Agenda 07/14/2020 Item #16A13 (Resolution - USDOT TIGER IV Discretionary Grant)07/14/2020
EXECUTIVE SUMMARY
Recommendation to approve the 2017 TIGER IX Discretionary Grant Agreement and
Accompanying Resolution, sponsored by the United States Department of Transportation, for the
Immokalee Complete Streets - Growing Connections to Create Mobility Opportunities Project, in
the amount of $16,415,864 and authorize the necessary Budget Amendments.
OBJECTIVE: To receive Board approval of the TIGER 2017 Agreement with the United States
Department of Transportation ("USDOT") for the Immokalee Complete Streets - Growing Connections to
Create Mobility Opportunities Project.
CONSIDERATIONS: In May 2018, the County was informed that it was awarded the TIGER 2017
discretionary grant for the Immokalee Complete Streets - Growing Connections to Create Mobility
Opportunities Project ("TIGER Project"), which is designed to grow the existing pedestrian network by
providing new facilities to accommodate bicyclists and pedestrians where none currently exist. By
expanding the small network of pedestrian and bicycle routes, the TIGER Project will more than double
the number of current facilities in the area and provide enhanced options for transportation to education,
jobs, and other essential services for residents of Immokalee.
Since the time of the award, Collier County, Florida Department of Transportation ("FDOT"), United
States Department of Transportation and the Federal Highway Administration ("FHWA") have been
working together to complete all tasks necessary for the execution of this Agreement.
The TIGER project did not require a match; however, the County put forward a 20% match to help attain
the award. Collier County's local match is $3,283,173, the grant award is $13,132,691 the total project
cost is $16,415,864. The Federal obligation of the awarded funds must be no later than September 30,
2020.
Collier County Growth Management Department staff will be responsible for the management and
administration of this project. Construction of the project will be awarded to a consultant in a future
agreement that will be brought back to the Board for approval.
The attached Resolution authorizes the Board's Chair to execute the Agreement and to sign any other
related documents that may be required to process the Agreement.
FISCAL IMPACT: A budget amendment will be required to appropriate funding, in the amount of
$13,132,691 within GMD Grant Fund (711), Project 33563. A budget amendment to provide the GMD
local match, specific to the United States Dept of Transportation award in the amount of $3,283,173 will
be required to transfer funds from Growth Management Capital Fund (310) to GMD Grant Match Fund
(712), Project 33563. The estimated useful life of sidewalks is 30 years with minimal to no repair costs
during that duration of time.
GROWTH MANAGEMENT IMPACT: These transportation infrastructure improvements are
consistent with the Growth Management Plan.
LEGAL CONSIDERATIONS: This item is approved as to form and legality and requires majority vote
for Board approval. -SRT
RECOMMENDATION: To approve the TIGER 2017 Agreement with the USDOT, sponsored by
FHWA, in which Collier County will be reimbursed up to $13,132,691 for the construction of the
Immokalee Complete Streets - Growing Connections to Create Mobility Opportunities Project and to
authorize the Chairman to sign the Resolution and the TIGER Agreement, in triplicate, on the Board's
behalf. Authorize any necessary budget amendments.
Prepared by: Lorraine Lantz, Project Manager, Capital Project Planning, Impact Fees and Program
Management Division
Packet Pg. 974
07/14/2020
ATTACHMENT(S)
1. TIGER Agreement Resolution (PDF)
2. [LinkedX)Immokalee Complete Streets Agreement (PDF)
3. TIGER Agreement Exhibits (PDF)
Packet Pg. 975
16.A.13
07/14/2020
COLLIER COUNTY
Board of County Commissioners
Item Number: 16.A.13
Doe ID: 12116
Item Summary: Recommendation to approve the 2017 TIGER IX Discretionary Grant
Agreement, sponsored by the United States Department of Transportation, for the Immokalee Complete
Streets - Growing Connections to Create Mobility Opportunities Project, in the amount of $16,415,864
and authorize the necessary Budget Amendments.
Meeting Date: 07/14/2020
Prepared by:
Title: Project Manager — Capital Project Planning, Impact Fees, and Program Management
Name: Lorraine Lantz
04/21/2020 10:07 AM
Submitted by:
Title: Division Director - IF, CPP & PM — Capital Project Planning, Impact Fees, and Program
Management
Name: Amy Patterson
04/21/2020 10:07 AM
Approved By:
Review:
Capital Project Planning, Impact Fees, and Program Management Trinity Scott
Growth Management Department
Judy Puig
Level 1 Reviewer
Growth Management Department
Lisa Taylor
Additional Reviewer
Capital Project Planning, Impact Fees, and Program Management Amy Patterson
Growth Management Department
Gene Shue
Additional Reviewer
Growth Management Operations Support
Christopher Johnson
Growth Management Department
Judy Puig
Deputy Department Head Review
Growth Management Department
Thaddeus Cohen
Department Head Review
Grants
Erica Robinson
Level 2 Grants Review
County Attorney's Office
Scott Teach
Level 2 Attorney Review
Office of Management and Budget
Debra Windsor
Level 3 OMB Gatekeeper Review
County Attorney's Office
Jeffrey A. Klatzkow Level 3 County Attorney's Office Review
Office of Management and Budget
Susan Usher
Additional Reviewer
Grants
Therese Stanley
Additional Reviewer
County Manager's Office
Nick Casalanguida Level 4 County Manager Review
Additional Reviewer Completed
Completed
04/22/2020 10:27 AM
Completed
04/24/2020 11:16 AM
Additional Reviewer
Completed
Completed
04/27/2020 9:04 AM
Additional Reviewer
Completed
Skipped
04/21/2020 4:58 PM
Completed
04/27/2020 11:24 AM
Completed
04/28/2020 3:39 PM
Completed
05/01/2020 4:07 PM
Completed
05/01/2020 4:59 PM
Completed
05/04/2020 8:17 AM
Completed
05/04/2020 4:27 PM
Completed
07/02/2020 3:59 PM
Completed
07/05/2020 7:28 PM
Packet Pg. 976
07/14/2020
Board of County Commissioners MaryJo Brock Meeting Pending 07/14/2020 9:00 AM
Packet Pg. 977
16.A.13.a
RESOLUTION No. 2020 -
RESOLUTION OF THE COLLIER COUNTY BOARD OF COUNTY
COMMISSIONERS AUTHORIZING ITS CHAIRMAN TO EXECUTE THE TIGER IX
DISCRETIONARY GRANT AGREEMENT APPROVED ON MAY 26, 2020.
WHEREAS, the Collier County Board of County Commissioners (the "BCC") has the
authority to enter into the TIGER IX Discretionary Grant Agreement (the "Agreement") with the
United States Department of Transportation, for the Immokalee Complete Streets - Growing
Connections to Create Mobility Opportunities Project; and
WHEREAS, on May 26, 2020, the BCC reviewed and approved the attached Agreement.
NOW, THEREFORE, BE IT RESOLVED BY THE BOARD OF COUNTY
COMMISSIONERS THAT:
1. The BCC has the authority to enter into the attached Agreement;
2. The BCC authorizes its Chairman to execute the Agreement; and
3. The BCC authorizes its Chairman to sign any other related documents that may be
required to process the Agreement.
This Resolution was PASSED and DULY ADOPTED by the Collier County Board of
County Commissioners on May 26, 2020.
Attest: COLLIER COUNTY BOARD OF
COUNTY COMMISSIONERS
Crystal K. Kinzel, Clerk of Courts
and Comptroller
By: By:
Deputy Clerk Commissioner Burt Saunders, District 3
Collier County Board of County
Commissioners — Chair
Approved as to form and legality:
Scott R. Teach, Deputy County Attorney
Packet Pg. 978
1. Award No.
693JJ32040007
4. Award To
Collier County Board of County
Commissioners
3299 Tamiami Trail East, Suite 202
Collier, Florida 34112-4902
DUNS No.: 0769977900000
TIN No.: 59-60000558
6. Period of Performance
Effective Date of Award — February
21, 2024
8. Type of Agreement
Grant
10. Procurement Request No.
HOFM200028PR
12. Submit Payment Requests To
See Section 11.3, Page 11
14. Accounting and Appropriations Data
2. Effective Date 3. CFDA No.
See No. 17 Below 20.933
5. Sponsoring Office
U.S. Department of Transportation
Federal Highway Administration
Office of Acquisition & Grants Management
1200 New Jersey Avenue, SE
HCFA-32, Mail Drop E62-204
Washington, DC 20590
7. Total Amount
Federal Share: $13,132,691
Recipient Share: $ 3,283,173
Total: $16,415,864
9. Authority
Consolidated Appropriations Act, 2017 (Pub. L.
115-31, May 5, 2017)
11. Federal Funds Obligated
$13,132,691
13. Payment Office
See Section 11.3, Page 11
1500C65E50.2017.070TG01500.7001000000.41050.61006600
15. Description of Project
"Immokalee Complete Streets — Growing Connections to Create Mobility Opportunities"
RECIPIENT FEDERAL HIGHWAY ADMINISTRATION
16. Signature of Person Authorized to Sign 17. Signature of Agreement Officer
Signature Date Signature Date
Name: Commissioner Burt Saunders, District 3 Name: Sarah Berman
Title: Collier County Board of County Title: Agreement Officer
Commissioners — Chair
UNITED STATES OF AMERICA
U.S. DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
WASHINGTON, DC 20590
GRANT AGREEMENT UNDER THE
CONSOLIDATED APPROPRIATIONS ACT, 2017
(PUB. L. 115-31, MAY 59 2017)
FOR THE NATIONAL INFRASTRUCTURE INVESTMENTS
DISCRETIONARY GRANT PROGRAM
(FY 2017 TIGER DISCRETIONARY GRANTS)
COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS,
COLLIER COUNTY, FLORIDA
IMMOKALEE COMPLETE STREETS —GROWING CONNECTIONS TO CREATE
MOBILITY OPPORTUNITIES
FHWA FY 2017 TIGER Grant No. 28
This agreement is between the United States Department of Transportation (the "USDOT") and
the Collier County Board of County Commissioners, Collier County, Florida (the "Recipient"). It
reflects the selection of the Recipient for an award under the provisions of the Consolidated
Appropriations Act, 2017 (Pub. L. 115-31, May 5, 2017), regarding National Infrastructure
Investments, as described in the Notice of Funding Opportunity for the Department of
Transportation's National Infrastructure Investments Under the Consolidated Appropriations Act,
2017, 82 FR 42426 (September 7, 2017) (the "NOFO"). In this agreement, "FY 2017 TIGER
Discretionary Grant" means an award under those provisions.
ARTICLE 1. AWARD TERMS AND CONDITIONS
1.1 Operating Administration. The Federal Highway Administration (the "FHWA") will
administer this agreement on behalf of the USDOT. In this agreement, the "Administering
Operating Administration" means the FHWA.
1.2 Purpose. The purpose of this award is to advance capital investments in surface
transportation infrastructure that will have a significant impact on the nation, a
metropolitan area, or a region. The parties will accomplish that purpose by achieving the
following objectives:
(1) timely completing the project that was described in the Recipient's technical
application, titled "Immokalee Complete Streets —Growing Connections to Create
Mobility Opportunities", as modified by the negotiated provisions on the project's
material terms and conditions, including sections 2.1, 2.2, and 2.3 and the attachments
referenced in section 1.8; and
(2) ensuring that this award does not substitute for non -Federal investment in that project.
