the waiver
expressly states this fact.
(c) If the Federal Agency or Recipient fails to require strict performance of a term of this
Agreement, fails to exercise a remedy for a breach of this Agreement, or fails to reject a
payment during a breach of this Agreement, that failure does not constitute a waiver of
that term or breach.
ARTICLE 26. ADDITIONAL TERMS AND CONDITIONS
Section 26.01 Effect of Urban or Rural Designation.
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(a) Based on information that the Designated Subrecipient provided to the Federal Agency,
including the Technical Application, section 1 of Schedule F designates this award as an
urban award or a rural award, as defined in the NOFO.
(b) The Designated Subrecipient shall comply with the requirements that accompany that
designation on minimum award size, geographic location, and cost sharing.
Section 26.02 Effect of Historically Disadvantaged Community or Area of Persistent Poverty
Designation.
(a) If section 3 of Schedule F lists "Yes" for the "HDC or APP Designation," then based on
information that the Designated Subrecipient provided to the Federal Agency, including
the Technical Application, the Federal Agency determined that the Project will be
carried out in a historically disadvantaged community or an area of persistent poverty,
as defined in the NOFO.
(b) The Designated Subrecipient shall incur a majority of the costs under this award in
historically disadvantaged communities or areas of persistent poverty.
Section 26.03 Disclaimer of Liability.
(a) The Federal Agency and the Recipient shall not be responsible or liable for any damage
to property or any injury to persons that may arise from, or be incident to, performance
or compliance with this Agreement.
Section 26.04 Relocation and Real Property Acquisition.
(a) To the greatest extent practicable under State law, the Designated Subrecipient shall
comply with the land acquisition policies in 49 C.F.R. 24 subpart B and shall pay or
reimburse property owners for necessary expenses as specified in that subpart.
(b) The Designated Subrecipient shall provide a relocation assistance program offering the
services described in 49 C.F.R. 24 subpart C and shall provide reasonable relocation
payments and assistance to displaced persons as required in 49 C.F.R. 24 subparts D—E.
(c) The Designated Recipient shall make available to displaced persons comparable
replacement dwellings in accordance with 49 C.F.R.
Section 26.05 Equipment Disposition.
(a) In accordance with 2 C.F.R. 200.313 and 1201.313, if the Designated Subrecipient, or a
Subrecipient to the Designated Subrecipient, acquires equipment under the Grant
Program award, then when that equipment is no longer needed for the Project:
1) if the entity that acquired the equipment is a State, the State shall dispose of that
equipment in accordance with State laws and procedures; and
2) if the entity that acquired the equipment is an Indian Tribe, the Indian Tribe shall
dispose of that equipment in accordance with tribal laws and procedures. If such laws
and procedures do not exist, Indian Tribes must follow the guidance in 2 C.F.R.
200.313; and
3) if the entity that acquired the equipment is neither a State nor an Indian Tribe, that
entity shall request disposition instructions from the Administering Operating
Administration.
(b) In accordance with 2 C.F.R. 200.443(d), the distribution of the proceeds from the
disposition of equipment must be made in accordance with 2 C.F.R. 200.310-200.316
and 2 C.F.R. 1201.313.
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(c) The Designated Subrecipient shall ensure compliance with this section 25.05 for all tiers
of subawards under this award.
Section 26.06 Environmental Review.
(a) In this section, "Environmental Review Entity" means:
1) if the Project is located in a State that has assumed responsibilities for environmental
review activities under 23 U.S.C. 326 or 23 U.S.C. 327 and the Project is within the
scope of the assumed responsibilities, the State; and
2) for all other cases, Federal Agency.
(b) Except as authorized under section 26.06(c), the Designated Subrecipient shall not begin
final design; acquire real property, construction materials, or equipment; begin
construction; or take other actions that represent an irretrievable commitment of
resources for the Project unless and until:
1) the Environmental Review Entity complies with the National Environmental Policy
Act, 42 U.S.C. 4321 to 4370m-12, and any other applicable environmental laws and
regulations; and
2) if the Environmental Review Entity is not the Designated Subrecipient, the
Environmental Review Entity provides the Designated Subrecipient with written
notice that the environmental review process is complete.
