HomeMy WebLinkAboutProject Schedule and Sample Grant AgreementSubmitted by:
California Department of Transportation
Transportation Planning Grants
Fiscal Year 2011-2012
PROPOSED PROJECT TIMELINE
Project:
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Task
Number
Responsible
Party
Total Grant Local
Cost I
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PHASE 1: PROJECT MANAGEMENT
AND C ORDINATION PHASE
1.1
Project Initiation
National City
$5,000
$4,000
$1,000
Master schedule
1.2
RFP for Consultant Services
National City
$5,000
$4,000
$1,000
Request for Proposal
1.3
Staff Coordination / Review for Full Project
National City
$12,500
$10,000
$2,500
Meeting minutes and decision logs
1.4
Quarterly Reports / Overall Administration
National City
$6,000
$4,800
$1,200
Quarterly reports, spreadsheets and invoices
1.5
Project Wrap-up Reporting and Actions
National City
$5,000
$4,000
$1,000
Final digital files, website postings and presentation materials
1.6
Management / Staff Time for Steering Comm.
National City
$6,000
$4,800
$1,200
Steering Committee agendas and meeting minutes
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2.1
Existing Planned Goals
Consultant / City
$2,500
$2,000
$500
Vision, goals and objectives lists
2.2
Summarize State Mandates & Previous Efforts
Consultant / City
$2,500
$2,000
$500
ry
Summary of State mandates & city efforts
2.3
Review and Add to Goals and Objectives
Consultant / City
$2,500
$2,000
$500
Final vision, goals and objectives lists
2.4
Existing Conditions Mapping
Consultant
$15,000
$12,000
$3,000
GIS maps for circulation, bikes and land uses
2.5
Walking Facility Inventory
Consultant
$10,000
$8,000
$2,000
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Verified walking conditions, gaps and fieldwork
2.6
Walking Facility Analysis
Consultant
$10,000
$8,000
$2,000
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GIS maps for attractors, generators, barriers & safety
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3.1
Identity Primary Stakeholders
Consultant / City
$7,500
$6,000
$1,500
List of contacts for stakeholders
3.2
Develop Public Input Strategy Plan
Consultant /Ciry
$11,000
$8,800
$2,200
Public input strategy plan with dates, objectives & strategies
3.3
Conduct Senior Focus Workshops
Consultant / City
$17,000
$13,600
$3,400
Workshop flyers, materials and results
3.4
Conduct Hispanic Focus Workshops
Consultant / City
$17,000
$13,600
$3,400
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Workshop flyers, materials and results
3,5
Conduct Parent / Child Focus Workshops
Consultant / City
617,000
$13,600
$3,400
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Workshop flyers, materials and results
3.6
Conduct Young Professional Focus Workshop
Consultant / City$6,000
$4,800
$1,200
Workshop flyers, materials and results
3,7
Conduct Community Wide Workshops
Consultant / City
$17,500
$14,000
$3,500
Workshop flyers, materials and results
8•8
Create and Manage Website Elements
Consultant
$10,000
68,000
$2,000
Workshop with links, announcements, results, and products
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4.1
Compile Future Plans
Consultant / City
$10,000
$8,000
$2,000
Maps of future land use, populations & areas of probable changes
4.2
Identity Future Initiatives
Consultant / City
$7,500
$6,000
$1,500
Summary of future growth initiatives and policies
4.3
Project Future Conditions
Consultant
$10,000
$8,000
$2,000
Computer models for walking zones, existing & future attractors
4.4
Opportunities for Synergy / Collaboration
Consultant
$5,000
$4,000
$1,000
Maps showing how walking/biking/transit can support development
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AND RECOMMENDATi°NS
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5.1
Pedestrian Priority Areas
Consultant
$10,000
$8,000
$2,000
Composite GIS maps showing pedestrian priority areas
5.2
Priority Area Fieldwork
Consultant
$30,000
$24,000
$6,000
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Field work maps showing existing issues in top 20 areas
5,3
Specific Priority Area Solutions
Consultant
$30,000
$24,000
$6,000
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Safety, connectivity, ADA and walkability ideas for top 20 areas
5.4
Vetting of Priority Areas and Solutions
Consultant
$10,000
$8,000
$2,000
-
Presentation of priorities and solutions
5.5
Initial General Costs of Solutions
Consultant
$10,000
$8,000
62,000
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Spreadsheets showing probable improvement project costs
5,6
Phasing Plans and Priorities
9 Consultant
$7,500
56,000 $1,500
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Phasingp project
plan and prioritized ro'ect lists
PHASE 6:PLAN;SUBMITT ALS, ARESENTAT
ONS AND
APPROVALS
6,1
Prepare Draft Plan
Consultant
$15,000
$12,000
$3,000
25 copies of a draft plan
6.2
Review, Refine & Revise and Submit Pre -final
Consultant
$7,500
$6,000
$1,500
25 copies of a pre•final plan
6.3
Present Pre -final Plan to Approval Bodies
Consultant
$5,000
$4,000
$1,000
Presentation materials for the pre -final plan
6.4
Revise and Submit Final Plan
Consultant
$5,000
$4,000
$1,000
25 copies of a final plan
6.5
Final Approval Process
Consultant / City
$12,500
$10,000
$2,500
Final presentation materials
6.6
Post Final Product Dissemination
Consultant / City$15,000
$12,000
$3,000
CDs of all project materials, website finals & special presentations
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Agreement No. 4#A ###
AGENCY
Page 1 of 15
FUND TRANSFER AGREEMENT
THIS FUND TRANSFER AGREEMENT (FTA), IS ENTERED INTO EFFECTIVE ON (date),
between the State of California, acting by and through its Department of Transportation, referred
to herein as DEPARTMENT, and the (AGENCY NAME), hereinafter referred to as AGENCY.