].3 Federal Award Amount. The USDOT hereby awards a FY 2017 TIGER Discretionary
Grant in the amount of $13,132,691 for the period of performance. The USDOT shall not
provide funding greater than this amount under this agreement. The Recipient
acknowledges that USDOT is not liable for payments that exceed this amount.
1.4 Period of Performance.,The period of performance for this award begins on the date of
this agreement and ends on the period of performance end date that is listed in section 2.2.
Under 2 C.F.R. 200.309, the Recipient shall not charge to this award costs that are incurred
after the period of performance.
I.5 Urban or Rural Designation. Based on information that the Recipient provided to the
USDOT, including the technical application, the USDOT hereby designates the project to
be a project in a rural area, as defined in the NOFO. The Recipient shall comply with the
requirements that accompany that designation on minimum award size, geographic
location, and cost sharing.
1.6 Fund Obligation.
This agreement obligates the total amount of funds stated in section 1.3.
1.7 Federal Award Identification Number.
See Page 1, Line 1 for the Federal Award Identification Number.
1.8 Attachments. This agreement includes the following attachments as integral parts:
Attachment A Statement of Work
Attachment B Estimated Project Schedule
Attachment C Estimated Project Budget
Attachment D Performance Measurement Table
ARTICLE 2. PROJECT AND RECIPIENT INFORMATION
2.1 Summary of Project's Statement of Work. (See Attachment A for additional details).
The project will construct complete streets improvements in Immokalee, Florida, including
approximately 20 miles of new sidewalks, a bike boulevard network, a shared -use path,
street lighting, bus shelters, a new transit center, landscaping, drainage improvements, and
intersection and traffic calming retreats.
2.2 Summary of Project's Estimated Schedule. (See Attachment B for additional details).
Actual Completion of NEPA: September 25, 2019
Planned RFP Approval:
May I, 2020
■
2.3
2.4
2.5
2.6
Planned Design/Build Contract Award Date_ Apri123, 2021
Planned Design/Build Start Date: April 239 2021
Planned Construction Substantial Completion
and Open to Traffic Date: August 21, 2023
Planned Period of Performance End Date: February 21, 2024
Planned Project Closeout Date: May 21, 2025
Summary of Project's Estimated Budget. (See Attachment C for additional details).
TIGER Grant Funds and Additional Sources of Project Funds:
TIGER Discretionary Grant Amount: $13,132,691
Other Federal Funds (if any):
$
0
State Funds (if any):
$
0
Local Funds (if any):
$
39283,173
Private Funds (if any):
$
0
Other Funds
(if any):
$
0
Total Project Cost:
$16,415,864
Recipient Cost Share Certification.
As negotiated, the Recipient hereby certifies that not less than $3,283,173 in non -Federal
funds are committed to fund the project.
Project's State and Local Planning Requirements.
On June 14, 2019, the Collier Metropolitan Planning Organization (MPO) approved a
Transportation Improvement Program Amendment to the FY 2019-FY2023 TIP for FPN
#4455811 —the Immokalee Complete Streets Project.
The Project is included in the Florida Department of Transportation (FDOT) State
Transportation Improvement Program on September 17, 2019.
Project's Environmental Approvals and Processes.
Environmental Documentation Type, Titles and Date:
Complete Streets Protect: Type 1 Categorical Exclusion (CE) per 23 C.F.R. 771.117
(c)(3) approved on September 25, 2019.
Transit Center Improvements: CE approved by Federal Transit Administration (FTA)
on November 27, 2017.
Environmental Decision Type and Date:
Complete Streets Project: Type 1 CE per 23 C.F.R. 771.117 (c)(3) approved on
September 25, 2019.
Transit Center Imnrovements: CE approved by FTA on November 27, 2017.
Name of Agency and Office Approving each Environmental Decision Document:
Florida Department of Transportation and Federal Transit Administration
2.7 Recipient's and any Subrecipient's Unique Entity Identifiers.
Dun and Bradstreet Data Universal Numbering System No. (the "DUNS No.") of the
Recipient: 0769977900000
Name of any First -Tier Subrecipients (if applicable — to be reported if/when identified. If
not applicable please note is N/A): N/A
DUNS No. of First -Tier Subrecipient (if applicable — to be reported if/when identified):
N/A
2.8 Recipient Contacts.
Lorraine Lantz
Principal Planner
Collier County Capital Projects, Planning, Impact Fees & Program Management
2685 S. Horseshoe Dr., Suite 103, Naples, FL 34104
239-252-5779
Lorraine.LantzCa,,_CollierCountyFL.gov
and
Bee Thao, PE
Senior Project Manager
Collier County, Growth Management Division
2885 South Horseshoe Drive, Naples, FL 34104
239-252-5844
Bee.Thao WollierCountyFL.goy
ARTICLE 3. GENERAL REPORTING TERMS
3.1 Report Submission. The Recipient shall send all reports required by this agreement to all
of the USDOT contacts who are listed in Section 9.1.
3.2 Alternative Reporting Methods. The Administering Operating Administration may
establish processes for the Recipient to submit reports required by this agreement,
including electronic submission processes. If the Recipient is notified of those processes in
writing, the Recipient shall use the processes required by the Administering Operating
Administration.
3.3 Reporting as History of Performance. Under 2 C.F.R 200.205, any Federal awarding
agency may consider the Recipient's timely submission of the reports that this agreement
CAS
requires, or the Recipient's failure to timely submit those reports, when evaluating the risks
of making a future Federal financial assistance award to the Recipient.
3.4 Paperwork Reduction Act Notice. Under 5 C.F.R. 1320.6, the Recipient is not required
to respond to a collection of information that does not display a currently valid control
number issued by the Office of Management and Budget (the "OMB"). Collections of
information conducted under this agreement are approved under OMB Control No. 2105-
0563.
ARTICLE 4. PROGRESS REPORTING
4.1 Quarterly Project Progress Reports and Recertifications. On or before the 20th day of
the first month of each calendar year quarter and until Project Closeout, the Recipient shall
submit to the USDOT a Quarterly Project Progress Report and Recertification with the
form and content described in Exhibit H. If the date of this agreement is in the final month
of a calendar year quarter, then the Recipient shall submit the first Quarterly Project
Progress Report and Recertification in the second calendar year quarter that begins after
the date of this agreement.
4.2 Closeout Information. No later than 90 days after the period of performance end date that
is listed in section 2.2, the Recipient shall:
(1) submit a final Federal Financial Report (SF425), a certification or summary of
project expenses, and any other information required under the Administering
Operating Administration's closeout procedures; and
(2) provide a report comparing the final work, schedule, and budget to the statement of
work described in section 2.1, the schedule described in section 2.2, and the budget
described in section 2.3.
4.3 Project Closeout. In this agreement, "Project Closeout" means the date that the USDOT
notifies the Recipient that the project is closed out. Under 2 C.F.R. 200.343, Project
Closeout should occur no later than one year after the Recipient liquidates all obligations
under this award and submits the reports identified in section 4.2.
ARTICLE 5. PERFORMANCE REPORTING
5.1 Performance Measure Data Collection. The Recipient shall collect the data necessary to
report on each performance measure that is identified in the Performance Measurement
Table in Attachment D.
5.2 Pre -project Performance Measurement Report. The Recipient shall submit to the
USDOT, on or before the Pre -project Report Date that is stated in Attachment D, a Pre -
project Performance Measurement Report that contains:
(1) baseline data for each performance measure that is identified in the Performance
Measurement Table in Attachment D, accurate as of the Pre -project Measurement Date
that is stated in Attachment D; and
(2) a detailed description of the data sources, assumptions, variability, and estimated levels
of precision for each measure.
5.3 Interim Performance Measurement Reports. After project completion, the Recipient
shall submit to the USDOT on or before each of the periodic reporting dates specified in
the Performance Measurement Table in Attachment D, an Interim Performance
Measurement Report containing data for each performance measure that is identified in
that table, accurate as of the final date of the measurement period specified in that table.
5.4 Project Outcomes Report. The Recipient shall submit to the USDOT, on or before the
Project Outcomes Report Date that is stated in Attachment D, a Project Outcomes Report
that contains:
(1) a narrative discussion detailing project successes and the influence of external factors
on project expectations;
(2) all baseline and interim performance measurement data that the Recipient reported in
the Pre -project Performance Measurement Report and the Interim Performance
Measurement Reports; and
(3) an ex post examination of project effectiveness relative to the baseline data that the
Recipient reported in the Pre -project Performance Measurement Report,
ARTICLE 6. AGREEMENT MODIFICATIONS
6.1 Bilateral Modifications. The parties may amend, modify, or supplement this agreement
by mutual agreement in writing signed by the USDOT and the Recipient. Either party may
request to amend, modify, or supplement this agreement by written notice to the other
party.
6.2 Limited Unilateral Modifications.
(a) The Recipient may update the contacts who are listed in section 2.8 by written notice
Loa of the USDOT contacts who are listed in section 9.1.
(b) The USDOT may update the contacts who are listed in section 9.1 by written notice to
all of the Recipient contacts who are listed in section 2.8.
6.3 Other Modifications. The parties shall not amend, modify, or supplement this agreement
except as permitted under section 6.1 or section 6.2. If an amendment, modification, or
supplement is not permitted under section 6.1 and not permitted under section 6.2, it is
void.
ARTICLE 7. STATEMENT OF WORK, SCHEDULE, AND BUDGET CHANGES
7.1 Statement of Work Changes. If the project's activities differ from the statement of work
that is described in section 2.1 and Attachment A, then the Recipient shall request a
modification of this agreement to update section 2.1 and Attachment A.
7.2 Schedule Changes. If the project's substantial completion date changes to a date that is
more than three months after the substantial completion date listed in section 2.2 or a
schedule change would require the period of performance to continue after the period of
performance end date listed in section 2.2, then the Recipient shall request a modification
of this agreement to update section 2.2 and Attachment B. For other schedule changes, the
Recipient shall request a modification of this agreement to update section 2.2 and
Attachment B unless the USDOT has consented, in writing consistent with the
Administering Operating Administration's requirements, to the change.
7.3 Budget Changes.
(a) If any of the budget amounts that are listed in section 2.3 change from the amounts
listed in that section, then the Recipient shall request a modification of this agreement
to update section 2.3 and Attachment C. For other budget changes, the Recipient shall
request a modification of this agreement to update Attachment C unless the USDOT
has consented, in writing consistent with the Administering Operating Administration's
requirements, to the change.
(b) If the actual eligible project costs are ►ess than the "Total Project Cost" that is listed in
section 2.3, then the Recipient may propose to the USDOT, in writing consistent with
the Administering Operating Administration's requirements, specific additional
activities that are within the scope of this award, as defined in sections 1.2 and 2.1, and
that the Recipient could complete with the difference between the "Total Project Cost"
that is listed in section 2.3 and the actual eligible project costs.
(c) If the actual eligible project costs are less than the "Total Project Cost" that is listed in
section 2.3 and either the Recipient does not make a proposal under section 7.3(b) or
the USDOT does not accept the Recipient's proposal under section 7.3(b), then:
(I) in a request under section 7.3(a), the Recipient shall reduce the Federal Share by
the difference between the "Total Project Cost" that is listed in section 2.3 and the
actual eligible project costs; and
(2) if that modification reduces this award and the USDOT had reimbursed costs
exceeding the revised award, the Recipient shall refund to the USDOT the
difference between the reimbursed costs and the revised award.
