MA/PS INSTRUCTIONS

Document Sample
MA/PS INSTRUCTIONS Powered By Docstoc
					                                                                                               Page 1 of 20
                    MASTER AGREEMENTS/PROGRAM SUPPLEMENTS
                             State Funded Transit Projects


MASTER AGREEMENT -- STATE FUNDED TRANSIT PROJECTS

OVERVIEW

The Master Agreement (MA) for State Funded Transit Projects is a contract between the Department of
Transportation (Caltrans) and the local agency (Recipient) who will receive state funds for transit
projects from the following funding sources:

                     a.   Passenger Rail and Clean Air Bond Act of 1990 (Prop. 108);
                     b.   Clean Air and Transportation Improvement Act of 1990 (Prop. 116);
                     c.   Public Transportation Account Funds;
                     d.   State Highway Account;
                     e.   Traffic Congestion Relief Fund (TCR), GC 14556.40;
                     f.   General Fund; and
                     g.   Other State Funding Sources

The MA contains all of the legal, contract-related language specific to the individual Recipient. It must
be executed prior to, or concurrent with the California Transportation Commission’s (CTC) approval of
a transit project application. The MA covers all transit-related applications throughout the term of the
MA, which in most cases is ten years.* Specific technical information regarding each individual transit
project (including a detailed Cost, Scope and Schedule, etc.) will be contained in the Program
Supplement (PS) for each project. The MA together with the PS have replaced the Division of Mass
Transportation’s (DMT) previous Fund Transfer Agreement (FTA).

While Caltrans Headquarters (HQ) must sign-off on all MAs, Districts will be the point of contact for
each Recipient. The Districts will oversee the implementation process and ensure that each Recipient
has a MA in place prior to, or concurrent with the submittal of a state funded transit project application
to the CTC for approval.

SEQUENCE OF EVENTS

The estimated time frame to complete the MA Sequence of Events varies widely. The variance usually
is associated with getting the MA and Agency Board Resolution signed by the Recipient, and the
completion of the pre-award audit of the Recipient’s accounting system. The following is a typical MA
execution timeline:

         It takes 2 to 6 weeks to get a signed MA from the local agency.
         Approximately 1 to 2 days to get Accounting’s signature on the Certification of Funds form.
         Another month is needed to complete the audit report by Audits and Investigations, if there are
          no problems.

*
  Caltrans and/or the Local Recipient have the option of modifying the term of this agreement based on
the specific needs of each individual Recipient. However, the term of this agreement shall not exceed
ten years.
Revised 01/03/02
                                                                                               Page 2 of 20
         1 to 2 days to acquire the Office of State Transit Program Management (OSTPM) and or the
          Office of State Transit Project Delivery (OSTPD) Office Chief’s signatures and Legal’s
          signature on the MA.
         The total estimated time to complete an MA without any usual or odd circumstances is 2 months
          and 2 to 3 weeks. (From a conservative point of view, the overall average time would be about 3
          months total).

(1) District staff informs DMT that a potential Recipient has expressed an interest in applying for state
    funding for a transit related project, or is ready to submit an application for a state funded transit
    project.

(2) DMT sends an e-mail request for an MA number to HQ Contracts office. The e-mail shall contain
    the following information: the charge district number (always 64), the anticipated funding source
    (state); the beginning date as listed on the TCR application (if not available use 12/12/12), the
    ending date which is 10 years after the beginning date (if not available use 12/12/12); Recipient
    Agency’s name, and a contact person’s name. When the MA number is received, DMT staff
    prepares the MA. Using the MA boilerplate, DMT staff inserts the effective date and the termination
    date in the designated areas of page one of the boilerplate. The effective date will either be the date
    that the MA was approved (or is scheduled to be approved) by the Recipient Board, or the date that
    the application was approved (or is scheduled to be approved) by the CTC, which ever occurs first.
    The termination date will be ten years from the effective date.

     NOTE: No changes are to be made to the MA boilerplate by the Districts. All requested
     Amendments must be approved in advance by HQ DMT, Legal, Contracts, Accounting, and Audits
     & Investigations.

(3) DMT staff will send Audits and Investigations the Pre-award Audit Evaluation Request form, and a
    draft MA, requesting an agency audit evaluation of the Recipient agency’s accounting system. The
    pre-award evaluation of the MA should be requested as soon as it is known that the local agency will
    be entering into a MA. Once Audits receives the request, a risk assessment will be performed to
    determine whether pre-award evaluation work is required. The MA should not be executed until
    Audits completes the evaluation or informs DMT staff that an evaluation is not required.