RECITALS
1. DEPARTMENT and AGENCY, pursuant to Section 134 of Title 23 of the United States
Code (23 USC 134) and Section 450.104 of the Title 23 of Code of Federal Regulations
(23 CFR 450.104), are authorized to enter into this FTA pertaining to Federal funding for
Transportation studies and planning within the regional area under the jurisdiction of
AGENCY.
1. DEPARTMENT and AGENCY, pursuant to Streets and Highways Code section 114(b),
Section 134 of Title 23 of the United States Code (23 USC 134) and Section 450. 104 of
the Title 23 of Code of Federal Regulations (23 CFR 450.104), are authorized to enter
into this FTA pertaining to State and Federal funding for Transportation studies and
planning within the regional area under the jurisdiction of AGENCY.
1. DEPARTMENT and AGENCY, pursuant to Streets and Highways Code section 114 (b),
are authorized to enter in this FTA pertaining to State funding committed for
Transportation studies and planning within the regional area under the jurisdiction of
AGENCY.
2. AGENCY has agreed to implement (enter Project name here), hereinafter the Project,
subject to the terms and conditions of this FTA. The Project Description (Scope of Work
and Cost Estimate) is attached hereto as Attachment III.
3. The resolution authorizing AGENCY to execute this FTA pertaining to above described
Project is attached hereto as Attachment II.
4. All services performed by AGENCY pursuant to this FTA are intended to be performed in
accordance with all applicable Federal, State, and AGENCY laws, ordinances,
regulations; DEPARTMENT's encroachment permits; and DEPARTMENT'S published
manuals, policies, and procedures.
5. Project funding is as follows:
FUND TITLE FUND SOURCE DOLLAR AMOUNT
XXXXXX XXXXXX XXX)OC (
6. This FTA is exempt from legal review and approval by the Department of General
Services, pursuant to Public Contract Code section 10295.
AGENCY AGREES:
SECTION I
2
Agreement No. # A#i?1f#
AGENCY
Page 2 of 15
To timely and satisfactorily complete all Project Work described in Attachment III.
SECTION II
DEPARTMENT AGREES:
DEPARTMENT agrees that when conducting an audit of the costs claimed by AGENCY under
the provisions of this FTA, DEPARTMENT will rely to the maximum extent possible on any prior
audit of AGENCY performed pursuant to the provisions of applicable State and Federal laws.
SECTION III
IT IS MUTUALLY AGREED:
In consideration of the foregoing and the mutual promises of the parties hereto, AGENCY and
DEPARTMENT agree as follows:
1. Notification of Parties
a. AGENCY's Project Manager is (NAME & PHONE NUMBER)
b. DEPARTMENT's Contract Manager is (NAME & PHONE NUMBER)
c. All notices herein provided to be given, or which may be given, by either party to
the other, shall be deemed to have been fully given when made in writing and
received by the parties at their respective addresses:
(AGENCY (REAL NAME)
Attention: (PROGRAM MANAGER)
(PROGRAM MANAGER TITLE)
AGENCY STREET ADDRESS
CITY, STATE, ZIP
California Department of Transportation
(DISTRICT/DIVISION)
Attention: (CONTRACT MANAGER)
STREET ADDRESS
CITY, STATE, ZIP
2. Period of Performance
Reimbursable work under this FTA shall begin no earlier than on (DATE), contingent
upon approval of this FTA by DEPARTMENT, and will terminate on (EXPIRATION
DATE).
3. Changes in Terms/Amendment
This FTA may only be amended or modified by mutual written agreement of the parties.
4. Termination
This FTA may be terminated by either party for any reason by giving written notice to the
other party at least thirty (30) days in advance of the effective date of such termination.
In the event of termination by said notice, funds reimbursed to AGENCY will include all
allowable authorized non -cancelable obligations and prior costs incurred.
