HomeMy WebLinkAboutResolutiontoApproveChairSignatureFHWATeanawayHydraulicsKITTITAS COUNTY
DEPARTMENT OF PUBLIC WORKS
AGENDA STAFF REPORT
AGENDA DATE: August 15th, 2017
ACTION REQUESTED: Authorize the Chair's signature on the Interagency
Agreement with FHWA authorizing the reimbursement of
funds to Public Works for the Teanaway Hydraulic
Improvement Project
BACKGROUND: In 2014, Public Works submitted an application to the
Washington Federal Lands Access Program for Teanaway
Road Hydraulics Improvements.
In 2016, Public Works executed the final agreement
documents from the Federal Highway Administration
(FHWA) department awarding $2,432,074 of grant funds
for said project.
Public Works successfully negotiated a change of scope
with FHWA in August of 2016 to change the Hydraulic
Improvement locations to address the top two identified
maintenance and flood locations. Additionally, Public
Works reached out to the Washington State Department of
Fish and Wildlife to ensure the proposed project locations
also addressed top priorities in the region for fish passage.
Following the realignment of the engineering division and
the addition of survey capabilities Public Works requested
in the spring of 2017 that the delivery method for the
design and construction be altered. FHWA agreed to
relinquish control of the project delivery and allow these
efforts to be conducted in house by Public Works.
As a result, the new project is scoped to have a total cost of
$2,440,221 with the County responsible for $329,430 in
match funds. Public Works has recently finalized the
Memorandum of Agreement with FHWA and received the
Interagency Agreement (reimbursable agreement) from
FHWA for signature. This agreement has been reviewed
and approved by the County Legal team.
Once the Agreement has been executed Public Works will
seek to execute task orders with the current on call
engineering support staff to assist in the environmental
permitting, hydraulic modeling and structural design needs
for the project. Extensive public outreach and coordination
will ensue throughout the design and permitting of this
project.
INTERACTION: Public Works
RECOMMENDATION: Move to authorize Chair Signature on the Interagency
Agreement with FHWA authorizing the reimbursement of
funds to Public Works for the Teanaway Hydraulic
Improvement Project.
HANDLING: Return two (2) originals to Public Works to obtain FHWA
Signature
ATTACHMENTS: Memorandum of Agreement, Interagency Agreement
LEAD STAFF: Lucas Huck, County Engineer
BOARD OF COUNTY COMMISSIONERS
COUNTY OF KITTITAS
STATE OF WASHINGTON
RESOLUTION NO. 2017 -
TO AUTHORIZE THE CHAIR'S SIGNATURE ON THE INTERAGENCY
AGREEMENT WITH THE FEDERAL HIGHWAY ADMINISTRATION
WESTERN FEDERAL LANDS DIVISION FOR THE FUNDING OF THE
TEANAWAY ROAD HYDRAULIC IMPROVEMENTS PROJECT
WHEREAS: Resolution number 2014 — 114 approved the application for funding from
the Washington Federal Lands Access Program for the Teanaway Road
Hydraulics Improvements; and
WHEREAS: Resolution number 2016 — 025 accepted Federal Highway Administration
(FHWA) Federal Lands Access Program funding for the Teanaway Road
Hydraulic Improvements in the amount of $2,432,074; and
WHEREAS: Public Works successfully negotiated a change in the scope and delivery
of the project with FHWA to allow the design and construction
administration to be performed by Public Works and to change the project
improvement locations in a manner that better aligns with County Road
priorities and fish passage priorities as identified by the Washington State
Department of Fish and Wildlife; and
WHEREAS: Public Works has executed the Memorandum of Agreement with FHWA
for said project with a new project cost of $2,440,221 with the County
responsible for $329,430 in match funds; and
WHEREAS: Public Works and the Prosecuting Attorney's office have reviewed the
Interagency Agreement provided by FHWA for the reimbursement of
funds for the Teanaway Road Hydraulic Improvements project; and
NOW, THEREFORE BE IT RESOLVED that the Board of County Commissioners, in
the best interest of the public, does hereby authorize the Chair's signature
on the Interagency Agreement for the funding of the Teanaway Road
Hydraulic Improvements project.
DATED on this 15th day of August, 2017, at Ellensburg, Washington.
BOARD OF COUNTY
COMMISSIONERS
KITTITAS COUNTY,
WASHINGTON
Paul Jewell, Chairman
Attest:
❑ Clerk of the Board- Julie Kjorsvik
Laura Osiadacz, Vice -Chairman
❑ Deputy Clerk of the Board- Mandy Buchholz
Obie O'Brien, Commissioner
Federal Lands Access Program
Project Memorandum of Agreement
Amendment #1
Project / Facility Name: WA Kittitas (1)'reanaway Road Hydraulics Improvements
Project Route: Teanaway Road
State: Washington
County: Kittitas
Owner of Federal Lands to which the Project Provides Access: Okanosan-Wenatchee National
Forest Service (FS)
Entity with Title or Maintenance Responsibility for Facility: Kittitas County (County)
Type of Work: The project is to include:
• PreliminaryEngineering including environmentai stuciies to support an environmental decision
• Right of Way
• Construction Engineering; Contract Administration
This Agreement does not obligate (commit to) the expenditure of Federal funds nor does it commit
the parties to complete the project. Rather- this agreement sets forth the respective responsibilities
as the project proceeds through the project development process and construction.
This agreement replaces Fed oral Lands Access Program Match Agreement dated: 03/10/2016
between FI IWA-WFL and County.
Parties to this Agreement: Kittitas County (County) and Federal Highway Administration. the
Western Federal Lands Highway Division (FHWA-WFL).
The Program Decision Committee approved this project on 10/07/2016
WA Kittitas(1)1eanawav Road I-Ivdratlft I in provenncnr-Arad ::i Pace Iof II Jul), 24.2017
AGREED:
Kittitas County
Western Federal Lands Highway Division, FHWA-WFL Date
WA Kittitas (1) Teanawav Road Hvdrauhc Improvement- Amd 41 Paee'_ of I I July 2d, 3017
A. PURPOSE OF THIS AGREEMENT:
This agreement documents the intent of the parties and sets forth the anticipated responsibilities
of each party in the development, construction, and continued maintenance of the subject
project. The purpose of the agreement is to identify and assign responsibilities for Project
Development, Contract Advertisement. and Construction Administration as appropriate for this
project, and to ensure continued maintenance of the facility for public use if improvements are
made. The parties understand that any final decision as to design or construction will not be
made until after the environmental analysis required under the National Environmental Policy
Act (NEPA) is completed (this does not prevent the parties from assigning proposed design
criteria to be studied in the NEPA process.) Any decision to proceed with the design and
construction of the project will depend on the availability of appropriations at the time of
obligation and other factors such as issues raised during the NEPA process, a natural disaster
that changes the need for the project, a change in Congressional direction, or other relevant
factors.
If Federal Lands Access Program (FLAP) funds are used for the development or construction
of this project, the County agrees to provide a matching share equal to 13.5% of the total
cost of the project. as detailed more fully in Section J below. When agency other than FHWA-
WFL will be expending FLAP funds, the parties agree to execute a separate obligating
document. No reimbursement will be made for expenses incurred prior to execution of the
obligating document.
B. AUTHORITY:
This Agreement is entered into between the signatory parties pursuant to the provisions of 23
U.S.C.. 204.
C. JURISDICTION AND MAINTENANCE COMMITMENT:
County Maintaining or Owning Agency has jurisdictional authority to operate and maintain the
existing facility and will operate and maintain the completed project at its expense.
D. FEDERAL LAND MANAGEMENT AGENCY COORDINATION:
County Maintaining or Owning Agency has coordinated project development with the Federal
Land Management Agency. The Federal Land Management Agency support of the project is
documented in the Project Proposal by endorsing the proposal.
Each party to this agreement who has a primary role in NEPA, design or construction should
coordinate their activities with the Federal Land Management Agency.
WA Kiaitas (1)'Feanarray Road Hydraulic Improvernent- Amd -1 Page 3 of I I July 24, 2017
E. PROJECT BACKGROUND I SCOPE:
The proposed project is along T-eanaway Road at approximate Milepost (MP) 6.90 and at
approximate MP 8.64 with approximate coordinates 47.25480. - 120-8754 and 47-27587. -
120.8821 respectively.
Objectives of the project
• To improve storm water drainage, fish passagge, and clean water passage
• To reduce pavement damage during high water and roadway maintenance cost
• To improve safety through the section by providing a facility that safely accommodates
vehicular traffic and bike/pedestrian for locals and visitors
• To reduce possible roadway closure during high water runoff and overtopping
SCOPE
• Remove existing undersized culverts and replace with the following (both locations are fish
bearing stream and having roadside stability issues. Install bridge rail or guardrail):
• MP 6.9, Story Creek — Remove 9'x 3' concrete box. culvert; Install 19'W xl0'Hx60'L
concrete box culvert or appropriate structure as identified throughout the design
• MP 8.64. Lick Creek (MP 1.36 North Fork Teanaway Road) — Remove 36" CMP and 54"
RCP: Rerouting stream channel dependent on hydraulic analysis - Creek is not flowing
through the natural downstream channel which created flooding: Construct a single span 80'
long bridge or appropriate structure as identified throughout the design;
• Reconstruct roadway, repave, and restripe
• Install guardrail
F. PROJECT BUDGET:
This is the anticipated budget for the project based on information developed to date. Federal
Lands Access Program funds in conjunction with matching funds provided by County will fund
this project as detailed in Section K. Exceeding the budget of one phase does not require this
agreement to be amended if the overall budget is not exceeded.
Engineering,
Preliminary Engineering
scoping ane(\ EPA (PE)
Stewardship and oversigj
Construction (CN)
\4odi
Cont
TOT
$40.000
i
uding S434.835
S 20.0_00
---1 S 1,514.710
5295.37 i
(CM) 5135,:03
- '' 52.440.221
WA Kitwas (I1 Ican.may Road Ilydraulic Improvement- Arad;+I
PE previously completed by
WFLHD
WFLHDS&O
Reserved for construction phase.