(4) An SB 580 Agency Review is required for new non-TCR Fixed Guideway projects in addition to the
    pre-award evaluation. The District will provide the Recipient a copy of the SB 580 Agency Review
    packet, (not required for TCR projects). Once the packet is completed by Recipient and returned,
    the District reviews and submits it to DMT. DMT reviews the submittal and makes a
    recommendation to management for approval. After approval of the packet, DMT will provide the
    District with a final copy of the 580 Review that includes the recommended actions. In addition,
    DMT will request HQ Audits to complete a pre-award evaluation of the Recipient’s accounting
    system if a pre-award evaluation of the Recipient has not yet been requested for the MA.

(5) DMT staff electronically forwards the MA to the District, complete with the Recipient’s name, the
    HQ Contracts assigned contract number, page numbers entered into the “headers” of the document,
    and a filled out cover page (page 1 of 24), and signature blocks (page 20 of 24).
          DMT will save the “master” electronic version of a Recipient’s MA in their respective District
          file located on the DMT server at the: “Mtp on T64-Mtp-fileserver\Vol (X:)/Ostp/STATE


Revised 01/03/02
                                                                                            Page 3 of 20
          FUNDED TRANSIT PROJECTS”. Then click the appropriate District folder to either view or
          enter your project.
     NOTE: The “applicant” may not be the “recipient.” DMT staff will verify the Recipient, including
     name and title of designated Recipient Representative, with the District prior to completing and
     forwarding the MA.

(6) The District works with the Recipient to get the MA approved and six wet-ink copies signed by the
    designated Recipient representative. This includes having a signed Board Resolution inserted as
    Attachment I of the MA (suggested format included in these instructions).

(7) District forwards the six (6) original wet-ink signature copies of MA, including one original wet-ink
    signed copy of the Recipient Board Resolution, to HQ DMT representative for final execution with a
    signed copy of the ADM 360 – Request for Service Contract form, if the district assisted HQ DMT
    with preparation of the documents. (Note: If the Board Resolution is not signed, please submit the
    cover page or transmittal letter containing the wet-ink signature of the appropriate or authorized
    signee of the local agency). DMT staff will include the header information on the Recipient Board
    Resolution and change the document page numbering, on the MA should additional pages be needed
    for Board Resolutions longer than one page.

     NOTE: District does not sign MA.

(8) The completed MA is reviewed by DMT and then forwarded to Caltrans Legal for signature.

(9) Caltrans Legal signs and returns to DMT.

(10 ) DMT signs MA and distributes six (6) wet-ink executed copies as follows:
     Caltrans HQ Accounting (2) – one for Accounting and one for the State Controller.
     Caltrans District Representative (2) – one for District and one for the Recipient.
     Caltrans HQ DMT (1) -- the MA will include both an original wet-ink MA signature page and a
       copy of the Recipient Board Resolution.
              DMT staff person will keep the original copy of the MA in their office file and make (3)
              photocopies – one for the designated central file area, one to be forwarded to Audits and
              Investigations, and one to the HQ STIP/TCR staff counterpart.
      Caltrans HQ Contracts Office – receives one original (1) wet-ink copy of the Agreement
       (MA/FTA) with one (1) wet-ink original copy of the Recipient Board Resolution for their files, a
       copy of the final Audit findings from Audits and Investigation, a wet-ink signed copy of the
       ADM 360 form initiated and signed by the Transportation Planner (item B) and the DMT
       OSTPM or OSTPD Office Chief (item G), a signed copy (by the Planner) of the DPAC
       Checklist, and a cover letter or transmittal memo indicating what is being submitted. (Note:
       Only sections A, B, G and N of the ADM form 360 should be completed).

PROGRAM SUPPLEMENT -- STATE FUNDED TRANSIT PROJECTS

OVERVIEW
The Program Supplement (PS) is the project specific document (see sample) that is executed
concurrently or subsequent to an MA. The PS includes the agency’s name, the agreement number, and
the document page number in the headers for each page along with specific information necessary for
Revised 01/03/02
                                                                                                 Page 4 of 20
the release and payment of State funds for a project. A project, as described in the PS, can be
characterized as either an overall project, or as a particular phase or component of an overall project.
Any CTC, or Caltrans delegated action approved subsequent to the execution of the initial PS will
require a PS amendment, as there will only be one (1) PS per project under the MA.

SEQUENCE OF EVENTS
The estimated time frame to complete the PS Sequence of Events varies widely. The variance is usually
associated with getting the Recipient Agency to sign the agreement. For agreements with Special
Conditions, HQ Legal must approve the language on the Special Conditions page and sign and date the
sheet. The PS is then sent to HQ Accounting for signature on the Certification of Funds form.