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Agreement No. ##A####
AGENCY
Page 3 of 15
5. Cost Limitation
a. The total amount reimbursable to AGENCY pursuant to this FTA by
DEPARTMENT shall not exceed $X,XXX.XX.
b. It is agreed and understood that this FTA fund limit is an estimate and that
DEPARTMENT will only reimburse the cost of services actually rendered as
authorized by the DEPARTMENT Contract Manager at or below that fund
limitation established hereinabove.
6. Allowable Costs
a. The method of payment for this FTA will be based on actual allowable costs.
DEPARTMENT will reimburse AGENCY for expended actual allowable direct
and indirect costs, including, but not limited to labor costs, employee benefits,
and travel (overhead is reimbursable only if the AGENCY has an approved
indirect cost allocation plan) and contracted consultant services costs incurred by
AGENCY in performance of the Project work, not to exceed the cost
reimbursement limitation set forth in 5.a, above. Actual costs shall not exceed
the estimated wage rates, labor costs, travel and other estimated costs and fees
set forth in Attachment III without prior written agreement between
DEPARTMENT and AGENCY.
b. Reimbursement of AGENCY expenditures will be authorized only for those
allowable costs actually incurred by AGENCY in the performance of the Project
work. AGENCY must not only have incurred the expenditures on or after the
Effective Date of this FTA and before the Termination Date, but must have also
paid for those costs to claim any reimbursement.
c. Travel expenses and per diem rates are not to exceed the rate specified by the
State of California Department of Personnel Administration for similar employees
(Le. non -represented employees) unless written verification is supplied that
government hotel rates were not then commercially available to AGENCY, its
contractors, its subcontractors, and/or its subrecipients, at the time and location
required as specified in the California Department of Transportation's Travel
Guide Exception Process.
d. DEPARTMENT will reimburse AGENCY for all allowable Project costs no more
frequently than monthly in arrears as promptly as DEPARTMENT fiscal
procedures permit upon receipt of itemized signed invoices in triplicate. Invoices
shall reference this FTA Number and shall be signed and submitted to the
Contract Manager at the following address:
California Department of Transportation
(District -Division)
Attention: (Contract Manager)
[Contract Manager's address — (Two Lines)]
e. Invoices shall include the following information:
1. Names of the AGENCY personnel performing work
2. Dates and times of service
3. Locations of service (AGENCY - address)
7. Reports
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Agreement No. ##A####
AGENCY
Page 4 of 15
a. AGENCY shall submit written progress reports with each set of invoices to allow
the DEPARTMENT's Contract Manager to determine if AGENCY is performing
to expectations, is on schedule, is within funding cost limitations, to
communicate interim findings, and to afford occasions for airing difficulties
respecting special problems encountered so that remedies can be developed.
b. Any document or written report prepared as a requirement of this FTA shall
contain, in a separate section preceding the main body of the document, the
number and dollar amounts of all contracts and subcontracts relating to the
preparation of those documents or reports.
c. AGENCY will provide five (5) copies and one (1) electronic version of the final
written report to the DEPARTMENT's Contract Manager.
8. Local Match Funds
a. Except where expressly allowed in writing herein, reimbursement of credits for
local matching funds will be made or allowed only for work performed on and
after the start date and prior to the termination date of this FTA, unless
expressly permitted as local match expenditures made prior to the effective date
of this FTA pursuant to Government Code section 14529.17 or by prior executed
SB 2800 FTA for Local Match Fund Credit.
b. AGENCY agrees to contribute the statutorily required local contribution of
matching funds (other than state or federal funds), if any is specified within this
FTA or in any Attachment hereto, toward the actual cost of the services
described in Attachment 111 or the amount, if any described in an executed SB
2800 (Streets and Highways Code section 164.53) agreement for local match
fund credit, whichever is greater. AGENCY shall contribute not less than its
required match amount toward the services described herein on a proportional
monthly or quarterly basis coinciding with its usual invoicing frequency.
9. Cost Principles
a. AGENCY agrees to comply with Office of Management and Budget Circular A-
87, Cost Principles for State, Local and Tribal Governments, and 49 CFR, Part
18, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments.
b. AGENCY agrees, and will assure that its contractors and subcontractors will be
obligated to agree, that (a) 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 and (b) all
parties shall comply with Federal administrative procedures in accordance with
49 CFR, Part 18, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments. Every sub -recipient
receiving Project funds as a contractor, subcontractor, or sub -grantee under this
FTA shall comply with Federal administrative procedures in accordance with 49
CFR, Part 18, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments.
c. Any Project costs for which AGENCY has received payment or credit that are
determined by subsequent audit to be unallowable under Office of Management
and Budget Circular A-87, 48 CFR, Chapter 1, Part 31 or 49 CFR, Part 18, are
5
Agreement No. ##A####
AGENCY
Page 5 of 15
subject to repayment by AGENCY to DEPARTMENT. Should AGENCY fail to
reimburse moneys due DEPARTMENT within thirty (30) days of discovery or
demand, or within such other period as may be agreed in writing between the
Parties hereto, DEPARTMENT is authorized to intercept and withhold future
payments due AGENCY from DEPARTMENT or any third -party source,
including, but not limited to, the State Treasurer, the State Controller or any other
fund source.