(c) If the Designated Subrecipient is using procedures for early acquisition of real property
under 23 C.F.R. 710.501 or hardship and protective acquisitions of real property 23
C.F.R. 710.503, the Designated Subrecipient shall comply with 23 C.F.R. 771.113(d)(1).
(d) The Designated Subrecipient acknowledges and agrees that:
1) the Environmental Review Entity's actions under section 25.06(a) depend on the
Designated Subrecipient conducting necessary environmental analyses and
submitting necessary documents to the Environmental Review Entity; and
2) applicable environmental statutes and regulation may require the Designated
Subrecipient to prepare and submit documents to other Federal, State, and local
agencies.
(e) In compliance with 23 C.F.R. 771.105(a) and other Federal law, the Designated
Subrecipient shall coordinate all environmental investigations, reviews, and
consultations as a single process.
(f) The activities described in schedule B and other information described in the Recipient
Agreement may inform environmental decision-making processes, but the parties do
not intend the Recipient Agreement to document the alternatives under consideration
under those processes. If a build alternative is selected that does not align with schedule
B or other information in this Agreement, then:
1) the Designated Subrecipient may request in writing and the Federal Agency and
Recipient may amend the Recipient Agreement for consistency with the selected
build alternative; or
2) if the Federal Agency or Recipient determine that the condition for termination is
satisfied, the Federal Agency or the Administering Operating Agency or the Recipient
may terminate the Recipient Agreement under the terms of this Agreement.
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(g) The Designated Subrecipient shall complete any mitigation activities described in the
environmental document or documents for the Project, including the terms and
conditions contained in the required permits and authorizations for the Project.
Section 26.07 Railroad Coordination.
(a) If section 3 of schedule C includes one or more milestones identified as a "Railroad
Coordination Agreement," then for each of those milestones, the Designated
Subrecipient shall enter a standard written railroad coordination agreement, in
compliance with 23 C.F.R. 646.216(d), no later than the deadline date identified for that
milestone, with the identified railroad for work and operation within that railroad's
right-of-way.
ARTICLE 27. MANDATORY AWARD INFORMATION
Section 27.01 Information Contained in a Federal Award.
(a) For 2 C.F.R. 200.211:
1) the "Federal Award Date" is the date of the Recipient Agreement per its terms;
2) the "Assistance Listings Number" is 20.933 and the "Assistance Listings Title" is
"National Infrastructure Investments"; and
3) this award is not for research and development.
Section 27.02 Federal Award Identification Number.
(a) The Payment System identified in Schedule A is "FMIS" or "FMIS Current Bill," thus the
Federal Award Identification Number ("FAIN") will be generated when the Administering
Authorizing Administration Division authorizes the project in FMIS.
(b) The Recipient acknowledges that it has access to FMIS and can retrieve the FAIN from
FMIS for the Designated Subrecipient, once generated.
Section 27.03 Recipient's Unique Entity Identifier.
(a) If the Federal Agency Payment System identified in schedule A is "FMIS" or "FMIS
Current Bill," then the Recipient's Unique Entity Identifier, as defined at 2 C.F.R. 25.400,
is available in FMIS.
(b) Reserved.
ARTICLE 28. CONSTRUCTION AND DEFINITIONS
Section 28.01 Schedules.
(a) This Agreement includes the following schedules as integral parts
Schedule A Administrative Information
Schedule B Project Activities
Schedule C Award Dates and Project Schedule
Schedule D Award and Project Financial Information
Schedule E Changes from Application
Schedule F RAISE Program Designations
Schedule G RAISE Performance Measurement Information
Schedule H Climate Change and Environmental Justice Impacts
Schedule I Equity and Barriers to Opportunity
Schedule J Labor and Work
Schedule K Civil Rights and Title VI
Section 28.02 Exhibits.
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(a) The following exhibits, which are located in the document titled Exhibits to FHWA Grant
Agreements Under the Fiscal Year 2024 RAISE Program," dated June 26, 2024, and
available at https://www.transportation.gov/policy-initiatives/raise/raise-grant-
agreements, are part of this Agreement:
Exhibit A Applicable Federal Laws and Regulations
Exhibit B Additional Standard Terms
Exhibit C Quarterly Project Progress Reports and Recertifications: Format and
Content
Exhibit D Form for Subsequent Obligation of Funds
Section 28.03 Construction.