The following is a typical PS execution timeline:

         It takes 2 to 4 weeks to get the PS signed by the local agency.
         Approximately 1 to 2 days to get Accounting’s signature on the Certification of Funds form.
         Another month to complete the risk assessment and final audit report by Audits and
          Investigations, if there are no problems.
         4 to 5 days to acquire Legal’s signature on the Special Conditions page, if needed.
         Another 1 to 2 days to get the Deputy District Director for Planning’s signature to execute the
          agreement.
         The total conservative estimated time frame to complete the PS is about 6 weeks, if there are no
          problems.

(1)       The Recipient submits a written request for CTC project application/allocation approval to the
          Caltrans District Office. (NOTE: The allocation request can be submitted concurrently with an
          application approval request. However, an allocation cannot occur until an application has been
          approved.) The District works with Recipient and DMT staff via phone calls, e-mails, fax, etc. to
          finalize the application.

(2)       The District reviews the request for completeness and accuracy, then forwards the request to
          either the Director’s Office of Traffic Congestion Relief (TCR projects only), or to the DMT
          OSTPD for non-TCR projects via a CTC agenda action item request.

(3)       The District prepares a draft PS for the Recipient’s project(s).
(4)       A SB 580 Project Review is required for non-TCR Fixed Guideway projects. The District will
          provide the Recipient with the SB 580 Project Review packet. Once the packet is completed by
          Recipient and returned, the District reviews and submits it to DMT. DMT reviews the submittals
          and makes a recommendation to management for approval. After approval of the packet, DMT
          will provide the District with a final copy of the 580 Review that includes the recommended
          actions. (Note: The first SB 580 review is at the agency level and the 2nd review is at the project
          level).
(5)       A Project-level pre-award evaluation is required to execute a PS only in the following
          circumstances: the District sends a Pre-award Evaluation Request form and draft PS to HQ
          Audits and Investigations to complete a pre-award evaluation of the Recipient’s project(s) only
          when: PSs include special conditions not included in the MA, prior audit work has noted material
          deficiencies, or Recipients are designated a high-risk auditee. If one or more of the above
          conditions apply, regardless of the dollar amount, the PS should be submitted for evaluation prior

Revised 01/03/02
                                                                                                  Page 5 of 20
         to execution. (See the memo dated January 30, 2002 from Audits and Investigations for the list of
         the Recipient agencies designated as high-risk grantees with prior material deficiencies.) A copy
         of the Appendix 9.3 – Allocation Request form for the Traffic Congestion Relief Program is to be
         included with the Pre-award Evaluation Request form. Audits will perform a risk assessment to
         determine if pre-award evaluation work is necessary. Based on the assessment, a pre-award
         evaluation may be performed. If none of the above situations apply, a copy of the executed PS
         should be forwarded to Audits for their files.
(6)      The CTC approves the application/allocation (that may include an approval of an advance
         payment for TCR projects only).

(7)      Notification is sent by HQ to the District to be included in the PS as follows:
         Non-TCR Projects

         The DMT OSTPD will advise District of CTC allocation approval and will direct the District to the
         CTC website (http://www.dot.ca.gov/hq/transprog/ctcliaison.htm) to obtain a copy of the Allocation
         Resolution and the CTC Vote List within 2 to 3 days of the CTC action.
         TCR

         The Director’s Office of Traffic Congestion Relief (TCR) will approve an allocation, as delegated
         by the CTC, and send a TCR Application/Allocation Resolution Letter to the District and to
         DMT.

(8)      The District finalizes the PS and forwards six (6) copies to the Recipient for signature, as
         designated by their prior Board Resolution. NOTE: The Allocation Resolution is required to
         execute a PS. The following documents must be included as Attachments to the PS:

      1A. Project Application .............. A signed copy of the original Project Application (TCR only).