d. AGENCY agrees to include Project in the schedule of projects to be examined in
AGENCY's annual audit and in the schedule of projects to be examined under
any single audit prepared in accordance with Office of Management and Budget
Circular A-133.
e. Prior to AGENCY seeking reimbursement of indirect costs, AGENCY must
prepare and submit annually to DEPARTMENT an indirect cost rate proposal
and a central service costs allocation plan (if any) in accordance with Office of
Management and Budget Circular A-87 and Local Program Procedures Manual
(LLP 04-10).
10. Americans with Disabilities Act
By signing this FTA, AGENCY assures DEPARTMENT that in the course of performing
Project work, it will fully comply with the applicable provisions of the Americans with
Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as
well as all applicable regulations and guidelines issued pursuant to the ADA. (42 U.S.C.
12101 et seq.)
11. Indemnification
a. Nothing in the provisions of this FTA is intended to create duties or obligations to
or rights in third parties to this FTA or affect the legal liability of either party to the
FTA by imposing any standard of care with respect to the development, design,
operation, maintenance and repair of State Highways and AGENCY facilities
different from the standard of care imposed by law.
b. Neither DEPARTMENT nor any officer or employee thereof is responsible for any
injury, damage or liability occurring by reason of anything done or omitted to be
done by AGENCY under or in connection with any work, authority or conduct
conferred upon AGENCY under this Agreement. It is understood and agreed
that, AGENCY shall fully defend, indemnify and save harmless DEPARTMENT
and all of its officers and employees from all claims, suits or actions of every
name, kind and description arising out of this Agreement, including but not limited
to, any tortious, contractual, inverse condemnation or other theories or assertions
of liability occurring by reason of anything done or omitted to be done by
AGENCY under or in connection with any work, authority or conduct delegated to
AGENCY under this Agreement.
12. Non -Discrimination
a. During the performance of this FTA, AGENCY and all of its subcontractors and
its subrecipients, if any, shall not unlawfully discriminate, harass or allow
harassment, against any employee or applicant for employment because of sex,
race, color, ancestry, religious creed, national origin, disability (including HIV and
AIDS), mental disability, medical condition (cancer), age (over 40), marital status,
6
Agreement No. ##A####
AGENCY
Page 6 of 15
denial of family and medical care leave, and denial of pregnancy disability leave.
AGENCY, its subcontractors, and subrecipients shall ensure that the evaluation
and treatment of their employees and applicants for employment are free from
such discrimination and harassment. AGENCY, its subcontractors and sub -
recipients shall comply with the provisions of the Fair Employment and Housing
Act (Government Code Section 12900 et seq.) and the applicable regulations
promulgated thereunder (California Code of Regulations, Title 2, Section 7285.0
et seq.). The applicable regulations of the Fair Employment and Housing
Commission implementing Government Code Section 12990 (a-f), set forth in
Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are
incorporated into this FTA by this reference and are made a part hereof as if set
forth in full. AGENCY, its subcontractors, and sub -recipients shall give written
notice of their obligations under this clause to labor organizations with which they
have a collective bargaining or other collective bargaining agreements in place.
b. AGENCY shall include the nondiscrimination and compliance provisions of this
clause in all subcontracts to perform work under this FTA.
c. Appendix A, relative to nondiscrimination on federally assisted projects is
included as Article 30.
d. AGENCY shall comply with Title VI of the Civil Rights Act of 1964, as amended.
Accordingly, 49 CFR 21 through Appendix C and 23 CFR 710.405 (b) are
applicable to this FTA and enforceable against AGENCY by this reference.
13. Funding Requirements
a. It is mutually understood between the parties that this FTA may have been
written for the mutual benefit of both parties in order to avoid program and fiscal
delays that would occur if the FTA was executed only after ascertaining the
availability of a congressional or legislative appropriation of funds.
b. This FTA is valid and enforceable only if sufficient funds are made available to
DEPARTMENT by the United States Government and/or the California State
Legislature for the purpose of this Project. In addition, this FTA is subject to any
additional restrictions, limitations, conditions, or any statute enacted by the
Congress or the State Legislature that may affect the provisions, terms or
funding of this FTA in any manner.
c. It is mutually agreed that if the Congress or the State Legislature does not
appropriate sufficient funds for the program and Project, this FTA shall be
amended to reflect any reduction in funds.
d. DEPARTMENT has the option to void this FTA under the thirty (30) day termination
clause or to amend this FTA to reflect any reduction of funds. In the event of an
unscheduled termination, the DEPARTMENT Contract Manager may reimburse
allowable AGENCY costs in accordance with the provisions of Article 4 of this
Section III.
