HomeMy WebLinkAboutCALIFORNIA, STATE OF - DEPARTMENT OF TRANSPORTATION (CALTRANS) (18) - 2017INSURANCE NOT REQUIRED
WORKMAYPROMXUo 18 2017
CLERK Or COUNCIL
PROGRAM SUPPLEMENT NO. F164
to
ADMINISTERING AGENCY -STATE AGREEMENT
FOR FEDERAL -AID PROJECTS NO 12-5063F15
Adv Project ID Date::
1217000041 Location:
Project Number„
E.A. Numbers
Locode:
A-2017-042.03
May 17.2W
12 -ORA -0 -SA
STPL-5063(176)
5063
(nrufit, k
This Program Supplement hereby adopts and incorporates the Administering Agency -State Agreement for Federal Aid
which was entered into between the Administering Agency and the State on 04728117 and is subject to all the terms and
conditions thereof. This Program Supplement is executed in accordance with Article i of the aforementioned Master
Agreement under authority of Resolution No. 2..0 0 - 005 approved by the Administering Agency on Ftb.` 12A 1'7
(See copy attached).
The Administering Agency further stipulates that as a condition to the payment by the State of any funds derived from
sources noted below obligated to this PROJECT, the Administering Agency accepts and will comply with the special
covenants or remarks set forth on the following pages.
PROJECT LOCATION:
Fairview Street from 5egerstrom Avenue to north city:limits north of Lori Lane
TYPE OF WORK: Road rehabilitation
M23E
LOCAL
LENGTH: 4.6(MILES)
60.00
CITY OF SA A ANA STATE OF CALIFORNIA
Departme t'of Transports ton
By By
Title6 5L -rIVG VsiZEoge, ?vA Chief, Office ofProject Implementation
_.-.
il� _ 72.- 1-1Division of Local Assistance
Date t Cynthia J. Kurtz
AttestInterim City Manager
Mara Date
r 1fofsi:w+ otincil —
I hereby cattily upon my personal knowledge that budgeted funds are available for this encumbrance:
Accounting Officer Date S 2 tr f 6500'000.00
Chapter Statutes item I Year Program BC Category Fund Source AMOUNT
PI<r>� r tum
all Ori;;uial
ewe; d agrecalent kc) l?Ur
Rice ('' 1,10"i l 1),
Program Supplement 12 -5063F15 -F164- ISTEA Page I of 6
STATE OF CALIFORNIA. DEPARTMENT OF TRANSPORTATION
PROGRAM 5UPPLMENT AND CERTIFICATION FORM
PSCF'(l 01/201(1)
Pa7a•1 of n
FROM:
Department of Transportation
SUBJECT:
Encumbrance Document
'VENDOR.( LOCAL AGENCY
CITY OF SANTA ANA
CONTRACT AMOUNT;
$500;000.00'
PROCUREMENT TYPE:
Local Assistance
ADA NOtIIFor Individuals Win sensory dlsablllUes, this@opumen0s available in alternate Formals, For in{ormatlon, call (015) 654-0410 of TDD (910):3686 or write
.Records and. Forms Management. 1120 N. Street, W.V. Sacramento, CA95874,
12 -ORA -0 -SA 0514712017
STPL-5063076]
SPECIAL .COVENANTS OR REMARKS
1 A, The ADMINISTERING AGENCY will advertise, award and administer this. project in
accordance with the current published Local Assistance Procedures Manual:
B. ADMINISTERING AGENCY agrees that
.specific phase(s) with .an "Authorization to
phase(s) of this project prior to receiving an
for that phases) unless no further State oI
phase(s),
it will only proceed with work authorized for
Proceed" and Will 'not proceed with future
"Authorization to Proceed" from the STATE
Federal funds are needed for those future
STATE and ADMINISTERING AGENCY agree that:any additional funds which might
be made available by future Federal obligations will be encumbered on this PROJECT by
use of a STATE -approved "'Authorization to. Proceed" and Finance Letter.
ADMINISTERING AGENCY agrees that Federal funds available for reimbursement. will
be.limited to the amounts obligated by the: Federal Highway Administration.
D. Award information .shall be submitted by the ADMINISTERING AGENCY to the
(` District Local Assistance Engineer.within 60 days of project contract award and prior to
the submittal of the ADMINISTERING AGENCY'S: first invoice for the construction
contract.
Failure to do so will cause a delay in the State processing invoices for the construction
phase. Attention is directed to Section '15.7 "Award Package" of the Local Assistance
Procedures Manual.