                   OR                         For non-TCR projects a scope of work includes: Project
      1B. Scope of Work ..................... Description (identify specific work tasks); Project Schedule;
                                              Project Financial Plan; and Overall Funding Plan.
      2. CTC/TCR Resolutions .......... Attach a signed copy of CTC Allocation Resolution authorizing
                                        this project. A CTC Vote List is needed for Prop. 108, Prop.
                                        116, and TCI. If the project is funded by TCR funds, attach a
                                        copy of the TCR Application/Allocation Resolution Letter for
                                        this project.
      3. Certification of Funds ........... District is to complete designated sections of the form and
                                            submit to Accounting for completion and certification
                                            signature.
      4. 3rd Party Agreement .............. If applicable, attach the cover and signature pages, including
                                            the execution date, of the 3rd Party Agreement associated with
                                            the project (only required for non-TCR construction or vehicle
                                            purchase projects).
      5. Special Conditions ................ If applicable, this section would be completed by the District if
                                             special conditions or requirements have been placed on the
Revised 01/03/02
                                                                                                 Page 6 of 20
                                            Recipient by the CTC or Caltrans, including the designation of
                                            high-risk grantee. If completed, this attachment must be signed
                                            off by HQ Legal Counsel.

(9)       Once the Recipient has signed the PS, the District forwards six (6) original wet-ink signed copies
          to HQ Accounting. NOTE: An additional signature is required from HQ Legal Counsel in
          special cases involving high-risk grantees, or when conditions are specified at the time of
          allocation by CTC or Caltrans. In those special cases, District will forward a concurrent copy of
          the PS to HQ Audits and Investigations with the Preaward Evaluation Request form. In this
          situation, the District will attach a routing slip to the cover of the PS packet, marked for review
          and approval (by signature) from (1) Accounting, (2) Legal, and (3) back to the District for final
          execution by the Deputy District Director for Planning. District is to use the attached DMT
          checklist for PSs to assure that they have addressed all issues and are submitting a completed PS
          package.
(10)      Upon review and approval (by signature), HQ Accounting returns the six (6) original wet-ink
          copies to District for final distribution. If HQ Legal signature is required, as specified in step 8
          above, then the package is forwarded by HQ Accounting to HQ Legal for signature, and returned
          to the District.
(11)      The Deputy District Director for Planning reviews the PS for completeness and approves by
          signature. This review ensures that any required pre-award audit has either been completed or
          waived by Audits.
(12)      District distributes six (6) completed, original wet-ink signed copies as follows:
       Caltrans HQ Accounting (2 wet-ink copies) – one for Accounting and one for the State
        Controller.
       Caltrans District Representative (1 wet-ink copy).
       Recipient (1 wet-ink copy).
       Caltrans HQ DMT receives (1 wet-ink copy) – If the project is multi-funded, The DMT staff
        person receiving the original signed PS will make an additional copy and present it to the DMT
        staff person responsible for monitoring the other fund source(s).
       Caltrans HQ Audits (1 wet-ink copy).

(13)      The Recipient submits a request for project reimbursement to the Caltrans District office. The
          Recipient’s Staff will prepare a Project Progress Payment Invoice using the electronic “TCR
          Invoice Form” for TCR projects, or “Form DOR-0005” for non-TCR projects. (Copies of these
          forms may be found in the Transit Funding Manual’s Technical Appendices.) Once completed,
          the Recipient forwards the request to the District project administrator for review and
          certification- after which the District project administrator signs the Progress Payment voucher
          form and sends it to HQ Accounting for payment. Accounting only receives the voucher form
          signed by the project administrator. The district keeps the project file or project closeout audits
          for a minimum of 3 years following project completion. (NOTE: Prop 108 and 116 must
          receive the PS and establish the EA before the payment can be processed).
(14)      Agencies with non-TCR funds and an Expedited Payment MOU fills out the Expedited Payment
          Voucher form, faxes a single-page copy of that form to HQ Accounting, and concurrently
          submits the original Expedited Payment Voucher form plus the actual invoice documentation to
          the District project administrator for review and certification, starting the 21-day “clock” for
          certifying the expedited payment. Accounting pays the invoice within 10 days of receiving the

Revised 01/03/02
                                                                                                    Page 7 of 20
          fax, and issues an expedited payment certification form to the District project administrator with
          a due date included for the district’s concurrence or non-concurrence (with disallowed amounts
          identified) with the amount invoiced. The District project administrator reviews the invoice
          documentation, signs the invoice certification and sends it to HQ Accounting. (The invoice may
          contain an expedited payment request for non-TCR projects). NOTE: Non-TCR project
          expedited payment invoices (form DOR-0011) for Prop 108, Prop. 116 and TCI funding sources
          are reviewed by the District. HQ Accounting receives the forms or a fax copy of the Expedited
          Payment Voucher and the certification forms. Those invoices are sent or faxed directly to the
          HQ Accounting office by the District for payment. HQ Accounting returns to the District and
          Local Agency the colored-paper copies for their files. An invoice certification is sent to the
          District for approval and signature after payment is made. Caltrans HQ Accounting Office
          approves and submits a request for payment to the State Controller’s Office.
(15)      The State Controller’s Office issues a check to the Recipient.
(16)      If a Recipient wants to request either a time extension for the use of funds, or shift funds between
          project components/phases, a PS amendment would be necessary. The process would be as
          follows:

              a.   Time Extension Letter

              The Recipient submits a written request for a time extension to the District. The District
              reviews the request for completeness and accuracy and then forwards the request to either the
              Office of Traffic Congestion Relief (TCR projects only), or to the DMT OSTPD via a CTC
              agenda action item request. Upon review of the action taken by, either Caltrans or the CTC,
              the District then issues a Time Extension Letter informing the Recipient of the CTC, or the
              Caltrans delegated time extension action taken. The District will also forward a copy of the
              Time Extension Letter to the DMT OSTPD and keep a copy for their District file.

              b.   Fund Shift Letter

              The Recipient submits a written request for a shift of funds to the District. The process would
              be as follows:

                  If the shift of funds request is for a STIP project and is less than or equal to twenty percent
                   (20%), the District issues a Fund Shift Letter informing the Recipient of the Caltrans
                   delegated fund shift action taken. The District will attach a copy of the Fund Shift Letter
                   to the PS and keep a copy in their District file. The District will also forward a copy of the
                   Fund Shift Letter to the DMT OSTPD to attach to the HQ copy of the PS.

                  If the shift of funds request is for a STIP project and is greater than twenty percent (20%),
                   the District forwards the request to the DMT, OSTPD via a CTC agenda action item
                   request. Upon review of the action taken by the CTC, the District then issues a Fund Shift
                   Letter informing the Recipient of the CTC fund shift action taken. The District will also
                   forward a copy of the Fund Shift Letter to the DMT, OSTPD and will keep a copy for
                   their District file.

                  If the shift of funds request is for a TCR project, the District forwards the request to the
                   Director’s Office of Traffic Congestion Relief (TCR projects only). Upon review of the

Revised 01/03/02
                                                                                                    Page 8 of 20
                   action taken by Caltrans, the District then issues a Fund Shift Letter informing the
                   Recipient of the Caltrans delegated fund shift action taken. The District will attach a copy
                   of the Fund Shift Letter to the PS and keep a copy in their District file. The District will
                   also forward a copy of the Fund Shift Letter to the DMT OSTPM to attach to the HQ copy
                   of the PS.

                  If the shift of funds request is for any other state funding source, the District forwards the
                   request to the DMT OSTPD via a CTC agenda action item request. Upon review of the
                   action taken by, either Caltrans or the CTC, the District issues a Fund Shift Letter
                   informing the Recipient of the CTC, or the Caltrans delegated fund shift action taken. The
                   District will also forward a copy of the Fund Letter to The DMT OSTPD and will keep a
                   copy for their District file.

              NOTE: Funds shifted must still be expended by the original, approved termination date as
              indicated on page 1 of the project’s PS. If a Recipient foresees a delay in the expenditure of
              those shifted funds, the Recipient must request a Time Extension for the expenditure of those
              funds from the District. The District will then forward the request to either the DMT or the
              CTC according the established guidelines.

STEP-BY-STEP INSTRUCTIONS FOR COMPLETING THE PS
(In order of occurrence on the PS form)

Recipient Ref. No.

This number is for District internal project tracking. It could reference the STIP number, the TCR
project number, or an internal referencing system.

Program Supplement No.

The Caltrans District will assign an original, sequential PS number to each project. The PS number is
linked to the MA number previously issued by HQ Contracts office. Any subsequent PS Amendment
will be linked to the PS number previously assigned (see example #2 below). The format to be used is
as follows:
1. PS No. = XXA0000-01 (An original PS is issued concurrently with the first allocation
   (reimbursement) request – where “XX” represents the District number, “A0000” references the MA
   number associated with the project, and “01” is sequentially assigned by each District (i.e. 01, 02,
   03, etc.), referencing the actual project.

2. PS Amendment No. = XXA0000-01-A1 (“A1” is a sequential number based on the number of Project
   Amendments processed, including any Amendments, Allocations, Time Extensions or Fund Shifts,
   as approved by CTC or Caltrans).

Master Agreement No.

This number is issued by the Caltrans HQ Contracts Office using the following format:



Revised 01/03/02
                                                                                             Page 9 of 20
Headquarters’ Number + Contract Sequential Number. (i.e. 64A0000, where “64” references
Headquarters’ Number and “A0000” references Contract’s sequential number assignment).

CTC Project Application Resolution No.