14. Records Retention
a. AGENCY, its contractors, subcontractors and sub -recipients shall establish and
maintain an accounting system and records that properly accumulate and
segregate incurred Project costs and matching funds by line. The accounting
system of AGENCY, its contractors, all subcontractors, and sub -recipients shall
7
Agreement No. ##A# ##
AGENCY
Page 7 of 15
conform to Generally Accepted Accounting Principles (GAAP), enable the
determination of incurred costs at interim points of completion, and provide
support for reimbursement payment vouchers or invoices. All accounting records
and other supporting papers of AGENCY, its contractors, subcontractors and
sub -recipients connected with Project performance under this FTA shall be
maintained for a minimum of three (3) years from the date of final payment to
AGENCY and shall be held open to inspection, copying, and audit by
representatives of DEPARTMENT, the California State Auditor, and auditors
representing the federal government. Copies thereof will be furnished by
AGENCY, its contractors, its subcontractors and sub -recipients upon receipt of
any request made by DEPARTMENT or its agents. In conducting an audit of the
costs and match credits claimed under this FTA, DEPARTMENT will rely to the
maximum extent possible on any prior audit of AGENCY pursuant to the
provisions of federal and State law. In the absence of such an audit, any
acceptable audit work performed by AGENCY's external and internal auditors
may be relied upon and used by DEPARTMENT when planning and conducting
additional audits.
b. For the purpose of determining compliance with Title 21, California Code of
Regulations, Section 2500 et seq., when applicable, and other matters connected
with the performance of AGENCY's contracts with third parties pursuant to
Government Code section 8546.7, AGENCY, AGENCY's contractors,
subcontractors, and sub -recipients and DEPARTMENT shall each maintain and
make available for inspection 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. All of the
above referenced parties shall make such materials available at their respective
offices at all reasonable times during the entire Project period and for three years
from the date of final payment to AGENCY under this FTA. DEPARTMENT, the
California State Auditor, or any duly authorized representative of DEPARTMENT
or the United States Department of Transportation, shall each have access to
any books, records, and documents that are pertinent to a Project for audits,
examinations, excerpts, and transactions, and AGENCY shall furnish copies
thereof if requested.
c. AGENCY, its contractors, subcontractors, and sub -recipients will permit access
to all records of employment, employment advertisements, employment
application forms, and other pertinent data and records by the State Fair
Employment Practices and Housing Commission, or any other agency of the
State of California designated by DEPARTMENT, for the purpose of any
investigation to ascertain compliance with this FTA.
15. Disputes
a. Any dispute concerning a question of fact arising under this FTA that is not
disposed of by agreement shall be decided by the DEPARTMENT Contract Officer,
who may consider any written or verbal evidence submitted by AGENCY.
b. Neither the pendency of a dispute nor its consideration by the Contract Officer will
excuse AGENCY from full and timely performance in accordance with the terms of
the FTA.
16. Subcontractors
8
Agreement No. ##A#lift#
AGENCY
Page 8 of 15
AGENCY shall perform the work contemplated with resources available within its own
organization and no portion of the work shall be subcontracted without prior written
authorization by DEPARTMENT's Contract Manager unless expressly included
(subcontractor identified) in Attachment III as part of the identified Project work. Any
subcontract in excess of $25,000 entered into as a result of this FTA shall contain all the
provisions stipulated in this FTA to be applicable to AGENCY's subcontractors.
17. Third Party Contracting
a. AGENCY shall not award a construction contract 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)j on the basis of a noncompetitive negotiation for
work to be performed under this FTA without the prior written approval of
DEPARTMENT. Contracts awarded by AGENCY, if intended as local match
credit, must meet the requirements set forth in this FTA regarding local match
funds.
b. Any subcontract entered into by AGENCY as a result of this FTA shall mandate
that travel and per diem reimbursements and third -party contract
reimbursements to subcontractors will be allowable as Project costs only after
those costs are incurred and paid for by the subcontractors.
c. If local match is a requirement of these funds, AGENCY must ensure that local
match funds used for the Project meet the requirements outlined in this FTA in
the same manner as is required of all other Project expenditures.
d. In addition to the above, the preaward requirements of third party
contractor/consultants with local agencies must be consistent with Local
Program Procedures (LPP 00-05).
18. Disadvantaged Business Enterprise
AGENCY agrees to carry out the applicable requirements of Title 49 CFR, Part 26, of the
Code of Federal Regulations, entitled "Participation by Disadvantaged Business
Enterprises (DBEs) in Department of Transportation Financial Assistance Programs" in
the award and administration of federally assisted Contracts for work performed under
this FTA. AGENCY, in the administration of its contracts, shall adopt practices that are
consistent with the DEPARTMENT's DBE Program Plan.