In this agreement, "Federal Share" means the sum of the "TIGER Discretionary Grant
Amount" and the "Other Federal Funds (if any)" amounts that are listed in section 2.3.
(d) The Recipient acknowledges that amounts that are required to be refunded under
section 7.3(c)(2) constitute a debt to the Federal Government that the USDOT may
collect under 2 C.F.R. 200.345 and the Federal Claims Collection Standards (31 C.F.R.
parts 900-999).
7.4 USDOT Acceptance of Changes. The USDOT may accept or reject modifications
requested under this article 7, and in doing so may elect to consider only the interests of
the TIGER Discretionary Grant program and the USDOT. The Recipient acknowledges
that requesting a modification under this article 7 does not amend, modify, or supplement
cno
this agreement unless the USDOT accepts that modification request and the parties modify
this agreement under section 6.1.
ARTICLE 8. TERMINATION AND EXPIRATION
8.1 USDOT Termination.
(a) The USDOT may terminate this agreement and all of its obligations under this
agreement if any of the following occurs:
(1) The Recipient fails to obtain or provide any non -TIGER Discretionary Grant
contribution or alternatives approved by the USDOT as provided in this agreement
and consistent with sections 2.2, 2.3, and 2.4;
(2) The Recipient fails to begin the design build project before June 23, 2021;
(3) The Recipient fails to begin expenditure of award funds by August 4, 2021;
(4) The Recipient fails to achieve the Construction Substantial Completion and Open
to Traffic Date by November 21, 2023;
(5) The Recipient fails to meet the conditions and obligations specified under this
agreement, including a material failure to comply with the schedule in section 2.2
even if it is beyond the reasonable control of the Recipient; or,
(6) The USDOT determines that termination of this agreement is in the public interest.
(b) In terminating this agreement under this section the USDOT may elect to consider only
the interests of the TIGER Discretionary Grant program and the USDOT.
8.2 Closeout Termination. This agreement terminates on Project Closeout.
8.3 Fund Liquidation, Adjustment, and Cancellation.
(a) The Recipient shall liquidate all obligations under this award not later than 90 days
after the period of performance end date that is listed in section 2.2. The Recipient
acknowledges that this period of availability for liquidation ends before the statutory
expenditure deadline identified in section 8.3(c).
(b) Liquidation and adjustment of funds under this agreement follow the requirements of
2 C.F.R. 200.343—.345.
(c) Outstanding FY 2017 TIGER Discretionary Grant balances are canceled by statute after
September 30, 2025, and are then unavailable for any purpose, including adjustments
and expenditures.
8.4 Reporting Survival. The reporting requirements set forth in articles 4 and 5 of this
agreement survive the termination of this agreement and the expiration of award funds.
ARTICLE 9. USDOT CONTACTS
9.1 USDOT Contacts. Except as authorized by the USDOT under section 3.2, the Recipient
shall send all notices, reports, and information required by this agreement to all of the
following contacts:
Stephanie D. Curtis
Agreement Officer (AO)
Federal Highway Administration
Office of Acquisition and Grants Management
HCFA-32, Mail Stop E62-204
1200 New Jersey Avenue, S.E.
Washington, DC 20590
(202) 366-6014
steohanie.curtisna,dot.eov
Travis Wheeler
Agreement Specialist (AS)
Federal Highway Administration
Office of Acquisition and Grants Management
HCFA-32, Mail Stop E62-204
1200 New Jersey Avenue, S.E.
Washington, DC 20590
(202)366-8887
travis.wheelerna,dot.gov
and
Transportation Engineer
FHWA Florida Division Office
400 W. Washington Street, Room 4200
Orlando, FL 32801
(407) 867-6433
mahmmud. o�Ca.dot.eov
and
FHWA TIGER Program Manager
Federal Highway Administration
Office of Freight Management and Operations
1200 New Jersey Avenue, SE
Room E84-429
Washington, DC 20590
(202) 366-1200
CAO
FH WA-TIGER.ReportsCa�dot.eov
FBI
OST TIGER Discretionary Grants Coordinator
United States Department of Transportation
Office of the Secretary
1200 New Jersey Avenue, SE
Washington, DC 20590
(202) 366-8914
TIGERGrants@,dot.gov
ARTICLE 10. ADDITIONAL TERMS AND CONDITIONS
10.1 Catalog of Federal Domestic Assistance Information. This award is under the program
titled "National Infrastructure Investments," with number 20.933 in the Catalog of Federal
Domestic Assistance.
10.2 Research and Development Designation. This award is not for research and
development.
10.3 Exhibits. This agreement includes the following exhibits as
Fdf
Exhibit A Legislative Authority
Exhibit B General Terms and Conditions
Exhibit C Applicable Federal Laws and Regulations
Exhibit D Grant Assurances
Exhibit E Responsibility and Authority of the Recipient
Exhibit F Reimbursement of Project Costs
Exhibit G Grant Requirements and Contract Clauses
Exhibit H Quarterly Progress Reports: Format and Content
parts located at:
10.4 Construction. If a provision in the exhibits or the attachments conflicts with a provision
in Articles 1 — 12, then the provision in Articles 1 — 12 prevails. If a provision in the
attachments conflicts with a provision in the exhibits, then the provision in the attachments
prevails.
ARTICLE 11. SPECIAL. GRANT REQUIREMENTS
11.1 Subawards and Contracts.
(a) The Recipient shall obtain prior written approval from the Agreement Officer (the
"AO") for the subaward, transfer, or contracting out of any work under this agreement.
(b) Approval of a subaward or contract under this agreement is contingent upon a fair and
reasonable price determination and AO approval of each proposed subrecipient and
contractor.
(c) The USDOT hereby approves the Following subawards and contracts under this
agreement:
No subawards or contracts have been approved.
11.2 Key Personnel. The Recipient shall provide written notice to the AO no later than 30 days
after any change in key personnel identified in this section. The following individuals are
key personnel:
Name
Title/Position
Lorraine Lantz
Princi al Planner
Bee Thao
Sr. Pro'ect Mana er
11.3 Reimbursement Requests.
(a) The Recipient may request reimbursement of costs incurred in the performance of this
agreement if those costs do not exceed the funds available under section 1.6 and are
allowable under the applicable cost provisions of 2 C.F.R. Part 200, Subpart E. The
Recipient shall not request reimbursement more frequently than monthly.
(b) The Recipient shall use the DELPHI eInvoicing System to submit requests for
reimbursement to the payment office. When requesting reimbursement of costs
incurred or credit for cost share incurred, the Recipient shall electronically submit
supporting cost detail with the SF 271 (Outlay Report and Request for Reimbursement
for Construction Programs) to clearly document all costs incurred.
(c) The Recipient's supporting cost detail shall include a detailed breakout of all costs
incurred, including direct labor, indirect costs, other direct costs, travel, etc., and the
Recipient shall identify the Federal share and the Recipient's share of costs. If the
Recipient does not provide sufficient detail in a request for reimbursement, the AO may
withhold processing that request until the Recipient provides sufficient detail.
(d) The USDOT shall not reimburse costs unless the Agreement Officer's Representative
(the "AOR") reviews and approves the costs to ensure that progress on this agreement
is sufficient to substantiate payment.
(e) The USDOT may waive the requirement in section 11.3(b) that the Recipient use the
DELPHI eInvoicing System. The Recipient may obtain waiver request forms on the
DELPHI eInvoicing website (http://www.dot.gov/cfo/delphi-einvoicing-system.html)
or by contacting the AO. A Recipient who seeks a waiver shall explain why they are
unable to use or access the Internet to register and enter payment requests and send a
waiver request to
Director of the Office of Financial Management
US Department of Transportation,
Office of Financial Management B-30, Room W93-431
1200 New Jersey Avenue SE
Washington DC 20590-0001
or
DOTElectronicInvoicing_(a,dot.eov
If the USDOT grants the Recipient a waiver, the Recipient shall submit SF 271 s directly
to:
DOT/FAA
P.O. Box 268865
Oklahoma City, OK 73125-8865
Attn: Travis Wheeler
(f) The requirements set forth in these terms and conditions supersede previous financial
invoicing requirements for Recipients.
11.4 Final Section. There are no other special grant requirements for this project.
ARTICLE 12. EXECUTION
12.1 Counterparts. This agreement may be executed in counterparts, which constitute one
document. The parties shall execute this agreement in triplicate and intend each
countersigned original to have identical legal effect.
12.2 Effective Date. This agreement is effective when fully executed by authorized
representatives of the Recipient and the USDOT. The Recipient shall execute this
agreement and then submit three original signed copies of the agreement to the USDOT
for execution. This instrument constitutes a FY 2017 TIGER Discretionary Grant when it
is signed and dated by the authorized official of the USDOT.
CAO
EXECUTION BY THE USDOT
Executed this day of , 2020.
Sarah Berman
Agreement Officer
EXECUTION BY: COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS,
COLLIER COUNTY, FLORIDA
By signature below, the Recipient acknowledges that it accepts and agrees to be bound by this
agreement.
Executed this
2020.
Commissioner Burt Saunders, District 3
Collier County Board of County Commissioners — Chair
Attest:
Crystal K. Kinzel, Clerk of Courts
and Comptroller
By:
Deputy Clerk
Approved as to form and legality:
Scott R. Teach,
Deputy County Attorney
ATTACHMENT A
STATEMENT OF WORK
The project will construct complete streets improvements in the rural community of Immokalee,
in Collier County, Florida, including approximately 20 miles of new sidewalks, a bike boulevard
network, ashared-use path, street lighting, bus shelters, a new transit center, landscaping, drainage
improvements, and intersection and traffic calming retreats.
Major Project Activities
Survey and Design
Roadway Reconstruction —complete streets concepts will be used to reconstruct streets and
intersections with traffic calming treatments that include drainage improvements, sidewalk/shared-
use path installation, and bike boulevard network construction.
Transit Center and Bus Shelters —includes the first phase (Phase I) to construct a new transit center
and the installation of bus shelters. Phase 1 will provide an operational transfer facility for buses
and an adjacent parking lot. Bus shelters will also be installed at proposed bus stop locations.
Landscaping
Street Lighting Installation
Pavement Markings and Signage
Pedestrian Signal Installation
Construction Engineering and Inspection (CEI1
ATTACHMENT B
ESTIMATED PROJECT SCHEDULE
Actual Start of Preliminary Engineering:
Actual End of Preliminary Engineering:
Actual Completion of NEPA:
Planned Start of Right of Way Acquisition:
Planned End of Right of Way Acquisition:
Planned RFP Approval:
Planned Design/Build Contract Award Date:
Planned Tleci on /Rnild Start Pate•
April 23, 2021
November 8, 2021
September 25, 2019
N/A
N/A
May 1, 2020
Apri123, 2021
Anril 23.2021
Ma'or Project Activi
Planned
Start Date
Planned End Date
Surve and Desi n
Aril 23, 2021
Jul 29, 2022
Road Reconstruction
March
21,
2022
Ma 29, 2023
Transit Center and Bus Shelters
March
21,
2022
October 23, 2023
Landsca in
March
21,
2022
Ma 29, 2023
Street Li htin Installation
March
21,
2022
Ma 29, 2023
Pavement Markin sand Si na a
March
2l,
2022
Ma 29, 2023
Pedestrian Si nal Installation
March
21
2022
Ma 29, 2023
Construction En ineerin and Ins ection CEI
March
21,
2022
November 23, 2023
Planned Construction Substantial Completion
and Open to Traffic Date:
Planned Period of Performance End Date:
Planned Project Closeout Date:
August 21, 2023
February 21, 2024
May 21, 2025
e t>
ATTACHMENT C
ESTIMATED PROJECT BUDGET
Match
FY17
Other
to
Local
State
Other
Activity
TIGER
Federal
Other
Funds
Funds
Funds
Project Cost
Funds
Funds
Federal
Funds
Survey and Design
$1,393,173
$1,393,173
Road
$7,343,748
$7,343,748
Reconstruction
Transit Center and
$19233,015
$1,233,015
Bus Shelters
Landscaping
$688,463
$688,463
Street Lighting
$1,384,933
$1,3845933
Installation
Pavement
Markings and
$48,958
$48,958
Si na e
Pedestrian Signal
$244,793
$244,793
Installation
Construction
Engineering and
$1,890,000
$1,890,000
Inspection CEI
Contingency
$2,1885781
$291885781
Total
$13,132,691
$392839173
$161415,864
ATTACHMENT D
PERFORMANCE MEASUREMENT TABLE
Study Area: 20 miles of sidewalk in the Immokalee area, a new transit transfer facility on the
County property located at 419 N. 1st St., Immokalee and bus shelters, drainage and intersection
improvements throughout the Immokalee area. The general boundary of the area is from SR29
(Main Street) to Madison Ave.