This number is the approved Project Application Resolution issued by CTC (e.g. TA-01-01 for TCR
projects).

Allocation Resolution No.

This number is the approved Allocation Resolution (e.g. TCPD-01-01-38.1) issued by Caltrans (TCR
only), or CTC (all other funding sources).

Provision Section

Because the required information may not be available until after a PS has been completed, the
provision section has been formatted to work as a manual “form.” You must manually write or type in
the MA number, the date the MA was signed, the Recipient Board Resolution number authorizing the
MA, and the date the Recipient Board Resolution was signed.

Effective Date

This is the CTC project application approval date for TCR projects, and/or the CTC allocation date for
non-TCR projects. This difference is necessary as Recipients can incur reimbursable costs as of the date
of application for TCR projects, but can only incur reimbursable costs from the date of allocation for
non-TCR projects. The State Controllers’ Office will not issue payments for costs incurred prior to the
effective date of the PS.

Project Completion Date

The project/project phase’s projected completion date is the date the project is expected to be completed
as stated in the Recipient Agency’s application. This date should be consistent with the project
schedules in Sections III, IV and V of the TCRP application. (The Uniform Transit Application (UTA)
may be used for non-TCR project. See the Transit Funding Manual’s Technical Appendices for a
sample UTA.)

Termination Date

The Traffic Congestion Relief Act (AB 2928, Chapter 91), Section 14556.18 (a) established the delivery
schedule by fiscal year for TCRP projects. Therefore, the PS termination date for TRCP projects shall
be June 30, of the fiscal year identified in the approved TCRP Project application for the completion of
the project. This excludes non-TCR construction and/or vehicle purchase projects, where the initial
termination date is set as one (1) year from the date of the CTC allocation. A 3rd Party Agreement must
be awarded during that same period for those projects. Once that 3rd Party Agreement is awarded, a PS
Amendment is executed establishing a new Termination Date as 3 years after the 3rd Party Agreement
award date.

Revised 01/03/02
                                                                                            Page 10 of 20
PS Amendments

Changes to the Project’s cost, scope, or schedule are approved by the CTC. Also, a PS Amendment is
needed when subsequent allocations are made on a given project. The implementing agency, with
concurrence of the lead agency if different from the implementing agency, will be required to submit an
amended TCRP project application in advance of the specified termination date. A copy of the amended
TCRP application that includes the amended schedule and financial plan, the resolution, and summary
sheet should be attached to the Amendment. The header on each page of the Agreement should reflect
the amendment number for the Agreement (for example, 07A0043 –05 A1).

3rd Party Agreement Award Date

This is the date that the 3rd Party Agreement is awarded. The 3rd Party Agreement award date must
occur within one (1) year after the date of an approved CTC allocation. (Only required for non-TCR
construction and vehicle purchase projects). See PS Amendments for additional requirements.

Allocation Amount

Enter the dollar amount into the identified funding source field identified on the approved Allocation
Resolution for this PS. (The dollar amounts are in $1,000s).

Project Title

The project title is a one-line description of the Recipient’s project.

Project Summary

Provide a brief (1-4 line) summary of the Recipient’s project as approved by the CTC. Note: A detailed
project description will be included in Attachment I.

Attachment I – Project Application or Scope of Work

The original/revised project application for TCR projects as approved by the Director’s Office of Traffic
Congestion Relief should be included in this section. Districts may request an approved electronic copy
from the Director’s Office of Traffic Congestion Relief.

OR,

For non-TCR projects, the Project Scope of Work documents shall be included in this section, and will
consist of a Project Description, Project Schedule, Project Financial Plan, and an Overall Funding Plan
for project activities to be completed. (The Uniform Transit Application (UTA) format may be used for
non-TCR project. See the Transit Funding Manual’s Technical Appendices for a sample UTA.)




Revised 01/03/02
                                                                                                 Page 11 of 20
Attachment II – CTC/TCR Resolution(s)

This section should include any and all CTC Resolution(s) and/or Resolution Letter(s) (for TCR projects
only) associated the project’s application, allocation, time extension, and project amendment approval.
In addition, a CTC Vote List for each project for Prop. 108, Prop. 116 and TCI is needed.