18. Disabled Veterans Business Enterprise
a. Should Military and Veterans Code sections 999 et seq. be applicable to
AGENCY, AGENCY shall meet the 3% Disabled Veterans Business Enterprises
goals (or AGENCY's applicable higher goals) in the award of every contract for
Project work to be performed under this FTA.
b. AGENCY shall have the sole duty and authority under this FTA and each
amendment to determine whether these referenced DVBE code sections are
applicable to AGENCY and, if so, whether participation asserted by those
contractors of AGENCY were sufficient as outlined in Military and Veterans Code
sections 999 et seq.
19. Drug -Free Workplace Certification
9
Agreement No. ##A####
AGENCY
Page 9 of 15
By signing this FTA, AGENCY hereby certifies under penalty of perjury under the laws of
California that AGENCY will comply with the requirements of the Drug -Free Workplace Act
of 1990 (Government Code section 8350 et seq.) and will provide a drug -free workplace by
doing all of the following:
a. Publish a statement notifying employees that unlawful manufacture, distribution,
dispensation, possession, or use of a controlled substance is prohibited and
specifying actions to be taken against employees for violations, as required by
Government Code section 8355(a).
b. Establish a Drug -Free Awareness Program as required by Government Code
section 8355(b) to inform employees about all of the following:
1. the dangers of drug abuse in the workplace,
2. the person's or organization's policy of maintaining a drug -free workplace,
3. any available counseling, rehabilitation, and employee assistance
programs, and
4. penalties that may be imposed upon employees for drug abuse violations.
c. Provide, as required by Government Code section 8355(c), that every employee
who works on the proposed contract or grant:
1. will receive a copy of the company's drug -free policy statement, and
2. will agree to abide by the terms of the company's statement as a condition
of employment on the contract or grant.
Failure to comply with these requirements may result in suspension of payments under this
FTA or termination of this FTA or both, and AGENCY may be ineligible for the award of any
future state contracts if DEPARTMENT determines that any of the following has occurred:
(1) AGENCY has made a false certification or, (2) AGENCY violates the certification by
failing to carry out the requirements as noted above.
20. Relationship of Parties
It is expressly understood that this FTA is an agreement executed by and between two
independent governmental entities and is not intended to, and shall not be construed to,
create the relationship of agent, servant, employee, partnership, joint venture or
association, or any other relationship whatsoever other than that of an independent party.
21. Equipment Purchase (By AGENCY)
a. Prior authorization in writing by the DEPARTMENT Contract Manager shall be
required before AGENCY enters into any non -budgeted purchase order or
subagreement exceeding $500 for supplies, equipment, or consultant services.
AGENCY shall provide an evaluation of the necessity or desirability of incurring
such costs.
b. For the purchase of any item, service or consulting work not covered in the attached
Project Description (Attachment III) and exceeding $500, three competitive
quotations must be submitted with the request or the absence of bidding must be
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adequately justified, and prior authorization must be obtained from the
DEPARTMENT's Contract Manager.
c. Any equipment purchased as a result of this FTA is subject to the following:
AGENCY shall maintain an inventory record for each piece of non -expendable
equipment purchased or built with funds provided under the terms of this FTA.
The inventory record of each piece of such equipment shall include the date
acquired, total cost, serial number, model identification (in accordance with
established DEPARTMENT procedures for its purchased equipment), and any
other information or description necessary to identify said equipment. Non -
expendable equipment so inventoried are those items of equipment that have a
normal life expectancy of one (1) year or more and an approximate unit price of
$5,000 or more. In addition, theft -sensitive items of equipment costing less than
$5,000 shall be inventoried. A copy of the inventory record must be submitted to
DEPARTMENT upon request by DEPARTMENT.
d. At the conclusion of the FTA, or if the FTA is terminated, AGENCY may either
keep the equipment and credit DEPARTMENT in an amount equal to its fair
market value or sell such equipment at the best price obtainable at a public or
private sale in accordance with established DEPARTMENT procedures and
credit DEPARTMENT in an amount equal to the sales price. If AGENCY elects
to keep the equipment, fair market value shall be determined, at AGENCY
expense, on the basis of a competent, independent appraisal of such equipment.
Appraisals shall be obtained from an appraiser mutually agreeable to
DEPARTMENT and AGENCY. If AGENCY is determined to sell the equipment,
the terms and conditions of such sale must be approved in advance by
DEPARTMENT.
e. CFR 49, Part 18.32 requires a credit to Federal funds when participating equipment
with a fair market value greater than $5,000 is credited to the Project.
f. Any subagreement entered into as a result of this FTA shall contain all of the
provisions of this Article.
22. Disabled Access Review
Disabled access review by the Department of General Services (Office of State Architect)
is required for the construction of all publicly funded buildings, structures, sidewalks,
curbs and related facilities. No construction contract will be awarded by AGENCY for a
Project facility unless AGENCY plans and specifications for such facilities conform to the
provisions of sections 4450 and 4454 of the California Government Code, if applicable.