E: ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at least once
every six months commencing after the funds are encumbered for each phase by the
execution of this Project Program Supplement Agreement, or by STATE's approval of an
applicable Finance Letter. STATE reserves the right to suspend future
a uth o rIzation slob I igations for Federal aid projects, or encumbrances. for State funded,
projects, as well as to suspend invoice payments for any on -go irig or future. pro1ect by
ADMINISTERINGAGENCY if PROJECT costs have. not been invoiced by
ADMINISTERING AGENCY for a six-month period.
If no. costs have been invoiced for a six-month period, ADMINISTERING AGENCY
agrees to -submit for each phase a. written explanation of the absence of PROJECT
activity along with target billing date and target billing amount.
ADMINISTERING AGENCY agrees to submit the final report documents that collectively
constitute a "Report of Expenditures" Within one hundred eighty (180) days.of PROJECT
completion. Failure of ADMINISTERING..AGENCY to submit a "Final Report of
Expenditures" within 180 days of PROJECT completion will result in STATE imposing
sanctions upon ADMINISTERING AGENCY in accordance with the current Local
Assistance Procedures. Manual.
F. Administering Agency shall not discriminate on the basis of race, religion, age,
disability, color, national ,origin, or sex in the award and performance of .any Federal -
Program Supplement 12-50HF15-F154- I$TSA Page 2 of 6'
12 -ORA -0 -SA
STPL-5063070
9PEciAL COVENANTS OR REMARKS
0611712017
assisted contract or in the.administration of its. DBE Program Implementation Agreement.
The Admin. istering. Agency shall take all necessary and reasonable steps under 49 .CFR
Part 26 to ensure nondiscrimination in the award and administration of Federal -assisted.
contracts. The Administering Agency's DBE Implementation Agreement is' incorporated
by.refe.rence in this Agreement- Implementation of the DBE Implementatio.n.Agreement,
including but not limited to. timely reporting of DBE commitments and utilization, is:a legal
obligation and failure to carry out its terms shall be treated as a violation of this
Agreement. Upon notification to the Administering Agency of its failure to carry out its
DBE Implementation Agreement, the State rbay impose sanctions. as provided for under
49 CFR Part 26 and may, in appropriate cases, refer the matter for enforcementunder 18
U.S.C. 1001 and/or the. Program Fraud Civil Remedies Act of 1.088 (31 U.S.C..3801 'et
seq.).
G. Any State and Federal. funds: that.may have been encumbered for this project are
available. fordisbursement for limited periods of time. For each fund encumbrance the
limited period is from the start of the fiscal year that the specific fund was .appropriated
( within the State Budget Act to the applicable fund Reversion Date shown on the State
approved project finance letter. Per Government Code Section 16304, all project funds
not liquidated within these periods will revert unless an executed Cooperative Work
Agreement extending these dates is requested by the ADMINISTERING AGENCY and
approved by the California Department of Finance.
ADMINISTERING AGENCY should ensure: that invoices are. submitted to the District
Local, Assistance Engineer at least 75 days prior to the applicable fund. Reversion Date to
avoid. the lapse of applicable funds. Pursuant to a directive from the State Controller's
Office and the. Department of Finance:; in order for payment to be made, the last date .the
District Local Assistance Engineer can forward an invoice for payment to the
Department's Local Programs Accounting Office for reimbursable work for funds that are
going to revert at the end of a particular fiscal year. is May 15th of the particular fiscal
year, Notwithstanding the unliquidated sums of project specific State and Federal funding
remaining and available to fund project work, any invoice for reimbursement involving
applicable funds that 'is not received by the Department's Local Programs Accounting
Office at least 45 days prior to the applicable fixed fund Reversion. Date will not be paid.
These unexpended funds will be irrevocably reverted by the Department's Division of
Accounting on the applicable fund Reversion Date.
N. As a condition for receiving federal -aid highway funds for the PROJECT, the
Administering Agency certifies that NO members of the elected board, council, or other
key decision makers are on the Federal Government Exclusion List. Exclusions can be
found at www.sam.gov.
2. A. ADMINISTERING AGENCY shall conform to all State statutes, regulations and
procedures (including those set forth In the Local Assistance Procedures Manual and the
Local Assistance Program Guidelines, hereafter collectively referred to as "LOCAL
ASSISTANCE PROCEDURES.") relating to the federal -aid, program, all Title 23 Code of
Program Supplement 12 -5063F15 -F164- ISTEA page 3 of 6
t
12.ORA-0-SA 05117/2017
STRL-50631176)
SPECIAL COVENANTS OR REMARKS'
Federal Regulation (CFR) and 2 C.FIR Part.200 federal requirements, and all applicable
federal laws, regulations, and policy and procedural or instructional memoranda, unless
otherwise specifically waived as designated ;in the executed project -specific PROGRAM
SUPPLEMENT.