Page 4 of 11 July 34. 2017
G. ROLES AND RESPONIHILITIES:
Kittitas County
• Will be responsible for project activities identified in Section P
• Will appoint a representative who will be the primary contact for FHWA-WFL-s Project
Manager
• Will provide appropriate match to all FLAP funds expended on the project even if the
project is terminated prior to completion
• Will be responsible for the acquisition of any rights-of-way and / or easements necessary
to complete the project
• Will be responsible for the costs associated with the utility relocation. Any applicable
reimbursement to the utility company will be governed by State law and regulation, or
Occupancy Permits in accordance with 23 CFR PART 645.103
• Will administer the project according to the WSDOT Local Agency Guideline Manual
• Will coordinate with WSDOT Local Programs Engineer regarding NEPA documentation
and NEPA decision and provide documentation to FHWA-WFL
• Will provide quarterly project updates to FHWA-WFL
• Will provide written certification of the following: completion of NEPA, completion of
ROW, the PS&E package includes appropriate elements and commitments, and the
construction contract includes the appropriate contract clauses following guidelines in 2
cfr 200 appendix 1I -Contract Provisions for Non -Federal Entity contracts under Federal
Awards
• Upon completion of construction, provide copies of final inspection demonstrating the
project has been constructed in substantial conformity with the approved plans and
specifications. COUNTY will provide written confirmation of its final acceptance of the
constructed project
FHWA-WFL
• Will be responsible for stewardship and oversight activities as noted in Section P.
• FFIWA-WFL will be responsible for FHWA decisions that may be not be delegated.
These decisions are identified in Section P.
• Will review certification letter and if appropriate provide approval to bid and construct
project.
W Kittitas (I) Tcanaway Road I-Iydrauhc Improvement- Amd p I Page 5 01 -1 1 July 24. 2017
H. ROLES AND RESPONSIBILITIES - MILEs,TONE SCHEDULE:
Respoitsibl
lI Product/Service
Schedule Start/Finish
Lead
Coun
County �H%
Design
017/
Sept 2March 201_8��
County
--�
NEPA documentation
Sept 2017/ March 2018
FHV✓A
NEPA Decision
Sepi 2018/ Oct 2018
County
95% PS&E
i
j Sept 2018/ Dec 2018
FHWA-WFL
eview95%PS&Epackage
30 days after FIIWA-WFI,
and other documentation and
receives 95% PS&E package
return certification letter
County i
Advertise/Award
--
Jan 2019/ March 2019
I
County I
Constntction
----
May 2019% Oct 2019
1. PROPOSED DESIGN STANDARDS:
Preferred design alternatives will be determined through the NEPA process.
r(:riteria
i
Comments
i Standard
Roadway Design Manual
AASI ITO -A Policy on
i
Geometric Design
Functional Classification
Minor Collector
Surface type
Asphalt Concrete Pavement
T
Design Volume
5500 ADT
Design exceptions to standards, will be documented and sent to the FIIWA-WPC.
WA Kafitas (I)-lcanawa}' Road Ilvdraulic Improvement- Amd a I Page 6 of I 1 July 24, '017
J. FUNDING:
The project is funded by the Federal Lands Access Program administered by FHWA-WFL,
with matching funds provided by the County.
Funding Source
Amount
%
Comments
Federal lands Access
$2,110,791
86.5%
Funds
{
Local Matching
$329,430
13.5%
Share (County)
Total Projected Costs
$2,440,221
1
l
K. MATCHING SHARE REOUIRF,MENTS:
The purpose of this section is to document the intent of County to meet its match requirement
for the subject project as authorized under section 23 USC 201(b)(7)(B).
All FLAP expenditures associated with this project will need to be matched by a tion- Federal
source, by other Federal funds other than those made available under Titles 23 and 49 of the
United States Code, or by funds made available under 23 U.S.C. 202 and 203. The matching
requirement under the FAST Act will be met by County.
County and other agencies have committed to the project. The forms of match shall be those
consistent with the 'Federal :Aid Guidance Non -Federal Matching Requirements' and as
approved by FHWA-WFL. In the state of Washington, 13.7 % of the total project cost.
This project is authorized to use a Tapered Match. Under this approach. the non -Federal match
is imposed over the entire project rather than individual progress payments. Timing of all fund
transfers are specified in the Funding Plan. Tapered Match is authorized because it will result in
an earlier completion date.
Estimated costs and fiscal year (FY) for the funding are based on the best budgeting and
scheduling information known at the time. The final match will be determined based on actual
expenditures at the conclusion of project work. Matching cash funds in FHWA-WFL receipt
may need to be supplemented, or returned, once actual expenditures are determined. As noted
under Modifications, if costs increase over the amount within this agreement. FHWA-WFL will
consult with the agency(ies) providing Match before granting approval.
WA Kiuitas (1) Yeanaway Road Flydraulic Improvement- Arad ,'�l Page 7 of t l July 24.2017
Maintain all project records, including source documentation for all expenditures and in-kind
contributions. for a period of three (3) years from the date or final acceptance- If any litigation
claim, negotiation, or audit has been started before expiration of the three-year period, the
records shall be retained until completion of the action and resolution or all issues that arise
from it.
The following agencies have agreed to contribute the amounts shown which will reduce the
federal share by the same amount. The Funding Plan is as follows:
[A
Phase
Form
Due
I Value Comments
County
ITT
In -Kind
08/15/2017
$68,018 i Value of ht -kind work
Kittitas County
509-962-76901
j
!
I
performed by County
Neat Christensen,
i Federal Highway
-F—
; 360-619-7780/
IPralgram Manager
prior to 6109/17 TBD
I
County
CN
in -Kind
01!15/2018
_
$261,412
Division
Peter Field Planning and I
Federal Highv,tv
L. PROJECT TEAM MEMBERS — POINT OF CONTACT:
The following table provides the points of contact for this project. They are to be the first
persons to deal with any issues or questions that arise, over the implementation of each party's
role and responsibility for this agreement.
NAME/ TITLE
TORGANIZATION
7'ELEPI-LONE NO. / E-MAIL
Cook, Director of
Kittitas Count}'
— -�Mack
I —509962--7692/
Public Works
I
mark.cook'4co.kittitas.wa.us
Lucas [luck, County
Kittitas County
509-962-76901
Engineer
!
I
lucas.huck@cn.kittitas.wa.us
Neat Christensen,
i Federal Highway
-F—
; 360-619-7780/
IPralgram Manager
11 Administration -Western
Nca].Christensen ra.dot.�ov
'
Federal lands Hichyua
Division
Peter Field Planning and I
Federal Highv,tv
Programming (3 ranchAdntini�nanon
9l-estern
C Petet.I'icld;crdo[ Dov
Chief
Federal lands Ilighway
Division',
WA Kin itas (t) I'eanaway Road Ilvdrau l is Improvement- Amd'I pace 9 of 11 Jule 24. 2017
M. CHANGES / AMENDMENTS /ADDENDUMS:
The agreement may be modified, amended, or have addendums added by mutual agreement of
all parties. The change, amendment, or addendum must be in writing and executed by all of the
parties.
The types of changes envisioned include, but are not limited to, changes that significantly
impact scope, schedule, or budget; changes to the local match, either in type or responsibility;
change that alter the level of effort or responsibilities of a party. The parties commit to
consider suggested s\changes in good faith. Failure to reach agreement on changes may be
cause for termination of this agreement.
A change in composition of the project team members does not require the agreement to be
amended.
It is the responsibility of the project team members to recognize when changes are needed and
to make timely notifications to their management in order to avoid project delivery delays.
N. ISSUE RESOLUTION PROCEDURES MATRIX:
Issues should be resolved at the lowest level possible. The issue should be clearly defined in
writing and understood by all parties. Escalating to the next level can be requested by any
party. When an issue is resolved, the decision will be communicated to all levels below.
LC rY_--_
FHWA-WNL
Time
Lucas Huck, County Engineer
_
Neal Christensen, Program
�_-_.-.
15 Days
Mana��er
Mark Cook, Director of Public
__
Peter Field, Planning and
15 Daus
Works
Proaranuning Branch Chief —
O. TERMINATION:
This agreement may be tenninated by mutual written consent of all parties. This agreement
may also be terminated if either the NEPA process or funding availability requires a change and
the parties are not able to agree to the change. Any termination of this agreement shall not
prejudice any rights or obligations accreted to the parties prior to termination. If Federal access
funds have been expended prior to termination, the party responsible for the match agrees to
provide a match in the applicable percentage of the total amount expended on the project prior
to the termination.
WA Kinitas (.1) Nanawn Road Hydraulic Improvement- Arid,': IPage 9 u(t t July 24. 2017
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OF
INTERAGENCY AGREEMENT
DTFH7017E30011
1GE
2
2. OR DER NO,
].REQUISITION NO.
<. SOLICITATION NO.
HFLWRA1700000098PR
S. EFFECTIVE DATE
6, AWARD DATE
), PERIOD OF PERFORMANCE
See Block 26c
6. SERVICING AGENCY
9. DELIVER TO
Kittitas County, WA
Federal Highway Administration
ALC:
Western Federal Lands Highway Div,
DUNS: 010202547 +4:
610 East Fifth Street
411 North Ruby, Suite 1
Vancouver WA 98661-3801
Ellensburg WA 98926
POC Scott Casey
TELEPHONE NO. (509) 962-7523
10. REQUESTING AGENCY
11. INVOICEOFFICE
Western Federal Lands Highway Div
Federal Highway Administration
ALC: 69050001
DUNS: 139768597 +4:
Western Federal Lands
Federal Highway Administration
A/P Branch, AM2;-150
Western Federal Lands Highway Divis
PO Box. 268865
610 East Fifth Street
Vancouver WA 98661-3801
Oklahoma City OK 73125
PDG Neal Christensen, P.E., Program Mgr
TELEPHONE NO. 3(50-619-7780
12, ISSUING OFFICE
13. LEGISUTIVE AUTHORItt
Federal Highway Administration
FEDERAL LANDS ACCESS PROGRAM (23. U.S.C.
204)
Western Federal Lands Highway Div.
610 East Fifth Street
Vancouver WA 98661-3801
14. PROJECTID
SEE BLOCK 18
15, PROJECT TITLE
SEE BLOCK 18
16. ACCOUNTINGDATA
See Schedule
17.
1B.
19,
20.
21.
22,
ITEMNO.
SUPPUESBERVICES
QUANTITY
UNIT
UNITPRICE
AMOUNT
WA KITTITAS (1) Teanaway Road Hydraulics
Improvements
Period of Performance:
Effective Date (26c) to December 31, 2020
00001
RA Funding
366,817.00
Accounting Info:
1517532015011 531.PE.K200.53 1753000000 25304
Funded: $366,817.00
Continued ...
