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02/05/2021
06-5942F15-F297- ISTEAProgram Supplement
06-FRE-0-CR
ATPL-5942(303)
SPECIAL COVENANTS OR REMARKS
Page 2 of 9
1.A. The ADMINISTERING AGENCY will advertise, award and administer this project in
accordance with the current published Local Assistance Procedures Manual.
B. ADMINISTERING AGENCY agrees that it will only proceed with work authorized for
specific phase(s) with an "Authorization to Proceed" and will not proceed with future
phase(s) of this project prior to receiving an "Authorization to Proceed" from the STATE
for that phase(s) unless no further State or Federal funds are needed for those future
phase(s).
C. Award information shall be submitted by the ADMINISTERING AGENCY to the
District Local Assistance Engineer immediately after 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.
D. ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at least once
every six months commencing after the funds are encumbered for each phase by the
execution of this Project Program Supplement Agreement, or by STATE's approval of an
applicable Finance Letter. STATE reserves the right to suspend future
authorizations/obligations for Federal aid projects, or encumbrances for State funded
projects, as well as to suspend invoice payments for any on-going or future project by
ADMINISTERING AGENCY if PROJECT costs have not been invoiced by
ADMINISTERING AGENCY for a six-month period.
If no costs have been invoiced for a six-month period, ADMINISTERING AGENCY
agrees to submit for each phase a written explanation of the absence of PROJECT
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.
E. 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-
assisted contract or in the administration of its DBE Program Implementation Agreement.
The Administering Agency shall take all necessary and reasonable steps under 49 CFR
Part 26 to ensure nondiscrimination in the award and administration of Federal-assisted
contracts. The Administering Agency's DBE Implementation Agreement is incorporated
by reference in this Agreement. Implementation of the DBE Implementation Agreement,
including but not limited to timely reporting of DBE commitments and utilization, is a legal
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obligation and failure to carry out its terms shall be treated as a violation of this
Agreement. Upon notification to the Administering Agency of its failure to carry out its
DBE Implementation Agreement, the State may impose sanctions as provided for under
49 CFR Part 26 and may, in appropriate cases, refer the matter for enforcement under 18
U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et
seq.).
F. Any State and Federal funds that may have been encumbered for this project are
available for disbursement for limited periods of time. For each fund encumbrance the
limited period is from the start of the fiscal year that the specific fund was appropriated
within the State Budget Act to the applicable fund Reversion Date shown on the State
approved project finance letter. Per Government Code Section 16304, all project funds
not liquidated within these periods will revert unless an executed Cooperative Work
Agreement extending these dates is requested by the ADMINISTERING AGENCY and
approved by the California Department of Finance.
ADMINISTERING AGENCY should ensure that invoices are submitted to the District
Local Assistance Engineer at least 75 days prior to the applicable fund Reversion Date to
avoid the lapse of applicable funds. Pursuant to a directive from the State Controller's
Office and the Department of Finance; in order for payment to be made, the last date the
District Local Assistance Engineer can forward an invoice for payment to the
Department's Local Programs Accounting Office for reimbursable work for funds that are
going to revert at the end of a particular fiscal year is May 15th of the particular fiscal
year. Notwithstanding the unliquidated sums of project specific State and Federal funding
remaining and available to fund project work, any invoice for reimbursement involving
applicable funds that is not received by the Department's Local Programs Accounting
Office at least 45 days prior to the applicable fixed fund Reversion Date will not be paid.
These unexpended funds will be irrevocably reverted by the Department's Division of
Accounting on the applicable fund Reversion Date.
G. As a condition for receiving federal-aid highway funds for 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.
H. This PROJECT is programmed to receive Federal funding from the Active
Transportation Program (ATP). Funding may be provided under one or more
components. A component(s) specific fund allocation is required, in addition to other
requirements, before reimbursable work can occur for the component(s) identified. Each
allocation will be assigned an effective date and identify the amount of funds allocated per
component(s).