Further requirements and guidance are provided in Title 24 of the California
Administrative Code and the Americans with Disabilities Act (42 USC 12101, et. seq.).
23. Fire Marshal Review
The State Fire Marshal adopts building standards for fire safety and panic prevention.
Such regulations pertain to fire protection design and construction, means of egress and
adequacy of exits, installation of fire alarms, and fire extinguishment systems for any
DEPARTMENT owned or DEPARTMENT occupied buildings per section 13108 of the
Health and Safety Code. When applicable, AGENCY must assure that any relevant
Project plans meet the standards of the State Fire Marshal to ensure consistency with
California facility fire protection standards.
24. Environmental Clearance
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Environmental clearance of Project by AGENCY and/or DEPARTMENT is required prior
to requesting funds for right of way purchase or construction. No department or agency
shall request funds nor shall any department/agency board or commission authorize
expenditures of funds for any project, except feasibility or planning studies, which may
have a significant effect on the environment unless such a request is accompanied by an
environmental impact report per California Public Resources Code section 21102. The
California Environmental Quality Act (CEQA), in California Public Resources Code
section 21080(b)(10), does provide an exemption for rail projects which institute or
increase passenger or commuter services on rail or highway rights -of -way already in use.
25. Labor Code Compliance: Prevailing Wages
If the work performed on this Project is done under contract and falls within the Labor
Code section 1720(a)(1) definition of a "public work" that constitutes construction,
alteration, demolition, installation, repair or maintenance, AGENCY must conform to the
provisions of Labor Code sections 1720 through 1815, all applicable regulations, and
coverage determinations issued by the Director of Industrial Relations. AGENCY agrees
to include prevailing wage requirements in its contracts for public work. Work performed
by AGENCY's own forces is exempt from the Labor Code's prevailing wage
requirements.
26. Prevailing Wage Requirements in Subcontracts
AGENCY shall require its contractors and subcontractors to include prevailing wage
requirements in all subcontracts funded by this Agreement when the work to be
performed by the subcontractor is a "public work" as defined in Labor Code section
1720(a)(1). Subcontracts shall include all prevailing wage requirements set forth in
AGENCY's contracts.
27. State -Owned Data
a. AGENCY agrees to comply with the following requirements to ensure the
preservation, security, and integrity of State-owned data on portable computing
devices and portable electronic storage media:
1. Encrypt all State-owned data stored on portable computing devices and portable
electronic storage media using government -certified Advanced Encryption
Standard (AES) cipher algorithm with a 256-bit or 128-bit encryption key to
protect DEPARTMENT data stored on every sector of a hard drive, including
temp files, cached data, hibernation files, and even unused disk space.
2. Data encryption shall use cryptographic technology that has been tested and
approved against exacting standards, such as FIPS 140-2 Security
Requirements for Cryptographic Modules.
3. Encrypt, as described above, all State-owned data transmitted from one
computing device or storage medium to another.
4. Maintain confidentiality of all State-owned data by limiting data sharing to those
individuals contracted to provide services on behalf of the State, and limit use of
State information assets for State purposes only.
5. Install and maintain current anti -virus software, security patches, and upgrades
on all computing devices used during the course of the Agreement.
6. Notify the Contract Manager immediately of any actual or attempted violations of
security of State-owned data, including lost or stolen computing devices, files, or
portable electronic storage media containing State-owned data.
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Advise the owner of the State-owned data, the agency Information Security
Officer, and the agency Chief Information Officer of vulnerabilities that may
present a threat to the security of State-owned data and of specific means of
protecting that State-owned data.
b. To use the State-owned data only for State purposes under this FTA.
c. To not transfer State-owned data to any computing system, mobile device, or
desktop computer without first establishing the specifications for information integrity
and security as established for the original data file(s). (State Administrative Manual
(SAM) section 5335.1
28. Project Close Out
a. The FTA Expiration Date refers to the last date for AGENCY to incur valid Project
costs or credits and is the date the FTA expires. AGENCY has sixty (60) days
after that Expiration Date to make final allowable payments to Project contractors
or vendors, prepare the Project Closeout Report, and submit the final invoice to
DEPARTMENT for reimbursement for allowable Project costs. Any unexpended
Project funds not invoiced by that sixtieth (60th) day will be reverted and will no
longer be accessible to reimburse late Project invoices.
b. DEPARTMENT reserves the right to withhold final payment to AGENCY pending
receipt of final deliverable(s) by the DEPARTMENT's Contract Manager.