23. PAYMENT PROVISIONS
24. TOTAL AMOUNT
$1,915,488.00
2511. SIGNATURE OF GOVERNMENT REPRESENTATIVE(SERVICING) 126..
SIGNATURE OF GOVERNMENT REPRESENTATIVE (REQUESTING(
25,. NAME AND TITLE
25c DATE
260.CONTRACTIN30 OFFICER
&.GATE
Angy Liljedahl
tM NO
DTFH7017E30011
ORDER NO
PAGE OF
2 12
00002
RA Funding
1,253,298.00
Accounting Info:
1517532015011 531.CN.K200.53 1753000000 25304
Funded: $1,253,298.00
00003
RA Funding
295,373.00
Accounting Info:
1517532015011 531.CE.K200.53 1753000000 25304
Funded: $295,373.00
The obligated amount of award: $1,915,488.00. The
total for this award is shown in box 24.
Statement of Work for Reimbursable Agreement
WA Kittitas (1), Teanaway Road Hydraulics Improvements
I. INTRODUCTION (project work summary and location)
The proposed project is along Teanaway Road at approximate Milepost (MP) 6.90 and at
approximate MP 8.64 with approximate coordinates 47.25480, -120.8754 and 47.27587, -
120.8821 respectively.
Objectives of the project
• To improve storm water drainage, fish passage, and clean water passage
• To reduce pavement damage during high water and roadway maintenance cost
• To improve safety through the section by providing a facility that safely accommodates
vehicular traffic and bike/pedestrian for locals and visitors
• To reduce possible roadway closure during high water runoff and overtopping
SCOPE
• Remove existing undersized culverts and replace with the following (both locations are fish
bearing stream and having roadside stability issues):
• MP 6.9, Story Creek — Remove 9'x 3' concrete box culvert. Install 19'W x ]0'H x 60'L
concrete box culvert or appropriate structure as identified throughout the design;
• MP 8.64, Lick Creek (MP 1.36 North Fork Teanaway Road) — Remove 36" Corrugate Metal
Pipe (CMP) and 54" Reinforced Concrete Pipe (RCP), and re-route stream channel dependent
on hydraulic analysis - Creek is not flowing through the natural downstream channel, which
created flooding. Construct a single span 80' long bridge or appropriate structure as identified
throughout the design;
• Reconstruct roadway, repave, and restripe;
• Install guardrail
If Right -of -Way and/or easement acquisition is necessary to complete the project, Kittitas
County will be responsible for the acquisition. Federal Highway Administration -Western
Federal Lands (FHWA-)YFLI will reimburse Kittitas County their portion of the approved and
applicable acquisitions costs.
If utility relocation is necessary to complete the project, Kittitas County will be responsible for
the relocation. Any applicable reimbursement to the utility company will be governed by State
law and regulation, or Occupancy Permits in accordance with 23 CFR PART 645.103. FHWA
-WFL will reimburse Kittitas County their portion of the approved and applicable relocation
costs.
II. STATEMENT OF WORK
This agreement provides for funding of a progression of project activities. Initially only
preliminary design is eligible for reimbursement. Final design, utility relocation, right of way
acquisition will not be eligible for reimbursement until an environmental decision document has
been completed and approved by FHWA-WFL3. If FHWA—FL's environmental decision
document indicates significant impacts or identifies the preferred alternative to be a "no -build"
alternative, then this reimbursable agreement will be terminated with no eligibility for funding
post environmental decision activities. Construction will not be eligible for reimbursement
until the Final PS&E package is approved.
FHWA-WFL may amend or terminate this agreement to adjust to project development,
environmental, or construction needs.
A. Preliminary Design
1. Desien
1.1. Perform a site survey as necessary to support the design and environmental
compliance needs of the project.
1.2. Prepare and submit a preliminary plan package to FHWA-W l^ L. The preliminary
plan package shall reflect the work as described in the Project Description above.
Any deviations from the described work must be approved in writing by FHWA=
WFL. Include a preliminary cost estimate with the preliminary plan package.
2. Environmental Compliance
Note: Federallyfunded projects must fully comply with all requirements of the National
Environmental Policy Act (NEPA). An appropriate range ofreasonable alternatives will
be evaluated for this project based on its scope and extent. Amendments to the scope of
this may be required upon completion of the environmental clearance document and
decision.
2.1. Coordinate environmental compliance efforts with WSDOT local programs regional
staff and FHWA-WFL environmental staff. Utilizing the information provided
through work performed under this reimbursable agreement, Kittitas County will
follow WSDOT Local Agency Guideline (LAG) environmental process and
coordinate with WSDOT and FHWA-WFL on the environmental decision document.
2.2. Support FHWA-WFL, in environmental compliance efforts, coordinate, develop and
complete tasks including resource surveys, studies and assessments for
documentation
2.2.1. National Historic Preservation Act (NHPA)
2.2.1.a. Coordinate with WSDOT local programs regional staff and FHWA=
WFL environmental staff regarding Section 106 of the National
Historic Preservation Act (NHPA) compliance and tribal
consultation. FHWA-WFL or WSDOT local program staff acting on
behalf of FHWA-WFL will complete consultation with the SHPO
under Section 106 of the NHPA.
2.2.1.b. Kittitas County, through a qualified archeologist, shall perform
resource surveys of the area of potential effect (APE) for the project
area in compliance with Department of Interior guidelines. If the
APE includes land owned or controlled by the federal government,
then obtain a permit from the federal land management agency to
conduct resource surveys in accordance with the Archaeological
Resources Protection Act. Prepare and submit to FHWA-WFL a
report documenting Section 106 findings and recommendations that
complies with applicable State Historic Preservation Office (SHPO)
standards for use in Section 106 consultation.
2.2. Le. FHWA-WFL or WSDOT local program staff acting on behalf of
FHWA-WFL will complete consultation with the SHPO under
Section 106 of the NHPA.
2.2.2. Wetlands
2.2.2.a. Kittitas County, through a qualified wetland biologist, will determine
the presence or absence of wetlands or other waters of the U.S. within
the project area. Wetlands believed to be under the jurisdiction of
the U.S. Army Corps of Engineers (USAGE) should be identified.
This may include but is not limited to referencing the National
Wetland Inventory or local wetland inventory, NRCS soil survey
maps, and field observations.
2.2.2.b. If no potential wetlands are observed within the project area, these
findings can be documented in a short report submitted to FHWA=
WFL.
2.2.2.c. If potential wetlands exist in the project area, delineate and document
wetlands in accordance with the USACE 1987 Wetland Delineation
Manual and submit the information to FHWA-WFL.
2.2.3. Threatened & Endaneered (T&E) Species and Essential Fish Habitat (EFH
2.2.3.a Kittitas County will obtain updated T&E species lists for the project
area from the US Fish and Wildlife Service (USFWS) and, if
appropriate, NOAA Fisheries Service. Kittitas County through a
qualified biologist, will determine the need to perform threatened
and endangered species and essential fish habitat studies within the
project area.
2.2.3.b If the biologist has determined that there are no T&E species or EFH
within the project area or the proposed project would have no effect
to any T&E species or no adverse effect on EFH within the project
area, the biologists/botanist shall prepare and submit to FHWA-WFL
a written finding documenting the finding and the basis for their
conclusion.
2.2.3.c If the biologist has determined that there are T&E species within the
project area and the project may affect these species, prepare and
submit to FHWAWFL a Biological Assessment (BA) following
USFWS and/or NOAA guidelines.
2.2.3.d If the project may affect threatened or endangered species, FHWA=
WFL or WSDOT local program staff acting on behalf of FHWA-
WFL will perform Section 7 consultation as appropriate with
USFWS and NOAA Fisheries Service. If appropriate, include
consultation for EFH.
2.2.4. Other Environmental Issues
2.2.4.a Kittitas County will identify and address other environmental issues
such as consistency with the Coastal Zone Management Act,
floodplains, and hazardous materials
2.2.4.b Submit other environmental surveys, studies, and assessments as
needed to support environmental compliance to FHWA-WFL.
B. Final Design
1. Design
1.1. Do not initiate final design activities until FHWA-WFL is in possession of an
independent environmental decision document.
1.2. If the NEPA decision is to construct a project, prepare and submit final plans,
specifications, and construction estimate package. The final design package shall
reflect the work as described in the environmental decision document. Any
deviations from the described work must be approved in writing by FHWA-WFL.
2. ROW Acquisition
2.1 Do not initiate right of way acquisition activities until FHWA-WFL is in possession
of an independent environmental decision document.
2.2 The County will be responsible for the acquisition of any rights-of-way and/or
easements necessary to complete the project. Prior to reimbursement for
construction, the County will certify to FH WAWL that all rights of way and/or
easements required for the project will have been acquired under appropriate State
Department of Transportation requirements and Federal Uniform Act requirements.
Submit a copy of certifications with the final design plans, specifications, and
estimate package.
3. Utility Relocation
3.1 Do not initiate utility relocation activities until FHWA-WFL is in possession of an
independent environmental decision document.
3.2 Kittitas County will be responsible for the relocation of any utilities necessary to
complete the project. In accordance with 23 CFR PART 645.103; any applicable
reimbursement to the utility company will be governed by State law and regulation,
or Occupancy Permits. Utility relocation costs will be paid for by the Kittitas
County. The Kittitas County will be reimbursed for their portion of the relocation
costs. Prior to reimbursement for any construction, the Kittitas County will certify
to FHWA-WFL that all utility relocation will be coordinated in advance of the
construction project. Submit a copy of certifications with the final design plans,
specifications, and estimate package.
4. Permits
4.1 The agency overseeing the construction will identify all permits necessary for
construction and submit a list of permits to FHWA-WFL.
4.2 Submit copies of all completed applications for necessary permits to FHWA-WFL.
4.3 Obtain permits necessary for construction. Submit copies of approved permits with
the final design plans, specifications, and estimate package.
Advertisement
5.1. Do not initiate construction advertisement activities until FHWA-WFL is in
possession of an independent environmental decision document.
5.2. Provide notification to FHWA-WFL once the contract has been awarded.
C. Construction
1. Do not initiate construction activities until FHWA-WFL is in possession of an
independent environmental decision document.
2. Construct and administer the project in conformance with the FHWA-WFL
environmental decision document.
3. Submit before, during, and post construction photographs to FHWA-WFL to document
project progress.