Pre -project Measurement Date: March 23, 2021
Pre -project Report Date: June 23, 2021
Project Outcomes Report Date: August 21, 2027
Table 1: Performance Measurement Table
Measure
Description and
Category of Measure
Measurement Period
Reporting Period
Quality of Life
Baseline Measurement:
Route -level data
Baseline Measurement:
consistent with annual,
Annual average, accurate
as of the Pre -project
Pre -project Report Date
system wide reports
Measurement Date
Transit
provided to NTD.
Directional boarding and
Interim Performance
Interim Performance
Passenger
alighting counts by route
Measures:
Measures:
Counts
for all transit stops in the
Accurate as of
For a period of 3 years,
study area for a typical
August 21, 2024
beginning October 21,
weekday (while school is
August 21, ,2025
2024 annually
in session), Saturday and
August 21, 2026
Sunday.
Baseline Measurement:
Baseline Measurement:
Safety
Annual average, accurate
Pre -project Report Date
Crash rates will be
as of the Pre -project
Auto Crash
measured and reported as
Measurement Date
Rates by
Interim Performance
Type/Severity
crashes per VMT and
Interim Performance
Measures:
identified by the
Measures:
following severity
Accurate as of
For a period of 3 years,
beginning October 21,
categories: fatal, injury,
Au ust 21, 2024
2024 annual)
cno
Measure
Description and
Measurement Period
Reporting Period
Category of Measure
and property -damage-
August 21, 2025
only (PDO) crashes.
August 21, 2026
16.A.13.c
EXHIBIT A
LEGISLATIVE AUTHORITY
1. The U.S. Department of Transportation (the "USDOT") is authorized to award $500
million in FY 2017 TIGER Discretionary Grants under the Consolidated Appropriations Act, 2017
(Pub. L. 115-31, May 5, 2017) (the "Act"). This appropriation is similar, but not identical to the
appropriation for the Transportation Investment Generating Economic Recovery program first
authorized and implemented under the American Recovery and Reinvestment Act of 2009.
Because of the similarity in program structure and objectives, the USDOT refers to the grants for
National Infrastructure Investments under the Act as the "FY 2017 TIGER Discretionary Grants"
or "TIGER Discretionary Grants".
2. The awards made under TIGER Discretionary Grant program are in full compliance with
the Act and the Notice of Funding Opportunity published in the Federal Register (82 FR 42426
(September 7, 2017) (the "NOFO").
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EXHIBIT B
GENERAL TERMS AND CONDITIONS
1. The Recipient shall ensure that the project is financed, constructed, operated and
maintained in accordance with this agreement, and all applicable Federal laws, regulations and
policies of the Federal Highway Administration (the "FHWA" or the "Government") will apply
to the project.
2. The maximum obligation of the Government payable under this award (the "Grant") shall
be the award as specified in section 1.6 of this agreement, subject to all the terms and conditions
in this agreement and of all other Federal awards funding the project. Once the Government
executes this agreement for the project, or a segment of the project, the Grant funds will then be
authorized for obligation.
3. Reimbursement of costs incurred pursuant to this agreement will be made pursuant to and
in accordance with 2 C.F.R. Part 200 and the provisions of such regulations and procedures as the
Government may prescribe. Determination of allowable costs incurred by the Recipient under the
Grant shall be made in accordance with applicable government -wide cost principles under 2 C.F.R.
Part 200, Subpart E. Closeout of the Grant shall be based upon a determination that all applicable
administrative actions and all required work of the Grant have been completed in accordance with
2 C.F.R. 200.343-345. Upon the Government's review of all financial, performance, and other
reports required as a condition of the Grant, the Government may make any upward or downward
adjustments to the allowable costs in accordance with 2 C.F.R. 200.344. If there are any
differences between the requirements of 2 C.F.R. Part 200 and Title 23 of the United States Code
and Code of Federal Regulations, the Title 23 requirements will take precedence.
4. The Recipient shall notify the Government within 30 calendar days of any change in
circumstances or commitments that adversely affect the Recipient's plan to complete the project
as described in Attachments A—C. In its notification, the Recipient shall advise the Government of
what actions it has taken or plans to take to ensure completion of the project and shall reaffirm its
commitment to the Government as set forth in this agreement. The Recipient is solely liable for
any funding shortfalls pertaining to the project as agreed to in this agreement. In response to a
funding shortfall, the TIGER Discretionary Grant Award Amount will not increase. (See Article 8
of this agreement regarding termination).
5. The Recipient shall carry out and complete the project without undue delays and in
accordance with the terms of this agreement, including the Project Schedule set out in Attachment
B and to comply with such regulations and procedures as the Government may prescribe.
6. The Recipient has submitted a request for Federal assistance (the "Technical
Application"), which is hereby incorporated by reference into this agreement, and the Government
is relying upon the Recipient's assurances, certifications, and other representations made in the
Technical Application and any other related documents submitted to the Government; and, in its
submissions, the Recipient has demonstrated justification for the project, and has demonstrated the
financial and technical feasibility of the project, including the ability to start the project quickly
upon receipt of the Grant; to expend Grant funds once the planning activities or construction starts;
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and to receive all necessary environmental, state and local planning, and legislative approvals as
necessary for the project to proceed in accordance with the Project Schedule.
7. The Government has determined that the Project is eligible for an award because the
Project provides for construction of a highway or bridge project, public transportation project,
passenger or freight rail transportation project, port infrastructure project, or other eligible project
and that the Project will have a significant impact on the Nation, a metropolitan area, or a region.
The Government has determined that Recipient should receive the award of a Grant based on a
review of the Technical Application, which meets the requirements specified in the Act and the
NOFO.
8. The Government will monitor the Recipient's progress, both programmatically and
financially, to ensure that the Project goals, objectives, performance requirements, timelines,
milestone completion, budgets, and other related program criteria are being met. Monitoring will
be accomplished through a combination of office -based reviews and onsite monitoring visits.
Monitoring will involve the review and analysis of the financial, programmatic, performance and
administrative issues relative to each program and will identify areas where technical assistance
and other support may be needed. The Recipient is responsible for monitoring award activities, to
include subawards, and accountable to the Government for the use of the funds provided and to
assure that the Federal award is administered in compliance with applicable requirements.
Responsibilities include the accounting of receipts and expenditures, cash management,
maintaining adequate financial records, and refunding disallowed expenditures.
9. The Recipient shall take all steps, including initiating litigation, if necessary, to recover
Federal funds if the Government determines, after consultation with the Recipient, that such funds
have been spent fraudulently, wastefully, or in violation of Federal laws, or misused in any manner
in undertaking the Project.
10. The Recipient shall retain all documents relevant to the Grant award for a period of three
years from completion of the Project and receipt of final reimbursement from the Government.
The Recipient shall furnish the Government, upon request, all documents and records pertaining
to the determination of the Grant amount or to any settlement, litigation, negotiation, or other
efforts taken to recover such funds. The Recipient shall not enter a settlement or other final
position, in court or otherwise, involving the recovery of such Grant amount unless approved in
advance by the Government.
11. The Government is subject to the Freedom of Information Act (the "FOIA"). The
Recipient acknowledges that all applications and related materials submitted by the Recipient
related to this agreement will become agency records and thus are subject to FOIA and to public
release through individual FOIA requests.
12. 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 agreement.
13. The Government encourages the Recipient and the State Department of Transportation (the
"State DOT") acting as the limited agent on behalf of the Recipient (if applicable), to adopt and
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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 hgp:Hedocket.access.gpo.gov/2009/E9-24203.htm) 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
http://www.transportation.gov/sites/dot.dev/files/docs/FAPL_2010-01.pdf). This includes, but is
not limited to, the Recipient and the State Department of Transportation acting as the limited agent
on behalf of the Recipient:
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 Recipient is encouraged to insert the substance of this clause in all assistance awards.
Where a Recipient, and the State DOT if acting as a limited agent for the Recipient, is located
within a State that already has enacted legislation regarding texting while driving, that State's law
controls and the requirements of this paragraph will not apply to or be a part of this agreement.
14. The Recipient agrees to expend all funds administered by or through a State DOT in
compliance with the requirements set out at 49 C.F.R. Part 26 for the Participation by
Disadvantaged Business Enterprises in Department of Transportation Financial Assistance
Programs.
15. The Recipient agrees to expend all funds administered by a direct local recipient in
compliance with the requirements set out at 2 C.F.R. 200.321 for Contracting with small and
minority businesses, women's business enterprises, and labor surplus area firms.
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EXHIBIT C
APPLICABLE FEDERAL LAWS AND REGULATIONS
By entering into this agreement for a FY 2017 TIGER Discretionary Grant, the Recipient
assures and certifies, with respect to this Grant, that it will comply with all applicable Federal laws,
regulations, executive orders, policies, guidelines, and requirements as they relate to the
application, acceptance, and use of Federal funds for this Project. Performance under this
agreement shall be governed by and in compliance with the following requirements, as applicable,
to the type of organization of the Recipient and any applicable sub -recipients. The applicable
provisions to this agreement include, but are not limited to, the following:
General Federal Legislation
a. Davis -Bacon Act - 40 U.S.C. §§ 3141, et seq., as applicable under 23 U.S.C. 113
b. Federal Fair Labor Standards Act - 29 U.S.C. §§ 201, et seq.
c. Hatch Act - 5 U.S.C. §§ 1501, et seq.
d. Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 - 42
U.S.C. §§ 4601, et seq.
e. National Historic Preservation Act of 1966 - Section 106 - 54 U.S.C. § 306108
f. Archeological and Historic Preservation Act of 1974 - 54 U.S.C. §§ 312501, et seq.
g. Native American Graves Protection and Repatriation Act - 25 U.S.C. §§ 3001, et seq.
h. Clean Air Act, P.L. 90-148, as amended - 42 U.S.C. §§ 7401, et seq.
i. Section 404 of the Clean Water Act, as amended - 33 U.S.C. § 1344
j. Section 7 of the Endangered Species Act, P.L. 93-205, as amended - 16 U.S.C. § 1536
k. Coastal Zone Management Act, P.L. 92-583, as amended - 16 U.S.C. §§ 1451, et seq.