B•. Invoices shall besubmitted on.. ADMINISTERING AGENCY letterhead that includes.
the address of ADMINISTERING AGENCY and shall be formatted in accordance with
LOCAL ASSISTANCE PROCEDURES,
C. ADMINISTERING AGENCY must have at least one copy of :supporting backup
documentation for costs incurred and claimed for reimbursement by ADMINISTERING
AGENCY, ADMINISTERING AGENCY agrees to submit supporting backup
documentation with 'invoices if requested by State. Acceptable backup documentation
includes, but is not .limited to, agency's progress payment to the contractors, copies of
cancelled checks showing amounts made payable to vendors and contractors, and/or a
computerized summary of PROJECT costs.
D. Indirect Cost Allocation Plan/Indirect Cost Rate Proposals (iCAP/ICRP), Central
Service Cost Allocation Plans and related: documentation are to be prepared and provided
to STATE (Caltrans Audits & Investigations) for review and approval prior to
ADMINISTERING AGENCY seeking reimbursement of indirect costs incurred within each
fiscal year being. claimed for State and federal reimbursement. ICAPs/ICRPs must be
prepared :in accordance, with the requirements set forth in 2 CFR, Part 200, Chapter 5 of
the Local Assistance Procedural Manual, ,and the (CAP/ICRP approval. procedures
established by STATE.
E.. STATE will .withhold the greater.of either two (2) percent of the total o..f:all`federal funds
encumbered for each PROGRAM SUPPLEMENT or $40,000 until ADMINISTERING
AGENCY submits the Final Report of Expenditures for each completed PROGRAM
SUPPLEMENT PROJECT.
F. Payments to ADMINISTERING AGENCY for PROJECT -related travel and
subsistence (per diem) expenses of ADMINISTERING' AGENCY forces and its
contractors and subcontractors claimed for reimbursement or as local match credit shall
not exceed rates authorized to be paid rank and file STATE employees under current
State Department of Personnel Administration (DPA) rules. If the rates invoiced by
ADMINISTERING AGENCY are in excess of DPA rates, ADMINISTERING AGENCY is
responsible for the cost difference, and any overpayments .inadvertently paid by STATE
shall be reimbursed to STATE by ADMINISTERING AGENCY `on demand within thirty.
(30) days of such invoice.
G. ADMINISTERING AGENCY agrees to comply with. 2 CFR, Part 200, .Uniform.
Administrative Requirements, Cost Principles and Audit Requirement for Federal Awards.
H, ADMINISTERING AGENCY agrees,. and will assure that its contractors and
subcontractors will be obligated to agree, that Contract Cost Principles and Procedures,
Program Supplement 12 -5063F15 -F164- ISTEA Page:4 of 6
12-01RA-O-5.A 0511712017
STPL-9063(976)
SPECIAL CQVENANTS OR REMARKS
48 CFR, Federal Acquisition Regulations System; Chapter 1, Part 31, et seq., shall be
used to determine the allowability of individual PROJECT cost. items.
I. Every sub:recipient.receiving PROJECT funds under this AGREEMENT shall comply
with 2 CFR, Part 200., 23CFR, 48 CFR Chapter 1, Part 31, Local Assistance Procedures,
Public Contract Code (PCC) 10300-10334 (procurement of goods), PCC 10335-10381
(non -A&E services), and other applicable STATE and FEDERAL regulations.
J. Any PROJECT costs for which ADMINISTERING AGENCY has received payment or
credit that are determined by subsequent audit to be unallowable under 2 CFR, Part 200.,
23 CFR, 48 CFR, Chapter 1, Part. 3.1, and other applicable STATE and FEDERAL
regulations, are subject to repayment by ADMINISTERING AGENCY to STATE,
K. STATE reserves the right to conduct technical .and financial audits of PROJECT
WORK and records and ADMINISTERING AGENCY agrees, and shall require its
contractors and subcontractors to agree, to cooperate with STATE by making all
(` appropriate and ;relevant PROJECT records available. for audit and copying as requlred
by the following. paragraph:
ADMINISTERING AGENCY, ADMINISTERING AGENCY'S contractors and
subcontractors, and STATE shall each maintain and make available for inspection and
audit by STATE, the California State Auditor; or any duly authorized representative of
STATE or the United States all books, documents; papers, accounting.records, and other
evidence pertaining to the performance of such contracts,, including, but not limited to, the
costs of administering those various contracts and ADMINISTERING. AGENCY shall
furnish copies thereof if requested. All of the above referenced parties shall make such
AGREEMENT, PROGRAM SUPPLEMENT,, and contract materials available at their
respective offices at all reasonable times during the entire PROJECT period and for three
(3) years from the date .of submission of the final expenditure report by the STATE to .the
(
FHVVA.