4. Submit a copy of the final construction acceptance letter.
D. Summary of Deliverables
Task
Reference
Delivery Due On or
Para rah
Before Date
B. PRELIMINARY DESIGN
1. DESIGN
• Submit a copy of the preliminary plan package and
II.C.1.2
March 31, 2018
preliminary cost estimate
2. ENVIRONMENTAL COMPLIANCE
• If applicable, submit a cultural resources report for
Il.C.2.2.i.b
With Preliminary Plan
FHWA-WFL review.
Package
• Submit a report or memorandum identifying the
II.C.2.2.2.b
With Preliminary Plan
presence or absence of'urisdictional wetlands
I1.C.2.2.2.c
Package
• If applicable, submit a report documenting T&E and
ILC.2.2.3.b
With Preliminary Plan
EFH species findings to FHWA-WFL.
II.C.2.2.3.c
Package
• If applicable, submit other environmental surveys,
studies, and assessments as needed to support
II.C.2.2.4.b
With Preliminary Plan
Package
environmental compliance to FHWA-WFL.
C. FINAL DESIGN
1. DESIGN
• Submit final plans, specifications, and construction
II D.l 2
Dec 31, 2018
estimate.
2. ROW ACQUISITION
• Submit certification of rights-of-way and/or easements
to FHWA-WFL -or- include certification that all
II.D.2.2
With Final PS&E
work will occur within existing right-of-way as part of
the administrative record.
3. UTILITY RELOCATION
• Submit certification of Utility Relocation
II.D.3.2
With Final PS&E
4. PERMITS
• Submit a list of all permits necessary for construction
IID 4 1
With Preliminary Plan
to FHWA-WFL
Package
• Submit copies of all completed applications for
II.D.4.2
With Final PS&E
necessary permits to FHWA-WFL:
• Submit copies of approved permits.
I1 -D.4.3
With Final PS&E
5. ADVERTISEMENT
• Submit Notice of Contract Award to FHWA-WFL
11.D.5.3
Upon Award/ (March, 31
2019)
W CONSTRUCTION
• Submit before, during, and post construction
ILE3
Ongoing
photographs to FHWA-WFL
Note:
• Kittitas County will submit a progress report with each invoice indicating dates covered, work that
has been completed within the invoice coverage dates, and anticipated dates of major project
milestones (i.e. survey completion, preliminary design completion, construction start, and
construction completion).
• Submit electronic pdf files of all deliverables to FHWA-WFL.
E. Cost Budizet
The cost of the work to be reimbursed by FHWA-WFL is Not to Exceed the amount in block 24
of the cover page, unless an amendment to the Agreement is made in writing and agreed to by
both parties. Kittitas County shall submit all invoices to FHWA-WFL for actual and reasonable
costs incurred for reimbursement. See Section IV, D. Method of Billing and Proper Submission
of Invoices.
Reference
Delivery Due On or
Task
Total
PE
$366,817
Paragraph
Before Date
• Submit copy of the Final Construction Acceptance
CN
Upon Completion
ILEA
of Construction / (Oct. 31,
Letter
$295,373
2019
Note:
• Kittitas County will submit a progress report with each invoice indicating dates covered, work that
has been completed within the invoice coverage dates, and anticipated dates of major project
milestones (i.e. survey completion, preliminary design completion, construction start, and
construction completion).
• Submit electronic pdf files of all deliverables to FHWA-WFL.
E. Cost Budizet
The cost of the work to be reimbursed by FHWA-WFL is Not to Exceed the amount in block 24
of the cover page, unless an amendment to the Agreement is made in writing and agreed to by
both parties. Kittitas County shall submit all invoices to FHWA-WFL for actual and reasonable
costs incurred for reimbursement. See Section IV, D. Method of Billing and Proper Submission
of Invoices.
Note: The funds in reserve are available to the County if approved by FHWA-WFL and
when this agreement is amended. Exceeding the budget of one phase does not require this
agreement to be amended if the overall budget is not exceeded.
III. TERM OF AGREEMENT — Period of Performance
The terms and conditions of this agreement shall become effective with and upon execution by
the FHWA-WFL Contracting Officer and shall remain in effect for the Period of Performance
through December 31. 2020, unless modified in writing by mutual agreement or terminated by
either party upon thirty (30) days written notice. Full credit shall be allowed for each party's
reimbursable costs and all non -cancelable obligations properly incurred up to the effective date
of termination.
To Kittitas
County
To FHWA-
WFL
Funds in
reserve
Total
PE
$366,817
$60,000
$426,817
CN
$1,253,298
$1,253,298
CE
$295,373
$295,373
CM
$0
$135,303
$135,303
total
$1,915,488
$2,110,791
Note: The funds in reserve are available to the County if approved by FHWA-WFL and
when this agreement is amended. Exceeding the budget of one phase does not require this
agreement to be amended if the overall budget is not exceeded.
III. TERM OF AGREEMENT — Period of Performance
The terms and conditions of this agreement shall become effective with and upon execution by
the FHWA-WFL Contracting Officer and shall remain in effect for the Period of Performance
through December 31. 2020, unless modified in writing by mutual agreement or terminated by
either party upon thirty (30) days written notice. Full credit shall be allowed for each party's
reimbursable costs and all non -cancelable obligations properly incurred up to the effective date
of termination.
IV. FINANCIAL ADMINISTRATION
A.Total Agreement Amount: See block 24 of the cover page for funds obligated by this
agreement.
B. Reimbursable Payment
The servicing agency will receive payment on a reimbursable basis, upon receipt of invoice of
costs incurred and authorized. The servicing agency is limited to recovery of actual costs
only, to include back-up data with each request for payment. Back-up data includes all
documents needed to support the requested reimbursement, such as record of contract
payments, receipts, payrolls, and so on.
C. Prompt Pavment
The Government considers payment as being made the day a check is dated or the date of an
electronic funds transfer (EFT). All days referred to in this clause are calendar days.
However, when the due date falls on a Saturday, Sunday, or legal holiday, the designated
payment office may make the payment on the following working day without incurring a late
payment penalty. The due date for making payments by the designated payment office is the
30t" day after the designated billing office receives a proper invoice from the agency, or the
30°i day after Government acceptance of services performed or supplies delivered. The
Prompt Payment regulations do not require the Government to pay interest penalties if based
on improper submission of invoices and incorrect EFT information provided by the Servicing
Agency. The Government will compute any interest penalty in accordance with the Office of
Management and Budget prompt payment regulations (5 CFR Part 1315).
D. Method of Billing and Proper Submission of Invoices:
The Government shall pay the Servicing Agency, upon the submission of proper invoices, the
prices stipulated in the agreed upon cost budget for services rendered or supplies delivered, as
stated in Section II, E. Cost Budget. All invoices and final payments should reference the
Agreement number, Project reference/title, and the COR's name and be sent to one of the
following addresses:
US MAIL FedEx
Western Federal Lands A/P Branch, AMZ-150 Western Federal Lands A/P Branch,
AMZ-150
PO Box 268865 6500 S. MacArthur Blvd.
Oklahoma City, OK 73125 Oklahoma City, OK 73169
Invoices may also be sent in .PDF format by electronic mail to 9-AMC-AMZ-
WFLli-lvoices@faa.gov. The subject line of the message must include Agreement Number,
Project reference/title, and invoice number. If the invoice is NOT Prompt Net 30, Terms should
also be identified in the subject line, (for example, Prompt Net 14).
The following correct information constitutes a proper invoice and is required as
payment documentation:
1) Name of Organization
2) Invoice Date
3) Agreement Number
4) Vendor Invoice Number
5) Organization Invoice Amount
6) Description and quantity of goods and services rendered
7) Performance Period
8) Shipping and payment terms
9) Other substantiating documentation required by the Agreement
E. Administrative Fee: Unless otherwise explicitly stated in this Agreement, FHWA-WFL shall
not be liable for any additional administrative fees.
F. Submission of FINAL INVOICE and Closeout of the RA
If FHWA-WFL does not receive a FINAL invoice within 6 months after FHWA-WFL first
requests a FINAL invoice submission, the Agreement will be closed and any remaining funds
de -obligated. This time period may be waived by the Requesting Agency CO if the Servicing
Agency provides a reasonable basis for the waiver.
FHWA-WFL will send the Notice of Agreement Closeout upon receipt of the final invoice.
Upon receipt of the Notice of Agreement Closeout, Servicing Agency will have two months
to return the Notice of Agreement Closeout. If FHWA-WFL does not receive a signed Notice
of Agreement Closeout within 2 months of Servicing Agency's receipt, the Agreement will be
closed and any remaining funds de -obligated.
V. KEY OFFICIALS
REQUESTING AGENCY — FHWA/Western Federal Lands Highway Division (WFLHD)
Contact: Neal Christensen, PE, Contracting Officer's Representative (COR)
Voice: (360) 619-7780
Fax: (360) 619-7945
Email: Neal.Christenssen@dot.gov
Financial Contact: Non -Federal Audrey Herzman
Voice: (360) 619-7756
Fax: (360) 619-7945
Email: Audrey.Herzman.ctr@dot.gov
SERVICING AGENCY- Kittitas County
Kittitas County Public Works Programs Contact
Name: Mark Cook
Address: 411 North Ruby, Suite
City, State, Zip: Ellensburg, WA, 98926
Telephone: 509-962-7523
Email: Mark.Cook@co.kittitas.wa.us
Fax: 509-962-7663
Kittitas County Public Works Finance and Grants and Agreements Contact
Agency's DUNS number: 01-020-2547
Name: Scott Casey
Address: 411 North Ruby, Suite 1
City, State, Zip: Ellensburg, WA, 98926
Telephone: 509-962-7523
Email: Scott.Casey@co.kittitas.wa.us
Fax: 509-962-7663
Kittitas County Public Works Project Contact
Name: Lucas Huck
Address:411 North Ruby, Suite 1
City, State, Zip: Ellensburg, WA, 98926
Telephone: 509-962-7690
Email: Lucas.Huck@co.kittitas.wa.us
Fax: 509-962-7663
VI. MODIFICATIONS
Any modifications to the Agreement must be made in writing and agreed to by both parties.
Such authorizations are not binding unless they are in writing and signed by personnel
authorized to bind each of the agencies.
VII. AGREEMENT COMPLETION
When the Requesting Agency has accepted all deliverables, the Servicing Agency will provide
a written project evaluation and final accounting of project costs to the requesting agency
contact.