(a) In this Agreement:
1) unless expressly specified, a reference to a section or article refers to that section or
article in this Agreement;
2) a reference to a section or other subdivision of a schedule listed in section 28.01 will
expressly identify the relevant schedule; and
(b) If a provision in this Agreement, the Terms and Conditions, the Exhibits conflicts with a
provision in the Project Specific portion of the Recipient Agreement, then the project-
specific portion of the Recipient Agreement prevails.
(c) If a provision in the Exhibits and Agreements conflicts with a provision in this Agreement
or the Terms and Conditions, then the provision in this Agreement prevails.
Section 28.04 Integration.
(a) This Agreement constitutes the entire agreement of the parties relating to the Grant
and awards under that Grant program for the Project and supersedes any previous
agreements, oral or written, relating to the Grant and awards under that Grant program
for the Project.
Section 28.05 Definitions.
(a) In this Agreement, the following definitions apply:
"Administering Operating Administration" means the Federal Highway Administration
(FHWA).
"Environmental Review Entity" is defined in Section 26.06.
"Federal Share" means the sum of the total "RAISE Funds" and "Other Federal Funds"
amounts that are listed in Schedule D.
"Grant" means an award of funds that were made available through the NOFO.
"Grant Program" means the RAISE 2023 grant program.
"NOFO" means the Grant Notice of Funding Opportunity number DTOS59-24-RA-RAISE
posted online at Grants.gov, on November 30, 2024.
"OFCCP" means the Department of Labor's Office of Federal Contract Compliance
Programs
"OMB" is the Office of Management and Budget.
"Program Statute" means the collective statutory text:
1) at 49 U.S.C. 6702;
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2) under the heading "Department of Transportation—Office of the
Secretary—National Infrastructure Investments" in title VIII of division
J of the Infrastructure Investment and Jobs Act, Pub. L. No. 117-58
(Nov. 15, 2021), and all other provisions of that act that apply to
amounts appropriated under that heading; and
3) under the heading "Department of Transportation—Office of the
Secretary—National Infrastructure Investments" in title I of division L
of the Consolidated Appropriations Act, 2022 Pub. L. No. 117-103
(Mar. 15, 2022), and all other provisions of that act that apply to
amounts appropriated under that heading.
"Project" means the project proposed in the Technical Application, as modified by the
negotiated provisions of the Recipient Agreement.
"Project Closeout" means the date that the Federal Agency informs the Recipient that
the award is closed out.
"Project Cost Savings" is defined in section 5.04(d).
"Recipient Agreement" means U.S. Department of Transportation Grant Agreement
Under the Fiscal Year 2024 RAISE Program for the Santa Ana Boulevard Grade
Separation Project between the Federal Agency and the Recipient, which may be
a grant agreement or project agreement in FMIS. All references to Schedules
refer to the schedules of this Recipient Agreement.
"Technical Application" means the application identified in section 1 of schedule A of
the Recipient Agreement, including Standard Form 424 and all information and
attachments submitted with that form through Grants.gov.
"Title VI" means Title VI of the Civil Rights Act of 1964, Pub. L. No. 88-352 (codified at 42
U.S.C. 2000d to 2000d-4a).
Section 28.06 References to Times of Day.
(a) All references to times of day in this Agreement are deemed references to that time at
the prevailing local time in Washington, DC.
ARTICLE 29. CIVIL RIGHTS AND TITLE VI
Section 29.01 CIVIL RIGHTS AND TITLE VI.
(a) Consistent with Executive Order 13985, "Advancing Racial Equity and Support for
Underserved Communities Through the Federal Government" (Jan. 20, 2021), Executive
Order 14091, "Further Advancing Racial Equity and Support for Underserved
Communities Through the Federal Government" (Feb. 16, 2023), and DOT Order
1000.12C, "The U.S. Department of Transportation Title VI Program" (June 11, 2021),
the purpose of sections 29.01(b)-29.01(c) is to ensure that the Designated Subrecipient
has a plan to comply with civil rights obligations and nondiscrimination laws, including
Title VI and 49 C.F.R. part 21.