This PROGRAM SUPPLEMENT has been prepared to allow reimbursement of eligible
PROJECT expenditures for the component(s) allocated. The start of reimbursable
expenditures is restricted to the later of either 1) the effective date of the component
specific allocation or the effective date of the federal obligation of funds.
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I. 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 also agrees that Federal funds available for reimbursement
will be limited to the amounts obligated by the Federal Highway Administration and that
STATE funds available for reimbursement will be limited to the amounts allocated by the
California Transportation Commission and/or STATE.
J. Upon ADMINISTERING AGENCY request, the CTC and/or STATE may approve
supplementary allocations, time extensions, and fund transfers between components.
Funds transferred between allocated project components retain their original timely use of
funds deadlines, but an approved time extension will revise the timely use of funds criteria
for the component(s) and allocation(s) requested. Approved supplementary allocations,
time extensions, and fund transfers between components made after the execution of this
PROGRAM SUPPLEMENT will be documented and considered subject to the terms and
conditions thereof. Documentation will consist of a Federal Highway Administration-
approved "Authorization to Proceed" notification, a STATE approved Allocation Letter,
Fund Transfer Letter, Time Extension Letter, and Finance Letter, as appropriate.
K. This PROJECT will be administered in accordance with the applicable CTC STIP
guidelines and the Active Transportation Program guidelines as adopted or amended, the
Local Assistance Procedures Manual (LAPM), the Local Assistance Program Guidelines
(LAPG), and this PROGRAM SUPPLEMENT.
L. The submittal of invoices for PROJECT costs shall be in accordance with the above-
referenced publications and the following. The ADMINISTERING AGENCY shall invoice
STATE for environmental & permits, plans specifications & estimate, and right-of-way
costs no later than 180 days after the end of last eligible fiscal year of expenditure. For
construction costs, the ADMINISTERING AGENCY has 180 days after project completion
or contract acceptance, whichever occurs first, to make the final payment to the
contractor and prepare the final Report of Expenditures and final invoice, and submit to
STATE for verification and payment.
M. All obligations of STATE under the terms of this Agreement are subject to the
appropriation of resources by the Legislature and the encumbrance of funds under this
Agreement. Funding and reimbursement are available only upon the passage of the
State Budget Act containing these Federal funds.
N. This PROJECT is subject to the timely use of funds provisions enacted by the ATP
Guidelines, as adopted or amended, and by approved CTC and State procedures as
outlined below.
Funds allocated for the environmental & permits (E&P), plan specifications & estimate
(PS&E), and right-of-way components are available for expenditure until the end of the
second fiscal year following the year in which the funds were allocated.
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2.
Funds allocated for the construction component are subject to an award deadline and
contract completion deadline. ADMINISTERING AGENCY agrees to award the contract
within 6 months of the construction fund allocation and to complete and accept the
construction within 36 months of award.
O. By executing this PROGRAM SUPPLEMENT, ADMINISTERING AGENCY agrees to
comply with all reporting requirements in accordance with the Active Transportation
Program Guidelines, as adopted or amended.
P. This PROJECT has received funds from Active Transportation Program (ATP). The
ADMINISTERING AGENCY agrees to administer the project in accordance with the CTC
Adopted SB1 Accountability and Transparency Guidelines.
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
Federal Regulation (CFR) and 2 CFR Part 200 federal requirements, and all applicable
federal laws, regulations, and policy and procedural or instructional memoranda, unless
otherwise specifically waived as designated in the executed project-specific PROGRAM
SUPPLEMENT.
B. Invoices shall be formatted in accordance with LOCAL ASSISTANCE
PROCEDURES.
C. ADMINISTERING AGENCY must have at least one copy of supporting backup
documentation for costs incurred and claimed for reimbursement by ADMINISTERING
AGENCY. ADMINISTERING AGENCY agrees to submit supporting backup
documentation with invoices if requested by State. Acceptable backup documentation
includes, but is not limited to, agency's progress payment to the contractors, copies of
cancelled checks showing amounts made payable to vendors and contractors, and/or a
computerized summary of PROJECT costs.