VIII. TERMINATION
This Agreement maybe terminated upon 30 calendar days written notice by either party. If
this agreement is terminated by the Servicing Agency, its liability shall extend only to the
release of its work products and related materials to the Requesting Agency by the effective
date of termination. If this agreement should be terminated by the Requesting Agency, its
liability shall extend only to pay for the actual and reasonable costs of the items/services
rendered and the costs of any non -cancelable obligations incurred in accordance with the terms
of this agreement prior to the effective date of termination, or final costs agreed upon by both
parties. If the Servicing Agency incurs costs due to the Requesting Agency's failure to give the
requisite notice of its intent to terminate the Agreement, the Requesting Agency shall pay any
actual costs incurred by the Servicing Agency as a result of the delay in notification, provided
such costs are directly attributable to the failure to give notice. Otherwise, the Agreement will
terminate upon the expiration date as stated in Section III. Term of Agreement — Period of
Performance unless the period of performance is extended by amendment to the agreement and
as agreed by both parties.
IX. GENERAL TERMS AND CONDITIONS
A. GENERAL TERMS AND CONDITIONS
Background. To promote accelerated and efficient delivery of projects that benefit Federal Land
Management Agencies, the Secretary has exercised his discretion under 23 U.S.C. § 201(a) and §
204(a)(3) to apply Title 23 U.S.C. Chapter 1 requirements (Federal Aid requirements) to Federal
Lands Access Projects delivered by State Departments of Transportation (DOTs) and local public
agencies that are evaluated and certified by State DOTS to deliver Federal Aid projects. In
instances where a local public agency is not certified to deliver Federal -aid projects and Federal
Lands Access projects are delivered by the local public agency cooperatively with Federal Lands
Highway Division office oversight, the government -wide Common Rule (2 CFR 200) will be
applied. This cooperative relationship will enable the FLH to identify any federal law issues in
cooperation with the local public agency which may arise in the project development and delivery
process.
1. The Agreement provides funds on a reimbursable basis to the Servicing Agency for the
project described in the Access Program Project Memorandum of Agreement.
2. The Government's liability to make payments to the Servicing Agency under the
Agreement is limited to those funds obligated by the Government under the Agreement as
indicated herein and by any subsequent amendments agreed to in writing by all parties.
3. The Servicing Agency agrees to abide by and comply with all terms and conditions of the
Agreement and to abide by, and comply with, all requirements of applicable law, including those
specified in this Attachment, which are considered as an integral part of the Agreement.
4. In the case of any inconsistency or conflict between the specific provisions of the
Agreement and this Attachment, such inconsistency or conflict shall be resolved by giving
preference to the Agreement.
5. The Servicing Agency shall be responsible for ensuring that the Project is designed and/or
constructed in accordance with the Agreement, and all applicable Federal laws, regulations and
policies of the Federal Highway Administration ("FHWA" also referred to herein as the
"Government").
6. Reimbursement of costs incurred pursuant to the Agreement will be made pursuant to and in
accordance with 2 CFR Part 200 and the provisions of such regulations and procedures as the
Government may prescribe. Determination of allowable costs incurred by the Servicing Agency
under the Agreement shall be made in accordance with applicable government -wide cost principles
under 2 CFR 200. Closeout of the Agreement shall be based upon a determination that all
applicable administrative actions and all required work of the Agreement have been completed in
accordance with 2 CFR Part 200. Upon the Government's review of all financial, performance, and
other reports required as a condition of the Agreement, the Government may make any upward or
downward adjustments to the allowable costs in accordance with 2 CFR 200.
7. The Servicing Agency agrees to carry out and complete the Project without undue delays
and in accordance with the terms of the Agreement, including the Project Schedule set out in the
Agreement, or in the Access Program Project Memorandum of Agreement if no Schedule is
included in this Agreement, and comply with such regulations and procedures as the Government
may prescribe.
8. The Servicing Agency agrees to retain all documents relevant to the Project for a period of
three years from completion of the Project and receipt of final reimbursement from the
Government. The Servicing Agency agrees to furnish the Government, upon request, all
documents and records pertaining to the Project.
9. The Government is subject to the Freedom of Information Act (FOIA). The Servicing
Agency should therefore be aware that all materials submitted by the Servicing Agency related to
the Agreement will become agency records and thus are subject to FOIA and to public release
through individual FOIA requests.
10. The Government shall not be responsible or liable for any damage to property or any injury
to persons that may arise from, or be incident to, performance or compliance with this the Servicing
Agency's work under the Agreement. The Government will be responsible for damages or injuries
caused by the negligence of its own employees, to the extent permitted under the Federal Tort
Claims Act, 28 U.S.C. 2671-2680.
11. To the extent that the State has not already enacted legislation regarding texting while
driving, the Government encourages the Servicing Agency to adopt and enforce workplace safety
policies to decrease crashes caused by distracted drivers including policies that bar text messaging
while driving company-owned or rented vehicles, or government-owned, leased, or rented vehicles
or privately -owned vehicles when on official government business or when performing any work
for or on behalf of the Government. See Executive Order 13513 "Federal Leadership on Reducing
Text Messaging While Driving", Oct. 1, 2009 (available at http://edocket.access.=o.gov/2009/E9-
24203.1itrn ) and DOT Order 3902.10 "Text Messaging While Driving", Dec. 30, 2009, as
implemented by Financial Assistance Policy Letter (No. FAP -2010-01, Feb. 2, 2010, available at
httv://www.dot.gov/sites/dot.dev/files/docs/FAPL 2010-01.ndf)This includes, but is not limited to,
the Servicing Agency:
a. considering new rules and programs or re-evaluating existing programs to prohibit
text messaging while driving;
b. conducting education, awareness, and other outreach for employees about the
safety risks associated with texting while driving; and
c. encouraging voluntary compliance with the agency's text messaging policy while
off duty.
The Servicing Agency is encouraged to insert the substance of this clause in all contracts and
subcontracts.
B. APPLICABLE FEDERAL LAWS AND REGULATIONS
By entering into the Agreement, the Servicing Agency assures, certifies, and agrees to comply
with all applicable Federal laws, regulations, policies, guidelines, and requirements as they relate
to the use of Federal funds for this Project including, but not limited to, the following:
General Federal Legislation
• Fair Labor Standards Act - 29 U.S.C. § 201, et seq.
• Hatch Act - 5 U.S.C. §§ 1501, et seq.
• Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 Title -42 U.S.C.
§§ 4601, et seq.
• National Historic Preservation Act of 1966 —16 U.S.C. § 470, et seq.
• Archaeological Resources Protection Act —16 U.S.C. 470aa, et seq.
• Native American Graves Protection and Repatriation Act - 25 U.S.C. § 3001, et seq.
• National Environmental Policy Act of 1969 -42 U.S.C. §§ 4321, et seq.
• Wild and Scenic Rivers Act, P.L. 90-542, as amended —16 U.S.C. §§ 1271, et seq.
• Federal Water Pollution Control Act, as amended -33 U.S.C. §§ 1251-1376
• Clean Air Act —42 U.S.C. § 7401, et seq.
• Single Audit Act of 1984 - 31 U.S.C. §§ 7501, et seq.
• Americans with Disabilities Act of 1990 - 42 U.S.C. § 12101, et seq.
• Section 504 of the Rehabilitation Act of 1973, as amended - 29 U.S.C. § 794
• Title VI of the Civil Rights Act of 1964 - 42 U.S.C. §§ 2000d et seq.
• Limitation on Use of Appropriated Funds to Influence Certain Federal Contracting and Financial
Transactions — 31 U.S.C. § 1352
• Magnuson -Stevens Fishery Conservation and Management Act -16 U.S.C. § 1855
• Farmlands Protection Policy Act of 1981-7 § U.S.C. 4201
• Noise Control Act of 1972-42 U.S.C. § 4901, et seq.
• Section 4(f) of the Department of Transportation Act of 1966, 49 U.S.C. 303 and 23 U.S.C. § 138
• Resource Conservation and Recovery Act of 1976 (RCRA), as amended --
42 U.S.C. §§ 6901, et seq.
• Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA), as
amended --42 U.S.C. §§ 9601-9657
• Safe Drinking Water Act -- 42 U.S.C. §§ 300f -300j-6
• Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act of 1976 --42
U.S.C. § 6901, et seq.
• Migratory Bird Treaty Act 16 U.S.C. § 760c-7608
• The Federal Funding Transparency and Accountability Act of 2006, as amended (Pub. L. 109-282, as
amended by section 6202 of Public Law 110-252)
• Cargo Preference Act of 1954-46 U.S.C. § 55305
• Buy America Act — 23 U.S.C. § 313 (see
http://www.fhwa.dot.gov/construction/contracts/buyam oa.cfm)
• Nondiscrimination -23 U.S.C. § 140
General Federal Regulations
• Suspension and Debarment -2 CFR Parts Part 180
• Non -procurement Suspension and Debarment -2 CFR Part 1200
• External Programs -23 CFR Part 230
• Manual on Uniform Traffic Control Devices — 23 CFR Part 655
• Environmental Impact and Related Procedures -23 CFR Part 771
• Procedures for Abatement of Highway Traffic and Construction Noise — 23 CFR Part 772
• Procedures Implementing Section 4(f) of the Department of Transportation Act —23 CFR Part 774
• DOT's oversight of DO1's ADA regulations for non -transit programs, including the ADA
Accessibility Guidelines, required by the DOJ regulations at -28 CFR Part 35
• Procedures for predetermination of wage rates —29 CFR Part 1
• Contractors and subcontractors on public building or public work financed in whole or part by loans
or grants from the United States — 29 CFR Part 3
• Labor standards provisions applicable to contracts governing federally financed and assisted
construction (also labor standards provisions applicable to non -construction contracts subject to
the Contract Work Hours and Safety Standards Act) — 29 CFR Part 5
• Permitting Requirements under the National Pollutant Discharge Elimination System — 40 CFR Part
122.
• Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of
Labor (Federal and federally assisted contracting requirements) — 41 CFR Parts 60, et seq.