29. Federal Lobbying Activities Certification
a. AGENCY certifies, to the best of its knowledge and belief, that:
No State or Federal appropriated funds have been paid or will be paid, by or on
behalf of the AGENCY, to any person for influencing or attempting to influence an
officer or employee of any State or Federal agency, a Member of the State
Legislature or United States Congress, an officer or employee of the Legislature or
Congress, or any employee of a Member of the Legislature or Congress, in
connection with the awarding of this FTA, State or Federal grant, the making of any
related State or Federal loan, the entering into of any FTA supported contract or
agreement, and the extension, continuation, renewal, amendment, or modification
of any State or Federal FTA contract, grant, loan, or agreement.
b. If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
Federal agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this FTA, AGENCY shall
complete and submit Standard Form-LL, "Disclosure Form to Report Lobbying", in
accordance with its instructions.
c. This certification is a material representation of fact upon which reliance was placed
when this FTA was entered into. Submission of this certification is a prerequisite for
making or entering into this transaction imposed by Section 1352, Title 31, U. S.
Code. Any person who fails to file the required certification shall be subject to a civil
penalty of not less than $10,000 and not more than $100,000 for each such failure.
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d. AGENCY also agrees, by signing this FTA, that the language of this certification
shall be included in all lower tier subcontracts which exceed $100,000, and that all
such subcontractors shall certify and disclose accordingly within each subcontract.
30. Appendix A
During the performance of this FTA, AGENCY, for itself, its assignees and successors in
interest (hereinafter referred to as AGENCY) agrees as follows:
a. Compliance with regulations: AGENCY shall comply with regulations relative
to Title VI (nondiscrimination in federally -assisted programs of the Department of
Transportation — Title 49 Code of Federal Regulations Part 21 — Effectuation of
Title VI of the 1964 Civil Rights Act). Title VI provides that the recipients of
federal assistance will implement and maintain a policy of nondiscrimination in
which no person in the state of California shall, on the basis of race, color,
national origin, religion, sex, age, disability, be excluded from participation in,
denied the benefits of or subject to discrimination under any program or activity
by the recipients of federal assistance or their assignees and successors in
interest.
b. Nondiscrimination: AGENCY, with regard to the Project work performed by it
during the term of the FTA, shall act in accordance with Title VI. Specifically,
AGENCY shall not discriminate on the basis of race, color, national origin,
religion, sex, age, or disability in the selection and retention of subcontractors,
and sub -recipients including the procurement of materials and leases of
equipment. AGENCY shall not participate either directly or indirectly in any form
of discrimination prohibited by Section 21.5 of the U.S. DOT's Regulations,
including employment practices, when the FTA is intended to address a program
whose goal is employment.
c. Solicitations for Subagreements, Including Procurements of Materials and
Equipment: In all solicitations, either by competitive bidding or negotiation made
by AGENCY for work to be performed under a subagreement, including
procurements of materials or leases of equipment, each potential subcontractor
or supplier shall be notified by AGENCY of the AGENCY's obligations under this
FTA and the Regulations relative to nondiscrimination on the grounds of race,
color, or national origin.
d. Information and Reports: AGENCY shall provide all information and reports
required by the Regulations, or directives issued pursuant thereto, and shall
permit access to its books, records, accounts, other sources of information, and
facilities as may be determined by DEPARTMENT or any duly authorized
representative of the Federal Government to be pertinent to ascertain
compliance with such regulations or directives. Where any information required
of a contractor is in the exclusive possession of another who fails or refuses to
furnish this information, AGENCY shall so certify to DEPARTMENT, or any duly
authorized Federal Agency as appropriate, and shall set forth what efforts it has
made to obtain the information.
e. Sanctions for Noncompliance: In the event of AGENCY's noncompliance with
the nondiscrimination provisions of this FTA, DEPARTMENT shall impose such
sanctions as it or any Federal funding agency may determine to be appropriate,
including, but not limited to:
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(1) withholding of payments to AGENCY under this FTA until the AGENCY
complies, and/or
(2) cancellation, termination, or suspension of this FTA, in whole or in part.
f. Incorporation of Provisions: AGENCY shall include the provisions of
paragraphs (a) through (f) in every subagreement, including procurements of
materials and leases of equipment, unless exempt by the Regulations or
directives issued pursuant thereto. AGENCY will take such action with respect to
any subcontractor or procurement as DEPARTMENT or any Federal funding
agency may direct as a means of enforcing such provisions including sanctions
for noncompliance. Provided, however, that in the event a contractor becomes
involved in, or is threatened with, litigation with a subcontractor or supplier as a
result of such direction, AGENCY may request DEPARTMENT to enter into such
litigation to protect the interest of the State, and, in addition, AGENCY may
request the United States to enter into such litigation to protect the interest of the
United States.
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ATTACHMENTS:
The following attachments are incorporated into and are made a part of this FTA by this reference
and attachment.
Accounting & Audit Guidelines
II. AGENCY Resolution
III. Scope of Work, Schedule, and Costs
IN WITNESS WHEREOF, the parties hereto have executed this FTA on the day and year
first herein above written:
STATE OF CALIFORNIA AGENCY NAME
DEPARTMENT OF TRANSPORTATION
By:
Title: Contract Officer
Date:
By:
Title:
Date:
By:
Title:
Date:
By:
Title:
Date:
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