I. Flood Disaster Protection Act of 1973 - Section 102(a) - 42 U.S.C. § 4012a
m. Age Discrimination Act of 1975 - 42 U.S.C. §§ 6101, et seq.
n. American Indian Religious Freedom Act, P.L. 95-341, as amended
o. Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. §§ 1101, et seq.
p. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970, P.L. 91-616, as amended - 42 U.S.C. §§ 4541, et seq.
q. Sections 523 and 527 of the Public Health Service Act of 1912, as amended, 42 U.S.C. §§
290dd through 290dd-2
r. Architectural Barriers Act of 1968 - 42 U.S.C. § 4151, et seq.
s. Power Plant and Industrial Fuel Use Act of 1978, P.L. 100-42 - Section 403 - 42 U.S.C. §
8373
t. Contract Work Hours and Safety Standards Act - 40 U.S.C. § 3 70 1, et seq.
u. Copeland Anti -kickback Act, as amended - 18 U.S.C. § 874 and 40 U.S.C. § 3145
v. National Environmental Policy Act of 1969 - 42 U.S.C. §§ 4321, et seq.
w. Wild and Scenic Rivers Act, P.L. 90-542, as amended— 16 U.S.C. §§ 1271, et seq.
x. Federal Water Pollution Control Act, as amended - 33 U.S.C. §§ 1251-1376
y. Single Audit Act of 1984 - 31 U.S.C. §§ 7501, et seq.
z. Americans with Disabilities Act of 1990 - 42 U.S.C. § 12 10 1, et seq.
aa. Title IX of the Education Amendments of 1972, as amended - 20 U.S.C. § 1681 through §
1683, and § 1685 through § 1687
bb. Section 504 of the Rehabilitation Act of 1973, as amended - 29 U.S.C. § 794
cc. Title VI of the Civil Rights Act of 1964 - 42 U.S.C. §§ 2000d et seq.
dd. Title IX of the Federal Property and Administrative Services Act of 1949 - 40 U.S.C. §§
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1101 -1104, 541, et seq.
ee. Limitation on Use of Appropriated Funds to Influence Certain Federal Contracting and
Financial Transactions — 31 U.S.C. § 1352
ff. Freedom of Information Act - 5 U.S.C. § 552, as amended
gg. Magnuson -Stevens Fishery Conservation and Management Act — 16 U.S.C. § 1855
hh. Farmland Protection Policy Act of 1981— 7 U.S.C. § 4201, et seq.
ii. Noise Control Act of 1972 — 42 U.S.C. § 4901, et seq.
J. Fish and Wildlife Coordination Act of 1956 — 16 U.S.C. § 661, et seq.
kk. Section 9 of the Rivers and Harbors Act and the General Bridge Act of 1946 - 33 U.S.C.
§§ 401 and 525
11. Section 4(f) of the Department of Transportation Act of 1966, 49 U.S.C. 303 and 23
U.S.C. § 138
mm. Comprehensive Environmental Response, Compensation, and Liability Act of 1980
(CERCLA), as amended --42 U.S.C. §§ 9601, et seq.
nn. Safe Drinking Water Act -- 42 U.S.C. §§ 300f to 300j-26
oo. Wilderness Act -- 16 U.S.C. §§ 1131-1136
pp. Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act
of 1976 -- 42 U.S.C. § 6901, et seq.
qq. Migratory Bird Treaty Act 16 U.S.C. § 703, et seq.
rr. 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)
ss. Cargo Preference Act of 1954 — 46 U.S.C. § 55305
Executive Orders
a. Executive Order 11246 -
Equal Employment Opportunity
b. Executive Order 11990 - Protection of Wetlands
c. Executive Order 11988
— Floodplain Management
d. Executive Order 12372 - Intergovernmental Review of Federal Programs
e. Executive Order 12549
— Debarment and Suspension
f. Executive Order 12898
— Federal Actions to Address Environmental Justice in Minority
Populations and Low -Income Populations
g. Executive Order 13166
— Improving Access to Services for Persons With Limited English
Proficiency
h. Executive Order 13788
— Buy American and Hire American
General Federal Regulations
a. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards — 2 C.F.R. Parts 200, 1201
b. Non -procurement Suspension and Debarment — 2 C.F.R. Parts 180, 1200
c. Investigative and Enforcement Procedures - 14 C.F.R. Part 13
d. Procedures for predetermination of wage rates - 29 C.F.R. Part 1
e. Contractors and subcontractors on public building or public work financed in whole or part
by loans or grants from the United States - 29 C.F.R. Part 3
f. 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 C.F.R. Part 5
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g. Office of Federal Contract Compliance Programs, Equal Employment Opportunity,
Department of Labor (Federal and federally assisted contracting requirements) - 41 C.F.R.
Parts 60, et seq.
h. New Restrictions on Lobbying — 49 C.F.R. Part 20
i. Nondiscrimination in Federally Assisted Programs of the Department of Transportation —
Effectuation of Title VI of the Civil Rights Act of 1964 — 49 C.F.R. Part 21
j. Uniform relocation assistance and real property acquisition for Federal and Federally
assisted programs - 49 C.F.R. Part 24
k. Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal
Financial Assistance - 49 C.F.R. Part 25
1. Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or
Benefiting from Federal Financial Assistance - 49 C.F.R. Part 27
m. DOT's implementation of DOJ's ADA Title II regulations compliance procedures for all
programs, services, and regulatory activities relating to transportation under 28 C.F.R. Part
35
n. Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities
Conducted by the Department of Transportation — 49 C.F.R. Part 28
o. Denial of public works contracts to suppliers of goods and services of countries that deny
procurement market access to U.S. contractors - 49 C.F.R. Part 30
p. Governmentwide Requirements for Drug -Free Workplace (Financial Assistance) — 49
C.F.R. Part 32
q. DOT's implementing ADA regulations for transit services and transit vehicles, including
the DOT'S standards for accessible transportation facilities in Part 37, Appendix A - 49
C.F.R. Parts 37 and 38
r. Procedures for Transportation Workplace Drug and Alcohol Testing Programs — 49 C.F.R.
Part 40
s. Participation by Disadvantaged Business Enterprises in Department of Transportation
Financial Assistance Programs — 49 C.F.R. Part 26 (as applicable under Exhibit B ¶ 14 of
this agreement)
Office of Management and Budget Circulars
a. Any applicable OMB Circular based upon the specific FY 2017 TIGER Discretionary
Grant Recipient.
Highway Federal Legislation
a. Highways — Title 23, U.S.C.
b. Brooks Act (for FHWA projects, this incorporates Title IX of the Federal Property and
Administrative Services Act of 1949 (formerly 40 U.S.C. § 541, et seq.)) - 40 U.S.C. §§
1101-1104; 23 U.S.C. § 112(b)(2)
c. Letting of Contracts, 23 U.S.C. § 112
d. Highway Design and Construction Standards, 23 U.S.C. § 109
e. Prevailing Rate of Wage, 23 U.S.C. § 113
f. Planning, 23 U.S.C. §§ 134 and 135 (except for projects that are not regionally significant
that do not receive funding under Title 23 or Chapter 53 of Title 49)
g. Tolls, 23 U.S.C. § 301 (to the extent the recipient wishes to toll an existing free facility that
has received Title 23 funds in the past); except as authorized by 23 U.S.C. §§ 129 and 166.
h. Size, Weight, and Length Limitations - 23 U.S.C. § 127, 49 U.S.C. § 31101 et seq.
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i. Buy America— 23 U.S.C. § 313
(see hlt2://www.fhwa.dot.gov/construction/contracts/buyam ga.cfm)
j. Nondiscrimination — 23 U.S.C. § 140
k. Efficient Environmental Reviews - 23 U.S.C. § 139
Federal Highway Regulations
a. Highways — Title 23, C.F.R.
b. Planning 23 C.F.R. Part 450 (except for projects that are not regionally significant that do
not receive funding under Title 23 or Chapter 53 of Title 49)
c. National Highway System Design Standards — 23 C.F.R. Part 625
d. Preconstruction Procedures — 23 C.F.R. Part 630 Subparts A and B
e. Construction and Maintenance - 23 C.F.R. Part 635
f. Manual on Uniform Traffic Control Devices — 23 C.F.R. Part 655
g. Environmental Impact and Related Procedures — 23 C.F.R. Part 771
h. Procedures for Abatement of Highway Traffic and Construction Noise -- 23 C.F.R. Part
772
i. Procedures Implementing Section 4(f) of the Department of Transportation Act — 23 C.F.R.
Part 774
j. Permitting Requirements under the National Pollutant Discharge Elimination System — 40
C.F.R. Part 122
k. Required Contract Provisions — 23. C.F.R. Part 633 (Form 1273)
1. External Programs — 23 C.F.R. Part 230.
Specific assurances required to be included in the FY 2017 TIGER Discretionary Grant agreement
by any of the above laws, regulations, or circulars are hereby incorporated by reference into this
agreement.
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EXHIBIT D
GRANT ASSURANCES
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EXHIBIT D 1
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 C.F.R. Parts 21, 25, 27, 37 and 38
The United States Department of Transportation (USDOT)
Standard Title VI/Non-Discrimination Assurances
DOT Order No. 1050.2A
By signing and submitting the Technical Application and by entering into this agreement under
the FY 2017 TIGER Discretionary Grants program, the Recipient HEREBY AGREES THAT,
as a condition to receiving any Federal financial assistance from the U.S. Department of
Transportation (DOT), through the Federal Highway Administration (FHWA), it is subject to and
will comply with the following:
Statutory/Regulatory 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 C.F.R. 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 C.F.R. 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 Recipient hereby gives assurance that it will promptly take any
measures necessary to ensure that:
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"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 any program 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 Recipient, so long as any portion of the program is Federally assisted.
Specific Assurances
More specifically, and without limiting the above general Assurance, the Recipient agrees with
and gives the following Assurances with respect to its Federally assisted FY 2017 TIGER
Discretionary Grants program:
The Recipient agrees that each "activity," "facility," or "program," as defined in § § 21.23
(b) and 21.23 (e) of 49 C.F.R. § 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 Recipient will insert the following notification in all solicitations for bids, Requests
For Proposals for work, or material subject to the Acts and the Regulations made in
connection with the FY 2017 TIGER Discretionary Grant and, in adapted form, in all
proposals for negotiated agreements regardless of funding source:
"The Recipient, 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 for 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 Recipient will insert the clauses of Appendix A and E of this Assurance in every
contract or agreement subject to the Acts and the Regulations.
4. The Recipient 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 Recipient 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.
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6. That where the Recipient 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 Recipient 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 Recipient 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 Recipient for the period during which Federal financial
assistance is extended to the program, except where the Federal financial assistance is to
provide, or is in the form of, personal property, or real property, or interest therein, or
structures or improvements thereon, in which case the Assurance obligates the Recipient,
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
financial assistance is extended, or for another purpose involving the provision of
similar services or benefits; or
b. the period during which the Recipient retains ownership or possession of the
property.
9. The Recipient 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, contractors,
subcontractors, consultants, transferees, successors in interest, and other participants of
Federal financial assistance under such program will comply with all requirements imposed
or pursuant to the Acts, the Regulations, and this Assurance.
10. The Recipient agrees that the United States has a right to seek judicial enforcement with
regard to any matter arising under the Acts, the Regulations, and this Assurance.