• Uniform administrative requirements, cost principles, and audit requirements for Federal
Awards —2 CFR Part 200
• New Restrictions on Lobbying — 49 CFR Part 20
• Nondiscrimination in Federally Assisted Programs of the Department of Transportation —Effectuation
of Title VI of the Civil Rights Act of 1964-49 CFR Part 21
• Uniform relocation assistance and real property acquisition for Federal and Federally assisted
programs -49 CFR Part 24
• Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal
Financial Assistance — 49 CFR Part 25
• Participation by Disadvantaged Business Enterprises in Department of Transportation Financial
Assistance Programs — 49 CFR Part 26
• Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from
Federal Financial Assistance — 49 CFR Part 27
• Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by
the Department of Transportation —49 CFR Part 28
• Denial of public works contracts to suppliers of goods and services of countries that deny
procurement market access to U.S. contractors -49 CFR Part 30
• Government -wide Requirements.for Drug -Free Workplace (Financial Assistance) —49 CFR Part 32
• DOT's implementing ADA regulations for transit, including the ADA Accessibility Guidelines in Part
37, Appendix A — 49 CFR Parts 37 and 38
• Procedures for Transportation Workplace Drug and Alcohol Testing Programs -49 CFR Part 40
• 23 C.F.R. Part 710 applies unless otherwise agreed to by FHWA
The Servicing Agency, when contracting for work to be performed Under this Agreement, will
include in the prime contract the applicable provisions required under 2 CFR 200.326.
The Servicing Agency, when contracting for construction services, shall ensure that all laborers and
mechanics employed by contractors or subcontractors on the construction work shall be paid wages
at rates not less than those prevailing on the same type of work on similar construction in the
immediate locality as determined by the Secretary of Labor in accordance with sections 3141, 3146,
and 3147 of title 40.
C. ASSURANCES AND CERTIFICATIONS
TITLE VI ASSURANCE
(Implementing Title VI of the Civil Rights Act of 1964, as amended)
ASSURANCE CONCERNING NONDISCRIMINATION IN FEDERALLY -ASSISTED
PROGRAMS AND ACTIVITIES RECEIVING OR BENEFITING FROM FEDERAL
FINANCIAL ASSISTANCE
(Implementing the Rehabilitation Act of 1973, as amended, and the Americans With
Disabilities Act, as amended)
49 CFR Parts 21, 25, 27, 37 and 38
The United States Denartment of Transportation (USDOT)
Standard Title VI1Non-Discrimination Assurances
DOT Order No. 1050.2A
By entering into the Agreement, the Servicing Agency (also herein referred to as the "Recipient'),
HEREBY AGREES THAT, as a condition to receiving any Federal funds from the U.S.
Department of Transportation (DOT), through the Federal Highway Administration (FHWA), is
subject to and will comply with the following:
Statutory/Regulatoty Authorities
• 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);
49 CFR Part 21 (entitled Non-discrimination In Federally -Assisted Programs Of The Department Of
Transportation—Effectuation Of Title VI Of The Civil Rights Act Of 1964);
• 28 CFR section 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil
Rights Act of 1964);
The preceding statutory and regulatory cites hereinafter are referred to as the "Acts" and
"Regulations," respectively
General Assurances
In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy,
memoranda, and/or guidance, the Servicing Agency hereby gives assurance that it will promptly
take any measures necessary to ensure that:
"No person in the United States shall, on the grounds of race, color, or national origin, be
excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under anyprogram or activity, "for which the Recipient receives Federal financial
assistance from DOT, including the FHWA.
The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, with respect to
Title VI and other Non-discrimination requirements (The Age Discrimination Act of 1975, and
Section 504 of the Rehabilitation Act of 1973), by restoring the broad, institutional -wide scope and
coverage of these non-discrimination statutes and requirements to include all programs and
activities of the Servicing Agency, so long as any portion of the program is Federally assisted.
Specific Assurances
More specifically, and without limiting the above general Assurance, the Servicing Agency agrees
with and gives the following Assurances with respect to its receipt of funds for this project:
1. The Servicing Agency agrees that each "activity," "facility," or "program," as defined in
§§ 21.23 (b) and 21.23 (e) of 49 CFR § 21 will be (with regard to an "activity") facilitated, or
will be (with regard to a "facility") operated, or will be (with regard to a "program") conducted
in compliance with all requirements imposed by, or pursuant to the Acts and the Regulations.
2. The Servicing Agency will insert the following notification in all solicitations for bids and
requests for proposals for work or materials, regardless of funding source:
a. "The Servicing Agency, in accordance with the provisions of Title VI of the
Civil Rights Act of 1964 (78 Stat. 252, 42 U.S.C. §§ 2000d to 2000d-4) and
the Regulations, hereby notifies all bidders that it will affirmatively ensure
that any contract entered into pursuant to this advertisement, disadvantaged
business enterprises will be afforded full and fair opportunity to submit bids
in response to this invitation and will not be discriminated against on the
grounds of race, color, or national origin in consideration for an award."
3. The Servicing Agency will insert the clauses of Appendix A of this Assurance in every
contract or agreement subject to the Acts and the Regulations.
4. The Servicing Agency will insert the clauses of Appendix B of this Assurance, as a covenant
running with the land, in any deed from the United States effecting or recording a transfer of
real property, structures, use, or improvements thereon or interest therein to a Recipient.
5. That where the Servicing Agency receives Federal financial assistance to construct a facility,
or part of a facility, the Assurance will extend to the entire facility and facilities operated in
connection therewith.
6. That where the Servicing Agency receives Federal financial assistance in the form, or for the
acquisition of real property or an interest in real property, the Assurance will extend to rights
to space on, over, or under such property.
7. That the Servicing Agency will include the clauses set forth in Appendix C and Appendix D
of this Assurance, as a covenant running with the land, in any future deeds, leases, licenses,
permits, or similar instruments entered into by the Servicing Agency with other parties:
a. for the subsequent transfer of real property acquired or improved under the applicable
activity, project, or program; and
b. for the construction or use of, or access to, space on, over, or under real property acquired or
improved under the applicable activity, project, or program.
8. That this Assurance obligates the Servicing Agency or any transferee for the longer of the
following periods:
a. the period during which the property is used for a purpose for which the Federal
funds were extended, or for another purpose involving the provision of similar
services or benefits; or
b. the period during which the Servicing Agency retains ownership or possession of
the property.
9. The Servicing Agency will provide for such methods of administration for the program as are
found by the Secretary of Transportation or the official to whom he/she delegates specific
authority to give reasonable guarantee that it, other recipients, sub -recipients, grantees,
contractors, subcontractors, consultants, transferees, successors in interest, and other parties
funded in whole or part from the funds provided under this Agreement will comply with all
requirements imposed or pursuant to the Acts, the Regulations, and this Assurance.
10. The Servicing Agency agrees that the United States has a right to seekjudicial
enforcement with regard to any matter arising under the Acts, the Regulations, and this
Assurance.
By signing the Agreement, the Servicing Agency also agrees to comply (and require any sub -
recipients, contractors, successors, transferees, and/or assignees to comply) with all applicable
provisions governing the FHWA's access to records, accounts, documents, information, facilities,
and staff. The Servicing Agency also recognizes that it must comply with any program or compliance
reviews, and/or complaint investigations conducted by the FHWA. The Servicing Agency must keep
records, reports, and submit the material for review upon request to FHWA, or its designee in a
timely, complete, and accurate way.
Additionally, the Servicing Agency must comply with all other reporting, data collection, and
evaluation requirements, as prescribed by law or detailed in program guidance.
The Servicing Agency gives this ASSURANCE in consideration of and for obtaining any Federal
funds, and/or discounts, or other Federal -aid and Federal financial assistance extended after the date
hereof to the recipients by the U.S. Department of Transportation.
This ASSURANCE is binding on the Servicing Agency, contractors, subcontractors and their
subcontractors', transferees, successors in interest, and any other participants in the funds provided
Linder this Agreement.
APPENDIX
A
During the performance of this contract, the contractor, for itself, its assignees, and successors in
interest (hereinafter referred to as the "contractor") agrees as follows:
1. Compliance with Regulations: The contractor (hereinafter includes consultants) will
comply with the Acts and the Regulations relative to Non-discrimination in Federally -
funded programs of the U.S. Department of Transportation, Federal Highway
Administration (FHWA), as they may be amended from time to time, which are herein
incorporated by reference and made a part of this contract.
2. Non-discrimination: The contractor, with regard to the work performed by it during the
contract, will not discriminate on the grounds of race, color, or national origin in the
selection and retention of subcontractors, including procurements of materials and leases of
equipment. The contractor will not participate directly or indirectly in the discrimination
prohibited by the Acts and the Regulations, including employment practices when the
contract covers any activity, project, or program set forth in Appendix B of 49 CFR Part 21.
Solicitations for Subcontracts, Including Procurements of Materials and Equipment:
In all solicitations, either by competitive bidding, or negotiation made by the contractor for
work to be performed under a subcontract, including procurements of materials, or leases of
equipment, each potential subcontractor or supplier will be notified by the contractor of the
contractor's obligations under this contract and the Acts and the Regulations relative to Non-
discrimination on the grounds of race, color, or national origin.
4. Information and Reports: The contractor will provide all information and reports required
by the Acts, the Regulations, and directives issued pursuant thereto and will permit access to
its books, records, accounts, other sources of information, and its facilities as may be
determined by the Servicing Agency or the FHWA to be pertinent to ascertain compliance
with such Acts, Regulations, and instructions. Where any information required of a
contractor is in the exclusive possession of another who fails or refuses to fitmish the
information, the contractor will so certify to the Servicing Agency or the FHWA, as
appropriate, and will set forth what efforts it has made to obtain the information.
5. Sanctions for Noncompliance: In the event of a contractor's noncompliance with the
Non-discrimination provisions of this contract, the Servicing Agency will impose such
contract sanctions as it or the FHWA may determine to be appropriate, including, but not
limited to:
a. withholding payments to the contractor under the contract until the contractor
complies; and/or
b. cancelling, terminating, or suspending a contract, in whole or in part.