L. ADMINISTERING AGENCY, its contractors and subcontractors shall establish and
maintain a financial management system and records that. properly accumulate and
segregate reasonable, allowable, and allocable incurred PRJECT costs and matching
funds by line. item for the PROJECT. The financial management system of
ADMINISTERING AGENCY, its contractors and all subcontractors shall conform to
Generally Accepted Accounting Principles, enable the determination of incurred costs at
interim points of completion, and provide support for reimbursement payment vouchers or
invoices set to or paid by STATE.
M. ADMINISTERING AGENCY is required to have an audit in accordance with the Single
Audit Act of 2 CFR 200 if it expends $750,000 or more in Federal. Funds in a single fiscal
year of the: Catalogue of Federal Domestic Assistance:
N. ADMINISTERING AGENCY :agrees to include all PROGRAM SUPPLEMENTS
adopting the terms of this AGREEMENT in the schedule of projects to be examined in
Program Suppleitiant 12-5063FIE-P164- ISTEA Page 5. of
12-ORA„O=SA 05/17120.17
STPL-5063(176,)
SPECIAL.COVENANTS OR REMARKS
ADMINISTERING AGENCY's annual audit and in the schedule of projects to be
examined under its single audit prepared in accordance. with 2 CFR, Part 20(],
O., ADMINISTERING AGENCY shall .not award 'anon-A&E contract over $5.1000,
construction contracts over $10,000, or other contracts over $25;000 [excluding
professional service contracts of the type which are required to be procured in
accordance with. Government .Code sections 4525 (d)., (e) and .(f)] on the basis of a
noncompetitive negotiation for work to be. performed under this AGREEMENT without the
prior written approval. of STATE. Contracts awarded by ADMINISTERING AGENCY, if
intended as local match credit, must meet the requirements set forth in this AGREEMENT
regarding. local match funds,
P. Any subcontract entered into by ADMINISTERING: AGENCY as a result of this
AGREEMENT shall contain provisions B, C, F, H, I, kC, and L under Section 2 of this
agreement.
P;rogtar i Supplement 12 -5063F95 -F164= ISTEA Page 6:of 6
Imf 1/24117
RESOLUTION NO.2017-00.5
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA AUTHORIZING THE EXECUTIVE. DIRECTOR
OF THE PUBLIC WORKS AGENCY TO EXECUTE ALL
PROGRAM. SUPPLEMENT AGREEMENTS REQUIRED BY
REVISED .MASTER AGREEMENT NO, 12-5063F15 WITH
THE CALIFORNIA DEPARTMENT OF TRANSPORTATION
FOR FEDERAL -AID PROJECTS
BE IT RE$OILVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA. AS
FOLLOWS:
Sectio . The City Councilof the .City of Santa Aha.hereby finds; determines
and declares as follows:
( A. On October 1.8, 2616, the City Council approved the Revised .Administering
1:2
Agency�State Master Agreement No, 75063F15 for Federal -Aid Projects
with the California Department of Transportatlon (Caltrans); which provides.
for the City's reimbursement of federally funded transportation projects.
B. The Revised Master .Agreement No.. 12-5063F1,5 ,incorporates various
changes in regulations and policies.
C, Under the Revised Master Agreement No: 12-5063F15,, project -specific
Program Supplements are issued,. and these Program. Supplements
constitute the contractual basis for Caltrans to relmburse the City for federally
funded transportation projects:
Section 2.. The City Council hereby authorizes the Executive Director of the
Public Works Agency to execute all Program Supplement Agreements required by
Revised Master Agreement No, 12-50631`15.
Section 3',. This Resolution shall take effect immediately upon its adoption by
the City Council, and the Clerk of the Council shall attest fa and certify the vote adopting
this Resolution.
ADOPTED this :7th day of February,: 201 T
LHr/
m7lffi.��
. ResolUtIon Na. 2017-005
Page 1 of 2
APPROVED AS TO FORM:
Sonia R,. Carvalho, City Attorney
By:,
Jc6fn M. Funk
Assistant` City Attorney
AYES: Counclimembers Martinez, Pulldo, Sarmiento, Solono
Villegas (5)
NOES: Councilmembers None (6)
ABSTAIN: Ccuncilmembers None (0)
r`
NOT PRESENT: Councilmernbers Benayides, Tinalaro. f21
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and cartify the attached
R'esolutlon No. 2017-005 to be the original resolution adopted by the City Council of the
City of Santa Ana on Febru.My 7, 2017.
Date:�1 7
Maria D.Huizar
Clerk of the Council
City:.of Santa Ana
Resolution No. 201M05
Page 2of2