By signing this ASSURANCE, the Recipient also agrees to comply (and require any sub -
recipients, 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. You also recognize that you must comply with any program or
compliance reviews, and/or complaint investigations conducted by the FHWA. You 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, you must comply with all other reporting, data
collection, and evaluation requirements, as prescribed by law or detailed in program guidance.
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The Recipient gives this ASSURANCE in consideration of and for obtaining any Federal grants,
loans, contracts, agreements, property, 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 under the FY 2017 TIGER Discretionary Grants Program. This ASSURANCE is
binding on the Recipient, other recipients, sub -recipients, sub -Recipients, contractors,
subcontractors and their subcontractors', transferees, successors in interest, and any other
participants in the FY 2017 TIGER Discretionary Grants Program.
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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 -
assisted 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 C.F.R. Part
21.
3. 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 Recipient 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 furnish the information, the
contractor will so certify to the Recipient 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 Recipient 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
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thereto. The contractor will take action with respect to any subcontract or procurement as
the Recipient 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 Recipient to enter into any litigation to protect the interests of the
Recipient. In addition, the contractor may request the United States to enter into the
litigation to protect the interests of the United States.
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APPENDIX B
CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY
The following clauses will be included in deeds effecting or recording the transfer of real property,
structures, or improvements thereon, or granting interest therein from the United States pursuant to
the provisions of Specific Assurance 4:
NOW, THEREFORE, the U.S. Department of Transportation as authorized by law and upon the
condition that the Recipient will accept title to the lands and maintain the project constructed thereon
in accordance with The Consolidated Appropriations Act, 2017 (Pub. L. 115-31, May 5, 2017) the
Regulations for the Administration of FY 2017 TIGER Discretionary Grants Program, and the
policies and procedures prescribed by the Federal Highway Administration (FHWA) of the U.S.
Department of Transportation in accordance and in compliance with all requirements imposed by
Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the
Secretary, Part 21, Non-discrimination in Federally -assisted programs of the U.S Department of
Transportation pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of
1964 (78 Stat. 252; 42 U.S.C. § 2000d to 2000d-4), does hereby remise, release, quitclaim and
convey unto the Recipient all the right, title and interest of the U.S. Department of Transportation
in and to said lands described in Exhibit A attached hereto and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto Recipient and its successors
forever, subject, however, to the covenants, conditions, restrictions and reservations herein
contained as follows, which will remain in effect for the period during which the real property or
structures are used for a purpose for which Federal financial assistance is extended or for another
purpose involving the provision of similar services or benefits and will be binding on the Recipient,
its successors and assigns.
The Recipient, in consideration of the conveyance of said lands and interests in lands, does hereby
covenant and agree as a covenant running with the land for itself, its successors and assigns, that (1)
no person will 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 with regard to any facility
located wholly or in part on, over, or under such lands hereby conveyed [,] [and]* (2) that the
Recipient will use the lands and interests in lands and interests in lands so conveyed, in compliance
with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, U.S.
Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in
Federally -assisted programs of the U.S. Department of Transportation, Effectuation of Title VI of
the Civil Rights Act of 1964, and as said Regulations and Acts may be amended[, and (3) that in the
event of breach of any of the above -mentioned non-discrimination conditions, the Department will
have a right to enter or re-enter said lands and facilities on said land, and that above described land
and facilities will thereon revert to and vest in and become the absolute property of the U.S.
Department of Transportation and its assigns as such interest existed prior to this instruction].*
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(*Reverter clause and related language to be used only when it is determined that such a clause is
necessary in order to make clear the purpose of Title VI.)
APPENDIX C
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 Recipient pursuant to the provisions of Specific Assurance 7(a):
A. The (Recipient, 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:
1. 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 (Recipient, 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.
B. With respect to licenses, leases, permits, etc., in the event of breach of any of the above Non-
discrimination covenants, Recipient 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.*
C. With respect to a deed, in the event of breach of any of the above Non-discrimination
covenants, the Recipient 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 Recipient 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 VL)
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APPENDIX D
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 Recipient pursuant to the provisions of Specific Assurance
7(b):
A. The (Recipient, 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 (Recipient, 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.
B. With respect to (licenses, leases, permits, etc.), in the event of breach of any of the above Non-
discrimination covenants, Recipient 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.*
C. With respect to deeds, in the event of breach of any of the above Non-discrimination covenants,
Recipient will there upon revert to and vest in and become the absolute property of Recipient
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.)
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APPENDIX E
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 C.F.R. 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 C.F.R. 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 U.S.C. § 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 II and III of the Americans with Disabilities Act, which prohibit discrimination on
the basis of disability in the operation of public entities, public and private transportation
systems, places of public accommodation, and certain testing entities (42 U.S.C. §§ 12131
— 12189) as implemented by Department of Transportation regulations at 49 C.F.R. Parts
37 and 38;
• 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 nondiscrimination against
minority populations by discouraging programs, policies, and activities with
disproportionately high and adverse human health or environmental effects on minority
and low-income populations;
• 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).
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EXHIBIT D 2
DISCLOSURE OF LOBBYING ACTIVITIES
Certification for Contracts, Grants, Loans, and Agreements
The undersigned 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, subgrants, and contracts under
grants, loans and grant agreements) and that all subrecipients 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. Any person who fails to file the
required certification shall be subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
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EXHIBIT D 3
CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS IN
THE PERFORMANCE OF THE FY 2017 DISCRETIONARY GRANT PROGRAM
The Recipient 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 Recipient'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 Recipient'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 grant award be given a copy of the statement required by paragraph 1.
4. Notifying the employee in the statement required by paragraph 1 that, as a condition of
employment supported by the grant award, 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 (d)(2) from an employee or otherwise receiving actual notice of conviction.
Employers of convicted employees must provide notice, including position title, to the
Department. Notice shall include the order number of the grant award.
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.
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7. Making a good faith effort to continue to maintain a drug -free workplace through
implementation of paragraphs (a), (b), (c), (d), (e) and (f).
8. The Recipient may, but is not required to, provide the site for the performance of work done
in connection with the specific grant. 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 grant award. If the
Recipient does so, please insert in article I I of this agreement the following information from
subsection (a) below:
(a) 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
this agreement.
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EXHIBIT D 4
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER
RESPONSIBILITY MATTERS -- PRIMARY COVERED TRANSACTIONS
2 C.F.R. Parts 180 and 1200
These assurances and certifications are applicable to all Federal -aid 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 C.F.R. Parts 180 and 1200.
By signing and submitting the Technical Application and by entering into this agreement under
the FY 2017 TIGER Discretionary Grant program, the Recipient is providing the assurances and
certifications for First Tier Participants and Lower Tier Participants in the FY 2017 TIGER
Discretionary Project, as set out below.
1. 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," "civil judgment," "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 contract). "Lower Tier Covered Transactions" refers to any covered transaction
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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 System for Award Management website (https://www.sam.gov/),
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.
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:
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(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, including a civil settlement, 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.
2. 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," "civil settlement," "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. 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 or 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
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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 System for Award Management website (https://www.sam.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.
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion --
Lower Tier Participants:
1. 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.
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2. 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.
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EXHIBIT D 5
REQUIREMENTS REGARDING DELINQUENT TAX LIABILITY OR A FELONY
CONVICTION UNDER ANY FEDERAL LAW
As required by sections 415 and 416 of Title IV, Division L of the Consolidated Appropriations
Act, 2014 (Pub. L. 113-76), and similar provisions in subsequent appropriations acts, and
implemented through USDOT Order 4200.6, the funds provided under this award shall not be used
to enter into a contract, memorandum of understanding, or cooperative agreement with, make a
grant to, or provide a loan or loan guarantee to, any corporation that:
(1) Has any unpaid Federal tax liability that has been assessed, for which all judicial and
administrative remedies have been exhausted or have lapsed, and that is not being paid in
a timely manner pursuant to an agreement with the authority responsible for collecting the
tax liability, where the awarding agency is aware of the unpaid tax liability, unless an
agency has considered suspension or debarment of the corporation and made a
determination that suspension or debarment is not necessary to protect the interests of the
Government; or
(2) Was convicted of a felony criminal violation under any Federal law within the preceding
24 months, where the awarding agency is aware of the conviction, unless an agency has
considered suspension or debarment of the corporation and made a determination that
suspension or debarment is not necessary to protect the interests of the Government.
The Recipient therefore agrees:
1. Definitions. For the purposes of this exhibit, the following definitions apply:
"Covered Transaction" means a transaction that uses any funds under this award and that is
a contract, memorandum of understanding, cooperative agreement, grant, loan, or loan
guarantee.
"Felony Conviction" means a conviction within the preceding 24 months of a felony criminal
violation under any Federal law and includes conviction of an offense defined in a section of
the United States Code that specifically classifies the offense as a felony and conviction of an
offense that is classified as a felony under 18 U.S.C. 3559.
"Participant" means the Recipient, an entity who submits a proposal for a Covered
Transaction, or an entity who enters into a Covered Transaction.
"Tax Delinquency" means an unpaid Federal tax liability that has been assessed, for which all
judicial and administrative remedies have been exhausted, or have lapsed, and that is not being
paid in a timely manner pursuant to an agreement with the authority responsible for collecting
the tax liability.
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2. Mandatory Check in the System for Award Management. Before entering a Covered
Transaction with another entity, a Participant shall check the System for Award Management
(the "SAM") at http://www.sam.gov/ for an entry describing that entity.
3. Mandatory Certifications. Before entering a Covered Transaction with another entity, a
Participant shall require that entity to:
(1) Certify whether the entity has a Tax Delinquency; and
(2) Certify whether the entity has a Felony Conviction.
4 Prohibition. If
(1) the SAM entry for an entity indicates that the entity has a Tax Delinquency or a Federal
Conviction;
(2) an entity provides an affirmative response to either certification in section 3; or
(3) an entity's certification under section 3 was inaccurate when made or became
inaccurate after being made
then a Participant shall not enter or continue a Covered Transaction with that entity unless the
USDOT has determined in writing that suspension or debarment of that entity are not necessary
to protect the interests of the Government.
5. Mandatory Notice to the USDOT.
(a) If the SAM entry for a Participant indicates that the Participant has a Tax Delinquency or
a Felony Conviction, the Recipient shall notify the USDOT in writing of that entry.
(b) If a Participant provides an affirmative response to either certification in section 1, the
Recipient shall notify the USDOT in writing of that affirmative response.
(c) If the Recipient knows that a Participant's certification under section 1 was inaccurate
when made or became inaccurate after being made, the Recipient shall notify the USDOT
in writing of that inaccuracy.
6. Flow Down. For all Covered Transactions, including all tiers of subcontracts and subawards,
the Recipient shall:
(1) require the SAM check in section 2;
(2) require the certifications in section 3;
(3) include the prohibition in section 4; and
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(4) require all Participants to notify the Recipient in writing of any information that would
require the Recipient to notify the USDOT under section 5.
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EXHIBIT E
RESPONSIBILITY AND AUTHORITY OF THE RECIPIENT
1. Legal Authority.
The Recipient affirms that it has the legal authority to apply for the grant, and to finance and carry
out the proposed project identified in its Technical Application; that a resolution, motion or similar
action has been duly adopted or passed as an official act of the Recipient's governing body
authorizing the filing of the application, including all understandings and assurances contained
therein, and directing and authorizing the person identified as the official representative of the
Recipient to act in connection with the application and to provide such additional information as
may be required.
2. Funds Availability.
Recipient affirms that it has sufficient funds available for that portion of the project costs that are
not to be paid by the Government. Recipient also affirms that it has sufficient funds available to
assure operation and maintenance of items funded under this agreement that it will own or control.