D. Indirect Cost Allocation Plan/Indirect Cost Rate Proposals (ICAP/ICRP), Central
Service Cost Allocation Plans and related documentation are to be prepared and provided
to STATE (Caltrans Audits & Investigations) for review and approval prior to
ADMINISTERING AGENCY seeking reimbursement of indirect costs incurred within each
fiscal year being claimed for State and federal reimbursement. ICAPs/ICRPs must be
prepared in accordance with the requirements set forth in 2 CFR, Part 200, Chapter 5 of
the Local Assistance Procedural Manual, and the ICAP/ICRP approval procedures
established by STATE.
E. STATE will withhold the greater of either two (2) percent of the total of all federal funds
encumbered for each PROGRAM SUPPLEMENT or $40,000 until ADMINISTERING
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SPECIAL COVENANTS OR REMARKS
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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,
48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be
used to determine the allowability of individual PROJECT cost items.
I. Every sub-recipient receiving PROJECT funds under this AGREEMENT shall comply
with 2 CFR, Part 200, 23 CFR, 48 CFR Chapter 1, Part 31, Local Assistance Procedures,
Public Contract Code (PCC) 10300-10334 (procurement of goods), PCC 10335-10381
(non-A&E services), and other applicable STATE and FEDERAL regulations.
J. Any PROJECT costs for which ADMINISTERING AGENCY has received payment or
credit that are determined by subsequent audit to be unallowable under 2 CFR, Part 200,
23 CFR, 48 CFR, Chapter 1, Part 31, and other applicable STATE and FEDERAL
regulations, are subject to repayment by ADMINISTERING AGENCY to STATE.
K. STATE reserves the right to conduct technical and financial audits of PROJECT
WORK and records and ADMINISTERING AGENCY agrees, and shall require its
contractors and subcontractors to agree, to cooperate with STATE by making all
appropriate and relevant PROJECT records available for audit and copying as required
by the following paragraph:
ADMINISTERING AGENCY, ADMINISTERING AGENCY'S contractors and
subcontractors, and STATE shall each maintain and make available for inspection and
audit by STATE, the California State Auditor, or any duly authorized representative of
STATE or the United States all books, documents, papers, accounting records, and other
evidence pertaining to the performance of such contracts, including, but not limited to, the
costs of administering those various contracts and ADMINISTERING AGENCY shall
furnish copies thereof if requested. All of the above referenced parties shall make such
AGREEMENT, PROGRAM SUPPLEMENT, and contract materials available at their
respective offices at all reasonable times during the entire PROJECT period and for three
06-5942F15-F297- ISTEAProgram Supplement
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3.
4.
(3) years from the date of submission of the final expenditure report by the STATE to the
FHWA.
L. ADMINISTERING AGENCY, its contractors and subcontractors shall establish and
maintain a financial management system and records that properly accumulate and
segregate reasonable, allowable, and allocable incurred PROJECT costs and matching
funds by line item for the PROJECT. The financial management system of
ADMINISTERING AGENCY, its contractors and all subcontractors shall conform to
Generally Accepted Accounting Principles, enable the determination of incurred costs at
interim points of completion, and provide support for reimbursement payment vouchers or
invoices set to or paid by STATE.
M. ADMINISTERING AGENCY is required to have an audit in accordance with the Single
Audit Act of 2 CFR 200 if it expends $750,000 or more in Federal Funds in a single fiscal
year of the Catalogue of Federal Domestic Assistance.
N. ADMINISTERING AGENCY agrees to include all PROGRAM SUPPLEMENTS
adopting the terms of this AGREEMENT in the schedule of projects to be examined in
ADMINISTERING AGENCY's annual audit and in the schedule of projects to be
examined under its single audit prepared in accordance with 2 CFR, Part 200.