Attachment III – Certification of Funds

Caltrans HQ Accounting verifies and master files assigned EAs for Prop. 108 and Prop. 116 funding
sources. Each funding source will require a separate Certification Block. This section is to be
completed as described below:

         Source District Unit No. – this is the District No. (i.e. 01, 02, 03, etc.).
         Charge District Unit No. – this can be obtained from the District’s Budget or Resource person.
         Expenditure Authorization (EA) General Ledger Sub-Account Work Order No. – DMT will
          provide District Transit Representatives with a listing of all programmed projects and their
          respective EAs. Each District will then include the original HQ assigned EA for the first PS.
          Any subsequent allocation/amendment related to that project will require the EA to be the same
          as the original project EA with an additional sequential (i.e. B, C, D, etc.) letter being assigned at
          the end to indicate the succeeding allocation/amendment. The District will coordinate the
          issuance of the EA number assignment with their District Project Control/Resource Management
          unit to ensure that the number is established and consistent with existing procedures (master
          filing the EA). The new EA will be verified by HQ Accounting when they sign-off on the
          Certification of Funds.
         Object (Code) – for TCR projects, this number will always be “7049”; for non-TCR projects,
          contact your District Representative in the OSTPD if assistance is needed.
         Allocation Amount – this dollar amount is found on the CTC Allocation Resolution or the
          Caltrans TCR Application/Allocation Resolution Letter.
         Last Expenditures Date (LED) – this is the same as the project termination date identified on
          page 1 of the PS.
         Fiscal Year (FY) –
                    Prop. 108: Depends on the specific appropriation involved – this is identified in the
                     CTC Project Resolution;
                    Prop. 116: Always 90/91;
                    SHA/General Fund: Depends on the specific appropriation involved – this is
                     identified in the CTC Project Resolution; and
                    TCR: Always 2000/2001.
         Encumbrance Document No. – CT HQ Accounting Representative will complete this entry.
         Project # / PPNO – the “Project #” is related to TCR projects only. It is the assigned project
          number in the TCRP legislation. The “PPNO” is related to non-TCR projects. It is the Planning
          Project Number used to identify projects in the STIP.


Revised 01/03/02
                                                                                               Page 12 of 20
          Item – for TCR, this number will always be “2660-689-3007.” For non-TCR, contact your
           District Representative in HQs OSTPD or Accounting.
          Chapter No. – for TCR, this number will always be “91.” For non-TCR, contact your District
           Representative in HQs OSTPD or Accounting. (This number is derived from the Budget Bill.)
          Statutes – for TCR this will always be the year 2000; for non-TCR it is the calendar year that the
           funds were made available;
          Fiscal Year -- the current FY, or the FY when funds were initially authorized.
                    Prop. 108: Depends on the specific appropriation involved – this is identified in the
                     CTC Project Resolution;
                    Prop. 116: Always 90/91;
                    SHA/General Fund: Depends on the specific appropriation involved – this is
                     identified in the CTC Project Resolution; and
                    TCR: Always 2000/2001
Attachment IV – 3rd Party Agreement Award Verification

If applicable, attach the cover and signature pages, including the execution date, of the 3rd Party
Agreement associated with this project (only required for non-TCR construction or vehicle purchase
projects).

Attachment V – Special Conditions

If applicable, this section would include any special requirements, or conditions associated with this
project as identified by the CTC or Caltrans at the time the Project Application/Allocation is approved.
This section must be reviewed and signed by HQ Legal Counsel, and reviewed by HQ Audits and
Investigations prior to execution, as it will act as an Amendment to the Recipient’s MA. (Note: This is
usually done concurrently when sending the agreement to HQ Legal and or to Accounting for signature.
Audits and Investigation should receive a draft copy of the PS). The CTC, DMT, Legal, and/or Audits
and Investigations will determine if a Recipient is a high-risk grantee.

ADM 360 – Request for Service Contract:

The ADM 360- Request for Service Contract form is to be completed by HQ DMT staff, unless the
District prepares the MA. Otherwise, the district is responsible for completing the MA and the ADM
360 (Sections A, B, G and N), providing one original Recipient Board Resolution and forwarding all
documents to HQ DMT for execution.

         This following is a SAMPLE Program Supplement completed for a TCR project. A copy of the
Allocation Resolution and the first two pages of the original TCR application have also been included to
                     show where to obtain information to complete the Program Supplement.