3. Preserving Rights and Powers.
Recipient will not take or permit any action that would operate to deprive it of any of the rights
and powers necessary to perform any or all of the terms, conditions, and assurances in this
agreement without the written approval of the Government, and will act promptly to acquire,
extinguish, or modify any outstanding rights or claims of right of others that would interfere with
such performance by the Recipient. The Recipient agrees that this will be done in a manner
acceptable to the Government.
4. Accounting System, Audit, and Record Keeping Requirements.
(a) The Recipient agrees to keep all project accounts and records that fully disclose the
amount and disposition by the Recipient of the proceeds of the grant, the total cost of the project
in connection with which the grant is given or used, and the amount or nature of that portion of the
cost of the project supplied by other sources, and such other financial records pertinent to the
project. The accounts and records shall be kept in accordance with an accounting system that
meets the requirements of 2 C.F.R. 200.301 — 200.303 and 2 C.F.R. 200 Subpart F and will
facilitate an effective audit in accordance with the Single Audit Act of 1984, as amended (31
U.S.C. §§ 7501-7507).
(b) The Recipient agrees to make available to the Government and the Comptroller General
of the United States, or any of their duly authorized representatives, for the purpose of audit and
examination, any books, documents, papers, and records of the Recipient that are pertinent to the
grant. The Government may require that a Recipient conduct an appropriate audit. In any case in
which an independent audit is made of the accounts of a Recipient relating to the disposition of
the proceeds of a grant or relating to the project in connection with which the grant was given or
used, it shall file a certified copy of such audit with the Comptroller General of the United States
not later than six (6) months following the close of the fiscal year for which the audit was made.
5. Minimum Wage Rates. It shall include, in all contracts in excess of $2,000 for work on any
projects funded under this agreement that involve labor, provisions establishing minimum rates of
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wages, to be predetermined by the Secretary of Labor, in accordance with the Davis -Bacon Act,
as amended (40 U.S.C. § 3141, et seq.) or 23 U.S.C. 113 as applicable, which contractors shall pay
to skilled and unskilled labor, and such minimum rates shall be stated in the invitation for bids and
shall be included in proposals or bids for the work.
6. Engineering and Design Services. It will award each contract or sub -contract for program
management, construction management, planning studies, feasibility studies, architectural
services, preliminary engineering, design, engineering, surveying, mapping, or related services
with respect to the project in the same manner as a contract for architectural and engineering
services is negotiated under the Brooks Act (40 U.S.C. §§ 1101-1104) as implemented in 23 U.S.C.
112(b)(2) or an equivalent qualifications -based requirement prescribed for or by the Recipient as
approved by the Secretary.
7. Foreign Market Restrictions. It will not allow funds provided under this grant to be used to
fund any project that uses any product or service of a foreign country during the period in which
such foreign country is listed by the United States Trade Representative as denying fair and
equitable market opportunities for products and suppliers of the United States in procurement and
construction.
8. Relocation and Real Property Acquisition. (1) It will be guided in acquiring real property, to
the greatest extent practicable under State law, by the land acquisition policies in Subpart B of 49
C.F.R. Part 24 and will pay or reimburse property owners for necessary expenses as specified in
Subpart B. (2) It will provide a relocation assistance program offering the services described in
Subpart C and fair and reasonable relocation payments and assistance to displaced persons as
required in Subpart D and E of 49 C.F.R. Part 24. (3) It will make available within a reasonable
period of time prior to displacement, comparable replacement dwellings to displaced persons in
accordance with Subpart E of 49 C.F.R. Part 24.
9. Disposition of Equipment. If equipment acquired under this award is no longer needed for the
project, the Recipient shall request disposition instructions from the FHWA. For instructions on
disposition of real property, contact the FHWA.
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EXHIBIT F
REIMBURSEMENT OF PROJECT COSTS
1. The Recipient will be reimbursed in accordance with the terms of a Project Agreement
between the Government (Modal Administration) or other specified form or agreement as
determined by the Government that incorporates this agreement by reference.
2. The Recipient 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 costs incurred after execution of a project agreement.
3. The Recipient 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 Recipient 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 2 C.F.R. 200.302 and Title 23, U.S.C. The Recipient'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 C.F.R. Part 200 Subpart E. 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.
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EXHIBIT G
GRANT REQUIREMENTS AND CONTRACT CLAUSES
1. The Consolidated Appropriations Act, 2017 (Pub. L. 115-31, May 5, 2017), regarding
National Infrastructure Investments (the "Act") (referred to as "FY 2017 TIGER Discretionary
Grants" or "TIGER Discretionary Grants") requires that all laborers and mechanics employed by
contractors and subcontractors on projects funded directly by or assisted in whole or in part by and
through the Federal Government shall be paid wages at rates not less than those prevailing on
projects of a character similar in the locality as determined by the Secretary of Labor in accordance
with subchapter IV of chapter 31 of Title 40, United States Code.
2. Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.C. § 3145, the
Department of Labor has issued regulations at 29 C.F.R. Parts 1, 3, and 5 to implement the Davis -
Bacon and related Acts. Regulations in 29 C.F.R. 5.5 instruct agencies concerning application of
the standard Davis -Bacon contract clauses set forth in that section. Federal agencies providing
grants, cooperative agreements, and loans under the Act shall ensure that the standard Davis -Bacon
contract clauses found in 29 C.F.R. 5.5(a) are incorporated in any resultant covered contracts that
are in excess of $2,000 for construction, alteration or repair (including painting and decorating).
3. Federal agencies providing grants, grant agreements, and loans under the Act shall ensure
that the standard Davis -Bacon contract clauses found in 29 C.F.R. 5.5(a) are incorporated in any
resultant covered contracts that are in excess of $2,000 for construction, alteration or repair
(including painting and decorating).
4. For additional guidance on the wage rate requirements of the Act, contact your awarding
agency. Recipients of grants, grant agreements and loans should direct their initial inquiries
concerning the application of Davis -Bacon requirements to a particular federally assisted project
to the Federal agency funding the project. The Secretary of Labor retains final coverage authority
under Reorganization Plan Number 14.
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EXHIBIT GI
TRANSPARENCY ACT AWARD TERM
I. Reporting Subawards and Executive Compensation.
a. Reporting of first -tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you
must report each action that obligates $25,000 or more in Federal funds that does not
include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and
Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in
paragraph e. of this award term).
2. Where and when to report.
i. You must report each obligating action described in paragraph a. 1. of this award term
to http://www.fsrs.gov.
ii. For subaward information, report no later than the end of the month following the
month in which the obligation was made. (For example, if the obligation was made on
November 7, 2010, the obligation must be reported by no later than December 31,
2010.)
3. What to report. You must report the information about each obligating action that the
submission instructions posted at http://www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1. 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—
i. the total Federal funding authorized to date under this award is $25,000 or more;
ii. in the preceding fiscal year, you received —
(A) 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 C.F.R. 170.320 (and subawards); and
(B) $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 C.F.R. 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
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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://www.sec.gov/answerslexecomp.htm.)
2. Where and when to report. You must report executive total compensation described in
paragraph b.1. of this award term:
i. As part of your registration profile at https://www.sam.gov.
ii. By the end of the month following the month in which this award is made, and
annually thereafter.
c. Reporting of Total Compensation of Subrecipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of
this award term, for each first -tier subrecipient under this award, you shall report the names
and total compensation of each of the subrecipient's five most highly compensated
executives for the subrecipient's preceding completed fiscal year, if—
i. in the subrecipient's preceding fiscal year, the subrecipient received —
(A) 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 C.F.R. 170.320 (and subawards); and
(B) $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
ii. 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://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report subrecipient executive total compensation
described in paragraph c.1. of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make the subaward.
For example, if a subaward is obligated 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 subrecipient by November 30 of that year.
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d. Exemptions
If, in the previous tax year, you had gross income, from all sources, under $300,000, you
are exempt from the requirements to report:
i. Subawards,
and
ii. The total compensation of the five most highly compensated executives of any
subrecipient.
e. Definitions. For purposes of this award term:
1. Entity means all of the following, as defined in 2 C.F.R. part 25:
i. A Governmental organization, which is a State, local government, or Indian tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization;
iv. A domestic or foreign for -profit organization;
v. A Federal agency, but only as a subrecipient under an award or subaward to a non -
Federal entity.
2. Executive means officers, managing partners, or any other employees in management
positions.
3. Subaward:
i. This term means a legal instrument to provide support for the performance of any
portion of the substantive project or program for which you received this award and
that you as the recipient award to an eligible subrecipient.
ii. The term does not include your procurement of property and services needed to carry
out the project or program (for further explanation, see Sec. _ .210 of the attachment to OMB Circular A-133, "Audits of States, Local Governments, and Non -Profit
Organizations").
iii. A subaward may be provided through any legal agreement, including an agreement
that you or a subrecipient considers a contract.
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4. Subrecipient means an entity that:
i. Receives a subaward from you (the recipient) under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the subaward.
5. Total compensation means the cash and noncash dollar value earned by the executive
during the recipient's or subrecipient's preceding fiscal year and includes the following (for
more information see 17 C.F.R. 229.402(c)(2)):
i. Salary and bonus.
ii. 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.
iii. 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.
iv. Change in pension value. This is the change in present value of defined benefit and
actuarial pension plans.
v. Above -market earnings on deferred compensation which is not tax -qualified.
vi. 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.
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EXHIBIT G2
Single Audit Information for Recipients of TIGER DISCRETIONARY GRANT Funds
1. To maximize the transparency and accountability of funds authorized under the Act as
required by Congress and in accordance with 2 C.F.R. Part 200 Common Rules provisions,
recipients agree to maintain records that identify adequately the source and application of TIGER
Discretionary Grant funds.
2. For recipients covered by the Single Audit Act Amendments of 1996 and the audit
requirements of 2 C.F.R. Part 200, Subpart F recipients agree to separately identify the
expenditures for Federal awards under the Act on the Schedule of Expenditures of Federal Awards
(SEFA) and the Data Collection Form (SF —SAC) required by 2 C.F.R. Part 200. This shall be
accomplished by identifying expenditures for Federal awards made under the Act separately on
the SEFA, and as separate rows under Item 6 of Part III on the SF —SAC by CFDA number, and
inclusion of the prefix "FY 2017 TIGER -" in identifying the name of the Federal program on the
SEFA and as the first characters in Item 6c of Part III on the SF —SAC.
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EXHIBIT G3
SYSTEM FOR AWARD MANAGEMENT AND UNIVERSAL IDENTIFIER
REQUIREMENTS
A. Requirement for System for Award Management
Unless you are exempted from this requirement under 2 C.F.R. 25.110, you as the recipient
must maintain the currency of your information in the SAM until you submit the final financial
report required under this award or receive the final payment, whichever is later. This requires that
you review and update the information at least annually after the initial registration, and more
frequently if required by changes in your information or another award term.
B. Requirement for unique entity identifier
If you are authorized to make subawards under this award, you:
1. Must notify potential subrecipients that no entity (see definition in paragraph C of this
award term) may receive a subaward from you unless the entity has provided its unique entity
identifier to you.
2. May not make a subaward to an entity unless the entity has provided its unique entity
identifier to you.
C. Definitions
For purposes of this award term:
1. System for Award Management (SAM) means the Federal repository into which an entity
must provide information required for the conduct of business as a recipient. Additional
information about registration procedures may be found at the SAM Internet site (currently at
http://www.sam.gov).