6. Incorporation of Provisions: The contractor will include the provisions of paragraphs one
through six in every subcontract, including procurements of materials and leases of
equipment, unless exempt by the Acts, the Regulations and directives issued pursuant
thereto. The contractor will take action with respect to any subcontract or procurement as the
Servicing Agency or the FHWA may direct as a means of enforcing such provisions
including sanctions for noncompliance. Provided, that if the contractor becomes involved in,
or is threatened with litigation by a subcontractor, or supplier because of such direction, the
contractor may request the Servicing Agency to enter into any litigation to protect the
interests of the Servicing Agency. In addition, the contractor may request the United States
to enter into the litigation to protect the interests of the United States.
amab7►i.�
CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED UNDER THE
ACTIVITY, FACILITY, OR PROGRAM
The following clauses will be included in deeds, licenses, leases, permits, or similar instruments
entered into by the Servicing Agency under the terns of the Agreement:
1. The (grantee, lessee, permittee, etc. as appropriate) for himself/herself, his/her heirs,
personal representatives, successors in interest, and assigns, as a part of the consideration hereof,
does hereby covenant and agree [in the case of deeds and leases add "as a covenant running with the
land"] that:
In the event facilities are constructed, maintained, or otherwise operated on the
property described in this (deed, license, lease, permit, etc.) for a purpose for which a
U.S. Department of Transportation activity, facility, or program is extended or for
another purpose involving the provision of similar services or benefits, the (grantee,
licensee, lessee, permittee, etc.) will maintain and operate such facilities and services
in compliance with all requirements imposed by the Acts and Regulations (as may be
amended) such that no person on the grounds of race, color, or national origin, will
be excluded from participation in, denied the benefits of, or be otherwise subjected to
discrimination in the use of said facilities.
2. With respect to licenses, leases, permits, etc., in the event of breach of any of the above Non-
discrimination covenants, the Servicing Agency will have the right to terminate the (lease,
license, permit, etc.) and to enter, re-enter, and repossess said lands and facilities thereon,
and hold the same as if the (lease, license, permit, etc.) had never been made or issued.*
3. With respect to a deed, in the event of breach of any of the above Non-discrimination
covenants, the Servicing Agency will have the right to enter or re-enter the lands and
facilities thereon, and the above described lands and facilities will there upon revert to
and vest in and become the absolute property of the Servicing Agency and its assigns.*
(*Reverter clause and related language to be used only when it is determined that such a
clause is necessary to make clear the purpose of Title VI.)
APPENDIX
C
CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY ACQUIRED
UNDER THE ACTIVITY, FACILITY OR PROGRAM
The following clauses will be included in deeds, licenses, permits, or similar
instruments/agreements entered into by Servicing Agency pursuant to the provisions of this
Agreement:
The (grantee, licensee, permittee, etc., as appropriate) for himself/herself, his/her heirs,
personal representatives, successors in interest, and assigns, as a part of the consideration
hereof, does hereby covenant and agree (in the case of deeds and leases add, "as a
covenant running with the land") that (1) no person on the ground of race, color, or
national origin, will be excluded from participation in, denied the benefits of, or be
otherwise subjected to discrimination in the use of said facilities, (2) that in the
construction of any improvements on, over, or under such land, and the furnishing of
services thereon, no person on the ground of race, color, or national origin, will be
excluded from participation in, denied the benefits of, or otherwise be subjected to
discrimination, (3) that the (grantee, licensee, lessee, permittee, etc.) will use the
premises in compliance with all other requirements imposed by or pursuant to the Acts
and Regulations, as amended, set forth in this Assurance.
2. With respect to (licenses, leases, permits, etc.), in the event of breach of any of the above
Non-discrimination covenants, the Servicing Agency will have the right to terminate the
(license, permit, etc., as appropriate) and to enter or re-enter and repossess said land and
the facilities thereon, and hold the same as if said (license, permit, etc., as appropriate)
had never been made or issued.*
3. With respect to deeds, in the event of breach of any of the above Non-discrimination
covenants, the Servicing Agency will there upon revert to and vest in and become the
absolute property of the Servicing Agency and its assigns.*
(*Reverter clause and related language to be used only when it is determined that such a clause
is necessary to make clear the purpose of Title VI.)
APPENDIX D
During the performance of this contract, the contractor, for itself, its assignees, and successors in
interest (hereinafter referred to as the "contractor") agrees to comply with the following non-
discrimination statutes and authorities; including but not limited to:
Pertinent Non -Discrimination Authorities:
• 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.
• 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);
• Federal -Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on the
basis of sex);
• 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;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits
discrimination on the basis of age);
• Airport and Airway Improvement Act of 1982, (49 USC § 471, Section 47123), as amended,
(prohibits discrimination based on race, creed, color, national origin, or sex);
• 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, sub -
recipients and contractors, whether such programs or activities are Federally funded or not);
• Titles 11 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 CFR parts 37 and 38;
• The Federal Aviation Administration's Non-discrimination statute (49 U.S.C. § 47123) (prohibits
discrimination on the basis of race, color, national origin, and sex);
• Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations
and Low -Income Populations, which ensures discrimination 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;
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);
• 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).
A. ASSURANCE OF DISCLOSURE OF LOBBYING ACTIVITIES
Certification for Contracts, Grants, Loans, and Agreements
The person signing this Agreement for the Servicing Agency certifies, to the best of his or her knowledge
and belief, that:
No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any
person for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with
the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the
entering into of any grant agreement, and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or grant agreement.
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 agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal
contract, grant, loan, or grant agreement, the undersigned shall complete and submit Standard Form -LLL
(Rev. 7-97), "Disclosure of Lobbying Activities," in accordance with its instructions.
The undersigned shall require that the language of this certification be included in the award documents for
all subawards at all tiers (including subcontracts and contracts under grants, loans and grant agreements)
and that all subcontractors shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for making or entering into this
transaction imposed by 31 U.S.C. § 1352, title. 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.
B. CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS
The Servicing Agency certifies that it will, or will continue, to provide a drug-free workplace by:
1. Publishing a statement notifying employees that the unlawful manufacture, distribution,
dispensing, possession or use of a controlled substance is prohibited in the Servicing Agency's
workplace, and specifying the actions that will be taken against employees for violation of such
prohibition.
2. Establishing an ongoing drug-free awareness program to inform employees about:
a. The dangers of drug abuse in the workplace;
b. The Servicing Agency's policy of maintaining a drug-free workplace;
c. Any available drug counseling, rehabilitation, and employee assistance programs;
and,
d. The penalties that may be imposed upon employees for drug abuse violations occurring in
the workplace;
3. Making it a requirement that each employee to be engaged in the performance of work supported
by the Agreement be given a copy of the statement required by paragraph 1.
4. Notifying the employee in the statement required by paragraph I that, as a condition of
employment supported by the Agreement, the employee will:
a. Abide by the terms of the statement; and
b. Notify the employer in writing of his or her conviction for a violation of a criminal drug
statute occurring in the workplace no later than five calendar days after such conviction.
5. Notifying the agency in writing, within ten calendar days after receiving notice under paragraph
4.b. from an employee or otherwise receiving actual notice of conviction. Employers of convicted
employees must provide notice, including position title, to FHWA. Notice shall include the order
number of the Agreement.
6. Taking one of the following actions, within 30 days of receiving notice under paragraph 4(b),
with respect to any employee who is so convicted:
a. Taking appropriate personnel action against such an employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended, or
b. Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State or local health, law
enforcement, or other appropriate agency.
7. Making a good faith effort to continue to maintain a drug-free workplace through
implementation of paragraphs 1, 2, 3, 4, 5, and 6.
8. The Servicing Agency may, but is not required to, provide the site for the performance of work
done in connection with the Agreement. For the provision of services pursuant to the Agreement,
workplaces include outstations, maintenance sites, headquarters office locations, training sites and
any other worksites where work is performed that is supported by the Agreement. If the Servicing
Agency does so, the Servicing Agency shall identify the Places of Performance by listing the street
address, city, county, state, zip code. Also identify if there are workplaces on file that are not
identified in this section of the Agreement.
C. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER
RESPONSIBILITY MATTERS -- PRIMARY COVERED TRANSACTIONS
2 CFR Parts 180, 1200, 48 CFR Part 9, and 49 CFR Part 32
These assurances and certifications are applicable to all construction contracts, design -build contracts,
subcontracts, lower -tier subcontracts, purchase orders, lease agreements, consultant contracts or any other
covered transaction requiring FHWA approval or that is estimated to cost $25,000 or more — as defined
in 2 CFR Parts 180 and 1200, and 48 CFR Part. 9.
By entering into this Agreement the Servicing Agency is providing the assurances and certifications
for First Tier Participants and Lower Tier Participants as set out below.
Instructions for Certification — First Tier Participants:
a. The prospective first tier participant is providing the certification set out below.
b. The inability of a person to provide the certification set out below will not necessarily result
in denial of participation in this covered transaction. The prospective first tier participant shall
submit an explanation of why it cannot provide the certification set out below. The certification
or explanation will be considered in connection with the department or agency's determination
whether to enter into this transaction. However, failure of the prospective first tier participant to
furnish a certification or an explanation shall disqualify such a person from participation in this
transaction.
c. The certification in this clause is a material representation of fact upon which reliance was
placed when the contracting agency determined to enter into this transaction. If it is later
determined that the prospective participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government, the contracting agency may
terminate this transaction for cause of default.
d. The prospective first tier participant shall provide immediate written notice to the contracting
agency to whom this proposal is submitted if any time the prospective first tier participant learns
that its certification was erroneous when submitted or has become erroneous by reason of
changed circumstances.
e. The terms "covered transaction," "debarred," "suspended," "ineligible," "participant,"
"person," "principal," and "voluntarily excluded," as used in this clause, are defined in 2 C.F.R.
Parts 180 and 1200. "First Tier Covered Transactions" refers to any covered transaction between
a recipient or subrecipient of Federal funds and a participant (such as the prime or general
contractor). "Lower Tier Covered Transactions" refers to any covered transaction under a First
Tier Covered Transaction (such as subcontracts). "First Tier Participant" refers to the participant
who has entered into a covered transaction with a recipient or subrecipient of Federal funds (such
as the prime or general contractor). "Lower Tier Participant" refers to any participant who has
entered into a covered transaction with a First Tier Participant or other Lower Tier Participants
(such as subcontractors and suppliers).
f. The prospective first tier participant agrees by submitting this proposal that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized by the department or
agency entering into this transaction.
g. The prospective first tier participant further agrees by submitting this proposal that it will
include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion -Lower Tier Covered Transactions," provided by the department or
contracting agency, entering into this covered transaction, without modification, in all lower tier
covered transactions and in all solicitations for lower tier covered transactions exceeding the
$25,000 threshold.
h. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it knows that the certification is
erroneous. A participant is responsible for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in covered transactions. To verify the eligibility
of its principals, as well as the eligibility of any lower tier prospective participants, each
participant may, but is not required to, check the Excluded Parties List System website
(httns://www.enls.eov, which is compiled by the General Services Administration.
i. Nothing contained in the foregoing shall be construed to require the establishment of a
system of records in order to render in good faith the certification required by this clause. The
knowledge and information of the prospective participant is not required
to exceed that which is normally possessed by a prudent person in the ordinary course of
business dealings.
j. Except for transactions authorized under paragraph (f) of these instructions, if a participant in
a covered transaction knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in
addition to other remedies available to the Federal Government, the department or agency may
terminate this transaction for cause or default.
2. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion
— First Tier Participants:
a. The prospective first tier participant certifies to the best of its knowledge and belief,
that it and its principals:
1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from participating in covered transactions by any Federal department
or agency;
2. Have not within a three-year period preceding this proposal been convicted of or had a
civil judgment rendered against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (Federal, State or
local) transaction or contract under a public transaction; violation of Federal or State
antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen property;
3. Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (Federal, State or local) with commission of any of the offenses
enumerated in paragraph a.2. of this certification; and
4. Have not within a three-year period preceding this application/proposal had one or more
public transactions (Federal, State or local) terminated for cause
or default.
b. Where the prospective participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
3. Instructions for Certification - Lower Tier Participants:
(Applicable to all subcontracts, purchase orders and other lower tier transactions requiring prior
FHWA approval or estimated to cost $25,000 or more - 2 C.F.R. Parts 180 and 1200)
a. The prospective lower tier participant is providing the certification set out below
b. The certification in this clause is a material representation of fact upon which reliance was
placed when this transaction was entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Government, the department, or agency with which this transaction
originated may pursue available remedies, including suspension and/or debarment.
c. The prospective lower tier participant shall provide immediate written notice to the person to
which this proposal is submitted if at any time the prospective lower tier participant learns that
its certification was erroneous by reason of changed circumstances.
d. The terms 'covered transaction," "debarred," "suspended," "ineligible," "participant,"
"person," "principal," and 'voluntarily excluded," as used in this clause, are defined in 2 CFR
Parts 180 and 1200. You may contact the person to which this proposal is submitted for
assistance in obtaining a copy of those regulations. "First Tier Covered Transactions" refers to
any covered transaction between a recipient and subrecipient of Federal funds and a participant
(such as the prime or general contract). "Lower Tier Covered Transactions" refers to any
covered transaction under a First Tier Covered Transaction (such as subcontracts). "First Tier
Participant' refers to the participant who has entered into a covered transaction with a recipient
or subrecipient of Federal funds (such as the prime or general contractor). "Lower Tier
Participant' refers any participant who has entered into a covered transaction with a First Tier
Participant or other Lower Tier Participants (such as subcontractors and suppliers).
e. The prospective lower tier participant agrees by submitting this proposal that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized by the department or
agency with which this transaction originated.
f The prospective lower tier participant further agrees by submitting this proposal that it will
include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion -Lower Tier Covered Transaction," without modification, in all lower tier
covered transactions and in all solicitations for lower tier covered transactions exceeding the
$25,000 threshold.
g. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it knows that the certification is
erroneous. A participant is responsible for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in covered transactions. To verify the eligibility
of its principals, as well as the eligibility of any lower tier prospective participants, each
participant may, but is not required to, check the Excluded Parties List System website
(httys://wcvw.epls.gov/), which is compiled by the General Services Administration.
h. Nothing contained in the foregoing shall be construed to require establishment of a system of
records in order to render in good faith the certification required by this clause. The knowledge
and information of participant is not required to exceed that which is normally possessed by a
prudent person in the ordinary course of business dealings.
i. Except for transactions authorized under paragraph e of these instructions, if a participant in
a covered transaction knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in
addition to other remedies available to the Federal Government, the department or agency with
which this transaction originated may pursue available remedies, including suspension and/or
debarment.
4. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion --
Lower Tier Participants:
a. The prospective lower tier participant certifies, by submission of this proposal, that neither it
nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible,
or voluntarily excluded from participating in covered transactions by any Federal department or
agency.
b. Where the prospective lower tier participant is unable to certify to any of the
statements in this certification, such prospective participant shall attach an explanation to
this proposal.
D. ASSURANCE OF ADEQUATE FINANCIAL SYSTEMS AND CONTROL OF PROJECT
COSTS
1. The Servicing Agency will be reimbursed in accordance with the terms of this
Agreement.
2. The Servicing Agency shall have entered into obligations for services and goods
associated with the Project prior to seeking reimbursement from the Government.
Reimbursement will only be made for expenses incurred after execution of a project
agreement.
3. The Servicing Agency shall ensure that the funds provided by the Government are not
misappropriated or misdirected to any other account, need, project, line -item, or unrelated
activity.
4. Any Federal funds not expended in conjunction with the Project will remain the property
of the Government.
5. Financial Management System: By signing this Agreement, the Servicing Agency
verifies that it has, or will implement, a financial management system adequate for
monitoring the accumulation of costs and that it complies with the financial management
system requirements of 2CFR Part 200.302. The Servicing Agency's failure to comply with
these requirements may result in Agreement termination.
6. Allowable Costs: Determination of allowable costs will be made in accordance with the
applicable Federal cost principles, e.g., 2 CFR Part 200. Disallowed costs are those charges
determined to not be allowed in accordance with the applicable Federal cost principles or
other conditions contained in this Agreement.
E. TRANSPARENCY ACT REQUIREMENTS
Pursuant to the Federal Funding Transparency and Accountability Act of 2006, as amended (Pub. L. 109-
282, as amended by section 6202 of Public Law 110-252, hereafter referred to as "the Transparency Act"
or "the Act") and the OMB Interim Final Rule (75 FR 55663 (September 14, 20I0) (available at
http://www gpo eov/fdsyslpkp/FR-2010-09-14/pdt72010-22705 ndf) (codified at 2 CFR Part 170), the
Servicing Agency is required to report as required under the Act: The Servicing Agency shall also report
information for its prime contractor.
Reporting Obligations
a. Applicability. Unless the Servicing Agency (hereinafter in this section referred to as "you")
are exempt as provided in paragraph 4. of this section, you must report each action that obligates
$25,000 or more in Federal funds for a prime contract to an entity (see definitions in subsection
5. of this section).
b. Where and when to report.
1. You must report each obligating action described in subsection La. of this section to
httn://www.fsrs.gov.
2. For contractor information, report no later than the end of the month following the month
in which the contract was executed. (For example, if the obligation was made on November
7, 2010, the obligation must be reported by no later than December 31,
2010.)
C. What to report. You must report the information about each obligating action that the
submission instructions posted at http://www.fsrs.sov specify.
2. Reporting Total Compensation of Executives.
a. Applicability and what to report. You must report total compensation for each of your five
most highly compensated executives for the preceding completed fiscal year, if
1. the total Federal funding authorized to date under this award is $25,000 or more;
2, in the preceding fiscal year, you received—
i. 80 percent or more of your annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act,
as defined at 2 CFR 170.320 (and subawards); and
H. $25,000,000 or more in annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act,
as defined at 2 CFR 170.320 (and subawards); and
iii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. § 78m(a). 78o(d)) or section 6104 of the Internal
Revenue Code of 1986. (To determine if the public has access to the compensation
information, see the U.S. Security and Exchange Commission total compensation
filings at httv://www.sec.gov/answers/execomn.htm.)
b. Where and when to report. You must report executive total compensation described in
subsection 2.a.. of this section:
1. As part of your registration profile at httys://www.sam.gov
2. By the end of the month following the month in which this award is made, and annually
thereafter.
3. Reporting of Total Compensation of Prime Contractor's Executives.
a. Applicability and what to report. Unless you are exempt as provided in subsection d. of this
section, for each prime contractor receiving funds for which reimbursement will be sought, you
shall report the names and total compensation of each of the prime contractor's five most highly
compensated executives for the prime contractor's preceding completed fiscal year, if -
1. in the prime contractor's preceding fiscal year, the contractor received—
i 80 percent or more of its annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency Act,
as defined at 2 CFR 170.320 (and subawards); and
ii. $25,000,000 or more in annual gross revenues from Federal procurement contracts
(and subcontracts), and Federal financial assistance subject to the Transparency Act
(and subawards); and
2. The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of
1934 (15 U.S.C. 78m(a). 78o(d) ) or section 6104 of the Internal Revenue Code of 1986. (To
determine if the public has access to the compensation information, see the U.S. Security and
Exchange Commission total compensation filings at
http://ww,w.sce.gov/answers/execomp.htm.
b. Where and when to report. You must report the prime contractor's executive total
compensation described in subsection 3.a. of this section:
1. Tolit!p://www.fsrs.gov.
2. By the end of the month following the month during which you executed the prime
contract. For example, if a prime contract is executed on any date during the month of
October of a given year (i.e., between October 1 and 31), you must report any required
compensation information of the prime contractor by November 30 of that year.
4. Exemptions.
If, in the previous tax year, you or the prime contractor had gross income, from all sources, under
$300,000, you are exempt from the requirements to report prime contracts and the total compensation of
the five most highly compensated executives of any prime contractor.
5. Definitions. For purposes of this section:
a. Entity means all of the following, as defined in 2 CFR Part 25:
1. A Governmental organization, which is a State, local government, or Indian tribe;
2. A foreign public entity;
3. A domestic or foreign nonprofit organization;
4. A domestic or foreign for-profit organization;
5. A Federal agency, but only as a contractor or subcontractor to a non -Federal entity.
b. Executive means officers, managing partners, or any other employees in management
positions.
c. Total compensation means the cash and noncash dollar value earned by the executive during
the Servicing Agency's or prime contractor's preceding fiscal year and includes the following (for
more information see 17 CFR 229.402(c)(2)):
1. Salary and bonus
2. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004)
(FAS 123R), Shared Based Payments.
3. Earnings for services under non -equity incentive plans. This does not include group
life, health, hospitalization or medical reimbursement plans that do not discriminate in
favor of executives, and are available generally to all salaried employees.
4. Change in pension value. This is the change in present value of defined benefit
and actuarial pension plans.
5. Above -market earnings on deferred compensation which is not tax -qualified.
6. Other compensation, if the aggregate value of all such other compensation (e.g.
severance, termination payments, value of life insurance paid on behalf of the employee,
perquisites or property) for the executive exceeds $10,000.
E. SINGLE AUDIT INFORMATION FOR SERVICING AGENCIES
To maximize the transparency and accountability of funds authorized under the Act as required by Congress
and in accordance with 2 CFR 200 "Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards", the Servicing Agency agrees to maintain records that identify
adequately the source and application of FHWA funds.