Revised 01/03/02
                                         Page 13 of 20



                      ATTACHMENT I
                   CTC/TCR APPLICATION




Revised 01/03/02
                   Page 14 of 20




Revised 01/03/02
                                        Page 15 of 20



                    ATTACHMENT II
                   CTC/TCR Resolution




Revised 01/03/02
                                              Page 16 of 20


 SAMPLE TCR
 Allocation Resolution
                         ATTACHMENT II
                         CTC/TCR Resolution




Revised 01/03/02
                                                 Page 17 of 20
ATTACHMENT II – Continued
                            CTC/TCR Resolution




Revised 01/03/02
                                                                                                                                Page 18 of 20
                                                                  ATTACHMENT III
                                                                  Certification of Funds
                                     This section is to be completed by the District and CT Headquarters Accounting.
 TCR FUNDS
                                 EXP AUTH GENERAL
 SOURCE         CHARGED                                                       ALLOCATION                                   ENCUMBRANCE
                                LEDGER SUB ACCOUNT              OBJECT                              LED          FY                       PROJECT #
DIST UNIT        IST UNIT                                                      AMOUNT                                      DOCUMENT NO.
                                  WORK ORDER NO.
05                   96                    T9287A                 7049           3,000,000        06/01/03      00/ 01                           101



I hereby certify upon my own personal knowledge that budgeted funds are available for    Signature of Accounting Officer                  Date
the period and purpose of the expenditure Stated above.
              ITEM                 CHAPTER          STATUTES         FISCAL YEAR

       2660-689-3007                  91              2000               2000/2001

 STIP FUNDS
                                 EXP AUTH GENERAL
 SOURCE         CHARGED                                                       ALLOCATION                                   ENCUMBRANCE
                                LEDGER SUB ACCOUNT              OBJECT                             LED           FY                          PPNO
DIST UNIT        IST UNIT                                                      AMOUNT                                      DOCUMENT NO.
                                  WORK ORDER NO.


I hereby certify upon my own personal knowledge that budgeted funds are available for    Signature of Accounting Officer                  Date
the period and purpose of the expenditure Stated above.
              ITEM                 CHAPTER           STATUTES        FISCAL YEAR



OTHER FUNDS (indicate fund type)
                             EXP AUTH GENERAL
 SOURCE   CHARGED                                                             ALLOCATION                                   ENCUMBRANCE
                           LEDGER SUB ACCOUNT                   OBJECT                             LED           FY                          PPNO
DIST UNIT  IST UNIT                                                            AMOUNT                                      DOCUMENT NO.
                              WORK ORDER NO.


I hereby certify upon my own personal knowledge that budgeted funds are available for    Signature of Accounting Officer                  Date
the period and purpose of the expenditure Stated above.
              ITEM                 CHAPTER           STATUTES        FISCAL YEAR



OTHER FUNDS (indicate fund type)
                             EXP AUTH GENERAL
 SOURCE   CHARGED                                                             ALLOCATION                                   ENCUMBRANCE
                           LEDGER SUB ACCOUNT                   OBJECT                             LED           FY                          PPNO
DIST UNIT  IST UNIT                                                            AMOUNT                                      DOCUMENT NO.
                              WORK ORDER NO.


I hereby certify upon my own personal knowledge that budgeted funds are available for    Signature of Accounting Officer                  Date
the period and purpose of the expenditure Stated above.
           ITEM                  CHAPTER            STATUTES         FISCAL YEAR



 OTHER FUNDS (indicate fund type)
                                 EXP AUTH GENERAL
 SOURCE         CHARGED                                                       ALLOCATION                                   ENCUMBRANCE
                                LEDGER SUB ACCOUNT              OBJECT                             LED           FY                          PPNO
DIST UNIT        IST UNIT                                                      AMOUNT                                      DOCUMENT NO.
                                  WORK ORDER NO.


I hereby certify upon my own personal knowledge that budgeted funds are                  Signature of Accounting Officer                  Date
available for the period and purpose of the expenditure Stated above.
            ITEM                  CHAPTER           STATUTES         FISCAL YEAR




 Revised 01/03/02
                                                                                          Page 19 of 20

                                            ATTACHMENT IV
                                     Confirmation of 3rd Party Agreement

     Please attach the cover and signature pages, including the execution date, of 3rd Party Contract
    Agreements associated with this Program Supplement (only required for non-TCR construction or
                                  transit vehicle procurement projects).

                          This Attachment is not required for TCR projects




Revised 01/03/02
                                                                                             Page 20 of 20

                                           ATTACHMENT V
                                           Special Conditions
                                             (If applicable)

     This section is for special conditions related to this project as identified by the Department of
                                              Transportation.
   This section would also include a copy of the Allocation Letter or Fund Shift Letter (if applicable).

 This Attachment is not required for this project, but may be required for high-risk grantees and
                               or unique projects and situations.




Approved as to form and procedure

BY:
             CALTRANS ATTORNEY                                                     DATE




Revised 01/03/02

				
DOCUMENT INFO
Shared By:
Categories:
Tags:
Stats:
views:0
posted:10/3/2012
language:Unknown
pages:20