(b) If the Designated Subrecipient Type Designation in schedule K is "Existing," then the
Designated Subrecipient shall submit to the Federal Agency and the Recipient either:
1) not later than one month after the date of this Agreement, documentation showing
that the Designated Subrecipient has complied with all reporting requirements under
the Administering Operating Administration's implementation of Title VI; or
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2) not later than six months after the date of this Agreement, both a Title VI Plan and a
Community Participation Plan, as those plans are described in chapter II, sections 3-4
of DOT Order 1000.12C.
(c) If the Designated Subrecipient Type Designation in schedule K is "New," then the
Administering Operating Administration completed a Title VI Assessment of the
Designated Subrecipient, as described in chapter II, section 2 of DOT Order 1000.12C,
before entering this Agreement, as documented in section 2 of schedule K.
(d) In this section 12.1, "Title VI" means Title VI of the Civil Rights Act of 1964, Pub. L. No.
88-352 (codified at 42 U.S.C. 2000d to 2000d-4a).
Section 29.02 Legacy Infrastructure and Facilities.
(a) In furtherance of the Americans with Disabilities Act of 1990 (ADA), Pub. L. No. 101-336
(codified at 42 U.S.C. 12101-12213), and Section 504 of the Rehabilitation Act of 1973,
Pub. L. No. 93-112 (codified at 29 U.S.C. 794), not later than one year after the date of
this Agreement, the Designated Subrecipient shall develop a plan to address any legacy
infrastructure or facilities that are not compliant with ADA standards and are involved
in, or closely associated with, the Project. Consistent with 49 C.F.R. part 27, even in the
absence of prior discriminatory practice or usage, a Designated Subrecipient
administering a program or activity receiving Federal financial assistance is expected to
take action to ensure that no person is excluded from participation in or denied the
benefits of the program or activity on the basis of disability.
ARTICLE 30. INFORMATION REQUESTS
Section 30.01 Information Requests.
(a) By notice, the Federal Agency and the Recipient may request from the Designated
Subrecipient any information that the Federal Agency and the Recipient determines is
necessary to fulfill its oversight responsibilities under the Program Statute or other
Federal law.
(b) If the Federal Agency and the Recipient requests information from the Designated
Subrecipient under section 30.01(a), the Designated Subrecipient shall respond in the
form and at the time detailed in the notice requesting information.
(c) This section 30.01 does not limit the Designated Subrecipient's obligations under section
11.04 or 2 C.F.R. 200.337 to provide access to Designated Subrecipient records.
ARTICLE 30. AGREEMENT EXECUTION AND EFFECTIVE DATE
Section 30.01 Counterparts.
(a) This Agreement may be executed in counterparts, which constitute one document.
(b) The parties intend each countersigned original to have identical legal effect.
Section 30.02 Effective Date.
(a) This Agreement will become effective when all parties have signed it and the Recipient
Agreement is executed (the "Effective Date").
(b) This instrument constitutes a Grant when the Agreement becomes effective.
ARTICLE 31. Reserved.
ARTICLE 32. Reserved.
ARTICLE 33. Reserved.
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DESIGNATED SUBRECIPIENT SIGNATURE PAGE
The Designated Subrecipient, intending to be legally bound, is signing this Agreement on the
date stated opposite that party's signature.
CITY OF SANTA ANA
"DESIGNATED SUBRECIPIENT"
By:
Alvaro Nunez Date
City Manager
ATTEST:
By:
Jennifer L. Hall Date
City Clerk
APPROVED AS TO CONTENT:
PUBLIC WORKS DEPARTMENT
�mgo asz 06/07/2026
By: Rodolfo Rosas(Jul 6,2026 10:46:40 PDT)
Rodolfo Rosas, P.E. Date
Acting Executive Director of Public Works
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney �y
By: / '/��"� June 1, 2026
le Nellesen Date
Assistant City Attorney
COUNTERSIGNED:
By:
Alexander Trinidad Date
Executive Director of Finance and Management Services
Page 33 1 34
FY 24 RAISE Discretionary Grant Program
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SANTA ANA BOULEVARD GRADE SEPARATION PROJECT
RECIPIENT SIGNATURE PAGE
The Recipient, intending to be legally bound, is signing this Agreement on the date stated
opposite that party's signature.
CALIFORNIA DEPARTMENT OF TRANSPORTATION
By:
DEE LAM Date
Chief, Division of Local Assistance
AND
[NAME] Date
District Director
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