O. ADMINISTERING AGENCY shall not award a non-A&E contract over $5,000,
construction contracts over $10,000, or other contracts over $25,000 [excluding
professional service contracts of the type which are required to be procured in
accordance with Government Code sections 4525 (d), (e) and (f)] on the basis of a
noncompetitive negotiation for work to be performed under this AGREEMENT without the
prior written approval of STATE. Contracts awarded by ADMINISTERING AGENCY, if
intended as local match credit, must meet the requirements set forth in this AGREEMENT
regarding local match funds.
P. Any subcontract entered into by ADMINISTERING AGENCY as a result of this
AGREEMENT shall contain provisions B, C, F, H, I, K, and L under Section 2 of this
agreement.
The ADMINISTERING AGENCY shall construct the PROJECT in accordance with the
scope of work presented in the application and approved by the California Transportation
Commission. Any changes to the approved PROJECT scope without the prior expressed
approval of the California Transportation Commission are ineligible for reimbursement
and may result in the entire PROJECT becoming ineligible for reimbursement.
Appendix E of the Title VI Assurances (US DOT Order 1050.2A)
During the performance of this agreement, the ADMINISTERING AGENCY,
ADMINISTERING AGENCY'S contractors and subcontractor, (hereinafter referred to as
the "contractor") agrees to comply with the following nondiscrimination statutes and
authorities; including but not limited to:
06-5942F15-F297- ISTEAProgram Supplement
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5.
Pertinent Nondiscrimination Authorities:
A. Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq., 78 stat. 252),
(prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part 21.
B. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970,
(42 U.S.C. 4601), (prohibits unfair treatment of persons displaced or whose property has
been acquired because of Federal or Federal-aid programs and projects);
C. Federal-Aid Highway Act of 1973, (23 U.S.C. 324 et seq.), (prohibits discrimination on
the basis of sex);
D. Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. 794 et seq.), as amended,
(prohibits discrimination on the basis of disability); and 49 CFR Part 27;
E. The Age Discrimination Act of 1975, as amended, (42 U.S.C. 6101 et seq.), (prohibits
discrimination on the basis of age);
F. Airport and Airway Improvement Act of 1982, (49 U.S.C. 4 71, Section 4 7123), as
amended, (prohibits discrimination based on race, creed, color, national origin, or sex);
G. The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope,
coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age
Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by
expanding the definition of the terms "programs or
activities" to include all of the programs or activities of the Federal-aid recipients,
subrecipients and contractors, whether such programs or activities are Federally funded
or not);
H. Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on
the basis of disability in the operation of public entities, public and private transportation
systems, places of public accommodation, and certain testing entities (42 U.S.C. 12131-
12189) as implemented by Department of Transportation regulations at 49 C.F.R. parts
37 and 38;
I. The Federal Aviation Administration's Nondiscrimination statute (49 U.S.C. 47123)
(prohibits discrimination on the basis of race, color, national origin, and sex);
J. Executive Order 12898, Federal Actions to Address Environmental Justice in Minority
Populations and Low-Income Populations, which ensures nondiscrimination against
minority populations by discouraging programs, policies, and activities with
disproportionately high and adverse human health or environmental effects on minority
and low-income populations;
K. Executive Order 13166, Improving Access to Services for Persons with Limited English
Proficiency, and resulting agency guidance, national origin discrimination includes
discrimination because of limited English proficiency (LEP). To ensure compliance with
Title VI, you must take reasonable steps to ensure that LEP persons have meaningful
access to your programs (70 Fed. Reg. at 74087 to 74100);
L. Title IX of the Education Amendments of 1972, as amended, which prohibits you from
discriminating because of sex in education programs or activities (20 U.S.C. 1681 et seq).
In the event that right of way acquisition for or construction of this project of the initial
federal authorization for preliminary engineering is not started by the close of the tenth
fiscal year following the fiscal year in which the project is authorized, the
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ADMINISTERING AGENCY shall repay the Federal Highway Administration through
Caltrans the sum of Federal funds paid under the terms of this agreement.
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