2. Unique entity identifier means the identifier required for SAM registration to uniquely
identify business entities.
3. Entity, as it is used in this award term, means all of the following, as defined at 2 C.F.R.
part 25, subpart C:
a. A Governmental organization, which is a State, local government, or Indian Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for -profit organization; and
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e. A Federal agency, but only as a subrecipient under an award or subaward to a non -
Federal entity.
4. Subaward:
a. This term means a legal instrument to provide support for the performance of any portion
of the substantive project or program for which you received this award and that you as the
recipient award to an eligible subrecipient.
b. The term does not include your procurement of property and services needed to carry
out the project or program (for further explanation, see 2 C.F.R. 200.330).
c. A subaward may be provided through any legal agreement, including an agreement that
you consider a contract.
5. Subrecipient means an entity that:
a. Receives a subaward from you under this award; and
b. Is accountable to you for the use of the Federal funds provided by the subaward.
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EXHIBIT G4
AWARD TERM AND CONDITION FOR RECIPIENT INTEGRITY AND
PERFORMANCE MATTERS
A. Reporting of Matters Related to Recipient Integrity and Performance
1. General Reporting Requirement
If the total value of your currently active grants, cooperative agreements, and
procurement contracts from all Federal awarding agencies exceeds $10,000,000 for any period of
time during the period of performance of this Federal award, then you as the recipient during that
period of time must maintain the currency of information reported to the System for Award
Management (SAM) that is made available in the designated integrity and performance system
(currently the Federal Awardee Performance and Integrity Information System (FAPIIS)) about
civil, criminal, or administrative proceedings described in paragraph 2 of this award term and
condition. This is a statutory requirement under section 872 of Public Law 110-417, as amended
(41 U.S.C. § 2313). As required by section 3010 of Public Law 111-212, all information posted
in the designated integrity and performance system on or after April 15, 2011, except past
performance reviews required for Federal procurement contracts, will be publicly available.
2. Proceedings About Which You Must Report
Submit the information required about each proceeding that:
a. Is in connection with the award or performance of a grant, cooperative agreement, or
procurement contract from the Federal Government;
b. Reached its final disposition during the most recent five year period; and
c. Is one of the following:
(1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of this
award term and condition;
(2) A civil proceeding that resulted in a finding of fault and liability and payment of a
monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more;
(3) An administrative proceeding, as defined in paragraph 5. of this award term and
condition, that resulted in a finding of fault and liability and your payment of either a monetary
fine or penalty of $5,000 or more or reimbursement, restitution, or damages in excess of
$100,000; or
(4) Any other criminal, civil, or administrative proceeding if-
(i) It could have led to an outcome described in paragraph 2.c.(1), (2), or (3) of this award
term and condition;
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(ii) It had a different disposition arrived at by consent or compromise with an
acknowledgment of fault on your part; and
(iii) The requirement in this award term and condition to disclose information about the
proceeding does not conflict with applicable laws and regulations.
3. Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires about each
proceeding described in paragraph 2 of this award term and condition. You do not need to submit
the information a second time under assistance awards that you received if you already provided
the information through SAM because you were required to do so under Federal procurement
contracts that you were awarded.
4. Reporting Frequency
During any period of time when you are subject to the requirement in paragraph 1 of this
award term and condition, you must report proceedings information through SAM for the most
recent five year period, either to report new information about any proceeding(s) that you have
not reported previously or affirm that there is no new information to report. Recipients that have
Federal contract, grant, and cooperative agreement awards with a cumulative total value greater
than $10,000,000 must disclose semiannually any information about the criminal, civil, and
administrative proceedings.
S. Definitions
For purposes of this award term and condition:
a. Administrative proceeding means a non judicial process that is adjudicatory in nature
in order to make a determination of fault or liability (e.g., Securities and Exchange Commission
Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed
Services Board of Contract Appeals proceedings). This includes proceedings at the Federal and
State level but only in connection with performance of a Federal contract or grant. It does not
include audits, site visits, corrective plans, or inspection of deliverables.
b. Conviction, for purposes of this award term and condition, means a judgment or
conviction of a criminal offense by any court of competent jurisdiction, whether entered upon a
verdict or a plea, and includes a conviction entered upon a plea of nolo contendere.
c. Total value of currently active grants, cooperative agreements, and procurement
contracts includes—
(1) Only the Federal share of the funding under any Federal award with a recipient cost
share or match; and
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(2) The value of all expected funding increments under a Federal award and options, even
if not yet exercised.
B. [Reserved]
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EXHIBIT H
QUARTERLY PROJECT PROGRESS REPORTS AND RECERTIFICATIONS:
FORMAT AND CONTENT
1. The purpose of the Quarterly Project Progress Reports and Recertifications under this
agreement for the FY 2017 TIGER Discretionary Grants program are to ensure that the project
budget and schedule will be maintained to the maximum extent possible, that the project will be
completed with the highest degree of quality, and that compliance with Federal regulations will be
met.
2. The Recipient should develop a project reporting and tracking system to collect, assess and
maintain project status information and data that is timely, independent, and accurate. This system
should provide current information on project prosecution, progress, changes, and issues. This
information should be used to identify trends and forecast project performance and to identify and
proactively address challenges to eliminate major project surprises.
3. The need to continuously and accurately report cost increases; schedule changes;
deficient quality items; and the causes, impacts, and proposed measures to mitigate these issues
is paramount to effectively managing, administering, and protecting the public investment in the
project. Any apparent reporting deficiencies or questionable data should be completely resolved.
Ultimately, the Recipient and the USDOT must be fully aware of the complete status of the
project, and therefore be in a position to take appropriate action if necessary.
4. The Recipient shall produce a quarterly cost, schedule, and status report. The Recipient
shall immediately communicate significant issues occurring between quarterly report submittals
without waiting for the next quarterly report submittal, with any highly significant or sensitive
issues elevated immediately to the executive leadership.
5. Under 5 C.F.R. 1320.6, the Recipient is not required to respond to a collection of
information that does not display a currently valid control number issued by the Office of
Management and Budget. The quarterly progress report described in this Exhibit H is approved
under OMB Control No. 2105-0563.
6. The following list enumerates the required sections in the quarterly progress reports. At
the discretion of the USDOT, modifications or additions can be made to produce a quarterly
reporting format that will most effectively serve both the Recipient and the USDOT. Some
projects will have a more extensive quarterly status than others. For smaller projects, the USDOT
may determine that the content of the quarterly reports will be streamlined and project status
meetings will be held on a less -frequent basis. The first quarterly progress report should include a
detailed description, and where appropriate, drawings, of the items funded.
(a) Project Overall Status. This section provides an overall status of the project's scope,
schedule and budget. The Recipient shall note and explain any deviations from the
scope of work described in Attachment A, the schedule described in Attachment B, or
the budget described in Attachment C.
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(b) Project Significant Activities and Issues. This section provides highlights of key
activities, accomplishments, and issues occurring on the project during the previous
quarter. Activities and deliverables to be reported on should include meetings, audits
and other reviews, design packages submitted, advertisements, awards, construction
submittals, construction completion milestones, submittals related to any applicable
Recovery Act requirements, media or Congressional inquiries, value
engineering/constructability reviews, and other items of significance.
(c) Action Items/Outstanding Issues. This section should draw attention to, and track
the progress of, highly significant or sensitive issues requiring action and direction in
order to resolve. In general, issues and administrative requirements that could have a
significant or adverse impact to the project's scope, budget, schedule, quality, safety,
and/or compliance with Federal requirements should be included. Status, responsible
person(s), and due dates should be included for each action item/outstanding issue.
Action items requiring action or direction should be included in the quarterly status
meeting agenda. The action items/outstanding issues may be dropped from this section
upon full implementation of the remedial action, and upon no further monitoring
anticipated.
(d) Project Scope Overview. The purpose of this section is to provide a further update
regarding the project scope. If the original scope contained in the grant agreement is
still accurate, this section can simply state that the scope is unchanged.
(e) Project Schedule. An updated master program schedule reflecting the current status
of the program activities should be included in this section. A Gantt (bar) type chart is
probably the most appropriate for quarterly reporting purposes, with the ultimate
format to be agreed upon between the Recipient and the USDOT. It is imperative that
the master program schedule be integrated, i.e., the individual contract milestones tied
to each other, such that any delays occurring in one activity will be reflected throughout
the entire program schedule, with a realistic completion date being reported. Narratives,
tables, and/or graphs should accompany the updated master program schedule,
basically detailing the current schedule status, delays and potential exposures, and
recovery efforts. The following information should also be included:
• Current overall project completion percentage vs. latest plan percentage.
• Completion percentages vs. latest plan percentages for major activities such as
right-of-way, major or critical design contracts, major or critical construction
contracts, and significant force accounts or task orders. A schedule status
description should also be included for each of these major or critical elements.
• Any delays or potential exposures to milestone and final completion dates. The
delays and exposures should be quantified, and overall schedule impacts
assessed. The reasons for the delays and exposures should be explained, and
initiatives being analyzed or implemented in order to recover the schedule
should be detailed.
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(f) Project Cost. An updated cost spreadsheet reflecting the current forecasted cost vs.
the latest approved budget vs. the baseline budget should be included in this section.
One way to track project cost is to show: (1) Baseline Budget, (2) Latest Approved
Budget, (3) Current Forecasted Cost Estimate, (4) Expenditures or Commitments to
Date, and (5) Variance between Current Forecasted Cost and Latest Approved Budget.
Line items should include all significant cost centers, such as prior costs, right-of-way,
preliminary engineering, environmental mitigation, general engineering consultant,
section design contracts, construction administration, utilities, construction packages,
force accounts/task orders, wrap-up insurance, construction contingencies,
management contingencies, and other contingencies. The line items can be broken -up
in enough detail such that specific areas of cost change can be sufficiently tracked and
future improvements made to the overall cost estimating methodology. A Program
Total line should be included at the bottom of the spreadsheet. Narratives, tables, and/or
graphs should accompany the updated cost spreadsheet, basically detailing the current
cost status, reasons for cost deviations, impacts of cost overruns, and efforts to mitigate
cost overruns. The following information should be provided:
Reasons for each line item deviation from the approved budget, impacts
resulting from the deviations, and initiatives being analyzed or implemented in
order to recover any cost overruns.
Transfer of costs to and from contingency line items, and reasons supporting
the transfers.
Speculative cost changes that potentially may develop in the future, a quantified
dollar range for each potential cost change, and the current status of the
speculative change. Also, a comparison analysis to the available contingency
amounts should be included, showing that reasonable and sufficient amounts of
contingency remain to keep the project within the latest approved budget.
• Detailed cost breakdown of the general engineering consultant (GEC) services
(if applicable), including such line items as contract amounts, task orders issued
(amounts), balance remaining for tasks, and accrued (billable) costs.
• Federal obligations and/or disbursements for the project, compared to planned
obligations and disbursements.
(g) Federal Financial Report (SF-425). The Federal Financial Report (SF-425) is a
financial reporting form used throughout the Federal Government Grant system.
Recipients shall complete this form and attach it to each quarterly Project Progress and
Monitoring Report. The form is available at
http://www.whitehouse.gov/sites/default/files/omb/assets/grants forms/SF-425.pdf
(h) Certifications. A certification that the Recipient is in compliance with 2 C.F.R.
200.303 (Internal Controls) and 2 C.F.R. Part 200, Subpart F (Audit Requirements).
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